Guide to the Train Driving Licences and Certificates Regulations 2010 - November 2015
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Guide to the Train
Driving Licences and
Certificates
Regulations 2010
November 2015
Updated March 2018
1. 9481164
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/train-
driving-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
guidance as illustrating good practice. 1. 9481164
Contents The purpose of this guide 9 Who this guide is for 9 Domestic driver 11 A person who drives on the mainline railway solely within Great Britain. 11 Cross-border driver 11 Existing cross-border driver 11 Existing driver 11 Infrastructure manager 11 Railway undertaking 11 Recognised doctor 11 Recognised examination centre 12 Recognised examiner 12 Recognised psychological practitioner 12 Recognised trainer 12 Recognised training centre 12 ROGS 12 TDLCR 12 Train Driver Directive (the Directive) 12 Train operator 12 Why has TDLCR been introduced? 13 When does TDLCR apply from? 13 What does TDLCR mean for me? 14 Train drivers 14 Railway undertakings and infrastructure managers 14 Doctors and psychological practitioners 15 Who issues and enforces licences? 15 Issuing licences 15 Enforcement 16 Key points 17 Applying for a train driving licence. 17 When to apply 19 Where to apply 19 Carrying a licence 19 Keeping licences valid 19 Withdrawing and suspending licences 22 Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 4
Appeals 23 Key points 24 Driver certification process 24 Content and format of information 24 Carrying certificates 25 Leaving an employer 25 Withdrawing and suspending certificates 25 Appeals 25 Key points 27 Competence and knowledge 27 Licence: General knowledge 27 Certificates: Infrastructure competence requirements 27 Certificates: Rolling stock competence requirements 28 When should competence and knowledge training & assessment take place? 28 For licences 28 For certificates 28 Training, assessing and monitoring competence 29 Who is responsible? 29 Who carries out training and assessment? 29 Key points 31 Fitness Requirements 31 When do assessments need to take place? 31 Initial assessment 31 Medical assessment 32 Psychological assessment 32 Experienced drivers 33 Regular assessment 33 Who carries out assessments? 33 Recognised doctors 33 Recognised psychological practitioner 34 Appeals 34 Drivers 35 Employers 35 Licence and certificate application flowchart. 37 Annex A Train Driver Licence Application Form and Guidance. 39 Annex B: Driver information - content and formats 47 Annex B1: Train driving licence 47 Physical characteristics of the train driving licence 48 Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 5
Anti-forgery measures 48 Lay-out of the train driving licence 49 Status and numbering of the train driving licence 52 Annex B2 National Licence Register 53 1. Basic Parameters 53 2. Data to be collected 53 3. Data Format 53 4. Access rights 58 5. Data exchange 58 6. Duration of data retention 59 Annex B3 Train driving certificate 60 1. Information to be included in the complementary certificate. 60 2. Physical characteristics of the complementary certificate 64 3. Anti-forgery measures 65 Annex B4 Certificate register 66 1. Basic parameters 66 2. Data to be collected 66 3. Data format 66 4. Access rights 71 5. Data exchange 71 6. Duration of data retention 71 7. Procedure in case of bankruptcy 72 Annex B5 Certified copy of the train driving certificate 73 1. Certified copy of complementary certificate 74 2. Physical characteristics of the certified copy of complementary certificate 74 3. Anti-forgery measures 74 Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 6
Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 7
74 Annex C1 Doctors Route to Register 75 Annex C2 Psychological practitioners route to register 76 Annex C3 Procedure for recognising trainers and training centres of train drivers 77 Annex C4 Criteria for recognising examination centres of train drivers. 78 Annex C5 Recognition of training and examination centres - Key requirements. 78 Annex D Appeals process relating to train driver certificates. 85 Contents 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 Application Form 91 Annex E Depot drivers - ORR's policy position. 101 Annex F Appeals process for doctors, psychometric assessors, trainers and examiners. 102 Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 8
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-driving- licences-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 Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 9
(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. Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 10
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. Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 11
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. 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. Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 12
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.
Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 131.6 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 3.
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
Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 14provision 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 4.
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 5.
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
Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 15safety 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. Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 16
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. We
strongly recommend that employers of train drivers use a specific online system to make a licence
appliation s as this will speed up the process of issuing the licence. Alternatively an application form is
available, 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.
More information on where to apply for a train driver licence is set out in paragraph 2.7.
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 Evidence Who provides evidence ORR will check
condition and how
requirement
Minimum age Date of birth Applicant, on application Form signed as true and accurate by
form applicant
Basic Details of Applicant, with application Form signed as true and accurate by
education highest level of form if applying direct to applicant
Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 17education ORR for the licence.
Medical fitness Certificate that Recognised doctor, or Doctor/ supervisor must meet
examination medical assessor operating under recognition criteria to appear on ORR
assessment their supervision, endorses register
passed application form; or
.
Occupational Certificate that Recognised psychological Psychological practitioner must meet
psychological psychological practitioner operating under recognition criteria to appear on ORR
fitness assessment their supervision, endorses register
passed application form: or
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 Certificate that Train operator or other Train operator or other provider must
competence general recognised examination meet criteria as a recognised training
knowledge body endorses application and examination body to appear on
requirements form ORR register. For a train operator, this
met is through its ROGs safety
certification.
2.3 Either online applications or 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 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 we will do the following:
Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 18• 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.
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 for licences should be made through ORR’s online Train Driving Licence application
system. The homepage for logging in or requesting membership is available here:
https://tdl.orr.gov.uk/_layouts/15/CustomLogin/Login.aspx?ReturnUrl=%2f_layouts%2f15%2fAuthenticate.
aspx%3fSource%3d%252F&Source=%2F
A guide to using this system is also available.
Alternatively pplications may be made by e-mail to: rsd.admin@orr.gsi.gov.uk using forms available on
the train driver licencing web page.
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.
Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 19• 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:
Event Who notifies ORR action
ORR?
Driver changes Driver Register updated with new employer’s details*
employer
(*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 Employer Register updated with date driver stopped work. Continuous
working as a unemployment as a driver for a period of twelve months or more
driver 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 Driver or Register updated
address/contact Employer
details change
Notification of Employer Date of incapacity noted. Any absence from work as a driver for a
work incapacity period of twelve months or more from this date will cause the
in excess of three licence to be suspended as general competence cannot be
months maintained. Further evidence of general competence will be
required to re-instate the licence.
In the case of an absence of twelve months or more due to
maternity leave the licence will not be suspended but the employer
should ensure that the driver is required to demonstrate
competence through an examination check on return to work.
Paragraph above added March 2018
Notification of Driver or Date of medical recorded. Date for requirement for next medical
driver passing employer generated and notified to driver and employer.
periodic medical
Notification of Driver or Licence status changed to suspended; driver and employer notified
driver failing that reassessment must be passed within twelve months and
Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 20medical, with employer evidence provided to ORR to restore validity. possibility of fitness being regained Notification of Driver or Licence status changed to withdrawn driver failing employer medical, with no possibility of fitness being regained 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. Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 21
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:
• 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.
Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 222.27 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.
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.
Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 233. 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.
Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 24Carrying 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: Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 25
• 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.
Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 264. 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 Infrastructure Rolling Stock
• Principles of operation • How the infrastructure • How the rolling stock works
• Understanding of risks works • Carrying out checks and test
• Safe behaviours • Route knowledge prior to departure
• Operating rules • Driving safely
• Emergency procedures • Dealing with malfunctions and
and degraded working emergencies
• Language skills
TDLCR: Schedule 3 TDLCR: Schedule 4 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.
Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 27Certificates: 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. Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 28
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.
Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 294.20 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/sf- dev-staff.pdf Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 30
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. Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 31
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; Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 32
• 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.
Office of Rail and Road | 27 March 2018 Guide to the TDLCR 2010 | 33You can also read
