The Train Driving Licences and Certificates Regulations (Northern Ireland) 2010

This Statutory Rule has been made in substituion of the SR of the same number and is being issued free of charge to all known recipients of that Statutory Rule.

Statutory Rules of Northern Ireland

2010 No. 132

TRANSPORT

The Train Driving Licences and Certificates Regulations (Northern Ireland) 2010

Made

30th March 2010

Coming into operation

10th May 2010

The Department for Regional Development(1) being a Department designated(2) for the purposes of section 2(2) of the European Communities Act 1972(3) in relation to measures relating to railways and railway transport, in exercise of the powers conferred by that section makes the following Regulations:

PART 1 N.I. GENERAL

Citation and commencement N.I.

1.—(1) These Regulations may be cited as the Train Driving Licences and Certificates Regulations (Northern Ireland) 2010.

(2) These Regulations come into operation on 10th May 2010 but will have effect in accordance with the transitional provisions in regulation 41.

Commencement Information

I1 Reg. 1 in operation at 10.5.2010, see reg. 1(2)

Interpretation N.I.

2.—(1) In these Regulations—

“the 1978 Order” means the Health and Safety at Work (Northern Ireland) Order 1978(4);

“the Agency” means the European Railway Agency established by Regulation (EC) No 881/2004 of the European Parliament and of the Council establishing a European Railway Agency(5);

“the Department” means the Department for Regional Development;

“the Directive” means Directive 2007/59/EC of the European Parliament and of the Council on the certification of train drivers operating locomotives and trains on the railway system in the Community(6) [F1 as amended by Commission Directive 2014/82/EC of 24 June 2014 amending Directive 2007/59/EU of the European Parliament and of the Council of 23 October 2007 as regards general professional knowledge and medical licence requirements.]

“employed” means employed whether under a contract of employment or as an independent contractor, and related expressions must be construed accordingly;

[F2 “in code form” is a reference to a code representing additional information or a medical restriction, as provided for in Commission Regulation 2010/36, as amended from time to time;]

“infrastructure manager” means a person who is required, by regulation 3 of the Railways (Safety Management) Regulations (Northern Ireland) 2006(7), to be the holder of a safety authorisation;

“railway undertaking” means a person who is required, to be the holder of a safety certificate;

“recognised doctor” means a registered medical practitioner whose name appears in a register of doctors that the Department has published, or caused to be published, under regulation 21(1)(a);

“recognised examiner” means a person whose name appears in a register of examiners that the Department has published, or caused to be published, under regulation 21(1)(d);

“recognised psychologist” means a person who holds the qualification of the British Psychological Society Certificate in Occupational Testing (Level A) and whose name appears in a register of psychologists that the Department has published, or caused to be published, under regulation 21(1)(b);

“recognised trainer” means a person whose name appears in a register of trainers that the Department has published, or caused to be published, under regulation 21(1)(c);

“safety authority” means an authority established in an EEA State, other than in the United Kingdom, in accordance with article 16.1 of Directive 2004/49/EC of the European Parliament and of the Council on safety on the Community’s railways and amending Council Directive 95/18/EC on the licensing of railway undertakings and Directive 2001/14/EC on the allocation of infrastructure capacity and the levying of charges for the use of railway infrastructure and safety certification(8);

“safety management system”, in relation to a railway undertaking or an infrastructure manager, means the organisation and arrangements established by it, under regulation 4 of the Railway (Safety Management) Regulations (Northern Ireland) 2006, to ensure the safe management of its operation;

“train” includes a locomotive, a shunting locomotive, a work train and a maintenance railway vehicle;

“train driving certificate” means a certificate, required by article 4(1)(b) of the Directive, indicating the rolling stock which the holder is authorised to drive and the infrastructure on which the holder is authorised to drive it;

“train driving licence” means a licence, required by article 4(1)(a) of the Directive, indicating the holder satisfies medical, educational and professional skills requirements for train driving.

(2) Subject to paragraph (1) words and expressions used in these Regulations have the same meaning as in the Directive.

(3) The Interpretation Act (Northern Ireland) 1954(9) shall apply to these Regulations as it applies to an Act of the Northern Ireland Assembly.

Textual Amendments

F1 Words in reg. 2 inserted (21.3.2016) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2016 (S.R. 2016/73), regs. 1(1), 2(2) (with reg. 3)

F2 Words in reg. 2 inserted (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(2)

Commencement Information

I2 Reg. 2 in operation at 10.5.2010, see reg. 1(2)

Application and extent N.I.

3.  These Regulations apply in relation to the driving of trains on the Northern Ireland railway network.

Commencement Information

I3 Reg. 3 in operation at 10.5.2010, see reg. 1(2)

PART 2 N.I. LICENSING AND CERTIFICATION OF TRAIN DRIVERS

Requirement for licences and certificates N.I.

4.—(1) Subject to paragraph (10) a railway undertaking must not cause or permit a person to drive a train unless that person is authorised to do so by a train driving licence issued by the Department [F3 , Office of Rail Regulation] or a safety authority.

(2) Subject to paragraph (6) and (10), a railway undertaking must not cause or permit any person to drive a particular category of train, or to drive a train on particular infrastructure, unless that person is authorised to do so by a train driving certificate issued by it.

(3) Subject to paragraphs (6) and (10), a person may not drive a train unless that person is authorised to do so by—

(a) a train driving licence, and

(b) a train driving certificate for the category of train driven and the infrastructure used.

(4) Subject to paragraph (10), a person who drives a train must have their train driving licence and their train driving certificate with them whilst driving it or otherwise be able on board the train to satisfy the Department or their inspector duly appointed under regulation 40, that they are so authorised to drive the train by the required train driving licence and train driving certificate.

(5) Subject to paragraph (10), a railway undertaking must take reasonable steps to ensure that a person they cause or permit to drive a train has their train driving licence and their train driving certificate with them whilst driving it, or are otherwise able to satisfy the requirements of paragraph (4)

(6) Subject to paragraph (7) and if a railway undertaking so decides a train driver it causes or permits to drive a train on specific infrastructure need not be authorised by their train driving certificate to drive it on that infrastructure in the following cases—

(a) where a disturbance to railway services has occurred which requires the re-routing of the train or the maintenance of tracks, as specified by the infrastructure manager concerned;

(b) an exceptional one-off service which uses a historical train;

(c) an exceptional one-off freight service provided that the infrastructure manager concerned has agreed;

(d) the delivery of, or demonstration of, a new train; or

(e) to enable the training or the examination of the train driver.

(7) Paragraph (6) does not apply unless—

(a) subject to regulation 41(9), another train driver, who holds a train driving licence and a train driving certificate relating to the specific infrastructure, accompanies and supervises the driver in the cab whilst the train is driven on that infrastructure; and

(b) the infrastructure manager of the specific infrastructure is given prior notice.

(8) An infrastructure manager may not oblige a railway undertaking to make a decision under paragraph (6).

(9) A train driving licence issued by a safety authority on the basis of an exemption from the medical requirements set out in Schedule 1 is not valid in Northern Ireland.

(10) Subject to regulation 41(10), a person who is training to be a train driver may drive a train without being authorised to do so by a train driving licence or a train driving certificate provided that a train driver, who is authorised by a train driving certificate relating to the category of train driven and the infrastructure used, accompanies and supervises that person in the cab whilst that person drives the train.

Textual Amendments

F3 Words in reg. 4(1) inserted (21.3.2016) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2016 (S.R. 2016/73), regs. 1(1), 2(3) (with reg. 3)

Commencement Information

I4 Reg. 4 in operation at 10.5.2010, see reg. 1(2)

Licence and certificate characteristics N.I.

5.—(1) The form of a train driving licence issued by the Department and a train driving certificate, issued by a railway undertaking under these Regulations must comply with the requirements set out in Schedule 2.

(2) In particular, a train driving certificate must show the categories within which the train driver may drive comprising either or both of—

(a) Category A — shunting locomotives, work trains, maintenance railway vehicles and all other locomotives when they are used for shunting; and

(b) Category B — carriage of passengers or goods or both.

Commencement Information

I5 Reg. 5 in force at 31.12.2010, see reg. 41(5)

Ownership of train driving licence N.I.

6.  A train driving licence is owned by the person named in it as the holder.

Commencement Information

I6 Reg. 6 in force at 31.12.2010, see reg. 41(5)

Ownership of the train driving certificate N.I.

7.  A train driving certificate is owned by the railway undertaking which issued it to the holder.

Commencement Information

I7 Reg. 7 in force at 31.12.2010, see reg. 41(5)

PART 3 N.I. CONDITIONS FOR OBTAINING LICENCES AND CERTIFICATES

Conditions for obtaining a train driving licence N.I.

8.—(1) The Department must issue a train driving licence to an applicant if it is satisfied the applicant has—

(a) attained the age of 20 years;

(b) completed nine years education (primary and secondary);

(c) successfully completed basic training equivalent to at least level 3 referred to in Council Decision 85/368/EEC on the comparability of vocational training qualifications between the Member States of the European Community(10);

(d) passed the required medical examination;

(e) passed the required occupational psychological fitness examination; and

(f) passed the required general professional competence examination.

(2) For the purpose of paragraph (1)(d) the required medical examination means a medical examination that covers the criteria set out in paragraph 1 of Schedule 1, includes the minimum content set out in paragraph 2(1) of Schedule 1 and is conducted by or under the supervision of a recognised doctor.

(3) For the purpose of paragraph (1)(e) the required occupational psychological fitness examination means an examination that comprises the minimum content set out in paragraph 2(2) of Schedule 1 and is conducted by or under the supervision of a recognised psychologist or recognised doctor.

(4) For the purpose of paragraph (1)(f) the required general professional competence examination means an examination that covers the objectives and requirements set out in Schedule 3.

Commencement Information

I8 Reg. 8 in force at 31.12.2010, see reg. 41(5)

Conditions for obtaining a train driving certificate N.I.

9.—(1) A railway undertaking must issue a train driving certificate to an applicant if it is satisfied the applicant—

(a) is employed by it to be train driver;

(b) possesses the required language skills;

(c) has passed the required specific professional knowledge examinations; and

(d) has been trained by it in relation to its safety management system.

(2) For the purpose of paragraph (1)(b)—

(a) the required language skills means knowledge of the language relevant to the infrastructure to which the certificate is to relate that meets the language test requirements set out and referred to in paragraph 8 of Schedule 4; and

(b) to test this a railway undertaking may include a language component in the examinations referred to in paragraph (1)(c).

(3) For the purpose of paragraph (1)(c)—

(a) the required specific professional knowledge examinations means examinations of professional knowledge and competence relating to the rolling stock and to the infrastructure for which the certificate is sought (including route knowledge and operating rules and procedures) and covers the subjects set out in paragraphs 1 to 7 of Schedule 4 and in Schedule 5; and

(b) those examinations must comprise both theoretical and practical assessment including assessment of the driving ability of the applicant during driving tests on the infrastructure.

(4) For the purpose of paragraph (3)(b) simulators may be used for examining the application of operational rules and driver performance in particularly difficult situations.

(5) When determining whether to issue a train driving certificate a railway undertaking must take account of any document presented to it by the applicant that the applicant has obtained by virtue of regulation 16(3).

Commencement Information

I9 Reg. 9 in force at 31.12.2010, see reg. 41(5)

PART 4 N.I. PROCEDURE FOR OBTAINING LICENCES AND CERTIFICATES

Procedure for obtaining a train driving licence N.I.

10.—(1) The Department must publish on its website the application procedures for obtaining a new train driving licence, for the updating of the particulars of such a licence, for the renewal of such a licence and for the issue of a duplicate licence.

(2) All applications must be lodged with the Department by the applicant or an entity acting on the applicant’s behalf, and must be made in accordance with the procedures published in accordance with paragraph (1).

(3) The Department must within one month of receiving all the necessary documents determine the application.

(4) Where satisfied a train driving licence should be issued or renewed the Department must issue it in the form of a single original.

(5) The Department may issue a duplicate train driving licence.

[F4 (6) A person who is aggrieved by a decision not to issue a train driving licence may appeal to a tribunal established for the purposes of hearing an appeal under these Regulations

(7) The model provisions with respect to appeals which are set out in The Deregulation (Model Appeals Provisions) Order (Northern Ireland) 1997 shall apply to an appeal under paragraph (6)]

Textual Amendments

F4 Reg. 10(6)(7) inserted (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(3)

Commencement Information

I10 Reg. 10 in force at 31.12.2010, see reg. 41(5)

Procedure for obtaining a train driving certificate N.I.

11.—(1) A railway undertaking must set up—

(a) as part of its safety management system, its own procedures for the issue and updating of train driving certificates; and

(b) a procedure for a person to request a review by it of a decision it has made concerning them relating to the issue, updating, suspension or withdrawal of a train driving certificate.

(2) A railway undertaking must update, without delay, a train driving certificate issued by it whenever the holder has obtained additional authorisations relating to rolling stock or infrastructure.

(3) A person who has requested a review of a decision under paragraph (1)(b) may appeal to the Department if dissatisfied with the outcome.

[F5 (3A) The model provisions with respect to appeals which are set out in the Deregulation (Model Appeals Provisions) Order (Northern Ireland) 1997 shall apply to an appeal under paragraph (3)]

(4) A railway undertaking must publish on its website—

(a) the procedures referred to in paragraph (1), and

(b) the availability of an appeal to the Department under paragraph (3),

and applications or requests made to them under paragraph (1) must be made in accordance with the procedures referred to in that paragraph.

F6 (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F6 (6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F7 (5)]  Without prejudice to the right of any person to make an application for judicial review—

(a) a determination by the Department on an appeal brought under paragraph (3) is binding; and

(b) it is the duty of a railway undertaking to whom a direction is given under paragraph (6)(b) to comply with and give effect to that direction.

Textual Amendments

F5 Reg. 11(3A) inserted (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(4)(a)

F6 Reg. 11(5)(6) deleted (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(4)(b)

F7 Reg. 11(5): reg. 11(7) renumbered as reg. 11(5) (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(4)(c)

Commencement Information

I11 Reg. 11 in force at 31.12.2010, see reg. 41(5)

PART 5 N.I. VALIDITY OF LICENCES AND CERTIFICATES

Validity and renewal of train driving licences N.I.

12.—(1) Subject to regulation 34 and 37 and paragraph (3), a train driving licence is valid for 10 years.

(2) The Department must not renew a train driving licence unless it is satisfied that the holder has complied with regulation 13 and passed any examinations undergone in pursuance of it and undergoes continuous training, as required by regulation 28(d), to ensure the driver’s general professional knowledge is maintained.

(3) A train driving licence ceases to be valid once it is suspended or withdrawn.

Commencement Information

I12 Reg. 12 in force at 31.12.2010, see reg. 41(5)

Periodic checks to maintain validity of licence N.I.

13.—(1) The holder of a train driving licence must pass periodic medical and psychological examinations relating to the requirements described in regulation 8(3) and (4).

(2) For the purpose of paragraph (1) periodic examinations with regard to medical requirements means examinations conducted at the minimum frequency and at other times set out in paragraph 3 of Schedule 1.

Commencement Information

I13 Reg. 13 in force at 31.12.2010, see reg. 41(5)

Validity of certificate N.I.

14.  A train driving certificate ceases to be valid once it is suspended or withdrawn or regulation 16(2) applies

Commencement Information

I14 Reg. 14 in force at 31.12.2010, see reg. 41(5)

Periodic checks to maintain validity of certificate N.I.

15.—(1) The holder of a train driving certificate must undergo periodic examinations relating to the requirements described in regulation 9(1)(b) to (d).

(2) For the purpose of paragraph (1), the frequency of periodic examinations must be as determined by the railway undertaking that has issued the certificate in accordance with its safety management system, but must not be less than the minimum frequencies set out in Schedule 6.

(3) When the holder of a train driving certificate passes the examinations required by paragraph (1) the certificate must be endorsed with a statement to that effect by the railway undertaking that issued it.

Commencement Information

I15 Reg. 15 in force at 31.12.2010, see reg. 41(5)

Cessation of employment N.I.

16.—(1) A railway undertaking must give written notice to the Department when a train driver ceases to be employed by it as a train driver.

(2) When a person ceases to be employed as a train driver by a railway undertaking a train driving certificate issued by it in relation to that employment ceases to be valid.

(3) If a train driving certificate becomes invalid by virtue of paragraph (2), the railway undertaking that issued it must provide the train driver with—

(a) a certified copy of it endorsed to indicate when it ceased to be valid; and

(b) a copy of all documents providing evidence of the driver’s training, qualifications, experience and professional competence relevant to train driving undergone, obtained or achieved by the driver whilst employed as a train driver by that body.

Commencement Information

I16 Reg. 16 in force at 31.12.2010, see reg. 41(5)

Monitoring N.I.

17.—(1) A railway undertaking must establish a system for monitoring train drivers employed by it.

(2) If the results of that monitoring call into question a train driver’s competence for the job or the continuing validity of their train driving licence or train driving certificate, the railway undertaking must immediately take any necessary action which may include—

(a) informing the Department of matters relevant to the continuing validity of the licence;

(b) requiring that driver to undergo the relevant examinations and training referred to in regulations 8(1)(d) to (f) and 9(1)(b) to (d); and

(c) [F8 suspending or withdrawing the driver’s train driving certificate].

(3) A train driver who considers that [F9 their] state of health calls into question [F9 their] fitness to drive trains must immediately inform the railway undertaking by whom [F10 they are] employed.

(4) A railway undertaking that becomes aware that a train driver employed by it has failed to comply with regulation 13 or 15, or has failed an examination required by those regulations, or that the health of a train driver has deteriorated to a point where [F11 the driver’s] fitness for the job is called into question, must immediately take any necessary action which may include—

(a) informing the Department of matters relevant to the continuing validity of the [F12 driver’s train driving] licence;

(b) requiring that driver to undergo the relevant periodic examinations referred to in regulations 13 or 15; or

(c) [F13 suspending] or [F13 withdrawing] of [F14 the driver’s] train driving certificate.

(2) A railway undertaking must inform the Department when a train driver employed by it has suffered work incapacity for a period of more than three months.

Textual Amendments

F8 Words in reg. 17(2)(c) substituted (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(5)(a)

F9 Word in reg. 17(3) substituted (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(5)(b)

F10 Words in reg. 17(3) substituted (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(5)(b)

F11 Words in reg. 17(4) substituted (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(5)(c)

F12 Words in reg. 17(4)(a) inserted (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(5)(d)

F13 Word in reg. 17(4)(c) substituted (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(5)(e)

F14 Words in reg. 17(4)(c) substituted (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(5)(e)

Commencement Information

I17 Reg. 17 in force at 31.12.2010, see reg. 41(5)

PART 6 N.I. [F15 DECISIONS OF THE DEPARTMENT]

Textual Amendments

F15 Pt. 6 heading substituted (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(6)(a)

Review of decisions of the Department N.I.

[F16 18.   The Department must state in writing the reasons for any decision made by it under these Regulations.]

F17 (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F16 Reg. 18: reg. 18(1) renumbered as reg. 18 (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(6)(c)

F17 Reg. 18(2) deleted (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(6)(b)

Commencement Information

I18 Reg. 18 in force at 31.12.2010, see reg. 41(5)

Review process N.I.

F18 19.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F18 Reg. 19 deleted (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(7)

PART 7 N.I. DELEGATION OF FUNCTIONS BY THE DEPARTMENT

Delegation of functions by the Department N.I.

20.—(1) Subject to paragraphs (2) and (3), the Department may delegate to any person the exercise of the following functions—

(a) determining applications made under regulation 10 and issuing any associated documents;

(b) recognising trainers and examiners under regulation 21;

(c) establishing, keeping up to date and publishing registers of persons recognised under regulation 21; and

(d) establishing and keeping up to date a register of train driving licences under regulation 22.

(2) If the Department delegates any such function—

(a) the delegation does not affect the responsibility of the Department for the exercise of those functions;

(b) the person to whom it is delegated must comply with the same requirements of these Regulations as would apply to the Department in the exercise of those functions; and

(c) the Department must establish a system for monitoring how the function is carried out.

(3) The Department may not delegate the functions referred to in regulation 20(1)(a) to a railway undertaking except for the purposes of that body carrying out those functions in relation to persons who are employed by the body as train drivers or are applying to them to be so employed.

Commencement Information

I19 Reg. 20 in operation at 10.5.2010, see reg. 1(2)

PART 8 N.I. REGISTERS AND INFORMATION

Registers of recognised persons N.I.

21.—(1) The Department must establish, keep up to date and publish registers of—

(a) doctors;

(b) psychologists;

(c) trainers; and

(d) examiners

recognised by the Department as competent to carry out functions under, or referred to in, regulations 8, 29 and 31.

(2) Trainers and Examiners may be individuals or bodies of persons corporate or unincorporated.

(3) Subject to paragraphs (4) and (5), the inclusion of a person in a register referred to in paragraph (1) must be based on the criteria of independence, competence and impartiality.

(4) Paragraph (3) does not apply if and to the extent that the Commission approves an exception under article 20(2) of the Directive.

(5) The criterion of independence referred to in paragraph (3) does not apply in respect of the training referred to in regulation 29.

Commencement Information

I20 Reg. 21 in force at 31.12.2010, see reg. 41(5)

Registers of train driving licences N.I.

22.—(1) The Department must establish and keep up to date a register of train driving licences issued, updated, renewed, amended, expired, suspended or withdrawn by it, and any such licences reported lost, stolen or destroyed.

(2) The register must contain the data required for licences by paragraph 4 of Schedule 2 and must be accessible by the use of a national number allotted to each train driver.

Commencement Information

I21 Reg. 22 in operation at 10.5.2010, see reg. 1(2)

Registers of train driving certificates N.I.

23.—(1) Each railway undertaking must establish and keep up to date, a register of all train driving certificates issued, updated, suspended or withdrawn by it, and any such certificates reported lost, stolen or destroyed.

(2) The register must contain the data required for certificates by paragraph 4 of Schedule 2.

Commencement Information

I22 Reg. 23 in operation at 10.5.2010, see reg. 1(2)

Information for the register of train driving licences N.I.

24.  If the Department delegates its functions under regulations 20(1)(a) to a railway undertaking, that undertaking must provide the Department with any information it obtains which is required by the Department to keep the register of train driving licences required by regulation 22 up to date.

Commencement Information

I23 Reg. 24 in operation at 10.5.2010, see reg. 1(2)

Information relating to the status of train driving licences N.I.

25.  The Department must, upon request, provide information on the status of train driving licences to safety authorities, the Agency and any employer of train drivers.

Commencement Information

I24 Reg. 25 in force at 31.12.2010, see reg. 41(5)

Information relating to train driving certificates etc. N.I.

26.  Railway undertakings must provide to the Department any information reasonably requested relating to train driver’s certificates issued by them or any other functions carried out by them under these Regulations.

Commencement Information

I25 Reg. 26 in force at 31.12.2010, see reg. 41(5)

Information in relation to international train services N.I.

27.  Railway undertakings must, upon request, provide to the Department and safety authorities information on the content of train driving certificates issued by them in relation to train drivers engaged on international train services

Commencement Information

I26 Reg. 27 in force at 31.12.2010, see reg. 41(5)

PART 9 N.I. TRAINING AND EXAMINATION

Training content N.I.

28.—(1) A railway undertaking that employs train drivers must ensure that their training—

(a) complies with the requirements of, and takes into account the guidance given in, Schedule 7;

(b) includes instruction on train driving licences and covers the general professional knowledge, and meets the objectives, set out in Schedule 3;

(c) includes instruction on train driving certificates, and covers the general professional knowledge, and meets the objectives, set out in Schedules 4 and 5; and;

(d) meets the requirements for continuous training which—

(i) are set up to ensure that staff competencies are maintained; and

(ii) form part of the safety management system of the railway undertaking.

(2) The training objectives referred to in paragraphs (1)(b) and (c) may be supplemented by any relevant technical specifications for interoperability adopted from time to time by [F19 the European Union] under Council Directive 96/48/EC on the interoperability of the trans — European high-speed rail system(11), Directive 2001/16/EC of the European Parliament and of the Council on the interoperability of the conventional rail system(12) or Directive 2008/57/EC of the European Parliament and of the Council on the interoperability of the rail system within the Community(13) and published in the Official Journal.

Textual Amendments

F19 Words in Regulations substituted (22.4.2011) by The Treaty of Lisbon (Changes in Terminology) Order 2011 (S.I. 2011/1043), arts. 2, 3-6

Commencement Information

I27 Reg. 28 in force at 31.12.2010, see reg. 41(5)

Trainers N.I.

29.—(1) Subject to paragraph (2), a person may only provide training intended to enable satisfaction of the following—

(a) the condition in regulation 8(1)(f) relating to general professional competence required for obtaining a train driving licence;

(b) the condition in regulation 9(1)(b) relating to language skills required for obtaining a train driving certificate; or

(c) the condition in regulation 9(1)(c) relating to specific professional knowledge required for obtaining a train driving certificate;

if that person is a trainer accredited or recognised as such by any Member State for the purposes of the Directive.

(2) Training relating to infrastructure knowledge, including route knowledge and operating rules and procedures may only be provided by a trainer recognised by the Department under regulation 21(1).

Commencement Information

I28 Reg. 29 in force at 31.12.2010, see reg. 41(5)

Cost of training N.I.

30.—(1) If a train driver voluntarily leaves the employment of one railway undertaking for another in circumstances where because of the cost the first employer has incurred in the training of that driver an undue benefit accrues to the second employer, the first employer is entitled to a reasonable contribution to those costs from the second employer.

(2) In determining what is a reasonable contribution for the purpose of paragraph (1), railway undertakings must have regard to such guidance as may be published by the Department.

Commencement Information

I29 Reg. 30 in force at 31.12.2010, see reg. 41(5)

Examinations N.I.

31.—(1) The Department must—

(a) set or approve the general professional competence examination referred to in regulation 8(1)(f);

(b) designate the examiner; and

(c) include guidance and information about the examination in the publication it makes on its website in pursuance of regulation 10(1).

(2) A railway undertaking must—

(a) set or approve the specific professional knowledge examinations relevant to its rolling stock or infrastructure, as the case may be, as referred to in regulation 9(1)(c);

(b) designate the examiner for the examinations it sets or approves; and

(c) include guidance and information about the examination in the publication it makes on its website in pursuance of regulation 11(4).

(3) Subject to paragraph (4), a person may only be designated as an examiner under paragraphs (1)(b) or (2)(b) if that person is—

(a) a recognised examiner; or

(b) recognised or accredited as competent for the purpose by another Member State in accordance with article 20 of the Directive.

(4) In so far as an examination set or approved under paragraph (2)(a) is for infrastructure knowledge evaluation, including evaluation of route knowledge and operating rules and procedures, the examiner must be a recognised examiner.

(5) The Department or railway undertaking must ensure that the examinations referred to in paragraphs (1)(a) and (2)(a) which they set or approve are organised in such a way as to avoid any conflict of interest arising.

(6) Notwithstanding paragraph (5) a railway undertaking, may designate a recognised examiner under paragraph (2)(b) who is also its employee, provided the examiner has not trained the candidate for the examination.

Commencement Information

I30 Reg. 31 in force at 31.12.2010, see reg. 41(5)

PART 10 N.I. REVIEWING STANDARDS

Quality standards N.I.

32.—(1) Subject to paragraph (2), the Department must establish and implement a system to monitor and keep under continuous review the training, skills assessment and examination of train drivers under these Regulations with a view to ensuring appropriate standards are achieved and maintained.

(2) Paragraph (1) does not require the duplication of monitoring and review activities already required by and carried out under the safety management system of a railway undertaking.

Commencement Information

I31 Reg. 32 in force at 31.12.2010, see reg. 41(5)

Independent assessment N.I.

33.—(1) Subject to paragraph (2), five years after these Regulations come into force, and thereafter every five years, the Department must cause to be carried out, by an appropriately qualified and independent person, an assessment of—

(a) the procedures for the training, skills assessment and examination of train drivers; and

(b) the system for the issue of train driving licences and train driving certificates

under these Regulations.

(2) Paragraph (1) does not require the duplication of assessment already required by and carried out under the safety management system of railway undertakings.

(3) The Department must provide the results of each assessment to the railway undertakings.

(4) The Department, or railway undertakings must give due consideration to the findings and any recommendations of the independent person and take any action reasonably appropriate to remedy any shortcomings identified.

Commencement Information

I32 Reg. 33 in operation at 10.5.2010, see reg. 1(2)

PART 11 N.I. SUSPENSION AND WITHDRAWAL OF LICENCES AND CERTIFICATES

Suspension or withdrawal of train driving licences issued by the Department N.I.

34.—(1) Without prejudice to regulation 37, if the Department considers that the holder of a train driving licence issued by the Department no longer satisfies a condition required for the holding of it the Department must—

(a) suspend or withdraw the licence; and

(b) inform the holder concerned and his employer of—

(i) the suspension or withdrawal;

(ii) the reasons for it;

(iii) the availability of the review procedure under regulation 18; and

(iv) any procedure to be followed to seek reinstatement of the licence.

(2) If the Department suspends or withdraws a train driving licence the holder must surrender it to the Department.

(3) If a safety authority —

(a) informs the Department that it considers the holder of a train driving licence issued by the Department no longer satisfies a condition required for the holding of it; and

(b) gives the Department a reasoned request for a review of the holder’s eligibility to hold the licence, or for the licence to be suspended or withdrawn;

the Department must consider that request and, within four weeks, notify the safety authority, as the case may be, of its decision whether to suspend or withdraw the licence or take any other action.

Commencement Information

I33 Reg. 34 in force at 31.12.2010, see reg. 41(5)

Suspension or withdrawal of other train driving licences and driver prohibition N.I.

35.—(1) Without prejudice to regulation 37, if the Department considers that the holder of a train driving licence issued by another safety authority, no longer satisfies a condition required for the holding of it the Department must—

(a) inform the safety authority, as the case may be, of this view;

(b) give that authority as the case may be, a reasoned request for a review of the driver’s eligibility to hold the licence, or for the licence to be suspended or withdrawn; and

(c) notify the Commission, the other safety authorities of the request.

(2) Pending any suspension or withdrawal of the licence, or other conclusion on the request referred to in paragraph (1), the Department may prohibit the train driver from driving a train in Northern Ireland.

Commencement Information

I34 Reg. 35 in operation at 10.5.2010, see reg. 1(2)

Suspension or withdrawal of train driving certificates and driver prohibition N.I.

36.—(1) Without prejudice to regulation 37, if the Department considers that the holder of a train driving certificate no longer satisfies a condition required for the holding of it the Department must—

(a) inform the railway undertaking which issued it of this view; and

(b) give that body a reasoned request for a review of the holders eligibility to hold the certificate, or for the certificate to be suspended or withdrawn.

(2) Upon receipt of such a request the railway undertaking must consider it and, within four weeks, notify the Department of its decision whether to suspend or withdraw the certificate or take any other action.

(3) Where the railway undertaking concludes that the holder no longer satisfies a condition required for the holding of the train driving certificate, it must take appropriate measures which may include—

(a) requiring the holder to undergo the relevant periodic examinations referred to in regulation 14(1); and

(b) suspension or withdrawal of the train driving certificate.

(4) Pending any suspension or withdrawal of the driving certificate or other conclusion on the request referred to in paragraph (1)(b), the Department may prohibit the holder from driving a train in Northern Ireland.

(5) If the Department exercises the power in paragraph (4) it must inform the Commission and the other safety authorities.

Commencement Information

I35 Reg. 36 in force at 31.12.2010, see reg. 41(5)

Serious threat to the safety of the railway N.I.

37.—(1) If the Department considers that a train driver is a serious threat to the safety of the railways it must immediately take any necessary action.

(2) For the purpose of paragraph (1) any necessary action may include—

(a) requesting the railway undertaking to stop any train being driven by the driver;

(b) suspending or withdrawing that train driving licence, if issued by the Department; or

(c) prohibiting the train driver from driving a train in Northern Ireland.

(3) If the Department takes any action under this regulation it must inform the Commission and the other safety authorities.

[F20 (4) A person who is aggrieved by a decision to withdraw or suspend a train driving licence may appeal to a tribunal established for the purposes of hearing an appeal under these Regulations

(5) The model provisions with respect to appeals which are set out in the Deregulation (Model Appeals Provisions) Order (Northern Ireland) 1997 shall apply to an appeal under paragraph (4)]

Textual Amendments

F20 Reg. 37(4)(5) inserted (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(8)

Commencement Information

I36 Reg. 37 in operation at 10.5.2010, see reg. 1(2)

Appeal to the Commission N.I.

38.—(1) If the Department considers that a decision of a safety authority on a request made to it by the Department under regulation 35 does not comply with the relevant criteria it must refer the matter to the Commission in pursuance of article 29(5) of the Directive.

(2) For the purposes of paragraph (1), the relevant criteria means any criteria set out in the Directive which are relevant to the decision.

(3) If the Department has referred a matter to the Commission under paragraph (1), any prohibition imposed by the Department under regulation 35 may be maintained in force until the matter is concluded.

Commencement Information

I37 Reg. 38 in operation at 10.5.2010, see reg. 1(2)

PART 12 N.I. ENFORCEMENT

Anti-fraud measures N.I.

39.  The Department and railway undertakings must take such steps as are reasonably necessary to avoid—

(a) the falsification of train driving licences and train driving certificates; and

(b) the tampering with the registers required by regulations 22 and 23.

Commencement Information

I38 Reg. 39 in force at 31.12.2010, see reg. 41(5)

Enforcement N.I.

40.—(1) It is the duty of the Department to make adequate arrangements for the enforcement of these Regulations.

(2) Subject to [F21 paragraph 5], the provisions of the 1978 Order specified in paragraph (3) (“the specified provisions”) apply for the purpose of the enforcement of these Regulations as if in the specified provisions—

(a) a reference to the “enforcing authority” was a reference to the Department;

(b) a reference to the “relevant statutory provisions” was a reference to these Regulations;

(c) a reference to “health and safety regulations” was a reference to these Regulations;

(d) in article 31(2) the reference to “Schedule 3A” was a reference to [F22 Regulation 40(4) of] these Regulations(14).

(3) The provisions of the 1978 Order referred to in paragraph (2) are as follows—

(a) articles 21 and 22 (appointment and powers of inspectors)(15) excluding article 22(3);

(b) articles 23 and 24 (improvement and prohibition notices)(16);

(c) article 25 (provisions supplementary to articles 23 and 24)(17);

(d) article 26 (appeal against improvement and prohibition notices);

(e) article 28 (power to indemnify inspectors);

(f) article 30 (restrictions on disclosure of information)(18);

(g) articles 31(1)(c), (e) to (h), (j) to (o) and (2), 32(1)(c) and (d) and (2), 33, 34(1) and (2), [F23 35 to 38] and 39(1) to (3) (provision as to offences(19); F24 ...

[F25 (4) The mode of trial and maximum penalty applicable to each offence under Article 31 of the 1978 Order so applied and listed in the first column of the following table are set out opposite that offence in the subsequent columns of the table

Offence	Mode of trial	Penalty on summary conviction	Penalty on conviction on indictment
An offence under article 31(1)(c), (e), (f), (g), (j), (k), (l), (m) or (n).	Summarily or on indictment.	Imprisonment for a term of not exceeding 3 months, or a fine not exceeding level 5 on the standard scale as if the offence was triable only summarily, or both.	Imprisonment for a term not exceeding 2 years, or a fine, or both.
An offence under article 33(l)(h).	Summarily only.	Imprisonment for a term not exceeding 3 months, or a fine not exceeding level 5 on the standard scale or both.
An offence under article 33(l)(n)	Summarily only.	A fine not exceeding level 5 on the standard scale.]

[F26 (5)]  A failure to discharge a duty placed on the Department by these Regulations shall not be an offence under section 31(1) of the 1978 Order.

Textual Amendments

F21 Words in reg. 40(2) substituted (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(9)(a)

F22 Words in reg. 40(2)(d) substituted (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(9)(b)

F23 Words in reg. 40(3)(g) substituted (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(9)(c)

F24 Word in reg. 40(3)(g) omitted (11.11.2013) by virtue of The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(9)(c)

F25 Reg. 40(4) inserted (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(9)(d)

F26 Reg. 40(5): reg. 40(4) renumbered as reg. 40(5) (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(9)(e)

Commencement Information

I39 Reg. 40 in operation at 10.5.2010, see reg. 1(2)

PART 13 N.I. TRANSITIONAL PROVISIONS

Transitional provisions N.I.

41.—(1) The registers referred to in regulations 22 and 23 must be established before 29th October 2011.

(2) These Regulations have effect on and from 29th October 2011 in relation to the driving of trains where a driver drives trains both in Northern Ireland and at least one other Member State.

(3) These Regulations have effect on 29th October 2013 in relation to the driving of trains where a train driver did not drive trains in Northern Ireland before that date.

(4) These Regulations have effect on 29th October 2018 in relation to a person to whom paragraphs (2) and (3) do not apply.

(5) Regulations 5 to 19, 21, 25 to 32, 34, 36, 39 and the schedules come into force on 31st December 2010.

(6) Where this paragraph applies, in determining a first application for a train driving licence the Department—

(a) must take into account any train driving qualifications, experience and competencies acquired by the applicant prior to the application;

(b) in exceptional cases may waive, in whole or in part, the requirement in regulation 8(1)(d) if it thinks it appropriate to do so provided that the validity of any train driving licence issued on the basis of such exemption is limited to Northern Ireland;

(c) may waive, in whole or in part, the requirement in regulation 8(1)(e) and (f) if it thinks it appropriate to do so; and

(d) may require the applicant to pass other examinations or tests, or undertake further training, if it thinks it appropriate to do so.

(7) Where this paragraph applies, in determining a first application for a train driving certificate a railway undertaking—

(a) must take into account any train driving qualifications, experience and competencies relevant to the rolling stock and infrastructure in relation to which the certificate is sought, acquired by the applicant prior to the application;

(b) may waive, in whole or in part, the requirement in regulation 9(1)(c) if it thinks it appropriate to do so; and

(c) may require the applicant to pass other examinations or tests, or undertake further training, if it thinks it appropriate to do so.

(8) Paragraphs (6) and (7) apply to a first application for a train driving licence, or train driving certificate, where the applicant has driven trains in Northern Ireland before they were required to have a licence or certificate.

(9) Until 31st May 2018, the reference in regulation 4(7)(a) to “another train driver, who holds a train driving certificate relating to the specific infrastructure” includes a train driver whom the railway undertaking is satisfied has sufficient knowledge and experience of the specific infrastructure to give the necessary supervision.

(10) Until 31st May 2018, the reference in regulation 4(10) to a “train driver, who is authorised by a train driving certificate relating to the category of train driven and the infrastructure used” includes a train driver whom the relevant railway undertaking, or infrastructure manager, is satisfied has sufficient knowledge and experience of the category of train driven and infrastructure used to give the necessary supervision.

(11) From the date these Regulations come into force each railway undertaking must ensure the gradual implementation of periodic checks, corresponding to those required by regulations 13 and 15, for each train driver employed by it pending those regulations coming into effect in relation to the driver.

Commencement Information

I40 Reg. 41 in operation at 10.5.2010, see reg. 1(2)

Sealed with the Official Seal of the Department for Regional Development on 30th March 2010.

L.S.

B.R.D. White

A senior officer of the

Department

Regulations 4, 8, and 13

SCHEDULE 1 N.I. MEDICAL REQUIREMENTS

(This Schedule substantially reproduces the provisions of Annex II to the Directive) N.I.

GENERAL REQUIREMENTS N.I.

1.—(1) General

• Drivers must not be suffering from any medical conditions or be taking any medication, drugs or substances which are likely to cause—

  (a)

  a sudden loss of consciousness,

  (b)

  a reduction in attention or concentration,

  (c)

  a loss of balance or coordination,

  (d)

  a significant limitation of mobility.

(2) Vision

• The following requirements as regards vision must be complied with—

  (a)

  aided or unaided distance visual acuity: 1,0; minimum of 0,5 for the worse eye,

  (b)

  maximum corrective lenses: hypermetropia + 5/mypopia −8. Derogations are authorised in exceptional cases and after having obtained the opinion of an eye specialist. The recognised doctor then takes the decision,

  (c)

  near and intermediate vision: sufficient, whether aided or unaided,

  (d)

  contact lenses and glasses are authorised when periodically checked by a specialist,

  (e)

  normal colour vision: use of a recognised test, such as Ishihara, as well as another recognised test if required,

  (f)

  field of vision: full,

  (g)

  vision for both eyes: effectiveF27 ...

  (h)

  binocular vision: effective,

  (i)

  recognition of colour signals: the test must be based on recognition of single colours and not on relative differences,

  (j)

  sensitivity to contrasts: good

  (k)

  no progressive eye disease,

  (l)

  lens implants, keratotomies and keratectomies are allowed only on condition that they are checked on a yearly basis or at intervals set by a recognised doctor,

  (m)

  ability to withstand dazzle,

  (n)

  coloured contact lenses and photochromatic lenses are not allowed. UV filters are allowed.

(3) Hearing and speaking requirements

• Sufficient hearing confirmed by an audiogram, i.e.—

  • hearing good enough to hold a phone conversation and to be able to hear warning sounds and radio messages.

• The following values should be taken as guidelines—

  (a)

  the hearing deficiency must not be higher than 40 dB at 500 and 1 000 Hz,

  (b)

  the hearing deficiency must not be higher than 45 dB at 2 000 Hz for the ear with the worst air conduction of sound,

  (c)

  no anomaly of the vestibular system,

  (d)

  no chronic speech disorder (given the necessity to exchange messages loudly and clearly),

  (e)

  the use of hearing aids is allowed in special cases.

(4) Pregnancy

• In the event of poor tolerance or a pathological condition, pregnancy must be considered to be a reason for the temporary exclusion of drivers. Legal provisions protecting pregnant drivers must be applied.

Textual Amendments

F27 Words in Sch. 1 para. 1(2)(g) omitted (21.3.2016) by virtue of The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2016 (S.R. 2016/73), regs. 1(1), 2(4) (with reg. 3)

Commencement Information

I41 Sch. 1 para. 1 in force at 31.12.2010, see reg. 41(5)

MINIMUM CONTENT OF THE EXAMINATION BEFORE APPOINTMENT N.I.

2.—(1) Medical examinations—

(a) a general medical examination,

(b) examinations of sensory functions (vision, hearing, colour perception),

(c) blood or urine tests, testing among others for diabetes mellitus, insofar as they are necessary to judge the candidate’s physical aptitude,

(d) an Electro-Cardiogram (ECG) at rest,

(e) tests for psychotropic substances such as illicit drugs or psychotropic medication and the abuse of alcohol calling into question the fitness for the job,

(f) cognitive: attention and concentration; memory; perception; reasoning,

(g) communication,

(h) psychomotor: reaction time, hand coordination.

(2) Occupational psychological examinations

• The purpose of the occupational psychological examinations is to assist in the appointment and management of staff. In determining the content of the psychological evaluation, the examination must asses that the applicant driver has no established occupational psychological deficiencies, particularly in operational aptitudes or any relevant personality factor, which are likely to interfere with the safe exercise of the duties.

Commencement Information

I42 Sch. 1 para. 2 in force at 31.12.2010, see reg. 41(5)

PERIODIC EXAMINATIONS AFTER APPOINTMENT N.I.

3.—(1) Frequency

• Medical examinations (physical fitness) must be taken at least every three years up to the age of 55, thereafter every year.

• In addition to this frequency, a recognised doctor must increase the frequency of examinations if the health of the member of staff so requires.

• Without prejudice to regulation 13 an appropriate medical examination must be carried out when there is reason to doubt that a holder of a train driver’s licence or train driving certificate fulfils the medical requirements set out in paragraph 1.

• Physical fitness must be checked regularly and after any occupational accident or any period of absence following an accident involving persons. A recognised doctor can decide to carry out an additional appropriate medical examination, particularly after a period of at least 30 days' sick leave. The employer must ask a recognised doctor to check the physical fitness of the train driver if the employer had to withdraw the driver from service for safety reasons.

(2) Minimum content of the periodic medical examination

• If the train driver complies with the criteria required for the examination which is carried out before appointment, the periodic examinations must include as a minimum—

  (a)

  a general medical examination,

  (b)

  an examination of sensory functions (vision, hearing, colour perception),

  (c)

  blood or urine tests to detect diabetes mellitus and other conditions as indicated by the clinical examination,

  (d)

  tests for drugs where clinically indicated.

• In addition, an ECG at rest is also required for train drivers over 40 years of age.

Commencement Information

I43 Sch. 1 para. 3 in force at 31.12.2010, see reg. 41(5)

Regulations 5, 22 and 23

SCHEDULE 2 N.I. COMMUNITY MODEL TRAIN DRIVING LICENCE AND HARMONISED COMPLEMENTARY TRAIN DRIVING CERTIFICATE

(This Schedule substantially reproduces the provisions of Annex I to the Directive) N.I.

CHARACTERISTICS OF THE LICENCE N.I.

1.  The physical characteristics of the train driving licence must be in conformity with ISO standards 7810:2003 and 7816-1:1998(20).

The card must be made of polycarbonate.

The methods for verifying the characteristics of train driving licences to ensure that they are consistent with international standards must comply with ISO standard 10373-1:2006(21).

Commencement Information

I44 Sch. 2 para. 1 in force at 31.12.2010, see reg. 41(5)

CONTENTS OF THE LICENCE N.I.

2.  The front of the licence must contain—

(a) the words “Train driving licence” printed in large type in English,

(b) the words “United Kingdom”,

(c) the distinguishing sign of the United Kingdom in accordance with the United Kingdom’s code in ISO standards 3166-1:2006(22), printed in negative in a blue rectangle and encircled by 12 yellow stars,

(d) information specific to the licence issued, numbered as follows—

(i) the surname of the holder,

(ii) other name(s) of the holder,

(iii) the date and place of birth of the holder,

(iv) the following details—

• the date of issue of the licence,

• the date of expiry of the licence,

• the words “Department for Regional Development”,

• the reference number assigned to the holder by the holder’s employer (optional)

(v) the number of the licence giving access to data in the register referred to in regulation 22,

(vi) a photograph of the holder,

(vii) the signature of the holder,

(viii) the permanent place of residence or postal address of the holder (optional)

(e) the words “[F19 European Union] model” in English and the words “Train driving licence” in the other languages of [F19 the European Union], printed in yellow to form the background of the licence,

(f) the reference colours—

(i) blue — Pantone Reflex blue

(ii) yellow — Pantone yellow

(g) additional information, or medical restrictions for use imposed by the Department in accordance with Schedule 1, in code form.

The codes shall be decided by the Commission, in accordance with the regulatory procedure referred to in article 32(2) of the Directive and on the basis of a recommendation from the Agency.

Textual Amendments

F19 Words in Regulations substituted (22.4.2011) by The Treaty of Lisbon (Changes in Terminology) Order 2011 (S.I. 2011/1043), arts. 2, 3-6

Commencement Information

I45 Sch. 2 para. 2 in force at 31.12.2010, see reg. 41(5)

CERTIFICATE N.I.

3.  The certificate must contain—

(a) the surname of the holder,

(b) other name(s) of the holder,

(c) the date and place of birth of the holder,

(d) the date of issue of the certificate,

(e) the date of expiry of the certificate,

(f) the name of the issuing railway undertaking ,

(g) the reference number assigned to the holder by the issuing railway undertaking (optional)

(h) the number of the certificate giving access to data in the register referred to in regulation 23,

(i) a photograph of the holder,

(j) the signature of the holder,

(k) the permanent place of residence or postal address of the holder (optional)

(l) the name and address of the railway undertaking for which the train driver is authorised to drive trains,

(m) the category in which the holder is entitled to drive,

(n) the type of rolling stock which the holder is entitled to drive,

(o) the infrastructures on which the holder is authorised to drive,

(p) any additional information or restrictions,

(q) language skills.

Commencement Information

I46 Sch. 2 para. 3 in force at 31.12.2010, see reg. 41(5)

MINIMUM DATA CONTAINED IN REGISTERS OF TRAIN DRIVING LICENCES AND TRAIN DRIVING CERTIFICATES N.I.

4.—(a) Data relating to the licence—

• All data appearing on the licence plus data relating to the checking requirements set out in regulations 8 and 13.

(b) Data relating to the certificate—

• All data appearing on the certificate plus data relating to the checking requirements set out in regulations 9 and 15.

Commencement Information

I47 Sch. 2 para. 4 in force at 31.12.2010, see reg. 41(5)

Regulations 8 and 28

[F28 SCHEDULE 3 N.I. GENERAL PROFESSIONAL KNOWLEDGE AND REQUIREMENTS REGARDING THE LICENCE

Textual Amendments

F28 Sch. 3 substituted (21.3.2016) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2016 (S.R. 2016/73), regs. 1(1), 2(5), Sch. (with reg. 3)

(This Schedule substantially reproduces the provisions of Annex IV to the Directive) N.I.

The objective of the general training is to provide general competence on all aspects that are relevant to the train driver’s profession. The general training will focus on basic knowledge and principles that are applicable independently of the type and nature of rolling stock or infrastructure. Requirements for training for specific rolling stock or infrastructure are specified in Schedules 4 and 5 of these regulations.

The subjects included in the general training are listed below in no particular order of priority.

1.   In relation to a driver’s work, the work environment, the driver’s role and responsibility in the process of rail operation, the professional and personal demands of the driver’s duties the driver must— N.I.

(a) have acquired knowledge of the general thrust of legislation and rules applicable to rail operation and safety (requirements and procedures regarding the certification of train drivers, dangerous goods, environmental protection, fire protection, etc.);

(b) understand the specific requirements and professional and personal demands (working mainly on one’s own, shift work over 24 hour cycle, individual protection and security, reading and updating documents, etc.);

(c) understand behaviours which are compatible with safety-critical responsibilities (medication, alcohol, drugs and other psychoactive substances, illness, stress, fatigue, etc.);

(d) be able to identify the reference and operating documents (e.g. rule book, route book, driver’s manual, etc.);

(e) be able to identify the responsibilities and functions of persons involved;

(f) understand the importance of being precise in carrying out duties and in working methods;

(g) understand occupational health and safety (e.g. code of behaviour on and near tracks, code of behaviour for getting on and off the traction unit safely, ergonomics, staff safety rules, personal protective equipment, etc.);

(h) have acquired knowledge of behavioural skills and principles (stress management, extreme situations, etc.); and

(i) have acquired knowledge of the principles of environmental protection (sustainable driving, etc.).

2.   In relation to railway technologies, including safety principles behind operational regulations the driver must— N.I.

(a) have acquired knowledge of the principles, regulations and provisions regarding safety in rail operation; and

(b) be able to identify the responsibilities and functions of persons involved.

3.   In relation to the basic principles of railway infrastructure the driver must have acquired knowledge of — N.I.

(a) systematic and structural principles and parameters;

(b) the general characteristics of tracks, stations, marshalling yards;

(c) railway structures (bridges, tunnels, points, etc.);

(d) operating modes (single track, double track operation, etc.);

(e) signalling and train control systems;

(f) safety installations (hot-axle box detectors, smoke detectors in tunnels, etc.) and

(g) traction power supply (catenary, third rail, etc.).

4.   In relation to the basic principles of operational communication the train driver must— N.I.

(a) have acquired knowledge of the significance of communication and the means and procedures for communicating;

(b) be able to identify persons the driver needs to contact and their role and responsibility (staff of the infrastructure manager, working duties of other train staff, etc.);

(c) be able to identify situations/causes that require communication to be initiated; and

(d) understand communication methods.

5.   In relation to trains, their composition and the technical requirements for traction units, wagons, coaches and other rolling stock the driver must— N.I.

(a) have acquired knowledge of the generic types of traction (electric, diesel, steam, etc.);

(b) be able to describe the layout of a vehicle (bogies, bodies, driving cab, protection systems, etc.);

(c) have acquired knowledge of the content and systems of labelling;

(d) have acquired knowledge of the documentation on train composition;

(e) understand braking systems and performance calculation;

(f) be able to identify train speed;

(g) be able to identify maximum load and forces at the coupler; and

(h) have acquired knowledge of the operation and purpose of the train management system.

6.   In relation to hazards involved in railway operations in general the driver must— N.I.

(a) understand the principles governing traffic safety;

(b) have acquired knowledge of the risks related to railway operation and the various means to be used to mitigate them;

(c) have acquired knowledge of safety-relevant incidents and understand the required behaviour/reaction; and

(d) have acquired knowledge of the procedures applicable to accidents involving persons (e.g. evacuation).

7.   In relation to the basic principles of physics the driver must— N.I.

(a) understand forces at the wheel;

(b) be able to identify factors influencing accelerating and braking performance (weather conditions, braking equipment, reduced adhesion, sanding, etc.); and

(c) understand principles of electricity (circuits, measuring voltage, etc.).]

Regulation 9 and 28

SCHEDULE 4 N.I. PROFESSIONAL KNOWLEDGE OF INFRASTRUCTURE AND REQUIREMENTS REGARDING THE TRAIN DRIVING CERTIFICATE

(This Schedule substantially reproduces the provisions of Annex VI to the Directive) N.I.

TESTING THE BRAKES N.I.

1.  Drivers must be able to check and calculate, before departure, that the train’s braking power corresponds to the braking power required for the line, as specified in the vehicle documents.

Commencement Information

I48 Sch. 4 para. 1 in force at 31.12.2010, see reg. 41(5)

TYPE OF OPERATION AND MAXIMUM TRAIN SPEED ACCORDING TO THE LINE CHARACTERISTICS N.I.

2.  Drivers must be able to—

(a) take note of information given to them, such as the speed limits or any signalling changes,

(b) determine the type of running and the limit speed of the train on the basis of the characteristics of the line.

Commencement Information

I49 Sch. 4 para. 2 in force at 31.12.2010, see reg. 41(5)

KNOWLEDGE OF THE LINE N.I.

3.  Drivers must be able to anticipate problems and react appropriately in terms of safety and other performances, such as punctuality and economic aspects. They must therefore have a thorough knowledge of the railway lines and installations on their route and of any alternative routes agreed on.

The following aspects are important—

(a) operational conditions (changes of track, one-way running, etc.),

(b) perform a route check and consult the relevant documents,

(c) identification of tracks that can be used for a given type of running,

(d) the applicable traffic rules and the meaning of the signalling system,

(e) the operations regime,

(f) the block system and associated regulations,

(g) station names and the position, and distance-sighting of stations and signal boxes to adapt driving accordingly,

(h) transition signalling between different operating or power supply systems,

(i) speed limits for the different train categories driven,

(j) topographical profiles,

(k) particular braking conditions, for example on lines with a steep downward gradient,

(l) particular operating features: special signals, signs, departure conditions, etc.

Commencement Information

I50 Sch. 4 para. 3 in force at 31.12.2010, see reg. 41(5)

SAFETY REGULATION N.I.

4.  Drivers must be able to—

(a) start the trains only when all prescribed conditions are fulfilled (timetable, start order or signal, operation of signals if required, etc.),

(b) observe track-side and in-cab signals, interpret them immediately and without error, and act as specified,

(c) run the train safely according to the specific modes of operation: apply special modes if instructed, temporary speed restrictions, running in opposite direction, permission to pass signals at danger, switching operations, turns, running through construction sites, etc.,

(d) respect scheduled or supplementary stops, and if necessary perform supplementary operations for passengers during these stops, notably opening and closing the doors.

Commencement Information

I51 Sch. 4 para. 4 in force at 31.12.2010, see reg. 41(5)

DRIVING THE TRAIN N.I.

5.  Drivers must be able to—

(a) know the train’s position on the line at all times,

(b) apply the brakes for decelerations and stops, taking account of the rolling stock and installations,

(c) adjust the running of the train in accordance with the timetable and any orders given on saving energy, taking account of the characteristics of the traction unit, the train, the line and the environment.

Commencement Information

I52 Sch. 4 para. 5 in force at 31.12.2010, see reg. 41(5)

ANOMALIES N.I.

6.  Drivers must be able to—

(a) be attentive, insofar as train operation permits, to unusual occurrences concerning the infrastructure and the environment: signals, tracks, energy supply, level crossings, track surrounding, other traffic,

(b) know particular distances to clear obstacles,

(c) inform the infrastructure manager as soon as possible of the place and nature of anomalies observed, making sure that the information has been understood,

(d) taking into account the infrastructure, ensure or take measures to ensure the safety of traffic and persons, whenever necessary.

Commencement Information

I53 Sch. 4 para. 6 in force at 31.12.2010, see reg. 41(5)

OPERATING INCIDENTS AND ACCIDENTS, FIRES AND ACCIDENTS INVOLVING PERSONS N.I.

7.  Drivers must be able to—

(a) take steps to protect the train and summon assistance in the event of an accident involving persons,

(b) determine where to stop the train in the event of a fire and facilitate the evacuation of passengers, if necessary,

(c) provide useful information on the fire as soon as possible if the fire can not be brought under control by the driver acting alone,

(d) inform the infrastructure of these conditions as soon as possible,

(e) assess whether the infrastructure allows the vehicle to continue to run and under which conditions.

Commencement Information

I54 Sch. 4 para. 7 in force at 31.12.2010, see reg. 41(5)

[F29 LANGUAGE TESTS N.I.

8.   The language requirements are as follows—

(1) Drivers who have to communicate with the infrastructure manager on critical safety issues must have language skills in the language indicated by the infrastructure manager concerned. Their language skills must be such that they can communicate actively and effectively in routine, adverse and emergency situations.

(2) They must be able to use the messages and communication method specified in the Annex to Commission Decision 2012/757/EU concerning the technical specification for interoperability relating to the “operation and traffic management” subsystem of the rail system in the European Union and amending decision 2007/757/EC.

(3) Drivers must be able to understand (both listening and reading) and to communicate (both speaking and writing) according to level B1 of the Common European Framework of Reference for Languages (CEFR) established by the Council of Europe.]

Textual Amendments

F29 Sch. 4 para. 8 substituted (21.3.2016) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2016 (S.R. 2016/73), regs. 1(1), 2(6) (with reg. 3)

Regulation 9 and 28

SCHEDULE 5 N.I. PROFESSIONAL KNOWLEDGE OF ROLLING STOCK AND REQUIREMENTS REGARDING THE TRAIN DRIVING CERTIFICATE

(This Schedule substantially reproduces the provisions of Annex V to the Directive) N.I.

After completing specific training in relation to rolling stock, drivers must be able to carry out the following tasks—

TESTS AND CHECKS PRIOR TO DEPARTURE N.I.

1.  Drivers must be able to—

(a) collect the documentation and the necessary equipment,

(b) check the capacities of the traction unit,

(c) check the information entered in the documents on board the traction unit,

(d) ensure, by performing the checks and tests specified, that the traction unit is capable of providing the required traction power, and that the safety equipment is operating,

(e) checking the availability and functionality of the prescribed protection and safety equipments at the handover of a locomotive or at the start of a trip,

(f) perform any routine preventative maintenance operations.

Commencement Information

I55 Sch. 5 para. 1 in force at 31.12.2010, see reg. 41(5)

KNOWLEDGE OF ROLLING STOCK N.I.

2.  To operate a locomotive, drivers must be familiar with all the controls and indicators placed at their disposal, in particular those concerning—

(a) traction,

(b) braking,

(c) traffic safety-related elements.

In order to detect and locate anomalies in the rolling stock, report them and determine what is required to repair them, and in certain cases, to take action, drivers must be familiar with—

(a) mechanical structures,

(b) suspension and attachment equipment,

(c) running gear,

(d) safety equipment,

(e) fuel tanks, fuel supply systems, exhaust equipment,

(f) the meaning of markings on the inside and outside of the rolling stock, in particular the symbols used for the transportation of dangerous goods,

(g) trip registration systems,

(h) electrical and pneumatic systems,

(i) collection of current and high-voltage systems,

(j) communication equipment (ground-to-train radio, etc),

(k) arrangement of trips,

(l) the constituent parts of the rolling stock, their purpose, and the devices specific to the hauled stocks, in particular the system of stopping the train by venting the brake pipe,

(m) braking system,

(n) the parts specific to traction units,

(o) traction chain, motors and transmission.

Commencement Information

I56 Sch. 5 para. 2 in force at 31.12.2010, see reg. 41(5)

TESTING THE BRAKES N.I.

3.  Drivers must be able to—

(a) check and calculate, before departure, that the train’s braking power corresponds to the braking power required for the line, as specified in the vehicle documents,

(b) check the functioning of the various components of the braking system of the traction unit and of the train, as appropriate, before departure, at start-up and during running.

Commencement Information

I57 Sch. 5 para. 3 in force at 31.12.2010, see reg. 41(5)

OPERATING MODE AND MAXIMUM SPEED OF THE TRAIN IN RELATION TO THE LINE CHARACTERISTICS N.I.

4.  Drivers must be able to—

(a) take note of information given to them before departure,

(b) determine the type of running and the limit speed of the train on the basis of variables such as speed limits, weather conditions or any signalling changes.

Commencement Information

I58 Sch. 5 para. 4 in force at 31.12.2010, see reg. 41(5)

DRIVING THE TRAIN IN A WAY WHICH DOES NOT DAMAGE INSTALLATIONS OR VEHICLES N.I.

5.  Drivers must be able to—

(a) use all available control systems in accordance with the applicable rules,

(b) start the train taking account of adhesion and power constraints,

(c) apply the brakes for decelerations and stops, taking account of the rolling stock and installations.

Commencement Information

I59 Sch. 5 para. 5 in force at 31.12.2010, see reg. 41(5)

ANOMALIES N.I.

6.  Drivers must—

(a) be able to be attentive to unusual occurrences concerning the behaviour of the train,

(b) be able to inspect the train and identify signs of anomalies, distinguish between them, react according to their relative importance and try to remedy them, always giving priority to the safety of rail traffic and persons,

(c) know the available means of protection and communication.

Commencement Information

I60 Sch. 5 para. 6 in force at 31.12.2010, see reg. 41(5)

OPERATING INCIDENTS AND ACCIDENTS, FIRES AND ACCIDENTS INVOLVING PERSONS N.I.

7.  Drivers must—

(a) be able to take steps to protect the train and summon assistance in the event of an accident involving persons on board the train,

(b) be able to determine whether the train is transporting dangerous goods and identify them on the basis of train documents and wagon lists,

(c) know the procedures relating to the evacuation of a train in case of emergency.

Commencement Information

I61 Sch. 5 para. 7 in force at 31.12.2010, see reg. 41(5)

CONDITIONS FOR CONTINUING RUNNING AFTER AN INCIDENT INVOLVING ROLLING STOCK N.I.

8.  After an incident, drivers must be able to assess whether the vehicle can continue to run and under what conditions, so as to inform the infrastructure manager of those conditions as soon as possible,

Drivers must be able to determine if an expert evaluation is necessary before the train can continue.

Commencement Information

I62 Sch. 5 para. 8 in force at 31.12.2010, see reg. 41(5)

IMMOBILISATION OF THE TRAIN N.I.

9.  Drivers must be able to take measures to ensure that the train, or parts thereof, does not start up or move unexpectedly, even in the most difficult conditions.

Furthermore, drivers must have knowledge about measures which can stop a train or parts thereof in case it has started to move unexpectedly.

Commencement Information

I63 Sch. 5 para. 9 in force at 31.12.2010, see reg. 41(5)

Regulation 15

SCHEDULE 6 N.I. FREQUENCY OF EXAMINATIONS

Commencement Information

I64 Sch. 6 in force at 31.12.2010, see reg. 41(5)

(This Schedule substantially reproduces the provisions of Annex VII to the Directive) N.I.

The frequency of the periodic checks shall be as follows—

(a) linguistic knowledge (only for non-native speakers): every three years or after any absence of more than one year,

(b) infrastructure knowledge (including route and operation rules knowledge): every three years or after any absence of more than one year on the relevant route,

(c) knowledge of rolling stock: every three years.

Regulation 28

SCHEDULE 7 N.I. TRAINING METHOD

Commencement Information

I65 Sch. 7 in force at 31.12.2010, see reg. 41(5)

(This Schedule substantially reproduces the provisions of Annex III to the Directive) N.I.

There must be a good balance between theoretical training (classroom and demonstrations) and practical training (on-the-job experience, driving with supervision and driving without supervision on tracks which are closed off for training purposes).

Computer-aided training must be accepted for individual learning of the operational rules, signalling situations, etc.

The use of simulators, although not obligatory, may be useful for the effective training of drivers; they are particularly useful for training in abnormal working conditions or for rules infrequently applied. They have a particular advantage in their ability to provide learning-by-doing capability for events that cannot be trained in the real world. In principle, simulators of the latest generation must be used.

Concerning the acquisition of route knowledge, the approach to be favoured must be where the train driver accompanies another driver for an appropriate number of journeys along the route, in daylight as well as at night. Videos of the routes as seen from the driver’s cab may be used, among other methods, as an alternative training method.

F30 SCHEDULE 8 N.I. Regulation 40OFFENCES: MODE OF TRIAL AND MAXIMUM PENALTY

Textual Amendments

F30 Sch. 8 deleted (11.11.2013) by The Train Driving Licences and Certificates (Amendment) Regulations (Northern Ireland) 2013 (S.R. 2013/236), regs. 1(1), 2(10)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Explanatory Note

(This note is not part of the Regulations)

These Regulations implement, for Northern Ireland, Directive 2007/59/EC (Official Journal L315, 3.12.2007 p. 51), the certification of train drivers driving locomotives and trains on the railway system in the Community.

They establish a system for the licensing and certification of train drivers who drive trains on the mainline railway network. A railway undertaking will not cause or permit a person to drive a train on the Northern Ireland network unless that person is the holder of a licence, recognised by Member States, attesting to compliance with minimum criteria as regards medical, educational and general professional skills, and a certificate indicating the infrastructure on which the holder is authorised to drive and the rolling stock which the holder is authorised to drive (regulation 4). In Northern Ireland licences may be granted by the Department for Regional Development (regulation 8), and certificates may be granted by a railway undertaking (regulation 9).

Associated provisions are included, in particular provision for the training and examination of train drivers (Part 9), the establishment of registers of licences and certificates (regulation 22 and 23), the suspension and withdrawal of licences and certificates (Part 11), and enforcement (regulation 41).

After they come into operation the Regulations take effect gradually in phases in 2011, 2013 and 2018 (regulation 41), but the Department and railway undertaking are empowered to issue licences and certificates in advance of their becoming mandatory (regulation 41).

(1)

SI 1999/283.

(2)

SI 1996/266.

(3)

1972 c. 68.

(4)

SI 1978/1039 (N.I. 9).

(5)

Corrected version in O.J. No. L220, 21.6.2004, p. 3.

(6)

O.J. No. L315, 3.12.2007, p. 51.

(7)

SR 2006/237.

(8)

O.J. No. L164, 30.4.2004, p. 44.

(9)

1954 c. 33 (N.I.).

(10)

O.J. No. L199, 31.7.1985, p. 56.

(11)

O.J. No. L235, 17.9.1996, p. 6 as last amended by Commission Directive 2007/32/EC (O.J. No. L141, 2.6.2007, p. 63.

(12)

O.J. No. L110, 20.4.2001, p. 1 as last amended by Commission Directive 2007/32/EC.

(13)

O.J. No. L191, 18.7.2008, p. 1.

(14)

Article 31(2) was substituted by the Health and Safety Offences Act 2008 (c. 20), Section 1(3).

(15)

Article 22(7) was amended by the Civil Partnership Act 2004 (c. 33), section 261(3) and Schedule 29, paragraph 7.

(16)

Article 24(1) and (2) was amended by the Consumer Protection (Northern Ireland) Order 1987 S.I. 1987/2049 (N.I. 20), Article 28 and Schedule 2, paragraph 3. Article 24(3) was substituted by S.I 1987/2049 N.I.20), Article 28 and Schedule 2, paragraph 3.

(17)

Article 25(5) was amended by the Fire and Rescue Services (Northern Ireland) Order S.I. 2006/1254 (N.I. 9), Articles 1(3) and 63(1) and Schedule 3, paragraph 11.

(18)

Article 30(1)(a) was amended by S.I. 1987/2049 (N.I. 20), Article 28 and Schedule 2, paragraph 6. Article 30(3)(a), 30(4) and 30(5)(a) were amended by the Health and Safety at Work (Amendment) (Northern Ireland) Order 1998 No. 2795 (N.I. 18), Article 6 and Schedule 1, paragraph 8.

(19)

Article 31(1)(h) was amended by the Consumer Protection (Northern Ireland) Order 1987 S.I. 1987/2049 (N.I. 20), Article 28 and Schedule 2, paragraph 7. Article 31(1)(m) was amended by the Criminal Justice (Northern Ireland) Order 1986 No. 1883 (N.I. 15), Article 9.

(20)

ISO standards are published in Geneva by the International Organisation for Standardisation. ISO standard 7810:2003 — identification cards — physical characteristics — edition 3 was published on 31 October 2003 and 7816-1:1998 — identification cards — integrated circuit(s) cards with contacts — Part 1 — physical characteristics — edition 1 was published on 8 October 1998.

(21)

ISO standard 10373-1:2006 — identification cards — test methods — Part 1 — General Characteristics — edition 2 was published on 26 April 2006.

(22)

ISO standard 3166-1:2006 — codes for the representation of names of countries and their subdivisions — Part 1 — country codes — edition 2 was published on 20 November 2006.