Explanatory Memorandum to COM(2004)142 - Certification of train crews operating locomotives and trains on the EC's rail network - Main contents
Please note
This page contains a limited version of this dossier in the EU Monitor.
| dossier | COM(2004)142 - Certification of train crews operating locomotives and trains on the EC's rail network. |
|---|---|
| source | COM(2004)142  |
| date | 03-03-2004 |
The establishment of a single market for railway transport services made it necessary to create a framework of requirements for implementing the opening up of the market and regulating it at EU level. The Community responded to this by adopting the legislative package for railway infrastructure in 2001 i. By amending particular provisions of the 'mother' Directive 91/440/EC, Directive 2001/12/EC clarified the roles and responsibilities of the parties involved, i.e. railway undertakings, infrastructure managers and supervisory bodies, which are responsible for arbitrating in potential conflicts between the first two. Directive 2001/13/EC on the licensing of railway undertakings introduced the principle of mutual recognition by authorising market access for all undertakings which hold a licence in one of the Member States and wish to engage in international goods transport operations. Finally, Directive 2001/14/EC provided a framework for allocating capacity and levying charges for the use of railway infrastructure, based on the dual principle of transparency and neutrality.
This process has at the same time made it necessary to remove 'technical' barriers to the development of trans-European transport while maintaining an optimum safety level. The directives on railway interoperability i have made it possible to initiate the technical work necessary for defining Technical Specifications for Interoperability (TSIs), which are essential for providing pan-European railway services. The High-Speed TSIs were adopted on 30 May 2002 and the first generation of conventional TSIs is currently being drawn up and should be adopted in May 2004.
By presenting the second railway package i in January 2002, the European Commission strengthened the Community legislative framework for railway safety in accordance with the requirements imposed by the definition of an interoperable network, both from a technical viewpoint and that of the personnel running interoperable services. The second railway package comprised four inter-linked legislative proposals:
* A proposal for a directive on railway safety to define the key elements of safety management systems for infrastructure managers and railway undertakings. The aim is to develop a common approach to safety and establish a common system for the issue, content and validity of safety certificates, and to introduce the principle of independent accident investigations that already exists in other sectors.
* An amendment of the interoperability directives 96/48/EC and 2001/16/EC. In addition to making the adaptations required to harmonise the two directives and to take account of experience gained in this field, the aim is to acknowledge the role of the future agency and ensure coherence between the scope of the network on which access will be provided and that on which the interoperability rules should apply.
* A proposal for a regulation establishing a European Railway Agency to provide technical support for interoperability and safety. The agency will pursue activities in developing common safety standards and establishing and managing a system to monitor safety performance and, secondly, assume the long-term management of the system for drafting and updating TSIs and their follow-up on the ground.
* A proposal for amending Directive 91/440 to extend rights of access to railway infrastructure to domestic freight services within a Member State and expedite the opening-up of the market.
Final adoption of these proposals is planned for the beginning of 2004.
The proposal for a directive on railway safety requires infrastructure managers and railway undertakings to develop their safety management system in such a way that the railway system can at least attain the Common Safety Objectives, comply with national safety rules and with the safety requirements specified in the TSIs, and that the relevant elements of the Common Safety Methods are applied. In this safety management system, provision is made for staff training programmes and for systems ensuring that staff skills are maintained at an optimum level.
This directive also provides that a railway undertaking must hold a safety certificate in order to have access to the infrastructure. This certificate confirms acceptance of the measures taken by the railway undertaking to meet the specific requirements necessary for safely operating the relevant network. These requirements may concern the application of the TSIs and national safety rules, acceptance of staff certificates and authorisation to operate the rolling stock used by the undertaking. With regard to staff, certification will still be based on documents to be furnished by the undertaking concerning the different categories of their personnel or contractors, including proof that the personnel meets the requirements of the TSIs or the national rules and that it has been duly certified.
With regard to the latter aspect, it has rapidly become clear that common rules should be adopted on certification of train drivers to facilitate their interoperability and improve management. This should eventually make it easier to certify railway undertakings while maintaining a high level of safety and guaranteeing conditions for free movement of workers in the railway sector.
Examination of the proposals of the second railway package has highlighted the importance of this aspect of interoperability for establishing an integrated railway market. Accordingly, when political agreement was reached on the Package in the Council on 28 March 2003, the Commission gave a commitment to present to the European Parliament and the Council, by the end of 2003, a proposal on introducing a European train driver's licence. The need for such a proposal was emphasised at the second reading in the European Parliament which agreed to withdraw several amendments on condition that the Commission make an even stronger commitment to submit such a proposal as soon as possible.
Contents
- 2. Contributions emating from the social dialogue
- 3. The Commission's study
- 4. Situation in other modes of transport
- 5. Pre-legislative consultation
- 6. Principles and structure of the directive
- 6.1 Scope
- 6.2 A single model for the certification of train drivers
- 6.3 Definition of minimum requirements to obtain a driver's certificate
- 6.4 Training and assessment of skills
- 6.5 Inspections and penalties
- 7. Economic impact of the directive
- 7.1 Introduction
- 7.2 Reference scenario
- 7.3 Scenario in which the Directive is implemented
- 7.4 Other hypotheses
- 7.4.1 Number of drivers to be certified
- 7.4.2 Costs related to examiners
- 7.4.3 Costs related to accreditation
- 7.4.4 Costs related to production of the licence
- 7.4.5 Benefits associated with reducing the duration of training
- 7.4.6 Benefits associated with reducing the duration of railway undertaking certification
- 7.4.7 Benefits associated with reducing risks
- 7.4.8 Benefits associated with greater mobility between undertakings
- 7.5 Comparative table
- 7.6 Conclusions
- 8. Comments on the Articles of the Directive
- Article 2
- Article 3
- Article 4
- Article 5
- Article 6
- Articles 7 to 11
- Article 14
- Article 15
- Article 16 to 19
- Article 20
- Articles 21 to 24
- Article 25
- Articles 26 and 27
- Articles 28
- Articles 29 and 30
- Article 31
- Articles 32 and 33
- Article 34
- ANNEX I
- ANNEX II
- ANNEX III
- ANNEX IV
- ANNEX V
- ANNEX VI
- ANNEX VII
- 9. Subsidiarity
- 10. Financial impact
In 1996, the study group on interoperability of the Joint Committee on Railways i sent a report i to the European Commission on the social aspects of European railway policy. The social partners involved in drawing up this report were already able to stress the importance of the social dimension of interoperability as well as the technical dimension for boosting trade using the railways. The main conclusions of the 1996 report were as follows:
* the skills of train drivers should be harmonised rather than their training;
* the communication requirements between the infrastructure manager and train crews should be defined first;
* certain skills require psychological and medical examinations for which a uniform approach should be adopted.
In their conclusions, the partners pointed out that such convergence of interests highlights the need to harmonise these professional skills in order to establish a quality assurance process at Community level.
As a direct response to this first report and taking account of the Commission's proposals on the infrastructure package of 1998 and on interoperability of conventional railways of 1999, the Sectoral Dialogue Committee examined the subject in detail and submitted its conclusions to the Commission in March 2000 i. The conclusions concerned the classification of skills, possible methods for train drivers' certification and the role of all the players involved (Member States, infrastructure managers, railway undertakings, European institutions).
More recently, the Community of European Railways (CER) and the European Transport Workers' Federation (ETF) reached agreement on general social conditions significant for the European railway market. The negotiations, which had started in February 2003 when the present proposal already appeared on the Commission's work programme for 2003, focused on the working conditions of train crews engaged in cross-border rail transport services and the European train driver's licence. The latter agreement is designed to establish a transitional European licence system i, anticipating the implementation of the present proposal for a directive. The said agreement reaffirms the general objectives underlying the introduction of a European train driver's licence:
* to enhance the interoperability of train crews so as to stimulate international railway transport;
* to maintain and raise the safety level and thus guarantee the quality of services provided by train drivers while ensuring and verifying the level of skills adapted to the European networks used;
* to contribute to the efficiency of methods for managing interoperable train drivers for railway undertakings;
* to reduce the risk of social dumping.
While the question of working conditions of train crews is fully covered by Article 137 of the Treaty and can therefore be implemented through a Council decision in accordance with the provisions of Article 139 of the Treaty, the question of licences relates to safety and interoperability of the railway system. The importance of public safety and the imperative need for uniformity in specifying minimum requirements and licensing conditions call for a clear EU legislative framework which should be fully coordinated with the elements of the second railway package with regard to interoperability and safety.
For the present proposal, the Commission has broadly followed the example of the agreement on the European driver's licence, in particular with regard to minimum requirements concerning medical fitness and psychological suitability, obligatory periodic checks and the description of skills a driver must have. The only major difference between the agreement among the social partners and the present proposal lies in the Community spirit of this proposal as the driver's certificate proposed by the Commission comprises two parts:
* The first part is the EU licence which reflects the minimum Community requirements valid throughout EU territory. It is issued by the authority and belongs to the driver.
* The second part is the harmonised complementary certificate which reflects the particular requirements of the service for which each driver is authorised, i.e. it has restricted validity. It is issued by the railway undertaking.
With the gradual establishment of a single railway area, the Community part will gain in importance. Moreover, the second part could be incorporated in the licence, e.g. in the form of a smart card.
The CER-ETF agreement provides only for the licence issued by the railway undertaking. This licence remains the property of the railway undertaking and is linked to the employment contract. It does not replace national regulations on driver certification.
In 2002, the Commission commissioned a study on training and staff requirements for railway staff in cross-border operations i.
The conclusions of the study were presented in November 2002. They highlighted the wide diversity of national legislation on certification conditions for train drivers, administrative complications resulting from this for the granting of various safety certificates to railway undertakings wishing to operate on the networks of the Member States, and associated operational difficulties in organising cross-border services.
The study confirms that train crews involved in cross-border operations and personnel responsible for inspecting rolling stock from other Member States or from outside the EU and for dispatching trains with foreign train crews need additional knowledge and training. The skills required vary substantially from one country to another because of the language used, the rules governing operations and signals, knowledge of infrastructure, use of different types of rolling stock and emergency procedures.
Three general recommendations are made in the study:
* The need to specify and implement common minimum requirements for train drivers at European Union (or Member State) level, in particular to replace certification systems based on the practices of former railway operators.
* The need for extending interoperability to a 'multi-border' approach going beyond the traditional bilateral approach.
* A recommendation to take advantage of the implementation of harmonised systems such as ERTMS/ETCS in order to simplify the training of train drivers and despatching and control-command staff.
The following more specific recommendations were made: specification of minimum requirements as regards medical examinations and regular check-ups; common specification of psychological profiles; common specification of skills for personnel in cross-border operations; adopting a new approach to ensure follow-up of the level of competence of certified drivers; considering the use of a simplified communication system combined with basic knowledge of a common language; granting full operating rights to foreign train drivers when ERTMS/ECTS is active, but more restrictive operating rights in operational situations where an incident or damage has occurred; developing and implementing operational rules harmonised at European level.
The need to adopt EU rules on the certification of train drivers becomes obvious on reading the study's conclusions and recommendations. On the basis of the two reports from the social dialogue and the study which the Commission commissioned, and in line with its commitments, the Commission has therefore launched a consultation procedure to evaluate the feasibility of a legislative proposal in this field.
In drafting this proposal, use has been made of Community legislation already in place or in the process of being adopted in other transport sectors. The establishment of systems for driver certification at Community level always meets the same requirements:
* guaranteeing free movement of drivers within EU territory following the opening-up of transport markets.
* guaranteeing an optimum safety level on the networks.
In the maritime sector, the Commission has already set up a system similar to the one put forward in the present proposal, providing for the harmonisation of the conditions for obtaining national boatmasters' certificates for the carriage of goods and passengers by inland waterway in the Community i. Moreover, the Commission recently presented a proposal for a directive i amending Directive 2001/25/EC on the minimum level of training of seafarers, introducing a Community system for the recognition of certificates of competence issued to seafarers from outside the European Union. The purpose of the legislative provisions proposed is to ensure that non-EU seafarers working on board EU vessels have been trained and qualified in accordance with minimum international requirements.
In the road transport sector, while Directive 2003/59/EC on the initial qualification and periodic training of drivers of certain road vehicles for the carriage of goods or passengers entered into force only recently, the Commission has proposed a revision of EU legislation on drivers' licences i designed to standardise the model European licence, establish the principle of limited administrative validity, harmonise the regularity of medical check-ups for professional drivers, and introduce minimum requirements for the initial qualification and training of examiners.
In the aviation sector, Directive 91/670/EEC i did introduce the principle of mutual recognition of personnel licences for the exercise of functions in civil aviation, but these provisions quickly proved insufficient in the light of the discussions concerning proposals to establish the Single European Sky. There is in fact no harmonisation of training content and methods, nor of examination and follow-up criteria. In a unilateral declaration, the Commission has therefore announced that it will present a proposal to Parliament and to the Council on measures designed to remedy the shortage of air traffic controllers and harmonise the system for issuing licences for air traffic controllers and ATM personnel so as to improve safety.
The present proposal for a directive is intended to introduce provisions in the railway sector along the lines of those already in place or in the process of being introduced in other modes of transport. As indicated above, this should make it possible to facilitate the certification of railway undertakings as provided for in the railway safety directive while maintaining an optimum safety level and guaranteeing the free movement of workers in the sector.
As shown by the following table, certification conditions (training level, age, medical and psychological requirements, issuing authority, etc.) are based on relatively similar models which however take account of features and requirements pertaining to each mode of transport (physical fitness, age, experience, knowledge of infrastructure, etc.).
>TABLE POSITION>
The Commission has consulted stakeholders on the basis of a consultative document published on its Europa website on 2 July 2003. This document was presented, at a hearing organised by the Commission on 16 July 2003, to all the representatives of the sector: infrastructure managers, railway undertakings, social partners and service companies.
The document has aroused considerable interest: about thirty official reactions have been received and published on the Europa website. The principle of a legislative proposal to adopt Community rules on the certification of train drivers has been favourably received. However, there have been calls for a very cautious approach with regard to the economic impact which such a proposal would have as it imposes new certification and documentation procedures. There have also been many comments on details of the mechanisms proposed and on the minimum requirements to be verified. The Commission has taken most of these on board.
This round of consultation and all of the above elements have led to the firm conclusion that, in order to guarantee the requisite uniformity and transparency, the Community should draw up a single certification model in accordance with the principle of mutual recognition, while leaving responsibility for issuing a basic licence to the Member State of origin, in accordance with the subsidiarity principle, and the task of issuing a harmonised complementary certificate reflecting specific authorisations to the railway undertaking.
The provisions of this proposal for a directive form part of the common transport policy and contribute to attaining the objectives of the Community's policies on the free movement of workers, the freedom of establishment and the freedom to supply services while avoiding risks of distorting competition.
The Commission has chosen initially to limit the implementation of this proposal for a directive to train drivers in cross-border services who effectively work in the framework of interoperability.
When the proposal was being drafted, it became clear that implementation in two stages would be the most appropriate approach. The main aim is swiftly to apply provisions on the certification of drivers who are most directly affected by the opening-up of the railway market and who have to operate in the territory of other Member States. It is in this context that the requirements connected with railway safety are imperative and a matter of urgency.
In the second phase, the Commission intends, on the basis of a report covering the first phase, to extend the implementation of the European licence to all train drivers, taking account of exceptions which were already provided for in the scope of the proposal for a directive on safety and which form part of the second railway package.
Similarly, other members of the train crew who are indirectly involved in traffic safety will be dealt with later on.
In order to ensure that the documents certifying a person's ability to drive trains are standardised in terms of form and content, the Community, in this proposal for a Directive, defines a Community model for certification, in which the validity of the various component parts will be recognised by each of the Member States.
Ideally, drivers should hold a single document in the form of a smart card (containing a chip). The card would be issued by the competent authority, while the information relating specifically to infrastructure, rolling stock and periodic checks would be stored on the chip by the competent authority or, by delegation of powers, by the railway undertaking or any other body authorised for this purpose.
During the pre-legislative consultation, however, railway undertakings resolutely opposed introducing this system immediately for the following reasons:
- the specifications for a smart card of this kind are not yet available,
- considering the number of operations required to update the card, the competent authority would be obliged to delegate these operations to railway undertakings, which would have to procure the costly equipment needed;
- it is not clear that this kind of system affords any added value, given the limited number of train drivers working on cross-border services.
The Commission is therefore proposing that the measure be implemented in two phases:
- in the short term, certification will produce two sections: (a) the licence itself, a card in the same format as the European driving licence, issued by the competent authority on the basis of Community-wide criteria and recognised reciprocally, and (b) a harmonised certificate, issued by the railway undertaking which employs the driver, confirming that the driver has the specific knowledge required (rolling stock, infrastructure, periodic checks);
- in the longer term, the two component parts will be incorporated into a smart card, which meets operational and technical specifications to be defined through the comitology procedure.
In order to ensure that the Community legislative framework on rail safety is as consistent as possible, the authority responsible for issuing the licence will be the national safety authority which is to be established in accordance with Article 15 of the draft rail safety directive [COM(2002)21]. This authority will also be responsible for setting up a national register of licences, which must make it possible to find the key data relating to a driver's actions to gain and upgrade skills.
If Member States apply the principle of reciprocal recognition to the licences and harmonised complementary certificates drawn up in accordance with the Community model, this should facilitate drivers' ability to move both from one Member State to another and from one railway undertaking to another. This level of mobility seems essential, given the prospect of increased opening up of the rail market, and consistent with the various freedoms enshrined in the Treaty in connection with the establishment of a single market in the sector.
In accordance with what emerged from the consultation procedure and the preparatory work, the requirements must include at least the minimum age for train drivers, criteria related to the medical and psychological fitness of candidates, their professional experience and knowledge in a number of fields related to train driving, as well as their knowledge of the infrastructure on which they will have to operate.
It should be stressed that these are minimum requirements. A Member State may, if it wishes, impose additional requirements for the issue of drivers' certificates on its territory. If, however, a train driver holding a certificate which complies with the provisions of this draft Directive needs certification in order to gain access to the territory of such a Member State, the State concerned must recognise those sections of the certificate which are equivalent to the minimum requirements defined in the Directive and can therefore impose only additional training in respect of specific infrastructure (line knowledge, signalling, operating rules, etc.).
In response to certain concerns and in order to maintain the European railway system's high level of safety, strict requirements are defined for candidates' language skills. Drivers must have a knowledge of the language(s) indicated by the relevant infrastructure manager(s) to enable them to communicate actively and effectively in routine, abnormal and emergency situations.
Retention of the certificate is subject to periodic checks of the minimum requirements necessary to ensure an optimum standard of service which meets clear safety requirements.
Moreover, this draft Directive acknowledges the high standards of the training institutions and certification procedures which already exist in the Member States, but enables the authority normally competent to delegate some of its tasks. The authority continues to bear full responsibility, but may delegate or sub-contract certain tasks, provided that these tasks are carried out in a transparent and non-discriminatory fashion, without any conflict of interest.
Annex V to the proposal for a Directive defines a general training programme covering the professional knowledge required in order to obtain the licence. This programme is supplemented by training objectives relating more specifically to rolling stock and infrastructure; this is the knowledge required in order to obtain the harmonised complementary certificate, as described in Annexes VI and VII of the proposal.
Given that training opportunities are sometimes limited, Member States will have to publish the procedure for obtaining the licence and for the accreditation of the bodies responsible for training. Candidates must have access to training on a non-discriminatory basis.
The Member States must also specify the procedure for checking the skills acquired by candidates. In order to ensure the utmost transparency and avoid any conflict of interest, boards of examiners must be made up of persons accredited by the national safety authority.
The validity and content of the licence and the harmonised complementary certificate may be checked at any time by the authority competent for the territory concerned.
If a competent authority considers that a licence issued by the competent authority of another Member State or a harmonised complementary certificate does not meet the minimum requirements, the draft Directive provides for a procedure to object to the certification, drawing attention to the matter firstly to the issuing authority (or the railway undertaking), then, if necessary, to the Agency and, as a last resort, to the Commission.
The economic impact of the Directive was assessed by drawing up a plausible reference scenario (the natural development of the situation without the proposal) and a scenario in which the proposal is implemented in two phases, then by assessing its impact in terms of costs and benefits in each of the two scenarios.
This estimate came up against the problem that some information was not readily available; it is therefore based on a number of hypotheses, specifically:
* there is no public information on the costs borne by railway undertakings in respect of driver training and certification;
* the Member States are allowed considerable latitude in their implementation of the proposed Directive, entailing an infinite number of potential scenarios;
* it is impossible to describe exactly the reference scenario that reflects the development of the regulatory framework without the proposed measure in a situation in which the Member States have total freedom to adopt legislation on the subject.
In the course of the pre-legislative consultation, several States announced their intention to introduce a national legislative framework for driver certification in the near future or, in some cases, reported the legislative framework already in place. This trend is likely to become more widespread, as the forthcoming rail safety directive calls upon Member States to establish national rules for the certification of railway undertakings. If no action is taken at European level, then there will soon be 15 - and later 25 - national certification procedures, which are likely to differ considerably one from the other, reflecting the traditional practices of each national railway company.
In this scenario, solutions would have to be worked out on a case-by-case basis, according to the cross-border operations to be organised, as described in the final report of the Atkins study mentioned in Chapter 3. Drivers will be trained and certified first in one State, and will then have to go through a further cycle of training and certification in each new State in which they wish to work. This amounts to endlessly duplicating training with no predefined strategy, with all the wasted effort, costs and time that that could involve.
The proposed Directive will be implemented in two phases:
- Phase 1: initially it will apply only to drivers operating on cross-border services,
- Phase 2: then it will apply to all other drivers.
The competent authority can assume one of two main roles:
* the competent authority acts only as a supervisory authority. The task of awarding the licence is delegated to a railway undertaking, except in the case of drivers of rival undertakings. The register is set up by this undertaking or by a neutral third party, such as the infrastructure manager. The railway undertakings issue the harmonised complementary certificates;
* the competent authority carries out every aspect of issuing licences and supervision. It awards licences and sets up the register, if necessary sub-contracting the technical and IT tasks. The railway undertakings issue the harmonised complementary certificates.
In either case, the economic impact will vary from one operator to another but, overall, the costs will be approximately the same.
There are approximately 200 000 train drivers in the European Union of 25 Member States. At most 5% of all drivers, i.e. 10 000 drivers, are concerned by the first phase (cross-border services). An annual increase of 5% is expected, following increases in cross-border traffic, i.e. 500 drivers annually. An annual staff turnover of 5% is expected, i.e. 500 drivers each year. This means that there will be 1 000 drivers to be certified each year in phase 1 but 10 000 in phase 2.
Given the number of drivers to be certified, the two phases can overlap: the certification of all other drivers can begin before the certification of drivers involved in cross-border services has been completed.
One examiner is required for every 50 drivers, so the requirement is for 20 independent examiners in phase 1 and 200 examiners in phase 2. These examiners are to be recruited from the ranks of existing drivers. This will generate additional costs evaluated at EUR1 000 per driver in phase 1 and EUR500 in phase 2, plus a flat-rate sum at the beginning of each phase.
These costs are based on the following hypothesis: one person per State required for one year in order to set up the system in phase 1, and twice that number in phase 2. In addition, one tenth of a person-year per State is needed annually to maintain the system.
The proposed model follows the model of the European driving licence for motor vehicles. The licence in the form of a plastic card has to be produced for millions of motor vehicle drivers; production costs for volumes in this order have been evaluated at EUR0.20 per card.
The 2002 Atkins Study showed that, in the case of the cross-border services studied, drivers are not able to cross borders without extensive training. By taking account of the international component from the outset, this Directive should make it possible to reduce both the duration of additional driver training and the necessary assessment associated with it. The training time saved in relation to the average time needed to train a driver has been estimated as at least 10%.
In accordance with the rail safety directive, railway undertakings have to apply for safety certificates approving the arrangements made by the railway undertaking to fulfil the specific requirements necessary for the safe operation of the network in question. Requirements may cover the application of TSIs and national safety rules, procedures for issuing certificates to personnel and authorisation for putting into service the rolling stock used by the railway undertaking. For personnel, certification is based on the documentation provided by the railway undertaking concerning the selection of various categories of the staff of the undertaking or its contractors, including evidence that the staff fulfil the requirements of the TSIs or national rules and that they have been duly certified.
This Directive should help reduce the time which the railway undertaking needs to prepare the documentation and the time which the national safety authority needs to assess it.
The following figures for the European Union with 15 members are drawn from a recent NERA study:
* Approximately 800 000 European railway employees,
* Average salary cost: EUR40 000/year,
* Total wage and salary bill: EUR32 billion/year,
* Personnel costs, representing on average 50% of operating costs,
* Average operating costs: EUR64 billion/year,
* Income, representing on average 70% of operating costs, i.e. approximately EUR44.8 billion/year,
* Freight accounts for approximately 30% of total income, i.e. approximately EUR13.44 billion/year.
The benefits for established undertakings and new entrants are not identical, but cutting one month from the procedure for obtaining the safety certificate for cross-border operations represents a considerable saving in both administrative costs and start-up costs. Considering the above figures and extrapolating from the European Union of 15 Member States to that with 25 Member States on the basis of population numbers (NERA found that the relationship between traffic levels is approximately the same as between population levels), it is reasonable to assume a mean annual benefit of EUR5.3 million.
Railway undertakings are responsible for selecting and training their drivers. This proposal imposes minimum conditions for driver selection and training as well as a driver certification process. This Directive will therefore help reduce certain rail safety risks, such as those engendered by undertakings which do not apply the minimum conditions for staff selection and training or certain aspects of the certification process.
By way of example, a UIMC working group (International Union of Railway Medical Services) recently investigated the question of the psychological assessment of personnel carrying out safety-critical duties. Their September 2003 report recommends the systematic use of psychological tests when selecting staff and as part of medical examinations after the age of 50, but also if there is any doubt as to an individual's fitness to perform safety-critical tasks. The report shows that accidents could have been avoided if action had been taken after tests had shown certain indications.
Accordingly, the requirements to use accredited examiners, to establish minimum conditions to be adhered to, to check certain criteria regularly and to certify personnel, adhering to key stages, are all aspects which help to reduce the risks of error, incident and accident.
It is no easy matter to quantify benefits of this kind. By way of example, the benefit evaluated by ECORYS in the current cost-benefit analysis, under Directive 2001/16/EC, for the implementation of ERTMS over a twenty-year period is EUR6.5 million; this is a net present value (NPV) based on a reduction in the number of fatalities evaluated as 14. This value does not take into account the benefits derived from reducing the extent of serious injury and material damage and is limited to the impact on the territory of the European Union of 15 Member States. Another source is the economic analysis carried out for the technical specification for interoperability relating to the 'high-speed' control-command and signalling subsystem in 2000, which gave an NPV of EUR3.7 million. These studies are based on the hypothetical value of EUR1.5 million par fatal accident.
The Directive will make it easier for drivers to be recruited by different undertakings. It will therefore reduce the social costs in the event of the closure of restructuring of undertakings. On the other hand, more train drivers may move on their own personal initiative, entailing additional recruitment costs. The creation of a genuine train drivers' market within the European Union is likely to make the career more attractive. The renewed dynamism anticipated in the European rail market should in time boost recruitment prospects.
The values are given in constant non-discounted euros.
>TABLE POSITION>
Without the Directive, maintaining the existing situation would entail a loss of EUR66.5 million for the 25 States in the coming years.
If the Directive is accepted, the Member States would not only avoid this loss but could also expect a benefit of EUR44 million for the first phase (certification of drivers operating on cross-border services) and EUR13 million for the second phase (certification of all other drivers).
Article 1
This Article specifies the objectives of the proposal for a Directive while confirming the responsibilities of the infrastructure managers and railway undertakings.
This Article defines the terms used in the Directive.
This Article specifies the scope of the Directive. It is aimed not only at drivers but also at other train crew on the locomotive or train who participate directly or indirectly in driving and whose professional qualifications therefore contribute to transport safety. During the pre-legislative consultation, several experts and authorities called for European rules for the certification of personnel assigned to safety-critical tasks; this request was also the subject of amendments by the European Parliament at the first and second readings of the second rail package.
This Article specifies the Community model for certification and refers to Annex I. The model comprises three sections: the licence itself, the harmonised complementary certificate, and the information to be entered in the national register.
This Article specifies the bodies responsible for issuing the licence and the harmonised certificate.
This Article specifies the validity of the licence and of the harmonised complementary certificate.
These Articles specify the requirements to be met in order to obtain the licence and the harmonised complementary certificate.
This Article specifies the conditions which drivers must fulfil in order to be able to retain the licence and the harmonised complementary certificate. In particular, they concern the periodic checks such as medical examinations and checks of line knowledge.
This Article specifies the impact on the licence when drivers move from one railway undertaking to another, or when they cease to be employed by an undertaking.
These Articles specify the tasks of the authorities competent to issue licences and the system for delegating such tasks.
This Article specifies the requirements for recording data throughout the driver certification process.
These Articles specify the training, examination and independent assessment procedures.
This Article specifies the provisions applicable to other train crew on the locomotive or train who participate directly or indirectly in driving and whose professional qualifications therefore contribute to transport safety.
These Articles cover the inspections that may be carried out by the competent authority and the penalties for which the Member States should provide.
This Article sets out the possibilities for derogations. The exceptions authorised are identical to those provided for in the Directive on rail safety.
Standard provisions regarding the amendment of Annexes and the committee procedure. It should be noted that the competent committee will be the committee set up in accordance with the interoperability directives, which will also be the competent body for the Directive on rail safety.
The Agency is required to monitor the implementation of this Directive and to draw up a report on the progress of certification. This report will make it possible to take the action necessary before applying the Directive to all the drivers and other train crew concerned.
Standard provisions on the incorporation of the Directive into national legislation.
This Article proposes the gradual implementation of the Directive: firstly, transposition into national legislation and the creation of the national registers, then the certification of drivers assigned to cross-border services and, lastly, the certification of other drivers and train crew concerned. This Article also specifies the arrangements for drivers already working or in the process of obtaining certification in accordance with the rules applicable prior to the entry into force of this Directive.
This Annex specifies the Community model for each component of the certification: the licence, the harmonised certificate, the information to be included in the register.
This Annex identifies the driver's duties.
The basic requirements for the selection of drivers are specified: length of education, medical examinations, language tests. The necessary periodic checks are also specified. This Annex is based to a great extent on the agreement of the social partners concluded on 27 January 2004.
This Annex specifies the criteria which the general training programme and the examinations must adhere to.
The objectives for general professional knowledge are specified. This Annex is based to a great extent on the agreement of the social partners concluded on 27 January 2004.
The objectives for professional knowledge relating to rolling stock are specified. This Annex is based to a great extent on the agreement of the social partners concluded on 27 January 2004.
The objectives for professional knowledge related to infrastructure are specified. This Annex is based to a great extent on the agreement of the social partners concluded on 27 January 2004.
The proposed Directive seeks to establish a common regulatory framework for the certification of train crew on board locomotives and trains carrying passengers and freight. It will facilitate the interoperability of driving personnel, thus increasing international rail traffic, and maintaining or even improving safety levels and guaranteeing the performance standards of driving personnel by ensuring and checking the skills required for the relevant European networks used. It will also help to make the methods used for managing drivers involved in interoperability more effective for railway companies and to reduce the risk of social dumping.
Since these objectives cannot be sufficiently achieved by the Member States alone, as shown by the Commission study carried out in 2002 (Chapter 3), and can be better achieved by the Community, as shown by the above economic impact assessment (Chapter 7), the Community may adopt measures, in accordance with the principle of subsidiarity enshrined in Article 5 of the Treaty. In accordance with the principle of proportionality laid down in this Article, the Directive does not go beyond what is necessary to achieve these objectives.
This proposal does not include a financial statement.
An existing Committee (Directive 96/48/EC, Article 21) will be used for the decision-making procedures established by this proposal. The cost of any additional meetings will be entered under the budget heading of this committee.
The resulting costs for the Agency will be borne by the Agency; they are already partly taken into account in the financial statement accompanying the draft Regulation establishing the Agency, which is part of the second railway package. In accordance with the Regulation, it is the responsibility of the Executive Director of the Agency, to propose, if necessary, increasing the budget to suit actual needs.