Guide to the Train
Driving Licences and
Certificates
Regulations 2010
November 2015
1. 9481164
The Office of Rail and Road (ORR) has issued this guidance. It aims to help people affected by the
Train Driving Licences and Certificates Regulations 2010 (TDLCR) as amended to understand their
responsibilities and to take the appropriate action.
We will regularly update this guide, and you can download the latest version from our website at
http://orr.gov.uk/what-and-how-we-regulate/health-and-safety/regulation-and-certification/traindriving-licences-and-certificates
Fourth edition published by the Office of Rail and Road,Year 2015
This guidance is issued by the Office of Rail and Road. Following the guidance is not compulsory and
you are free to take other action. But if you do follow the guidance you will normaly be doing enough to
comply with the law. Railway inspectors seek to secure compliance with the law and may refer to this
1. 9481164
guidance as illustrating good practice.
Contents
Foreword
5
The purpose of this guide
5
Who this guide is for
5
Terms used in this guide
7
1. Introduction
9
Why has TDLCR been introduced?
9
When does TDLCR apply from?
9
What does TDLCR mean for me?
10
Who issues and enforces licences?
11
2. Train driving licences
13
Key points
13
Applying for a train driving licence.
13
Keeping licences valid
15
Withdrawing and suspending licences
17
Appeals
19
3. Train driving certificates
20
Key points
20
Driver certification process
20
Withdrawing and suspending certificates
21
Appeals
21
4. Competence for licences and certificates.
23
Key points
23
Competence and knowledge
23
Training, assessing and monitoring competence
25
5. Medical and psychological fitness
27
Key points
27
Fitness Requirements
27
When do assessments need to take place?
27
Who carries out assessments?
29
6. Common questions
31
Drivers
31
Employers
31
Licence and certificate application flowchart.
33
Annex A Train Driver Licence Application Form and Guidance
33
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Annex B: Driver information - content and formats
35
Annex B1: Train driving licence
42
Annex B2 National Licence Register
48
Annex B3 Train driving certificate
55
Annex B4 Certificate register
61
Annex B5 Certified copy of the train driving certificate
68
Annex C: Recognition of Assessors
71
Annex C1 Doctors Route to Register
71
Annex C2 Psychological practitioners route to register
71
Annex C3 Procedure for recognising trainers and training centres of train drivers
72
Annex C4 Criteria for recognising examination centres of train drivers.
73
Annex C5 Recognition of training and examination centres - Key requirements.
85
Annex D Appeals process relating to train driver certificates.
85
Introduction
86
Appeals process diagram
87
Receiving the appeal
88
Deciding to proceed
88
Hearing the appeal
89
ORR decision
90
Annex D1
91
Annex E Depot drivers - ORR's policy position.
101
Annex F Appeals process for doctors, psychometric assessors, trainers and examiners.
102
Introduction
102
Receiving the appeal
102
Deciding to proceed
103
Hearing the appeal
103
ORR Decision
104
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Guide to the TDLCR 2010 | 4
Foreword
The purpose of this guide
1. This guide provides a summary of the Train Driving Licences and Certificates Regulations 2010
(TDLCR) as amended. TDLCR came in to force on 6 April 2010 and amendments were made on 1 January
2016.
2. You may find it helpful to read the guide alongside a copy of TDLCR, which is available at
www.opsi.gov.uk/si/si2010/uksi_20100724_en_1 and the amendments at
http://www.legislation.gov.uk/uksi/2015/1798/contents/made.
3. The requirement to hold a licence and certificate to drive a train applies to all new drivers operating on
the mainline railway and will comes into effect for
existing drivers (cross-border and domestic) by 29 October 2018.
4. Reading this guide should help you to:
(a) understand the purpose of TDLCR;
(b) understand the main changes that TDLCR introduce;
(c) identify if and when TDLCR apply to you;
(d) if appropriate, take practical steps to make sure drivers you employ have the necessary licence and
certificate in line with TDLCR; and
(e) meet your other responsibilities under TDLCR.
5. ORR is the licensing body in Great Britain. How to apply for a licence is covered in this guidance and the
application form is attached at Annex A. It can also be downloaded from our website:
http://orr.gov.uk/what-and-how-we-regulate/health-and-safety/regulation-and-certification/train-drivinglicences-and-certificates.
6. Certificates are issued by railway undertakings and infrastructure managers who employ drivers.
Who this guide is for
7. We have produced this guide for the following groups of people:
(a) Railway undertakings and infrastructure managers, particularly train and freight operating companies,
who employ train drivers
(b) Train drivers and their representatives
(c) Driver managers
(d) Other trainers and examiners of train drivers
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(e) Those who are responsible for overseeing the work carried out by doctors and psychological
practitioners who assess whether train drivers are fit to drive
8. We consulted representatives from all these groups when we were developing the content of this guide.
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Terms used in this guide
Domestic driver
A person who drives on the mainline railway solely within Great Britain.
Cross-border driver
A person who drives trains both on the mainline railway in Great Britain and across borders to at least one
other Member State.
Existing cross-border driver
A person who, before 29 October 2011, completed relevant training in, and has experience of, driving
cross-border trains on the mainline railway in Great Britain and in at least one country that is a member of
the European Union.
Existing driver
A person who, before 29 October 2013, completed relevant training in, and has current experience of
driving, trains on the mainline railway in Great Britain.
Infrastructure manager
An organisation that holds a safety authorisation issued by:
ORR, in line with regulation 10 or regulation 12 of the Railways and Other Guided Transport Systems
(Safety) Regulations 2006 as amended; or
the Intergovernmental Commission, in line with the requirements of article 27 set out in the Schedule to the
Channel Tunnel (Safety) Order 2007.Member States
Countries that are members of the European Union.
Railway undertaking
The organisation that holds a safety certficate issued by:
ORR in line with regulation 7 or regulation 9 of the Railways and Other Guided Transport Systems (Safety)
Regulations 2006 as amended; or
the Intergovernmental Commission in line with the requirements of article 39(ii) of the Schedule to the
Channel Tunnel (Safety) Order 2007 as amended.
Recognised doctor
A medical practitioner whose name appears in the register of doctors that we have published under
regulation 23(1) of the Train Driving Licences and Certificates Regulations 2010.
Recognised examination centre
An organisation whose name appears in the register of examiners and examination centres that we have
published under regulation 23(1) of the Train Driving Licences and Certificates Regulations 2010.
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Recognised examiner
A person whose name appears in the register of examiners and examination centres that we have
published under regulation 23(1) of the Train Driving Licences and Certificates Regulations 2010.
Recognised psychological practitioner
A person who holds the British Psychological Society Certificate in Occupational Testing (Level A or Level
2) and whose name appears in the register of psychological practitioners that we have published under
regulation 23(1) of the Train Driving Licences and Certificates Regulations 2010.
Recognised trainer
A person whose name appears in the register of trainers that we have published under regulation 23(1) of
the Train Driving Licences and Certificates Regulations 2010.
Recognised training centre
An organisation whose name appears in the register of trainers that we have published under regulation
23(1) of the Train Driving Licences and Certificates Regulations 2010.
ROGS
The Railways and Other Guided Transport Systems (Safety) Regulations 2006 as amended.
TDLCR
The Train Driving Licences and Certificates Regulations 2010 as amended.
Train Driver Directive (the Directive)
European Commission Directive 2007/59/EC, which relates to certificates for train drivers operating
locomotives and trains on the railway system in the European Community.
Decision on criteria for recognition of training centres and examiners
European Commission Decision 2011/765/EU which relates to the criteria for the recognition of training
centres who are involved in the training of train drivers and for the recognition of examiners of train drivers
Train operator
Railway undertakings (e.g. passenger-train, freight-train and on track maintenance operating companies),
and infrastructure managers (engineering contractors) who run their own trains.
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1. Introduction
Why has TDLCR been introduced?
1.1 TDLCR is legislation that brings in to force the requirements of European Commission Directives
2007/59/EC (on the certification of train drivers) (the Directive) and 2014/82/EU (the amending Directive)
in Great Britain. It introduces a licensing and certification system for many train drivers in Great Britain.
1.2 The Directives forms part of the European Commission’s plan to make Europe’s railways more
efficient and competitive. The main objectives of both the Directives and TDLCR are to:
•
make it easier for cross-border rail services to operate;
•
create a more flexible job market for train drivers;
•
introduce consistent standards for drivers across Europe; and
•
increase public confidence in the rail system through the requirement for certain groups of train
drivers to hold a licence.
1.3 We believe that introduction of TDLCR :
•
makes it easier for train drivers to change jobs between employers and Member States;
•
makes sure every driver’s fitness to drive and general driving competence is assessed against
minimum requirements that apply in all Member States;
•
makes sure driving licences and certificates are recognised by everyone in the railway industry;
•
allows employers in Great Britain to make sure that licences issued by other Member States are
valid;
•
creates a ‘single certification’ model for railway undertakings and infrastructure managers to use in
the training and development of drivers; and
•
reinforces management of driver skills and knowledge as a key part of an operator’s safety
management system (SMS).
When does TDLCR apply from?
1.4 The requirement to hold licences and certificates issued under TDLCR now applies to all new drivers
and will come into effect for
•
existing drivers (cross-border and domestic) – by 29 October 2018
1.5 Under regulation 39(2), from 6 April 2011, drivers and employers have been able to apply for licences
and certificates before they are required to hold them. A railway undertaking or infrastructure manager
may want to use this provision so they can apply for licences for existing and new drivers at the same
time. This may be useful if, for example, a small number of new drivers are recruited in the next few
years and it is more practical to apply for all existing drivers’ licences at the same time, rather than
waiting until 2018.
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1.6 The Train Driving Licences and Certficates (Amendment) Regulations 2015 (amendment regulations)
make three changes to the Schedules to TDLCR which come into force on 1 January 2016. These
changes are explained under paragraphs 4.2, 4.3 and 5.5.
What does TDLCR mean for me?
1.7 Railway undertakings and infrastructure managers who are required to hold a two-part safety
certificate or a safety authorisation under ROGS must make sure that the drivers who they employ to
drive on the mainline railway meet the requirements of TDLCR.
1.8 TDLCR do not apply to drivers employed to work only:
•
in engineering possessions;
•
on metros (for example, London Underground), tramways or other light rail systems;
•
for heritage operations; and
•
on depot operations who enter Network Rail infrastructure under secure protection and with the
agreement of Network Rail for the short distance to the first signal or junction head.. (See Annex E)
Train drivers
1.9 If you are a train driver, you are responsible for:
•
checking whether you need a licence for the type of work you do;
•
applying for a licence – either yourself or through your employer – at the right time;
•
carrying a valid licence with you when you are driving a train; and
•
regularly providing evidence of your medical fitness and general competence.
1.10 You will own the licence, which is valid for 10 years (if you pass relevant medical checks) and is
recognised across the European Union.
1.11 You must also carry certificates describing the rolling stock you are competent to drive and the
infrastructure you can drive on. The certificates are issued and owned by railway undertakings and
infrastructure managers who employ train drivers. More information on certificates is given in Chapter 2.
Railway undertakings and infrastructure managers
1.12 If you are a railway undertaking or infrastructure manager who employs train drivers, you are
responsible for:
•
the selection and ongoing training, competence management and medical fitness of drivers you
employ;
•
giving the drivers you employ a certificate that sets out the rolling stock they can drive, their
infrastructure knowledge and their language skills; and
•
keeping a register of the certificates (but not the licences) you issue to your drivers.
1.13 If you are an infrastructure manager, you are not responsible for the licences and certificates of
drivers employed by others who use your infrastructure. Under TDLCR an infrastructure manager must
be given notice by a railway undertaking if it wishes to operate an exceptional service or services for the
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provision of driver certificate training as set out in regulation 4(7) and (8). These regulations provide for
circumstances where a driver does not need to hold a certificate for driving trains on the infrastructure in
question.
1.14 TDLCR contain some minimum requirements for training and assessing drivers, including a
requirement for training and assessment to be carried out by recognised examiners and trainers. As most
driver training and assessment is carried out by train operators, we will use a simple model where driver
training and assessment arrangements are certificated as part of an operator’s safety management
system assessment under ROGS. The train operators will need to provide the appropriate evidence to
demonstrate technical and operational competence and suitability to organise training courses
appropriate to the training tasks. (See the routes to register at Annexes C3 and C4 and the key
requirements which were set out the European Commission Decision on criteria for recognition of training
centres and examiners at Annex D)
1.15 Independent training providers, who provide training that is not part of a safety management system
certified under ROGS, are able to apply to be a recognised trainer. We have published a register of all
recognised examiners and trainers. More details are given in Chapter 3.
Doctors and psychological practitioners
1.16 Doctors and psychological practitioners who carry out or supervise medical checks and
psychological assessments to make sure train drivers are fit to drive must also be recognised and appear
on a register we manage. To be a recognised doctor or psychological practitioner, you must:
•
be a member of a relevant professional body; and
•
understand how a driver’s health affects railway safety.
More details on this are given in Chapter 4.
Who issues and enforces licences?
Issuing licences
1.17 The Directive requires that each Member State’s national safety authority should act as the
‘competent authority’ for train driver licensing and certification. ORR is the National Safety Authority in
Great Britain.
1.18 We are responsible for:
•
issuing licences to drivers and keeping the national register of licences;
•
inspecting and monitoring train operators’ arrangements for training, competence management and
fitness of drivers;
•
inspecting and monitoring train operators’ arrangements for making sure drivers are issued with
and carry the necessary documents and keep these up to date; and
•
changes to the registers of recognised doctors, psychological practitioners, examination
centres/examiners and training centres/trainers.
1.19 We believe that the best way of ensuring the fitness and competence of drivers is through safety
management systems. As such, we will generally be content to issue licences on the basis of evidence
supplied by train operators in support of driver licence applications. We will ensure through our separate
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safety certification and inspection of safety management systems that train operators’ arrangements for
competence and fitness are adequate.
1.20 We are keeping the information in the national register of licences secure. Only drivers, their
employers, ORR, the European Rail Agency and other National Safety Authorities will be able to see it on
request.
1.21 Our registers of recognised doctors and psychologists, trainers and examiners/examination centres
are available to the public on the ORR web site.
Enforcement
1.22 Our approach to enforcing TDLCR is in line with the approach set out in our health and safety
enforcement policy statement, which is on our website at
http://orr.gov.uk/__data/assets/pdf_file/0016/5650/hswa-enforcement-policy-statement.pdf. If we think we
have to take enforcement action under TDLCR we will follow the principle that our actions and decisions
should be:
•
proportionate;
•
targeted; and
•
clear and consistent.
We will also follow the principle that we are accountable for, and so can be held responsible for, our
actions and decisions.
1.23 The sections of the Health and Safety at Work etc Act 1974 that apply to enforcement of TDLCR are
set out in regulation 38 of TDLCR.
1.24 Under TDLCR railway undertakings and infrastructure managers are responsible for making sure
that anyone they allow to drive a train has a valid licence and certificate. Our inspections will focus on
train operators’ systems for ensuring their drivers can get and keep valid licences and certificates, and be
able to produce them if asked to.
1.25 TDLCR also give our inspectors the powers to take immediate action if they think that a driver poses
a serious threat to the safety of the railways. In these rare circumstances, the action they could take
includes stopping a train, suspending or withdrawing a licence, or prohibiting the driver from driving a
train in Great Britain.
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2. Train driving licences
Key points
A train driving licence is evidence that a person has the necessary general skills
to drive a train.
The licence provides confirmation that the driver is medically and psychologically
fit to drive trains.
Drivers must carry their licence at all times when driving a train.
Applying for a train driving licence.
2.1 Licence applications can be made directly by a driver or their employer can apply on their behalf. The
application form, and notes on filling it in, are at Annex A of this document and also on our website
http://orr.gov.uk/__data/assets/word_doc/0005/5891/train-driver-licence-application-form.doc
http://orr.gov.uk/__data/assets/pdf_file/0011/4997/train-driving-licence-application-form-guidance.pdf.
2.2 Drivers must meet a range of conditions to get a licence. We need evidence or confirmation that the
driver meets those conditions. We will only issue a licence if we are sure that the evidence is accurate.
The table below shows what evidence (documents etc) we will ask for and how we will assess it.
Train driver licence requirements.
Licence
condition
requirement
Evidence
Who provides evidence
and how
ORR will check
Minimum age
Date of birth
Applicant, on application
form
Form signed as true and accurate by
applicant
Basic
education
Details of
highest level of
education
Applicant, with application
form if applying direct to
ORR for the licence.
Form signed as true and accurate by
applicant
Medical fitness
examination
Certificate that
medical
assessment
passed
Recognised doctor, or
assessor operating under
their supervision, endorses
application form; or
Doctor/ supervisor must meet
recognition criteria to appear on ORR
register
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.
Occupational
psychological
fitness
Certificate that
psychological
assessment
passed
Recognised psychological
practitioner operating under
their supervision, endorses
application form: or
Psychological practitioner must meet
recognition criteria to appear on ORR
register
For first time applications
for existing drivers, an
employer can endorse the
application to state that the
driver’s long term and
current performance
negates the requirement for
psychological assessment.
General
competence
Certificate that
general
knowledge
requirements
met
Train operator or other
recognised examination
body endorses application
form
Train operator or other provider must
meet criteria as a recognised training
and examination body to appear on
ORR register. For a train operator, this
is through its ROGs safety
certification.
2.3 The form at Annex A will be used for the following types of application:
•
Applications made by the employer, on the driver’s behalf:
If the employer is a train operator who holds a safety certificate and recognition as a training and
examination body from ORR, the employer can either complete the online driver’s application
form or send in the paper application form and endorse the form to confirm that the applicant has
passed the relevant competence assessments. Medical and psychological endorsement may be
provided by a recognised doctor or psychological practitioner in the same manner.
•
Applications made directly by a driver:
If a driver makes an application independently of an employer, the application form at Annex A
must be accompanied by the supporting evidence required to demonstrate medical and
psychological fitness and general competence. This information must be provided by a person or
body who is recognised by ORR.
2.4 When we receive the application form we will do the following:
•
Check that all the necessary evidence is included.
•
If information is missing, contact the driver or their employer for clarification .
•
Once we have all the relevant information, and we are satisfied to grant a licence, we will send the
licence within a month.
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Where any of this information changes ie a change of address or a new medical assessment is
carried out the driver or their employer must inform ORR of these changes.
When to apply
2.5 A licence application for a new driver should be made before that person will drive a train without
supervision. For example, the application could be made during their training period, once the trainee
driver has successfully completed the stages of training which are needed for a licence, to avoid delays in
them being able to start driving trains.
2.6 Existing drivers will be able to continue to work while their licence application is being processed.
•
Applications should be made in good time to meet the deadline dates for new drivers who are
passing out and in TDLCR of 29 October 2018 for existing drivers (cross-border and domestic).
Where to apply
2.7 Applications should be made by e-mail to: rsd.admin@orr.gsi.gov.uk or by post to:
Office of Rail Regulation
Railway Safety Directorate Adminstration
Floor 2
1 Kemble Street
London WC2B 4AN
Carrying a licence
2.8 Drivers must have their licence with them when they are driving a train. If a driver loses their licence
or has it stolen, they should contact us themselves, or through their employer, to ask for a duplicate. If
they have simply forgotten to bring their licence with them at the start of their shift, the driver must be able
to provide one of our inspectors, if asked to do so, satisfactory evidence that they hold a train driving
licence. Employers may wish to hold copies of the licence for this purpose.
2.9 Railway undertakings and infrastructure managers must take reasonable steps to make sure drivers
they employ have their licences with them when driving a train. (for example, checks during shifts by
driver managers)
Keeping licences valid
2.10 A licence is valid for 10 years from the date it is issued, as long as the following three requirements
are met and we get the evidence we need.
•
The driver passes the regular medical assessments to confirm that they are fit to drive.
•
The driver maintains their general skills and knowledge by continuing to be employed under a
safety management system that makes sure drivers remain competent.
•
The employer gives us accurate driver details so we can keep our licence register up to date.
2.11 We must be informed of the following events so we can update our licence register. We will take the
action set out below:
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Event
Who notifies
ORR?
ORR action
Driver changes
employer
Driver
Register updated with new employer’s details*
(*where the company operating a route/franchise changes, ORR will update the
employers details for all the drivers employed by the new company on receipt of a
request from that new company)
Driver stops
working as a
driver
Employer
Register updated with date driver stopped work. Continuous
unemployment as a driver for a period of twelve months or more
will cause the licence to be suspended as general competence
cannot be maintained.
In the case of the death of a driver, the status of the licence will be
changed to withdrawn.
Driver
address/contact
details change
Driver or
Employer
Register updated
Notification of
Employer
work incapacity
in excess of three
months
Date of incapacity noted. Any absence from work as a driver for a
period of twelve months or more from this date will cause the
licence to be suspended as general competence cannot be
maintained. Further evidence of general competence will be
required to re-instate the licence.
Notification of
driver passing
periodic medical
Driver or
employer
Date of medical recorded. Date for requirement for next medical
generated and notified to driver and employer.
Notification of
driver failing
medical, with
possibility of
fitness being
regained
Driver or
employer
Licence status changed to suspended; driver and employer notified
that reassessment must be passed within twelve months and
evidence provided to ORR to restore validity.
Notification of
driver failing
medical, with no
possibility of
fitness being
regained
Driver or
employer
Licence status changed to withdrawn
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2.12 Under regulation 18(2), if we suspend or withdraw a licence, the driver must return it to us as it is not
valid for use. The driver should also inform their employer that they have done so.
2.13 A driver must apply for a revised licence, by filling in the relevant sections of the form at Annex A and
sending it to us, if:
•
their name changes;
•
they need to have a new photograph on the licence;
•
their medical details relating to sight or hearing need to be changed;
•
the licence needs to be renewed after 10 years; or
•
the licence is lost, stolen or destroyed.
As with applications, the request to revise a licence can be completed by the driver themselves or
through their employer.
2.14 In the first three cases, the licence which the driver already has will remain valid until they receive
the new licence. The old licence is then no longer valid and the driver must send it back to us to be
destroyed.
2.15 For a change of name or photograph, we must receive evidence that shows a clear link between the
information on the existing licence and the new information (for example, a marriage certificate or a new
photograph signed by the employer).
2.16 In the case of medical adjustments, the licence the driver already has will remain valid until they
receive the new licence, but any train operator employing the driver must ensure the required adjustment
(e.g. correction to vision or hearing) is made immediately.
2.17 The driver should apply for the new licence in good time so they receive the new licence before the
old one runs out.
2.18 If a licence is lost, stolen or destroyed, a driver can use copies of relevant documents (for example,
a copy of the original licence or of the application for a replacement licence with European Identification
Number of the original licence included) as evidence that they hold a licence to drive trains.
Withdrawing and suspending licences
2.19 If we think a driver no longer meets a condition required to have a train driving licence, we must
suspend or withdraw the licence. We will tell the driver and their employer that we are taking this action.
2.20 If we suspend a licence, the driver must send it to us. We will keep the licence until the suspension
ends.
2.21 If we withdraw a licence, the driver must return it to us, and we will destroy it.
2.22 There is a range of circumstances where we or a driver’s employer might become concerned that a
driver is no longer competent, or is not medically or psychologically fit to drive trains. These concerns
could arise, for example:
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•
as a result of the employer monitoring the driver under safety or competence management
systems;
•
following an investigation into an accident or incident;
•
when issues relating to the driver’s health are identified by another means (for example, by the
driver’s doctor after an illness or injury);
•
when a driver’s misconduct or involvement in a criminal activity raises questions about their general
suitability.
2.23 However, concern alone is not enough to prompt us to immediately suspend or withdraw a driver’s
licence. We will only suspend or withdraw a train driving licence if:
•
a recognised doctor or psychologist tells us in writing that the driver is not medically or
psychologically fit to drive trains;
•
a recognised examiner tells us in writing that the driver no longer has the skills, knowledge or
general abilities needed to drive trains;
•
the driver does not have a medical or psychological assessment when it is due, or does not pass it
when taken;
•
there is clear written evidence[from the employer] that the driver is no longer fit or competent to
drive trains; or
•
an ORR inspector finds clear evidence that driver is no longer fit or competent to drive trains.
2.24 If a railway undertaking or infrastructure manager becomes aware that any of the circumstances
above apply to a driver that they employ, they should contact us in writing to inform us.
2.25 If a driver (or their employer) is concerned about their ability or fitness to drive, they should have an
assessment carried out by a recognised doctor, psychologist or examiner, as appropriate, and consider
whether they should not drive trains in the interim.
2.26 If one of our inspectors believes that a driver is no longer fit or competent to hold a licence they will
ask the driver’s employer to make sure the driver’s competence or fitness to drive is reassessed by a
recognised doctor, psychological practitioner or examiner, as appropriate. Under regulation 21, we also
have the power to act immediately if (in the Inspector’s opinion) a driver may put the safety of the
railways at risk, whether their licence is issued by us or by any other Member State.
2.27 If we suspend a driver’s licence, we will tell the driver (and their employer) what they have to do to
get their licence back. Usually this will be passing an assessment carried out by a recognised doctor,
psychologist or examiner, as appropriate.
2.28 We will immediately withdraw a licence if:
•
a recognised doctor or psychologist tells us in writing that a driver is no longer fit to drive trains, and
will not be able to become fit to drive again; or
•
the driver’s licence has been suspended and after 12 months, they have not taken the necessary
action to get their licence back.
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2.29 If a driver has had their licence withdrawn, they will need to apply for a new licence if they want to
drive trains again.
Appeals
2.30 Appeals against decisions on licences must be made to the Secretary of State for Transport, Great
Minster House, 33 Horseferry Road, London SW1P 4DR
2.31 Appeals against decisions relating to certificates issued by employers must be made to us. See
paragraphs 3.11 to 3.14.
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3. Train driving certificates
Key points
Certificates are issued by employers.
A driver can hold more than one certificate if they work for more than one railway
undertaking or infrastructure manager.
Drivers must have their certificates with them whenever they are driving a train.
Driver certification process
3.1 Under TDLCR employers (railway undertakings and infrastructure managers) must have a procedure
for giving their drivers complementary certificates to confirm that they have the skills, knowledge and
abilities needed to drive trains. Employers must also keep a register of certificates they issue. This
process forms part of a safety management system and it must be published (for example, on the
employer’s intranet or in their staff handbook).
3.2 The certificates are a standard format across Europe. They:
•
allow detailed information about a driver’s ability to be shared, if necessary, with prospective
employers and the safety authorities; and
•
give drivers a record of their competence.
Content and format of information
3.3 The employer’s procedure for issuing certificates must set out:
•
how drivers are issued with certificates that meet the requirements of Annex B3 of this document;
•
that they will keep a register of certificates they have issued, in line with Annex B4; and
•
how drivers who leave their employment are given copies of their certificates in line with Annex B5.
3.4 The annexes only set out the minimum information that must be provided. Extra information that
employers already routinely collect could also be added in the section set aside for that purpose, for
example performance data – but there is no requirement to do so. In this respect the complementary
certificate does not replace any existing internal driver management practices.
3.5 A driver may need more than one certificate if they work as a driver for more than one employer.
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Carrying certificates
3.6 Drivers must have their certificates with them when they are driving. Employers should develop
systems that can produce up-to-date certificates in good time, and make arrangements for coping with
situations where a driver loses their certificate, has it stolen or simply forgets to bring it with them at the
start of their shift. The simplest way of doing this is to provide one copy of the certificate for the driver to
keep and one copy to be held at the depot. An electronic copy of the certificate, eg a PDF scan on a
mobile phone or tablet, would be acceptable where the certificate is lost, stolen or forgotten by the driver.
Leaving an employer
3.7 When a driver leaves an employer, their certificate immediately stops being valid. That driver must be
given a copy of their certificate, in the format given at Annex B5.
3.8 Drivers employed under contract, either independently or through an agency, may find that their work
for a train operator frequently ends and starts again. To deal with this situation, TDLCR state that if the
driver returns to the employer within 12 months, the train operator can choose to ‘reactivate’ that driver’s
certificate and re-issue it, as long as the employer is satisfied that the driver is still competent.
Withdrawing and suspending certificates
3.9 If a driver fails to maintain their competence, normally because they fail an assessment or have been
absent from driving a particular route or type of rolling stock, then retraining and reassessment is needed.
3.10 Failing to maintain one element of competence (for example, knowledge of a particular route), does
not mean that the driver’s entire certificate has to be suspended. Instead, a note should be made on the
certificate to show that the particular competence is no longer held. This would not affect the driver’s
licence, unless the driver is no longer considered to be suitable to drive trains. See chapter 3 on
competence and knowledge.
Appeals
3.11 Employers should have procedures in place for drivers to challenge the decision to suspend or
withdraw their certificate. We would expect this to be in their staff handbook or on their intranet.
3.12 If it is not possible to resolve an appeal satisfactorily through the employer’s own procedures,
drivers can appeal to us about certificates granted under TDLCR. This is covered in this section
(paragraphs 3.11 to 3.14)in and the certificate appeals guidance is at Annex D.
3.13 If a driver/applicant appeals to us regarding a train driving certificate, we will carry out a review of
the following decisions:
•
the issue/refusal to issue a train driving certificate;
•
the renewal of/refusal to renew a train driving certificate;
•
suspension of a certificate;
•
withdrawal of a certificate.
3.14 There are some decisions we cannot review as they are made by another party. For this reason, we
cannot hear appeals relating to the outcome of:
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•
a medical or psychological assessment carried out by, or supervised by, a recognised doctor or
psychological practitioner; or
•
an assessment of competence carried out by, or supervised by, a recognised training centre and/or
examiner/examination centre.
In these cases, the person or organisation that made the decision should have their own appeal
procedure for the driver to follow.
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4. Competence for licences and
certificates.
Key points
4.1 TDLCR makes requirements regarding driver competence in three areas, summarised in the table
below.
Licence
Certificate
General knowledge
•
•
•
Principles of operation
Understanding of risks
Safe behaviours
Infrastructure
•
•
•
•
•
How the infrastructure
works
Route knowledge
Operating rules
Emergency procedures
and degraded working
Language skills
TDLCR: Schedule 3
TDLCR: Schedule 4
Rolling Stock
•
•
•
•
How the rolling stock works
Carrying out checks and test
prior to departure
Driving safely
Dealing with malfunctions and
emergencies
TDLCR: Schedule 5
Competence and knowledge
Licence: General knowledge
4.2 The conditions that have to be met for a driver to hold a train driving licence are essentially about
their general suitability to drive trains. This includes a minimum level of ‘general knowledge’ described in
Schedule 3 of TDLCR. The original schedule was replaced with more detailed requirements for the
general knowledge set out in the amendment regulations. We believe that railway undertakings and
infrastructure managers (whose safety management systems ORR has assessed under ROGS) are well
placed to make the judgement about whether an applicant driver has acquired this knowledge, or has the
ability to acquire it, or not. As such, we will not be setting pass/fail criteria for licence knowledge – but we
will ensure that train operators have developed a recognised, sensible and robust approach as part of
their safety management system.
Certificates: Infrastructure competence requirements
4.3 Schedule 4 of TDLCR sets out competence requirements relating to certificates for driving on specific
infrastructure. “Infrastructure knowledge” is not route knowledge alone, it also includes knowledge of
operating rules and emergency procedures, and being able to work in the language used by the relevant
infrastructure manager. A new standard for language competence was included in Article 8 of Schedule 4
by the amendment regulations.
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Certificates: Rolling stock competence requirements
4.4 Schedule 5 of TDLCR sets out the requirements that must be met in relation to the rolling stock a
driver is competent to drive. The conditions set out in Schedule 5 should be applied as appropriate to the
specific rolling stock in question – it may be that some of the competencies are irrelevant, or a more basic
degree of knowledge is needed, for particular types of rolling stock.
4.5 Schedule 5 sets out the areas which a driver must be competent in, but it deliberately does not set
pass and fail criteria. It is up to operators to decide the ‘pass mark’ based on risk and the requirements of
their operation.
When should competence and knowledge training & assessment take place?
For licences
New drivers
4.6 For new drivers, the general knowledge needed to get a licence should be assessed during
recruitment, selection and the early stages of driver training. This will then allow the driver, or their
employer, to apply for a licence (see Chapter 1) and to continue their detailed rolling stock and
infrastructure training while waiting for the licence to be issued.
Existing drivers
4.7 Experienced current drivers applying for their first licence will normally be considered to have met the
training and assessment requirements if they have maintained their general competence through being
employed as a train driver before applying for their licence.
4.8 Routine reassessments of general knowledge are not required if the driver continues to work under a
safety management system that ensures drivers remain competent. Reassessment may be needed after
an accident or incident, or after a person has not been employed as a driver for a significant period.
4.9 It is up to railway undertakings to decide when a driver’s competence reassessment is necessary.
However, if a licensed driver is no longer able to meet the competence requirements for a licence, we (or
the National Safety Authority in the Member State which issued the licence) should be notified.
For certificates
New drivers
4.10 For new drivers, the detailed competence needed for certificates should be assessed during their
initial training programme. Existing training programmes, which are developed using current Railway
Group Standards and are part of a certificated safety management system, will normally give drivers the
competencies they need to get the relevant certificate.
Existing drivers
4.11 Experienced current drivers gaining their first certificate will normally be considered to have met the
requirements for certification for the rolling stock and routes they are experienced at operating. As it is up
to railway undertakings and infrastructure managers to set the pass and fail criteria for getting certificates,
it is also up to them to decide whether experienced drivers need extra training and assessment before
they can get a certificate.
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4.12 To keep their certificates valid, the driver’s competence must be regularly assessed. It is up to
railway undertakings and infrastructure managers to decide how often those assessments should be, as
long as this is:
•
at least every three years; or
•
after the driver has not driven the relevant rolling stock, or on the relevant route, for more than one
year.
Ongoing assessment, carried out by the driver manager as part of routine management activity, remains
a legitimate method of assessment.
Training, assessing and monitoring competence
Who is responsible?
4.13 Railway undertakings who employ drivers are responsible for training, assessing and monitoring the
competence of those drivers.
4.14 Training must be performed by persons or bodies recognised by ORR to deliver the standard of
training required to meet the specifications of the Train Driver Directive. Criteria for gaining recognition
includes demonstrating how training provision meets the requirements of independence, competence and
impartiality set out in Article 20 of the Train Driver Directive.
4.15 The requirement for independence, as set out in Article 20 of the Train Driver Directive, does not
apply to a railway undertaking or infrastructure manager who provides training to their own staff.
However, regulation 31 sets out that examiners who the same railway undertaking or infrastructure
manager employs to test staff must not have trained the candidate they are examining.
4.16 A train operator’s procedures for carrying out these tasks are fundamental parts of their safety
management systems. The assessment criteria in ROGS (on the website at
http://orr.gov.uk/__data/assets/pdf_file/0020/3593/cert_auth_criteria_mainline.pdf) can provide more
information on this.
4.17 You should also read our existing guidance on competence management systems (see the website
athttp://orr.gov.uk/__data/assets/pdf_file/0016/4264/sf-dev-staff.pdf) when reading this chapter.
4.18 The European Commission has published a Decision which sets out further details on how training
centres and examiners will achieve recognition.This complements the routes to register to be a
recognised trainer, training centre and examiner at Annexes C3 and C4. The main requirements of the
Decision are set out in Annex C5.
Who carries out training and assessment?
In-house providers
4.19 TDLCR require all training and examination of driver competence to be carried out by persons or
bodies recognised for that purpose by us. As the majority of railway undertakings train their own drivers,
we believe that all train operators will already have a good understanding of the competence
requirements that are now formalised under TDLCR. The right training, assessment and monitoring
arrangements will already be in place.
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4.20 Railway undertakings and infrastructure managers will be able to become recognised training
centres and examiners/examination centres. We will carry out the recognition as part of our assessment
of train operators’ safety management systems when they seek a safety certificate or authorisation under
ROGS. Driver managers will continue to carry out training and assessment - including responsibility for
initial licence competence assessment. The criteria and procedures to register as a recognised training
centre or examiner/examination centre are at Annexes C3 and C4.
Other training providers
4.21 The published criteria for becoming a recognised trainer will also apply to any person or organisation
providing training independently of a train operator. These trainers will be able to apply to us for
recognition. We have developed and published the process for doing this in consultation with the industry.
4.22 Training provided under contract to a railway undertaking or infrastructure manager is covered by
the railway undertaking or infrastructure manager’s safety certificate. The contracted training provider will
need to be a recognised trainer to provide training.
Monitoring
4.23 Railway undertakings and infrastructure managers are responsible for monitoring the competence of
the drivers they employ. This includes the competence of independent contractors or agency drivers who
have certificates for the work they are contracted to do.
4.24 The ongoing monitoring of competence is as much a matter of good management of drivers as it is
of “formal” training and assessment. ORR’s guidance on competence management sets out good
practice in how to monitor competence effectively:http://orr.gov.uk/__data/assets/pdf_file/0016/4264/sfdev-staff.pdf
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5. Medical and psychological fitness
Key points
Drivers must be medically and psychologically fit to get and keep their train
driving licences.
A person’s medical and psychological fitness will be assessed when they are
recruited.
Existing drivers will not usually need to have their psychological fitness
reassessed.
Drivers will need to have a medical every three years until they are 55 and every
year after that.
Assessments will be carried out by recognised doctors and recognised
psychologists.
Fitness Requirements
5.1 The conditions for being considered to be medically and psychologically fit to drive a train, and how
this is assessed, are set out in Schedule 1 of TDLCR.
5.2 These requirements are consistent with existing industry fitness requirements set out in the relevant
Railway Group Standards and Rail Industry Standards and their supporting guidance.
5.3 Experienced drivers currently employed should normally be considered to have met the requirements
to get a licence, as long as they have had a medical in the last three years (if they are 55 or younger) or
the past year (if they are 56 or older). They will not usually be reassessed for psychological fitness, but
see paragraph 5.17.
When do assessments need to take place?
Initial assessment
5.4 Most new drivers will have a medical and psychological assessment as part of the recruitment and
selection process carried out by the relevant railway undertaking. A driver or candidate driver who applies
for a licence independently of an employer must provide evidence that they have passed a medical
assessment carried out by a recognised doctor, and a psychological assessment carried out by a
recognised psychological practitioner.
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Medical assessment
5.5 The content of the medical assessment is set out in Schedule 1, Article 1 of TDLCR. The
requirements of Railway Group Standard GO/RT3451, ‘Train Movements and Staff Suitability’, are aligned
with this. The amendment regulations removed the option in paragraph 1(2)(g) of Schedule 1 for existing
drivers to continue to drive if they lose the sight in one eye and suitable adaptations could be made.
Psychological assessment
5.6 TDLCR also requires that an occupational psychological examination is performed before
appointment. The underlying principle of this requirement is to allow the best candidates to be selected,
trained and employed as drivers. Tests to determine psychological fitness must be based on
psychological-scientific principles.
5.7 Some of the abilities to be tested are covered in the information regarding physical fitness set out in
Schedule 1, Article 2 (1) of TDLCR. This requires the testing of:
•
cognitive skills – attention and concentration, memory, perception and reasoning;
•
communication skills; and
•
psychomotor skills (for example, reaction time and co-ordination).
5.8 Examples of the kinds of tests that are currently used to assess these skills are set out in the Railway
Industry Standard RIS-3751 TOM ‘Train Driver Selection’.
5.9 We consider that current industry practice of a driver candidate undergoing a psychological
assessment before a medical assessment meets the requirement of Schedule 1, Article 2(1). Any medical
practitioner carrying out a standard medical assessment in line with Railway Group Standard GO/RT3451
should be assured that the driver has undertaken and passed a psychometric assessment which covers
cognitive, communication and psychomotor skills. A candidate who had not successfully passed these
requirements would not have continued to the medical assessment stage.
5.10 Schedule 1, Article 2 (2) of TDLCR also requires that:
‘Tests to determine any occupational psychological deficiencies, particularly in operational aptitudes or
any relevant personality factor which is likely to interfere with safe exercise of duties’are successfully
completed.
5.11 Currently, the following criteria are all assessed as part of the standardised psychometric
assessment process during recruitment, as set out in RIS-3751-TOM:
•
Ability to retain and recall job related information;
•
Ability to learn new information;
•
Motivation to follow set rules and procedures;
•
Ability to remain calm in emergency/stressful situations and respond appropriately;
•
Ability to anticipate elements in the traffic enviroment ie when to reduce speed;
•
Coordination and reaction time;
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•
Ability to communicate clearly and effectively, orally and in writing;
•
Ability to solve problems and make decisions;
•
Checks, does not make assumptions; and
•
Is proactive and tenacious.
5.12 Therefore, a driver who passes a psychometric test in line with this standard has met the
psychological assessment requirement of TDLCR. Drivers who undertake a psychometric assessment
performed to a different standard will need to ensure that the practitioner carrying the assessment out is
recognised to do so by ORR. Our registers of recognised practitioners are available from our website.
Experienced drivers
(a) Experienced drivers seeking a licence for the first time will need to undergo a medical assessment
if their previous one was more than three years ago (or one year ago if aged 56 or over). Regulation 39
(5)(b) allows, in exceptional circumstances, for this requirement to be waived. Where a driver will retire
within three months, after the next medical assessment is due, and will not be driving a train on the
mainline railway ever again, the experienced driver will not need to undergo a further medical
assessment, provided their employer is content that they remain fit. .
5.13 Experienced currently employed drivers will not need to have a psychological or general
competence assessment in order to apply for a licence. Regulation 39(5)(c) covers this.
Regular assessment
5.14 To keep their licence valid, drivers must have routine medicals at least every three years until they
are 55 and then every year after that. These routine medicals do not need to cover everything that is
included in the initial medical assessment. More information is given in Article 3 of Schedule 1 TDLCR.
5.15 Drivers do not need to have routine psychological assessments.
5.16 A train operator may need a driver to have an assessment (which could include a psychological
assessment) when one is not due if:
•
ongoing monitoring and management raises questions about the driver’s fitness to drive;
•
the driver has been involved in an accident or incident;
•
the driver tells their employer that they have concerns about their own health;
•
the medical assessor carrying out a routine medical recommends that the driver is referred to a
recognised doctor or psychologist;and
•
the driver has not driven on the mainline railway for more than twelve months and has not
previously passed a psychological assessment.
Who carries out assessments?
Recognised doctors
5.17 Assessments must be carried out by, or under the supervision of, recognised doctors and
recognised psychological practitioners that appear on our registers of doctors and psychologists.
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5.18 In general, doctors and psychological practitioners will be expected to provide evidence of:
•
professional qualifications; and
•
experience in, or understanding of, the railway industry and associated risks.
5.19 The Association of Railway Industry Occupational Health Practitioners (ARIOPs) has developed
guidance on the criteria for assessors of fitness in the railway industry. The guidance is available on the
website at www.ariops.org.uk/documents/Competency%20Rail%20Dr%20ARIOPS071.pdf .
5.20 This guidance draws a distinction between responsible doctors and medical assessors.
•
Responsible doctors have overall responsibility for programmes of medical assessments; and
•
Medical assessors carry out assessments under the authority of a responsible doctor.
5.21 Medical assessors do not have to be recognised by us.
Before applying to us for recognition, please review our ‘routes to register’ flowchart at Annex C1. This
will help you to identify the grounds on which you are eligible to appear on the ORR Register.
Applications containing the evidence for recognition need to be made in writing either by e-mail to:
rsd.admin@orr.gsi.gov.uk or by post to:
Office of Rail Regulation
Railway Safety Directorate Adminstration
Floor 2
1 Kemble Street
London WC2B 4AN
There is no specfic application form and CVs can be used.
Recognised psychological practitioner
5.22 Psychological assessments must be carried out by, or under the supervision of, practitioners listed
on our register of recognised psychological practitioners.
5.23 To be placed on our register a practitioner must have as a minimum requirement the British
Psychological Society Certificate in Occupational Testing (Level A or Level 2).
5.24 Before applying to us for recognition, please review our ‘routes to register’ flowchart at Annex C2.
This will help you to identify the grounds on which you are eligible to appear on the ORR Register.
5.25 Applications containing the evidence for recognition need to be made in writing to the address in
paragraph 5.22. There is no specfic application form.
Appeals
5.26 A doctor or psychological practitioner who ORR will not recognise can make an appeal. [Guidance
on the appeal process is at Annex F.
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6. Common questions
Drivers
When do I need to apply for a licence?
You can apply for a licence now. If you are a new driver, you must have a licence now but if you are
already employed as a driver you are required to have a licence by 29 October 2018
How much does it cost to apply for a licence?
Currently, there is no charge for a licence application.
How long is a licence valid for?
A licence is valid for 10 years, as long as the driver passes any medical and psychological assessments
and maintains their competence and knowledge.
What information do I need to provide?
You will need to:
•
fill in and sign the application form;
•
provide evidence that you have passed your medical and psychological assessment (this can be
done through your employer);
•
provide evidence that you have passed basic training (this can be done through your employer);
and
•
provide a recent passport-sized photograph.
The table in Chapter 1 provides more information on what you need to provide to support your
application and where to send it.
What if I forget to bring my licence to work? Can I still drive a train?
Under Regulation 4(5) you must have your licence and certificate with you at all times when driving a
train. If you forget to bring your licence with you at the start of a shift, or you are waiting for a replacement
licence from us (if it is lost, damaged or stolen) you can drive a train as long as you have means to satisfy
an ORR inspector undertaking inspection on board the train that you are a licence holder (e.g. a copy of
your licence).
How do I get a certificate?
Your employer will give you a certificate to show your knowledge of rolling stock and infrastructure. They
will do this either when you successfully complete your practical training or, if you are an existing driver,
when you have to hold a certificate that reflects your experience.
Employers
What information do I need to give you about the drivers I employ?
If you apply for a licence on behalf of one of your drivers, you will need to provide the information asked
for on the application form. You must also provide declarations about the driver’s medical and
psychological fitness and their general competence. You will need to contact us if:
•
any of the driver’s details change;
•
the driver fails to pass a medical or psychological assessment; or
•
the driver does not work as a driver for three months or more, or you stop employing them as a
driver.
•
you employ an existing driver from another train operator to confirm you are their new employer.
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Chapter 1 covers this in more detail.
What should a complementary certificate look like?
Annex B3 provides the template for the certificate.
What information will I need to keep in the certificate register?
Annex B4 covers this information.
Will I have to change my existing driver management programme?
The licensing system has been designed to reflect existing driver management practices as much as
possible. You should be aware of the following points:
•
You will need to make sure that the drivers you employ have medicals every three years until they
are 55 and every year after that.
•
All medical and psychological assessments, training and monitoring must be carried out by a
person or organisation recognised by us for that purpose (for example, a recognised doctor,
psychological practitioner, trainer or examiner).
•
You will need to keep us informed of any changes to a driver’s details shown on the licence.
•
You must not allow a train to be driven by anyone who does not have a licence and the necessary
certificate to do so.
The complementary certificate does not replace any internal driver management or performance
assessment system which you may have in place already. You should continue to monitor and manage
your drivers’ ability and performance using existing processes.
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Licence and certificate application flowchart.
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Annex A Train Driver Licence Application Form and
Guidance
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Annex B: Driver information - content and formats
1.
This annex reproduces European Commission Regulation (EU) No. 36/2010 on the
content, physical characteristics and format of the documents and registers associated with
driver licensing and certification. The contents set the mandatory requirements for all drivers
licensed in accordance with TDLCR and their employers. Note that the European Commission
refers to train driving certificates as “the complementary certificate”.
Annex B1: Train driving licence
Model of train driving licence
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Physical characteristics of the train driving licence
2.
The train driver’s licence shall be in the format ID-1 as described in international standard
ISO/IEC 7810:2003 Identification cards - Physical characteristics.
3.
Without prejudice to data protection rules, Member States may, for national use only, use storage
medium (microchip) as part of the licence, to allow railway undertakings and infrastructure managers to
store company related information including the data to be contained in the complementary certificate,
provided that it does not in any way interfere with the implementation of this Regulation.
4.
The introduction of such microchip shall be in conformity with international standard ISO 78161:1998 Identification cards - Integrated circuit(s) cards with contacts - Part 1: Physical characteristics.
5.
Railway undertakings and infrastructure managers will not be exempted from adopting the
Community model of the complementary certificate described in Chapter 4 Annex II of the Commission
Regulation EU No. 36/2010 until the harmonised requirements for the use of smart-card are established.
6.
Methods for verifying the characteristics of the driving licences, to ensure that they are consistent
with international standards, shall comply with standard ISO/IEC 10373-1:2006 Identification cards -- Test
methods -- Part 1: General characteristics.
Anti-forgery measures
(a)
(b)
The material used for driving licences shall be made secure against forgery by using the
following techniques (mandatory security features):
o
card bodies shall be UV dull;
o
a security background pattern designed to be resistant to counterfeit by scanning, printing
or copying, using rainbow printing with multicolour security inks and positive and negative
guilloche printing. The pattern shall not be composed of the primary colours (CMYK), shall
contain complex pattern designs in a minimum of two special colours and shall include
micro lettering;
o
optical variable elements providing adequate protection against copying and tampering of
the photograph;
o
in the area of the photograph the security design background and photograph shall
overlap on at least its border (weakening pattern).
In addition, the material used for driving licences shall be made secure against forgery by using
at least one of the following techniques (additional security features):
o
colour-shifting inks;
o
thermochromic ink;
o
custom holograms;
o
variable laser images;
o
tactile characters, symbols or patterns.
The techniques enable the competent authorities to check the validity of the card without any special
equipment.
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Non-technical measures to prevent forgeries shall be related to the monitoring of the safety management
system put in place by railway undertakings and infrastructure managers in accordance with Annex
III(2)(j) of the Rail Safety Directive (2004/49/EC).
Lay-out of the train driving licence
The train driving licence shall follow the Community model, the reference colours (Pantone Reflex Blue
and Pantone Yellow) and the patterns, whose lay-out provided in appendix B1.
The Agency shall provide electronic version of the high definition graphic lay-out, which shall include
open-type fonts (Myriad Pro and Minion Pro, available in all alphabets of EU languages) and dimensions
to be used for fonts.
The train driving licence shall have information displayed on two sides.
Recto shall contain:
(a)
the words ‘train driving licence’ printed in large type in the language or languages of the Member
State issuing the licence;
(b)
the name of the Member State issuing the licence;
(c)
the distinguishing sign of the Member State issuing the licence, based on ISO 3166 alpha-2 code,
printed in negative in a blue rectangle and encircled by 12 yellow stars.
The distinguish signs shall be as follows:
AT:
BE:
BG:
CY:
CZ:
DK:
EE:
FI:
FR:
DE:
EL:
HU:
IS:
IE:
IT:
LV:
LI:
LT:
LU:
Austria
Belgium
Bulgaria
Cyprus 1
Czech Republic
Denmark
Estonia
Finland
France
Germany
Greece
Hungary
Iceland
Ireland
Italy
Latvia
Liechtenstein
Lithuania
Luxembourg
1
The obligations for transposition and implementation of this Directive shall not apply to Cyprus and Malta as long as no
railway system is established within their territory [Article 36(3) of Directive 2007/59/EC]
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MA:
NO:
NL:
PL:
PT:
RO:
SK:
SI:
ES:
SE:
CH:
UK:
(d)
Malta 1
Norway
Netherlands
Poland
Portugal
Romania
Slovak Republic
Slovenia
Spain
Sweden
Switzerland
United Kingdom
information specific to the licence issued, shall be numbered as follows:
1
the surname(s) of the holder. The surname(s) is (are) correspondent to the one(s)
displayed on the passport / national identity card / other recognised document proving
identity.
2
the name(s) of the holder. The name(s) is (are) correspondent to the one(s) displayed on
the passport / national identity card / other recognised document proving identity.
3
the date and place of birth of the holder.
4a
the date of issue of the licence;
4b
the date of expiry of the licence;
4c
the name of the issuing authority;
4d
the reference number assigned to the employee by the employer (optional).
5
the number of the licence giving access to data in the national register is based on the
European Identification Number, (EIN) as stated in Commission Regulation 653/2007 of 13
June 2007 2.
The 2 digits of EIN, for type of document, shall be as follows:
71 up to counter 9999;
in cases more than 9999 licences are issued per year:
72 if counter is 10000 and up to 19999;
in cases more than 19999 licences are issued per year:
73 if counter is 20000 and up to 29999;
6
a photograph of the holder.
7
the signature of the holder.
Verso shall contain:
8
the permanent place of residence or postal address of the holder (optional), displayed in
space identified with number 8.
2
OJ L 153, 14.6.2007, p. 9. Commission Regulation No 653/2007 of 13 June 2007 on the use of a common European
format for safety certificates and application documents in accordance with Article 10 of Directive 2004/49/EC of the European
Parliament and of the Council and on the validity of safety certificates delivered under Directive 2001/14/EC.
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9
additional information (identified as “9.a” boxes), or medical restrictions (identified as “9.b”
boxes) for use imposed by a competent authority. Medical restrictions will be displayed in
code form.
9. a Additional information shall be displayed in boxes identified with number 9.a, in the
following order:
a.1
Native language(s) of the train driver, according the classification in use in the
Member State,
a.2
Space reserved for entries by the Member State which issues the licence, for
necessary information according national legislation.
9. b Medical restriction shall be displayed in boxes identified with number 9.b. Codes
“b.1” and “b.2” will constitute harmonised Community codes for medical restrictions:
b.1
Mandatory use of glasses/lenses;
b.2
Mandatory use of hearing aid/communication aid.
The relevant code shall be added in one of the boxes, and those which are not used shall
be made void.
In addition, the word ‘European Communities model’ in the language or languages of the Member State
issuing the licence and the words ‘Train driving licence’ in the other languages of the Community, shall be
printed as follows:
Bulgarian
СВИДЕТЕЛСТВО ЗА УПРАВЛЕНИЕ НА ЛОКОМОТИВ
Czech:
LICENCE STROJVEDOUCÍHO
Danish
LOKOMOTIVFØRERLICENS
Dutch
English
Estonian
VERGUNNING MACHINIST (the Netherlands)
VERGUNNING VAN TREINBESTUURDER (Belgium)
TRAIN DRIVING LICENCE
VEDURIJUHILUBA
Finnish
KULJETTAJAN LUPAKIRJA
French
LICENCE DE CONDUCTEUR DE TRAIN (Belgium, France,
Luxembourg)
EISENBAHNFAHRZEUG-FÜHRER (Belgium)
German
TRIEBFAHRZEUGFÜHRER (Germany)
FAHRERLAUBNIS FÜR TRIEBFAHRZEUGFÜHRER (Austria)
Greek
Hungarian
Irish
Italian
ΆΔΕΙΑ ΜΗΧΑΝΟΔΗΓΟΎ
VASÚTI JÁRMŰVEZETÖI IGAZOLVÁNY
CEADÚNAS TIOMÁNA TRAENACH
PATENTE DEL MACCHINISTA
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Latvian
Lithuanian
Maltese
Norwegian
VILCIENA VADĪTĀJA APLIECĪBA
TRAUKINIO MASĬNISTO PAŽYMĒJIAS
LIĊENZJA TA’ SEWWIEQ TAL-FERROVIJI
FØRERBEVIS
Polish
LICENCJA MASZYNISTY
Portuguese
CARTA DE MAQUINISTA
Romanian
PERMIS DE MECANIC DE LOCOMOTIVĂ
Slovak
Slovenian
PREUKAZ RUŠŇOVODIČA
DOVOLJENJE ZA STROJEVODJO
Spanish
TITULO
DE
CONDUCCIÓN
FERROVIARIOS/MAQUINISTA
Swedish
FÖRARBEVIS
DE
VEHICULOS
Status and numbering of the train driving licence
7.
The number shall be attributed by the competent authority or the delegated body, when issuing
the train driving licence. The number shall be preserved, either in case of renewal, amendment, update or
issue of a duplicate.
8.
When the licence is renewed, after 10 years, a new photo and new expiry date shall be displayed
on the licence.
9.
The licence shall be updated in case changes occur in optional data, such as change of address,
change reference number of the employee.
10.
The licence shall be amended when a medical restriction is to be recorded during the period of
validity. New code(s) shall be added according the procedure established in accordance with Article 14(1)
of the Train Drivers Directive.
11.
The competent authority shall update the licence according the procedure and delay established
in conformity with Article 14(1) of the Train Drivers Directive. The railway undertakings or infrastructure
managers employing or contracting drivers shall implement without delay any decision deriving from the
result of medical checks.
12.
All changes in the status of the train driving licences shall be recorded in the national register of
train driving licences.
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Annex B2 National Licence Register
1. Basic Parameters
The basic parameters for National Licence Registers (NLR) set in accordance with Article 22(4) of
Directive 2007/59/EC, are:
•
Data to be collected (Chapter 2)
•
Data Format (Chapter 3)
•
Access rights (Chapter 4)
•
Data exchange (Chapter 5)
•
Duration of data retention (Chapter 6)
2. Data to be collected
NLR shall comprise four sections.
Section1 shall contain information about the current status of the licence.
Section 2 shall contain information about the licence issued, in line with the list of requirements contained
in Annex I, Section 2 of Directive 2007/59/EC.
Section 3 shall contain historical information about the licence.
Section 4 shall contain information about the basic requirements and initial checks to allow the licence to
remain valid.
The data to be collected are set out in Chapter 3.
3. Data Format
The following is a list of requirements for the data format of the NLR.
The list is set out as follows:
Datum to be displayed
No
Content
Format
Status of the
requirement
Section 1: Current state of the licence
1
1.1
2
2.1
Licence number
Number of the licence
EIN (12 digits)
Compulsory
Current state of the licence
Evidence of the current state of the licence.
–
Valid
–
Suspended (decision pending)
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Text
Compulsory
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–
2.2
Withdrawn
Reason for suspension or withdrawal
Text
Compulsory
Section 2: Information on the current licence issued, in accordance with Annex I, Section 2, of
Directive 2007/59/EC
3
3.1
Surname(s) of the holder
Surname(s) displayed on passport or national
identity card or other recognised document proving
identity More surnames are allowed, depending on
text
Compulsory
text
Compulsory
YYYY-MM-DD
Compulsory
national custom
4
4.1
Name(s) of the holder
Name(s) displayed in passport or national identity
card or other recognised document proving identity.
More names are allowed, depending on national
custom
5
5.1
6
Date of birth of the holder
Date of birth of the holder
Place of birth of the holder
6.1
Place of birth of the holder
text
Compulsory
6.2
Nationality
text
Optional
YYYY-MM-DD
Compulsory
YYYY-MM-DD
Compulsory
Text
Compulsory
7
7.1
8
8.1
Date of issue of the licence
Display of the current date of issue of the licence
Date of expiry of the licence
Date of the expected formal expiry of the valid
licence
9
9.1
Name of issuing authority
Name of the authority issuing the licence
(competent authority, delegated entity, railway
undertaking, infrastructure manager)
10
10.1
11
Reference number assigned to the employee by the employer
Company reference for the train driver
Text
Optional
Photograph of the holder
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11.1
Photograph
Original or Electronic
scanning
12
12.1
Signature of the holder
Signature
Original /Photocopy/
Electronic scanning
13
Compulsory
Compulsory
Permanent place of residence or postal address of the holder
13.1
Street and number
Text
Optional
13.2
Town
Text
Optional
Country
Text
Optional
Alpha-numerical code
Optional
13.3
Address of the
13.4
holder
Postcode
13.5
Telephone number
Text
Optional
13.6
e-mail address
Text
Optional
14
Additional
information
14.1
Information
imposed by a
competent
authority in
accordance with
Coded information
Compulsory
Annex II of
Directive
2007/59/EC
Field 9.a.1 Native
language(s) of
Text
the driver
Field 9.a.2 Space reserved
for entries by the
Member State
which issues the
licence, for
Text
information that
may be
necessary under
national
legislation
15
Medical
restriction
15.1
Information
imposed by a
Coded information
Compulsory
competent
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authority in
accordance with
Annex II of
Directive
2007/59/EC
Mandatory use
of
glasses/lenses
Mandatory use
of hearing aid(s)
(code b.1)
(code b.2)
Section 3: Historical information on the status of the licence and the results of periodic checks
16
16.1
17
17.1
18
Date of first issues
Date of first issue
Date of expiry (and of expected formal renewal)
18.2
Reason for update
Compulsory
YYYY-MM-DD
Compulsory
Text
Compulsory
YYYY-MM-DD
Compulsory
Text
Compulsory
From (date) to (date)
Compulsory
Text
Compulsory
YYYY-MM-DD
Compulsory
Text
Compulsory
Amendment(s) ( Several records are possible)
19.1
Date of amendment
19.2
Reason of amendment
Suspension(s) ( Several records are possible)
20.1
Length of period of suspension
20.2
Reason for suspension
21
YYYY-MM-DD
Update(s) ( Several records are possible)
Date of update
20
Compulsory
Date of expiry
18.1
19
YYYY-MM-DD
Withdrawal(s) ( Several records are possible)
21.1
Date of withdrawal
22.2
Reason for withdrawal
22
Licence reported lost
22.1
Date of communication
YYYY-MM-DD
Compulsory
22.2
Date of any duplicate issued
YYYY-MM-DD
Compulsory
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23
Licence reported stolen
23.1
Date of communication
YYYY-MM-DD
Compulsory
23.2
Date of any duplicate issued
YYYY-MM-DD
Compulsory
24
Licence reported destroyed
24.1
Date of communication
YYYY-MM-DD
Compulsory
24.2
Date of any duplicate issued
YYYY-MM-DD
Compulsory
Section 4: Information on the basic requirements for issuing a licence and results of
periodic checks
25
25.1
26
Education
Basic requirement
Highest level of certification
possessed
Text
Compulsory
Text
Compulsory
Physical fitness
Statement on fulfilment of criteria in
26.1
Basic requirement
Directive 2007/59/EC, Annex II
(Sections 1.1, 1.2, 1.3 and 2.1)
26.2
26.3
Date of check
Subsequent
YYYY-MM-DD
Confirmed/not confirmed
periodic check
26.4
(several records
possible)
26.5
26.6
27
Text
Next check
Notes
Date of last check
Date of next formally expected
check
YYYY-MM-DD
YYYY-MM-DD
Compulsory
Compulsory
Compulsory
Compulsory
Notes to be specified:
–
Normal schedule
–
Anticipated schedule (according
to doctor’s certificate)
–
Change in information (code
9.a.2) if necessary
–
Change in restriction code
–
Other + field to specify
Text
Compulsory
Occupational psychological fitness
Statement on fulfilment of criteria in
27.1
Basic requirement
Annex II of Directive 2007/59/EC
Text
Compulsory
(Section 2.2)
27.2
Date of check
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YYYY-MM-DD
Compulsory
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27.3
Following
Only if necessary (several records
check(s)
possible)
27.4
28
28.1
28.2
28.3
Date of any subsequent check
Statement
YYYY-MM-DD
Compulsory
Compulsory
General professional knowledge
Basic requirement
Statement on fulfilment of criteria in
Annex IV of Directive 2007/59/EC
Date of check
Subsequent check
Text
YYYY-MM-DD
(only if required at national level)
YYYY-MM-DD
Compulsory
Compulsory
Compulsory
4. Access rights
• Access to the information contained in the NLR shall be granted to the following interested parties
for the following purposes:
•
to the competent authorities of the other Member States, upon reasoned request, for:
o
controlling trains operating in their area of jurisdiction;
o
making enquiries regarding compliance with Directive 2007/59/EC by all those active in
their area of jurisdiction;
•
to the Agency, upon reasoned request, for evaluating the development of train driver certification in
accordance with Article 33 of Directive 2007/59/EC, in particular regarding the interconnection of
registers;
•
to any employer of drivers, for consulting the status of the licences in accordance with article
22(1)(b) of Directive 2007/59/EC;
•
to railway undertakings and infrastructure managers, employing or contracting train drivers, for
consulting the status of licences, in accordance with Article 22(1)(b) of Directive 2007/59/EC;
•
to train drivers, upon request, for consulting the data concerning them;
•
to investigation bodies set up in accordance with Article 21 of Directive 2004/49/EC, for
investigating accidents, in particular as stated in Article 20(2)(e) and (g) of that Directive.
5. Data exchange
Access to relevant data shall be granted upon formal request. The competent authority shall provide the
data, without delay, in a manner which ensures secure transmission of information and protection of
personal data.
Competent authorities may offer login facilities on their websites to all who have access rights, provided
they ensure that the grounds for requests are checked.
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6. Duration of data retention
All data in the NLR shall be kept for at least 10 years from the date of end of validity of the train driving
licence. If at any time during the 10-year period an investigation involving the driver is started, data
relating to the driver must be kept beyond the 10-year period if so required.
Any changes in the NLR shall be recorded.
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•
Annex B3 Train driving certificate
1. Information to be included in the complementary certificate.
Railway undertakings and infrastructure managers shall issue complementary certificates to be carried by
the train drivers they employ or use under contractual arrangements when on duty, in accordance with
Article 29 of the Train Drivers Directive.
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The procedure to issue and update complementary certificates, set in accordance to Article 15 of the
Train Drivers Directive, shall specify the language(s) in which the certificates are issued.
In both cases the complementary certificates will contain information as follows:
•
Reference to the licence number;
•
the surname (s) of the holder. Member States may include all the surnames recognised, but the
priority should be given to the main family name and the listing of names should be consistent with
that displayed in the licence;
•
the name (s) of the holder. Member States may include all the first names that they recognise, but
the listing of the name shall be consistent with that displayed in the licence;
•
Reference number given by the employer (optional);
•
Issuing and expiry date of the complementary certificate. The duration of validity for the
complementary certificate is established by RUs/IMs employing or contracting drivers, and set it in
the procedure to be published by RUs/IMs in conformity with Article 15. If the certificate is valid
indefinitely the expiry date is made void;
•
Data related to the issuing organisation The complementary certificate may be issued by a central
or regional RU / IM’s department, designated in the procedure in conformity with Article 15 of the
Train Drivers Directive;
•
It may include a company internal number for administrative purposes.
Following information will be numbered as described below.
1 – Data of the employer
The information on the company employing or contracting the train driver shall include:
•
the company name and, if relevant, the workplace (e.g. the depot where the driver is assigned)
•
the category of entity employing or contracting the driver : “railway undertaking” or “infrastructure
manager”;
•
the postal address: street address, post code, city and country.
•
the train driver’s personal reference number within the company. This is optional information.
2 – Data of the holder
The following data of the holder shall be displayed:
•
the place of birth (place and country);
•
the date of birth;
•
the nationality of the driver;
•
the postal address (street address, post code, city and country). This is optional information.
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3 – Categories of driving
The categories and types of driving, in which the driver is authorised to drive, shall be displayed as
follows.
CATEGORY A
RUs/IMs may use “A” as a global category, encompassing all activities of category A: shunting
locomotives, work trains, maintenance railway vehicles and all other locomotives when they are used for
shunting.
Alternatively, RUs/IMs may limit the scope of the certification to one or more of the following types:
A1 = when limited to shunting locomotives;
A2 = when limited to work trains;
A3 = when limited to maintenance railway vehicles;
A4 = when limited to all other locomotives when they are used for shunting;
A5 = other, in case the authorisation is related to services or rolling stock not included in the
previous categories. This shall be specified in the appropriate space.
CATEGORY B
RUs/IMs may use “B” as a global category, encompassing carriages of passengers and goods.
Alternatively, RUs/IMs may limit the scope of the certification to one or more of the following types:
B1 = when limited to carriage of passengers;
B2 = when limited to carriage of goods.
The category in which the holder is authorised to drive shall be indicated by filling the appropriate box if a
global category is chosen or boxes, in case one or more sub-categories are chosen. The boxes that are
not necessary shall be made void.
Examples:
A
*** *** *** *** ***
= global category A. No sub-category used
A
111 *** *** *** ***
= Category A, sub-category 1
(authorisation to drive only shunting locomotives)
A
121 330 *** *** ***
= Category A, sub-categories 2 and 3
(authorisation to drive work-trains and maintenance vehicles)
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A
*** *** *** *** 555
= Category A, sub-category 5
(authorisation related to service or rolling stock not corresponding to subcategories from A1 to A4. To be specified in the box ‘notes’)
B
*** ***
= global category B. No sub-category used
B
121 ***
= Category B, sub-category 2 (authorisation to drive freight trains)
Railway Undertakings and Infrastructure Managers shall ensure that choosing a sub-category does not
influence the requirements as defined in Annex V and VI of the Train Drivers Directive.
4 – Additional information
This part is reserved for additional information that may be requested by national applicable legislation or
by the company’s internal procedures.
5 – Data related to language skills
The list of all languages, others than the native, that are necessary to operate on the relevant
infrastructure and that are known by the train drivers and complies with the requirements of Annex VI of
the Train Drivers Directive, shall be inserted here.
6 - Restrictions
This part shows restrictions related to the characteristics and capabilities of the driver in relation to the
content of the complementary certificate (e.g.: driving allowed only at daylight)
If the restrictions concern rolling stock (e.g.: limitation of speed when driving certain types of locomotives)
and/or infrastructure, the information in text format shall be provided in the box “notes” beside the
relevant rolling stock and/or infrastructure.
7 - Data related to rolling stock
This part concerns the listing of types of rolling stock the driver is authorised to drive, following an
assessment of competences listed in Annex V of the Directive.
Data will be displayed in the following boxes:
•
a box for the date of beginning of validity of the relevant competence
•
a box for each type of rolling stock
•
a box with space for notes (they may be the stamp to confirm the acquired competences, the date
of end of the validity of the competence or other relevant information, as stated in 6).
8 - Data related to infrastructure
This part concerns the listing of infrastructure on which the driver is authorised to drive following an
assessment of competences listed in Annex VI from (1) to (7) of the Directive.
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Data will be displayed in the following boxes:
•
a box for the date of beginning of validity of the relevant competence;
•
a box for the extent of infrastructure on which the driver is authorised to drive; and
•
a box with space for notes (they may be the stamp to confirm the acquired competences, the date
of end of the validity of the competence or other relevant information, as stated in 6.
The description of the extent of infrastructure on which the driver is authorised to drive is established in
the railway undertaking’s procedure for issuing and updating the complementary certificate. For each part
of infrastructure on which the driver is authorised to drive, relevant information or restrictions will be
added.
2. Physical characteristics of the complementary certificate
The Community model of complementary certificate shall be a foldable document, the size shall be 10 cm
x 21 cm (when unfolded) giving three external and three internal pages.
The front page shall display the following information:
•
Surname(s) and name(s) of the holder;
•
Licence number;
•
Issuing and expiry date of the complementary certificate.
•
Data related to issuing entity and stamp. It may include a company internal number for
administrative purposes.
Page two shall contain data of the employer / contracting entity and additional data of the holder,
numbered as follows:
1.
Data of the employer or contracting entity;
2.
Data of the train drivers (holder of the complementary certificate).
Page three shall contain:
3.
the categories of driving;
4.
additional information;
5.
language skills;
6.
restrictions.
Internal pages shall contain the list of types of rolling stock that the driver is authorised to drive (types,
data of initial assessment) and the list of infrastructure on which the driver is authorised to drive.
Additional internal pages may be added to include information that exceeds the available space.
The complementary certificate shall comply with the model displayed in appendix B3.
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3. Anti-forgery measures
The following two anti-forgery measures shall be used for the complementary certificates:
Technical measures (the most common are company logo, paper texture and permanent ink, display of
an internal reference number and stamp). All updates shall be confirmed by a date and stamp on the
document and shall be consistent with information in the register.
Procedures for monitoring the safety management system, to check that information on the
complementary certificate is valid and has not been altered, in conformity with Article 18(1) of the Train
Drivers Directive.
All this information shall be included among the provisions for issuing and updating complementary
certificates, in conformity with Article 15 of the Train Drivers Directive.
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Annex B4 Certificate register
1. Basic parameters
The basic parameters for registers of complementary certificates (CCR), set in accordance with Article
22(4) of Directive 2007/59/EC, are:
•
Data to be collected (Chapter 2)
•
Data format (Chapter 3)
•
Access rights (Chapter 4)
•
Data exchange (Chapter 5)
•
Duration of data retention (Chapter 6)
•
Procedures in case of bankruptcy (Chapter 7)
2. Data to be collected
CCRs shall comprise four sections.
Section 1 shall contain information about the current state of the licence owned by the train driver.
Section 2 shall contain information about the complementary certificate issued, as listed in Annex I,
Section 3, of Directive 2007/59/EC.
Section 3 shall contain historical information about the complementary certificate.
Section 4 shall contain information about basic requirements and initial checks to allow the
complementary certificate to be issued and about subsequent checks to be recorded to allow the
complementary certificate to remain valid.
The data to be collected are set out in the table in Chapter 3.
Information on current knowledge of rolling stock, knowledge of infrastructure and linguistic knowledge
assessed in accordance with the relevant part of Directive 2007/59/EC shall be given in Section 2. That
section shall include the date of the next expected checks. By the date of subsequent checks the new
‘current state’ will start, and previous information will be moved into Section 4, containing historical
information.
3. Data format
The following list shows the data format of the CCR.
The list is set out as follows:
Datum to be displayed
No
Content
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Format
Status of the
requirement
Guide to the TDLCR 2010 | 61
Section 1: Reference to the licence
1
1.1
Licence number
Number of the licence, giving access to data in the national
register
2
2.1
EIN (12 digits)
Compulsory
Current state of the licence
Evidence of the current state of the licence
•
•
•
Valid
Suspended
Withdrawn
text
Compulsory
Section 2: Information about the current complementary certificate issued, as listed in Annex I,
Section 3, of Directive 2007/59/EC
3
3.1
Surname(s) of the holder (the same of the licence)
Surname(s) displayed on passport or national identity card
or other recognised document proving identity. More
text
Compulsory
text
Compulsory
YYYY-MM-DD
Compulsory
text
Compulsory
YYYY-MM-DD
Compulsory
YYYY-MM-DD
Compulsory
Text
Compulsory
surnames are allowed, depending on national custom
4
4.1
Name(s) of the holder (the same of the licence)
Name(s) displayed on passport or national identity card or
other recognised document proving identity. More names
are allowed, depending on national custom
5
5.1
6
6.1
7
7.1
8
Date of birth of the holder
Date of birth of the holder
Place of birth of the holder
Place of birth of the holder
Date of issue of the certificate
The current date of issue of the certificate
Date of expiry of the certificate
Date of the expected formal expiry of the certificate, to be
8.1
set by the company and included in the procedure required
in Article 15 of Directive 2007/59/EC.
9
9.1
Name of issuing entity
Name of the entity issuing the certificate (railway
undertaking, infrastructure manager, other)
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10
10.1
11
11.1
Reference number assigned to the employee by the employer
Company reference for the train driver
Text
Photograph of the holder
Photograph
Original or Electronic
scanning
12
12.1
Compulsory
Signature of the holder
Signature
Original /Photocopy/
Electronic scanning
13
Optional
Compulsory
Permanent place of residence or postal address of the holder
13.1
Street and number
Text
Optional
13.2
Town
Text
Optional
Country
Text
Optional
Alpha-numerical code
Optional
13.3
Address of the
13.4
holder
Postcode
13.5
Telephone number
13.6
e-mail address
14
Address of the railway undertaking or infrastructure manager for which the driver
is authorised to drive
Street and number
Text
14.2
Town
Text
14.3
Country
Text
14.4
Postcode
14.5
Contact person
Text
14.6
Telephone number
text
14.7
Fax number
text
14.8
e-mail address
text
14.1
Address of the
RU/IM
15
15.1
Alpha-numerical code
Compulsory
Compulsory
Compulsory
Compulsory
Optional
Compulsory
Compulsory
Compulsory
Category in which the driver is authorised to drive
Relevant code(s)
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Compulsory
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16
16.1
16.2
17
17.1
17.2
18
18.1
18.2
19
19.1
20
20.1
Rolling stock which the driver is authorised to drive
(list, record to be repeated)
For each item the date of next expected check shall be
added
Text
Compulsory
YYYY-MM-DD
Compulsory
Text
Compulsory
YYYY-MM-DD
Compulsory
Text
Compulsory
YYYY-MM-DD
Compulsory
Text
Compulsory
Text
Compulsory
Infrastructure on which the driver is authorised to drive
(list, record to be repeated)
For each item the date of next expected check shall be
added
Language skills
(list, record to be repeated)
For each item the date of next expected check shall be
added
Additional information
(list, record to be repeated)
Additional restrictions
(list, record to be repeated)
Section 3: Historical records on the status of the complementary certificate
21
21.1
22
22.1
Date of first issue
Date of first issue of the certificate
YYYY-MM-DD
Optional
YYYY-MM-DD
Compulsory
Text
Compulsory
YYYY-MM-DD
Compulsory
Text
Compulsory
Update(s) ( Several records are possible)
Date of update
Details of and reason for update (correction of one or more
22.2
data displayed on the complementary certificate, e.g.
personal address of the driver)
23
23.1
Amendment(s) ( Several records are possible)
Date of amendment
Reason for amendments, referring to specific parts of the
23.2
certificate:
amendments in field 3 “Categories of driving”
amendments in field 4 “Additional Information”
amendments in field 5: new linguistics knowledge acquired
or knowledge periodically checked
amendments in field 6 “Restrictions”
amendments in column 7: new rolling stock knowledge
acquired or knowledge periodically checked
amendments in column 8: new infrastructure knowledge
acquired or knowledge periodically checked
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24
Suspension(s) ( Several records are possible)
24.1
Length of period of suspension
24.2
Reason for suspension
25
Compulsory
Text
Compulsory
YYYY-MM-DD
Compulsory
Text
Compulsory
Withdrawal(s) ( Several records are possible)
25.1
Date of withdrawal
25.2
Reason for withdrawal
26
From (date) to (date)
Certificate reported lost
26.1
Date of communication
YYYY-MM-DD
Compulsory
26.2
If yes, date of issued duplicate
YYYY-MM-DD
Compulsory
27
Certificate reported stolen
27.1
Date of communication
YYYY-MM-DD
Compulsory
27.2
Date of any duplicate issued
YYYY-MM-DD
Compulsory
28
Certificate reported destroyed
28.1
Date of communication
YYYY-MM-DD
Compulsory
28.2
Date of any duplicate issued
YYYY-MM-DD
Compulsory
Section 4: Historical records in connection with the basic requirements for issuing a
complementary certificate and the results of periodic checks
29
Linguistic competence
Working language(s) for which a
29.1
Basic
statement that the criteria set out in
requirement
Annex VI(8) of Directive 2007/59/EC
Text
Compulsory
YYYY-MM-DD
Compulsory
Text
Compulsory
YYYY-MM-DD
Compulsory
had been fulfilled was issued
29.2
Periodic check
Date of certified knowledge (exam
passed) for each language.
Several records are possible.
30
30.1
Rolling stock knowledge
Basic
Rolling stock for which a statement
requirement
that the criteria set out in Annex V of
Directive 2007/59/EC had been
fulfilled was issued
30.2
Periodic check
Date of periodic check (certified
knowledge)
Several records are possible.
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31
Infrastructure knowledge
31.1
Basic
Infrastructure for which a statement
requirement
that the criteria set out in Annex VI of
Directive 2007/59/EC had been
Text
Compulsory
YYYY-MM-DD
Compulsory
fulfilled was issued
31.2
Periodic check
Date of periodic check (certified
knowledge).
Several records are possible.
4. Access rights
Access to the information contained in the CCR shall be granted to the following interested parties for the
following purposes:
• to the competent authority of the Member State in accordance with article 22(2)(b) of Directive
2007/59/EC
• to competent authorities of the Member States in which the railway undertaking or infrastructure
manager operates, and where the driver is authorised to drive on at least one line of the network:
o
for their task of monitoring the development of certification, under Article 19(1)(g) and
Article 26 of Directive 2007/59/EC;
o
for their inspection tasks under Article 19(1)(h) and (2) and Article 29(1) of Directive
2007/59/EC (this task may be carried out by a delegated entity);
• to train drivers, for the data concerning them, in accordance with Article 22(3) of Directive 2007/59/EC;
• to investigation bodies set up in accordance with Article 21 of Directive 2004/49/EC, for investigating
accidents, in particular as stated in Article 20(e) and (g) of that Directive.
Companies shall be free to grant access to other users, subject to personal data protection.
5. Data exchange
In accordance with Directive 2007/59/EC, access to relevant data shall be granted:
(a)
to the competent authorities where the railway undertaking or infrastructure manager is
domiciled, in accordance with Article 22(2)(b) of Directive 2007/59/EC,
(b)
to competent authorities of other Member States, upon request, in accordance with Article
22(2)(c) of Directive 2007/59/EC,
(c)
to drivers, upon request, in accordance with Article 22(3) of Directive 2007/59/EC.
The railway undertaking, infrastructure manager or delegated entity shall provide the data, without delay,
in a manner which ensures secure transmission of information and protection of personal data.
Railway undertakings and infrastructre manangers may offer login facilities on their websites to all who
have access rights, provided they ensure that grounds for requests are checked.
6. Duration of data retention
All data in the CCR shall be kept for at least 10 years from the last expiry date referred to on the
certificate.
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If at any time during the 10-year period an investigation involving the driver is started, data relating to the
driver must be kept beyond the 10-year period if so required.
Any changes in the CCR shall be recorded.
7. Procedure in case of bankruptcy
If a railway undertaking or infrastructure manager goes bankrupt, the new company that takes over the
operation of the service shall be responsible for the data contained in the register of complementary
certificates.
The competent authority in the Member State where the railway undertaking or infrastructure manager is
established shall be the repository of data contained in the register of complementary certificates if the
activity is not taken over by another company.
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Annex B5 Certified copy of the train driving certificate
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1. Certified copy of complementary certificate
Railway undertakings and infrastructure managers shall issue a certified copy of complementary
certificates to the train driver upon request or when leaving the job. The Community model of certified
copy of complementary certificate shall be on A4 sized paper is set out below.
The procedure to issue complementary certificates, set in accordance to Article 15 of the Directive, shall
specify the language(s) in which the certificates are issued.
2. Physical characteristics of the certified copy of complementary certificate
The Community model of certified copy of complementary certificate shall be an A4 paper, listing
information numbered as in Annex II, Section 1 and containing the date when the driver has ceased
driving trains for the RU/IM, in accordance with Articles 6(2) and 17 of the Train Drivers Directive.
The possession of a certified copy of complementary certificate provides information about competence
acquired by the driver and does not represent an authorisation to drive.
The model shall be on A4 sized paper and be limited to one page. However, given the possibility that the
information may require more than one line in the relevant boxes the final certified copy may be more
than one page.
3. Anti-forgery measures
Anti-forgery measures for the certified copy of the complementary certificates shall be based on the same
requirements for complementary certificates, described in Annex II Section 3 of Directive 2007/59/EC.
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Annex C: Recognition of Assessors
Annex C1 Doctors Route to Register
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Annex C2 Psychological practitioners route to register
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Annex C3 Procedure for recognising trainers and training centres of train
drivers
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Annex C4 Criteria for recognising examination centres of train drivers.
mn
hea
din
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Annex C5 Recognition of training and examination centres - Key
requirements.
Regulations 30 and 31 of The Train Driving Licences and Certificates Regulations 2010 (TDLCR),
requires training and/or examination centres that undertake general professional knowledge training and
examination of train drivers to be recognised by ORR. Applicant training or examination centres should
provide a statement how they comply with the legal requirements of TDLCR and the EC Decision on the
criteria recognition of training centre and examiners (2011/765/EU) which are all set out below. This
statement should include references to key documents that set out their methods, processes and
standards in further detail.
Where the training or examination centre is part of a train or freight operating company, and is solely used
to train and examine their employees, the request for recognition can be included as part of an
application for a safety certificate under The Railways and other Guided Transport Systems (Safety)
Regulations 2006 (as amended).In the case of an established holder of a safety certificate, a statement
should be provided to show explicitly how the requirements for training and examination of drivers are
met as part of their Safety Management System (SMS). The renewal of recognition of training and
examination centres would be part of the application for a new safety certificate.
Training centres
1. Training centres must confirm they deliver training courses in an impartial manner regarding all
participants.
2. Training centres must demonstrate technical and operational competence and suitability to
organise training courses appropriate to the training tasks. It shall be adequately staffed and
equipped and operate in an environment suitable for training aiming to prepare train drivers for the
examinations to obtain or maintain licences and certificates.
3. They must have an effective management structure which ensures that trainers are competent
and have adequate qualifications and experience to provide training.
4. The training centre must ensure that practical training is carried out by trainers who are holders of
both a valid train driver licence and a valid certificate covering the subject of training or a similar
type of line/rolling stock, and who have professional practice in driving of minimum 3 years’
duration. When the trainer does not hold a valid certificate for the relevant infrastructure/rolling
stock, a driver holding the certificate for that infrastructure/rolling stock shall be present.
5. They should provide information on how they ensure the content, organisation and duration of
training courses, training plans and competence schemes is kept up to date.
6. They should explain how they record the training activities including information on participants,
trainers and the number and purpose of the courses;
7. They should provide information on the quality management system or equivalent procedures in
place to monitor compliance with, and the adequacy of, the systems and procedures which
ensure that the training provided satisfies the requirements set out in Schedules 3 to 7 of the Train
Driving Licence and Certificates Regulations 2010 (TDLCR).
8. Explain how they provide competence management, on-going training and measures to keep
professional skills updated for trainers;
9. Demonstrate procedures to keep training methods, tools and equipment updated, including
training literature, training software, documents provided by the infrastructure manager such as
rulebooks on operational rules, signals or safety systems.
Examination Centres
10. The examination centre shall provide details of the general professional competence examination
designed to test the requirement of Schedule 3 of TDLCR.
11. Examination Centre should demonstrate that the examiners have the minimum experience of 4
years’ duration within a period of not more than 5 years before the application date, including
experience in train driving.
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12. The requested period of professional experience may include periods of experience as a manager
of train drivers who holds a valid train driver licence and complimentary certificate or as a trainer
for training tasks relevant to the application submitted.
13. In regard to practical examinations on board trains the examination centre must ensure the
examiner is must be the holder of both a valid train driver licence and a valid certificate covering
the subject of examination or a similar type of line/rolling stock. When the examiner does not hold
a valid certificate for the infrastructure/rolling stock of the examination, a driver holding the
certificate for that infrastructure/rolling stock shall be present at the examination.
14. In addition, the centre shall demonstrate how they ensure examiners shall meet the following
minimum criteria:
(a) they shall be competent in listening and spoken interaction at minimum level B2 of the
European Framework for Language Competence (EFLC) established by the Council of
Europe, in the language of examination; (b) they shall have the skills and the aptitude
required for the purpose of conducting examinations, and have thorough knowledge of the
relevant examination methods and examination documents;
(c) how they will keep their professional competences regarding the subjects they examine
updated; and
(d) they are familiar with the certification scheme for train drivers.
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Annex D Appeals process relating to train driver
certificates.
Contents
Introduction
86
Appeals process diagram
87
Receiving the appeal
88
Deciding to proceed
88
Hearing the appeal
89
ORR decision
90
Application Form
91
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Introduction
This guidance outlines the process ORR follows when considering train driving certificate appeals under regulation 36 of TDLCR. It explains what we
expect from applicants and includes an application form at Annex D1.
We will process TDLCR appeals within 2 months of receiving all the relevant paperwork and the timescales in this process are designed to meet this.
Decisions made by us on these appeals are legally binding on the parties. Drivers and employers should seek a satisfactory outcome to disputes
about train driving certificates through company processes before considering a request to ORR to direct them via this formal process. We will not
therefore consider any appeal unless all internal appeals procedures have been followed and completed.
The Train Driving Licence and Certificates Regulations 2010 can be viewed at http://www.legislation.gov.uk/uksi/2010/724/contents/made
Regulation 36 sets out that we can only hear train driving certificate appeals which are about the decision of a railway undertaking or infrastructure
manager to:
Not grant an application for a train driving certificate or its update or renewal; or
To suspend or withdraw a train driving certificate.
It is likely that appeals heard by ORR will relate to questions of process, fairness or impartiality, and the outcome will not necessarily be a requirement
for a company to issue a certificate to the appellant.
We will not hear appeals on the decisions of doctors, psychologists, trainers or examiners, based on their professional judgement. Their decisions
relate only to the conditions that need to met for the issuing of the train driver licence.
If a case arises where a claim is being made to an Employment Tribunal, as well as a TDLCR appeal to ORR, we will not normally consider whether
to hear that appeal until the outcome of the Employment Tribunal case is known. (However this will depend on whether the non-issue, withdrawal or
suspension of the certificate is a significant reason for making the claim to the Employment Tribunal.)
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Appeals process diagram
7 days
3 days
20 days
12 days
Appeal heard
Appeal received
Case
Assessment to proceed
First meeting of
officer
appeal panel: decision
appointed
on whether ORR can
proceed with appeal
Appeal
identified
appeal
Case officer writes
to parties
Second meeting of appeal
panel: decision reached
Response to
appeal received
from respondent
Case officer prepares
draft determination
Appeal panel receives
and considers
information
panel
Director’s
ORR decision
Further information
required
Appeal outside scope of
TDLCR remit
summary
Case officer writes to
appellant. Case closed
prepared
Appeal panel
Case officer contacts
issued with
appellant
Final meeting of
appeal panel: sign off
determination
Determination sent to
driver (appellant) and
employer (respondent)
*The timescales here are set in working days
and are suggested ones for processing appeals
papers
within 2 months of receipt. All timescales are
dependent on prompt delivery of required
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Receiving the appeal
1. You should address your appeal to ORR’s Director of Railway Safety. The form for submitting your appeal is at Annex D1. Once the Director
receives your appeal, you will be sent an acknowledgement to confirm your appeal has arrived.
2. The Director will pass on your appeal to the appropriate team manager, who will appoint a case officer. All contact with us on your appeal will
be dealt with by the case officer appointed.
3. The rest of the appeal panel who will review your appeal will consist of:
a. The Director (or their delegate) as the Chair;
b. An ORR lawyer;
c. an ORR member of staff who is not party to the details of the case;
d. specialist advisors, as needed (e.g. Railway Safety account holder for your employer, human resources specialist etc.); and
e. the case officer.
Deciding to proceed
4. The first matter for the appeal panel to decide is whether we can consider the appeal. Whilst there is no statutory time period, we will aim to
decide within 10 working days of receiving the appeal. Meeting this deadline will be dependent on the quality and completeness of the appeal
information submitted by you. This 10 day period will not start until we are satisfied that we have sufficient information to proceed.
5. The appeal panel can only consider an appeal under TDLCR if it is about
a. an unreasonable amount of time taken to issue the certificate i.e. over one month;
b. a decision not grant an application for a train driving certificate or its update or renewal; or
c. a decision to suspend or withdraw a train driving certificate.
6. If we decide your appeal falls within these criteria, the appeal panel will also decide if it wishes to hold an oral hearing. In addition, if either the
applicant or the respondent requests an oral hearing, one must be held (See paragraph 12 below).
7.
We will not be able to hear the appeal if:
i. The appeal concerns matters outside the remit of regulation 36 of TDLCR; or
ii. The appellant has not provided us with sufficient information.
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8. The case officer will write to you to let you know:
a. That we will hear the appeal, how long the case review will take and when a decision will be made; or
b. That we are minded to hear the appeal, but that we need further information from you at this point. This will have the effect of
‘restarting the clock’ on the time required to process the appeal; or
c. That we have decided that the appeal is outside the remit of the regulations and the process ends here.
9. If we decide to hear the appeal our letter will also be sent at the same time to the employer whose decision you are appealing against and set
out the timescales in which the employer can provide a response to the appeal. To ensure that we can process the appeal within two months
of receiving it, a deadline for all representations from both driver and employer will be set as 20 working days from the issue of our letter to
proceed with the appeal.
Hearing the appeal
10. The appeal panel will request any information from the driver and/or their employer (via the case officer) that is necessary for it to come to a
decision on the appeal. This will depend on the complexity of the appeal and the thoroughness of the original representations submitted by
you and/or your employer.
11. You and your employer will be asked if you wish to have an oral appeal. If either party requests this, both of you will get the opportunity to be
heard. The appeal panel may ask for an oral hearing at any stage during the process, if the evidence provided by you or your employer
conflicts or is unclear, and this cannot be resolved through requesting additional information by correspondence. ORR’s view is that, in
practice, a formal oral hearing involving all the parties to the appeal will rarely be necessary. If a hearing is deemed necessary, the case officer
will make the necessary arrangements 3.
12. If an oral hearing is held:
a. The case officer will set the date for the appeal hearing in consultation with both the driver and their employer;
b.
The case officer will confirm the date for the appeal hearing with both parties in writing and providing an agenda/timetable;
c. At the start of the appeal hearing the Chair will outline the grounds on which the appeal is made;
1
In most cases, a minuted meeting will be arranged at one of ORR’s offices.
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d. The driver or their representative will present their case;
e. The employer or their representative will present their reasons for not granting, suspending or withdrawing a certificate;
f.
A report of the hearing will be prepared and sent to both parties for comments; and
g. The final report will be considered by the appeal panel to determine the appeal in addition to all the written evidence provided.
13. Once the 20 day period for representations has expired and any appeal heard, the appeal panel will aim to reach a decision within a further 10
working days. This decision will be made following a minute meeting to discuss the representations;
14. The minutes of the meeting will be made available to both you and your employer.
ORR decision
15. The decision will be agreed by the panel and signed off by the Director of Railway Safety or the delegated chair.
16. The case officer will send a copy of the final decision to you and your employer, along with a letter explaining what course of action is
necessary (if any) following our decision.
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Annex D1
Application Form
APPLICATION TO THE OFFICE OF RAIL REGULATION
UNDER REGULATION 36 OF THE TRAIN DRIVING LICENCES AND CERTIFICATES
REGULATIONS 2010: TRAIN DRIVING CERTIFICATES
1. Introduction
This form should be used to make an appeal to the Office of Rail Regulation (ORR) against the
decision of an employer relating to the award, renewal, suspension or withdrawal of a train driving
certificate under Regulation 36 of the Train Driving Licences and Certificates Regulations 2010
(TDLCR).
The form sets out the ORR’s standard information requirements for considering such applications.
It is very important that the application is made in good time and prospective applicants are strongly advised to
read (and if necessary take advice on) the procedures which are laid out in the appeal process document.
The regulations can be viewed at http://www.legislation.gov.uk/uksi/2010/724/contents/made .
2. The application to appeal
2.1 CONTACT DETAILS OF APPELLANT:
Name:
Job title:
Please indicate whether these are
home or work contact details
Home
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Address:
Telephone number:
E-mail address:
Are you in receipt of advice from a
union for this appeal?
If yes, please provide contact details for your union representative
Name:
Union:
Telephone number:
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3. Details of Train Driving Licence and Certificate(s) held.
3.1 Details of the issuer of the licence & certificate should be entered. Please indicate which certificate this
appeal relates to and what decision has led to this appeal.
Licence
Issuing body
Date of issue
Date of expiry
Is the licence currently suspended?
If yes, please give reason for suspension
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Has the licence ever been withdrawn?
If yes, please give reason for withdrawal
Medical restrictions
Certificate
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Issuing RU/IM
Contact details
Name
Address:
Telephone number:
Is the RU/IM aware of your appeal to
ORR under TDLCR?
Date of issue
Date of expiry
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Please tick/cross reason for appeal
1. Refusal to grant initial certificate
2. Refusal to update or renew an
existing certificate
3. Decision to suspend certificate
4. Decision to withdraw certificate
4. Background to the appeal
4.1 Executive summary Please provide an overview of the issue. This should include:
•
a brief description of the reasons why the appellant is seeking a review of a decision made by a railway
undertaking or infrastructure manager relating to the award, renewal, suspension or withdrawal of a train
driving certificate );
•
a timeline indicating when key decisions were made.
•
the details of the internal grievance procedures followed by the RU/IM in question and what the outcome of
this was (If internal grievance procedures are not completed ORR will not hear an appeal).
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5. Determination of the appeal
5.1 Under Regulation 36, ORR must ask the appellant and the party against which the appeal is brought if
they wish to appear and be heard on the appeal. Please tick/cross as appropriate:
I would like the appeal to be held with a hearing of
both parties
I would like the appeal to be held without a hearing
of both parties
6. Other
6.1 Supporting information Please reference here any further justification or relevant information in support of the
application, including a list and explanation of any other material being submitted (and supply copies with the
application).
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6.2 Confidentiality exclusions Please indicate clearly any elements in the appeal that the applicant would wish to
exclude from wider consultation on the grounds of confidentiality and provide a full justification for each instance by
reference to statutory grounds. Subject to its decision on such exclusions, it is the ORR’s intention to publish this
application document on the ORR website.
7. Certification
I certify that the information provided in this form is true and complete to the best of my knowledge
Signed
………………………………………….
Date
…
Name (in caps) …… ……………………
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8. Submission
8.1 What to send
Please supply, in hard copy, a signed copy of this application form, and any other attachments, supporting
documents or information.
Please also supply the application and any other supporting information, in electronic form, by E-mail or on
disc, in plain Microsoft Word format (i.e. excluding any macros, auto-paragraphs or page numbering, or
other auto-formatting).
8.2 Where to send it
By post:
The Director of Railway Safety
Office of Rail Regulation
1 Kemble Street
LONDON
WC2B 4AN
By e-mail
rsd.admin@orr.gsi.gov.uk
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Annex E Depot drivers - ORR's policy position.
ORR’s interpretation of the Train Driving Licences and Certificates Regulations 2010 as applied to drivers in certain
depots.
The Train Driving Licences and Certificates Regulations 2010 are not intended to apply to depot railway operations 4.
At certain depots, the depot drivers or shunters enter Network Rail infrastructure under secure protection and with
the agreement of Network Rail for the short distance to the first signal or junction head. At these times, the section
of railway line is in the sole use of that depot driver or shunter and the activity is, in essence, part of the operations
of the depot.
Therefore, under these circumstances, ORR will not require the train driver to hold a train driver licence under the
Regulations.
This only applies where that section of railway line is in the sole use of that depot driver or shunter and does not
apply to any operations that involve entering or leaving a railway station. The depot driver or shunter is still
expected to meet the appropriate competency and fitness standards to carry out driving operations within the
depot and the short distance on Network Rail infrastructure.
ORR will keep under review the position that relates to depot drivers who enter the mainline railway in this way and
will look to agree a consistent approach with ERA and the European Commission to the requirements that can be
applied to all depot drivers across the EU.
Signed:
Ian Prosser
Chief Inspector of Railways
24 February 2014
S
4
SI 2010/724
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Annex F Appeals process for doctors, psychometric
assessors, trainers and examiners.
Appeals procedure for the routes to register recognised persons under Regulation 23 of the Train
Driving Licences and Certificates Regulations 2010
Introduction
This guidance outlines the processes to follow when considering appeals against ORR not accepting an
application to be on the registers of recognised persons for the purpose of regulation 23 of the Train Driving
Licences and Certificates Regulations 2010.
We will process register appeals within two months of receipt of all of the relevant paperwork and this
process is designed to meet this timescale.
The Train Driving Licence and Certificate Regulations 2010 can be viewed at
http://www.legislation.gov.uk/uksi/2010/724/contents/made
Regulation 23 requires ORR to have, keep up to date and publish registers for doctors, examiners,
psychologists and trainers recognised as competent to carry out functions under or referred to in:
a. Regulation 8 the required medical examination, the required occupational psychological
fitness examination and the general professional competence examination;
b. Regulation 30 a person providing training for specific professional knowledge and if required
language skills; or
c. Regulation 31 designating an examiner to run the general professional competence
examination.
We will arrange for the appeal to be heard by persons not involved in the original assessment and decision
to not recognise the person for the purpose outlined in regulation 23.
Receiving the appeal
1.
You should address your appeal to ORR’s Director of Railway Safety. Once the Director receives
your appeal, you will be sent an acknowledgement to confirm your appeal has arrived.
2.
The Director will pass on your appeal to the Railway Safety Policy Team Manager, who will appoint a
responsible case officer. All contact with us on your appeal will be dealt with by the case officer appointed.
3.
The rest of the case team who will review your appeal will consist of:
a. The Director (or their delegate) as the Chair;
b. an ORR lawyer;
c. specialist advisors, as needed (e.g. independent doctor or psychologist etc.).
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Deciding to proceed
4.
The case team will decide whether it will proceed with your appeal. Whilst, there is no statutory time
period, good practice suggests we should do so within 10 working days of receiving the appeal 5. This will
be dependent on the quality and completeness of the appeal information submitted by you. The 10 day
period will not start until we have sufficient information to proceed.
5.
Circumstances in which we may decide that we cannot proceed with hearing the appeal include:
i. The appeal concerns matters outside the remit of regulation 23 of TDLCR; or
ii. The appellant has not provided us with sufficient information.
6.
Following the case team’s first meeting, the case officer writes formally to the appellant with the
outcome. This should be sent within 3 working days of the case team meeting in order to ensure a
response is received within 10 working days of the appeal being received.
7.
The letter will set out either:
a. That we will hear the appeal, how long the case review will take and when a decision will be
made;
b. That we are minded to hear the appeal, but that we need further information from you at this
point. This will have the effect of ‘restarting the clock’ on the time required to process the
appeal.
c. That we have decided that the appeal is outside the remit of the regulation and the process
ends here.
8.
To ensure that we can process the appeal within two months of receiving it, a deadline for
representations will be set as 20 working days from the issue of our letter to proceed with the appeal.
Hearing the appeal
9.
The case team continues to request information from the appellant (via the case officer) until enough
information for us to come to a decision on the appeal has been provided. The extent of representations
required will depend on the complexity of the appeal and the thoroughness of the original representations
submitted by you.
10. Once the 20 day period for representations has expired, the case team should aim to reach a
decision within further 10 working days. This decision will be arrived at over the course of two formal,
minuted meetings:
a. The first meeting takes place within 5 working days of all final information submissions being
received. This meeting should discuss the representations and reach a position where a
draft determination can be prepared;
b. The second meeting takes place as soon as possible after the first (and at most within 5
working days) to agree and sign off that determination.
11.
5
2
The minutes of the meeting will be made available to both you and your employer if appropriate.
For example, on other track access appeals, this is the timescale set out in Condition 4.1 of Part M of the Network Code.
External lawyers may be retained to advise the case team, however they do not have a formal decision-making role.
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ORR Decision
12. The draft determination (decision) is prepared by the case officer before being discussed and agreed
by the case team. Once the determination has been finalised it is signed off by the Director or the
delegated chair.
13. The case officer will send a copy of the final determination to you, along with a letter explaining what
course of action is necessary (if any) following our decision.
© Crown copyright 2015
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