Proposal for a COUNCIL DIRECTIVE amending Directive 96/26/EC on admission to the occupation of road haulage operator and road passenger transport operator and mutual recognition of diplomas, certificates and other evidence of formal qualifications intended to facilitate for these operators the right to freedom of establishment in national and international transport operations
Date: 1997-02-04
Institutions: European Commission
Subjects: access to a profession, carrier, recognition of diplomas, right of establishment, road transport

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels,  04.02.1997 
COM(97) 25 final 

97/0029 (SYN) 

Proposal for a 

COUNCIL DIRECTIVE 

amending Directive 96/26/EC on admission to the occupation of road haulage operator 

and road passenger transport operator and mutual recognition of diplomas, certificates 

and other evidence of formal qualifications intended to facilitate for these operators the 

right to freedom of establishment in national and international transport operations 

(presented  by the Commission) 

EXPLANATORY  MEMORANDUM 

A, 

HISTORY 

1. 

With Directives 74/561/EEC  on the admission to the occupation of road haulage operator 
and 74/562/EEC  on the admission to the occupation of road passenger transport operator 
and  Council  Directive  77/796/EEC  on the  mutual  recognition  of  diplomas,  certificates 
and  other  evidence  of  formal  qualifications,  the  Council  adopted  measures  aimed  at 
harmonizing the conditions of admission to the occupation and facilitating  the freedom  of 
establishment of the operators concerned. On 29 April  1996 the Council adopted Directive 
96/26/EC  on  admission  to the occupation  of  road  haulage  operator  and  road  passenger 
transport operator and mutual  recognition  of diplomas,  certificates  and  other  evidence of 
formal  qualifications  intended  to  facilitate  for  these  operators  the  right  to  freedom  of 
establishment  in national  and international transport operations, codifying  and  abrogating 
the  above-mentioned  Directives  and their  successive modifications.  Since  it concerns  an 
official  codification,  Directive 96/26/EC is limited to consolidate into one single text said 
Directives without modifying  their substance. 

Since  the  Acts  on  Accession  of  Austria,  Finland  and  Sweden  have  not  foreseen  any 
transitional provisions for the entry into force of the above-mentioned  Directives for these 
new Member  States, no such period could be provided for in the codification  Directive. It 
is,  therefore,  opportune  to  arrange  for  such  provisions  when  amending  Directive 
96/26/EC. 

2. 

However,  despite the requirements foreseen  in Directive 96/26/EC  it has been found  that 
divergences  still exist between Member  States which  create imbalances  and  could  distort 
competition;  moreover the levels of professional  skills reached  so far  are not  adequate to 
fulfil  the role for which they were intended. 

1  O J N o L 3 0 8,  19.11.1974 

2  O J N o L 3 0 8,  19.11.1974 

3  OJ No L 334,  24.12.1977 

4  OJ No L  124,  23.5.1996 

For these reasons the Commission suggested in its White Paper on the future  development 
of the common transport policy (1992), to introduce further  harmonization in this field.5 

In  1994  the  Committee  of  Enquiry  appointed  by  the  Commissioner  responsible  for 
transport, published  its report, which included inter alia recommendations to improve the 
provisions of financial standing and professional  competence. 

Following  detailed  discussions  with  representatives  of  the  industry  and  experts  of  the 
Member  States, the Commission  has  deemed  it necessary  to  amend  Directive  96/26/EC 
and thereby  take  into  consideration  the situation  in the new Member  States  as  indicated 
under point  1, and has adopted this proposal. 

COM  (92)  494  final,  2.12.1992:  The  future  development  of  the  common  transport  policy;  a  global 
approach  to  the construction  of Community  framework  for  sustainable  mobility,  p.  122. 

B. 

JUSTIFICATION FOR ACTION AT COMMUNITY LEVEL 

I. 

a) 

Subsidiarity 

What are the objectives of the proposed action in relation to the Community's 
obligations? 

The Commission's proposal aims at pursuing the harmonization process concerning 
access to the profession of road transport operator. Thereby, it reflects the progress 
achieved in establishing a common market for road transport. 

b) 

Does competence for the planned activity lie solely with the Community or is it 
shared with the Member States? 

The action falls under the exclusive competence of the Community (Article 75.1 of 
Treaty of the European Union). 

the 

c) 

What is the Community dimension of the problem (for example, how many  Member 
States are involved and what solution has been used up to now)? 

The  subject  affects  all Member  States  and  the transport  operators  in  all  Member  States, 
since  market  access  has  been  opened  up  throughout  the  European  Union.  Existing 
Community  Directives  have  already  achieved  a  certain  degree  of  harmonization,  but 
differences  remain between the legislation of the Member States. 

d) 

What is the most effective  solution taking into account the means available to the 
Community and those of the Member States? 

Only  joint  action  at  Community  level  can  further  strengthen,  improve  and  harmonize 
financial standing and professional  competence of the operators. 

e) 

What  real  added  value  will  the  activity  proposed  by  the  Commission  provide  and  what 
would be the cost of inaction? 

The Directive  will  remove  elements  of  distortion  of  competition,  thereby  creating  fairer 
conditions  for  road  transport  operators  in their business  activities.  The  increased  level  of 
knowledge of the operators is in the interest of the operators themselves and in the interest 
of road safety, the environment, the shippers  and ultimately, society at large. 

Inaction would maintain the factors of unequalities and possible distortion of 
competition, thereby maintaining barriers dissuasive to the aims of completing the 
internal transport market. 

f) 

What forms of action are available to the Community (recommendation,  financial 
support, regulation, mutual recognition etc....)? 

The proposal  is drafted  as a Directive following  previous  legislative practice in this  field. 
No other  action would  be appropriate to achieve the goal of  Community  harmonization 
and increased  levels of professional skills. 

g) 

Is  it  necessary  to  have  a  uniform  Regulation  or  is  a  Directive  setting  out  the  general 
objectives sufficient,  leaving the implementation at the level of the Member States? 

For  this  field,  a uniform  Regulation  is  not  necessary;  a  Directive  is  the  adequate  legal 
instrument  providing  the  general  means  for  a  limited  harmonization  to  be  achieved  at 
Community level. 

II 

Reasons for  consolidation 
not applicable. 

III. 

Economic Advantages of Further Harmonization 

The  economic  arguments  in favour  of harmonization  are the further  removal  of  barriers 
creating  economic  imbalances  and  distortion  of  competition.  In  a  common  transport 
market, it is essential both in the interest of the operators themselves and in the interest of 
the public in general, that operators carry out their activities on the basis of adequate and 
sufficiently  approximated  levels  concerning  the  requirements  on  admission  to  the 
occupation. 

C 

CURRENT SITUATION AND AIM OF THE PROPOSAL 

The  present  situation  shows  great  variance  particularly  concerning  the  requirements  for 
financial  standing  and  professional  competence.  Although  there  is  a  general  tendency 
towards  deregulation,  rules on the occupation of road transport operator  are still  deemed 
necessary  and  following  recommendations  of the  Committee of Enquiry,  the aim  of  the 
proposal is to harmonize and to bring the requirements up to a more appropriate level. 

In  view  of  market  developments  and  the  ongoing  liberalization  of  cabotage  in  the 
transport  sector,  the  scope  of  the Directive  is  enlarged.  All  road  transport  operators  are 
required  to  have  knowledge  for  the pursuit  of  both  national  and  international  transport. 
Concerning the haulage sector in particular, the new requirements will  include also road 
transport operators who carry out transport for  hire or reward with motor vehicles with a 
permissible  pay load  of  less than  3,5  tonnes or with  a total  laden  capacity  of  less  than  6 
tonnes to take account of the growth in courier services.  On the other hand, with regard to 
road  passenger  transport,  the  new  requirements  will  not  apply  to  operators  carrying  out 
transport for hire or reward with vehicles suitable and equipped to carry up to nine persons 
including  the  driver.  This  follows  because  these  operators  are  mainly  carrying  out  taxi 
services primarily with local nature, which fall under national competences. 

D. 

THE  ARTICLES 

1. 

In Article 2 of directive 96/26/CE, paragraph  1  is reformulated  in order to indicate 
the scope of application of the Directive for the professional carriage of goods and 
passengers by road. 

2. 

3. 

The  new  requirements  will  apply  to  all  professional  road  haulage  operators, 
irrespective  of  the  size  of  the  vehicles  used,  in  view  of  the  widespread  use  of 
smaller vehicles  in transport for  hire and reward  and the influence  these vehicles 
have on other forms of road transport. 

Concerning  professional  road  passenger  transport,  there  are  no  changes  in  the 
definition of vehicles falling within the scope of the Directive. Following article 1, 
paragraph  2, second  indent of Directive  96/26/EC,  the new  requirements  do  not 
include  operators  using  vehicles  constructed  and  equipped  as  to  be  suitable  for 
carrying not more than nine persons - including the driver -, nor  do they  include 
the taxi sector. 

In Article 3 paragraph 2 the text of subparagraphs  a) and c) concerning the good 
repute requirements of the operator, is modified to underline that the requirements 
are  not  satisfied  if  there  are  convictions  of  one  serious  criminal  offence  or  of 
certain repeated minor offences. 
Infringements  of  the  rules  relating  to  the  protection  of  the  environment  and 
professional liability are added as transport related  infringements. 

Article  3  paragraph  3  subparagraph  c)  concerns  the  requirements  of  financial 
standing. 
The amounts on financial  standing differ  considerably between the Member States 
and range from  3,000 Ecus to 20,000 Ecus, with some Member States also asking 
for  additional  lump  sums.  The  amount  of  available  capital  and  reserves  is 
increased to at least 9,000 Ecus when only one vehicle is used and 5,000 Ecus for 
each additional vehicle. 
Road  haulage  undertakings  operating  vehicles  with  a  permissible  payload  of 
which  does not exceed  3,5 tonnes or the permissible total  laden weight of  which 
does not exceed 6 tonnes, need to have, for these vehicles, a financial  standing of 
at least 9,000 Ecus when only one vehicle is used and 700 Ecus per 500 kg of the 
maximum authorized weight for each additional vehicle. 
Road passenger transport undertakings operating vehicles suitable and equipped to 
carry  more than  nine but  less than  twenty  persons,  including  the  driver,  need  to 
have, for these vehicles, a financial  standing of at least 9,000 Ecus when only one 
vehicle is used and 250 Ecus per seat for each additional vehicle. 

With  "first  vehicle" and  "additional  vehicles" is meant that when  an  undertaking 
carries out its business with only one vehicle  it should  have an  amount  of  9,000 
Ecus  available  for  capital  and  reserves.  When  an  undertaking  carries  out  its 
business with 2 or more vehicles in its fleet, this initial amount of 9,000 Ecus will 
increase  with  5,000  Ecus  per  vehicle  to  e.g.  14,000  (2  vehicles),  19,000  (3 
vehicles), 24,000 Ecus (4 vehicles) etc. 

In order to take account of currency fluctuations,  an additional paragraph is added 
to  Article 3 paragraph  3 subparagraph  c) as to the value of the ECU  in  national 
currencies which is to be fixed every five years. 

Article 3 paragraph  4 on professional  competence  is amended  to take  account of 
the  Single  Market.  National  markets  are  no  longer  separated.  Consequently  the 
distinction  between  a national  and  an international  transport  operator  has  lost  its 
significance  and  road  transport  operators  must  have knowledge  of  both  national 
and international transport operations. 

Article 3 paragraph 4, sub-paragraph 2 is deleted. The deletion of the provision to 
exempt  from  the  examination  road  transport  operators  who  provide  proof  of  at 
least  five  years  practical  experience,  is  to  ensure  that  transport  operators  are 
subject, from the entry into force of the Directive, to the same tests  (harmonization 
of knowledge at an appropriate levsl). 

In  Article  5  transitional  arrangements  are  introduced  for  Austria,  Finland  and 
Sweden  regarding  the  implementation  of  the  requirements  laid  down  under 
Article 3. 

Furthermore,  all  the  requirements  of  good  repute  and  of  financial  standing  laid 
down  in  the  Directive  should  be  fulfilled  by  all  road  transport  undertakings 
irrespective of their date of entry into the occupation of either road haulage or road 
passenger transport operator, not later than  1 January 2000. 

In  Article  6  after  the  first  paragraph  two  new  paragraphs  are  inserted  to  assess 
every  five  years  whether  an  operator  meets  the  requirement  of  the  Directive. 
Financial  standing, however,  should  also be checked  between  the second  and the 
third year. 

In Article  7 the words  "serious offences"  are replaced  by  "a serious  offence" 
conformity with article 3, paragraph 2 concerning the good repute requirements. 

in 

The requirements  of Article 7 paragraph  2 have been  found  superfluous  and  are 
deleted in order to avoid unnecessary paperwork. 

4. 

5. 

6. 

7. 

8. 

8 

9. 

10. 

11. 

The references to bankruptcy in Article 8 are deleted, since bankruptcy  in itself is 
not  considered  a  sufficient  reason  to  withhold  an  authorization.  Article  3, 
paragraph  2 states already that an applicant  is not considered  of good  repute,  or 
that an operator will lose his good repute, when he has been convicted for  serious 
infringements,  including those of a commercial nature. 

Article  10 is amended  in order to preserve the rights of those transport  operators 
who  have  obtained  their  certificate  without  the  need  for  taking  the  written 
examination,  as  provided  by  article  3,  paragraph  4,  second  subparagraph  of 
Directive 96/26/EC. 

Annex  1 is replaced in order to allow an extension of the list of subjects  required 
to  ensure  that  the  knowledge  for  admission  to  the  occupation  of  road  transport 
operator is brought to an adequate and harmonized level. 
At the same time the system of the examination is fixed  in detail to ensure that the 
knowledge is also assessed in an uniform  manner. 

E.  INTERESTS  FOR  EEA 

In  accordance  with  Article  99  of  the  EEA  Agreement,  EFTA  countries  were  consulted  on  the 
proposal. 

PROPOSAL FOR 

COUNCIL DIRECTIVE 9./.../EC 

of 

amending Directive 96/26/EC on admission to the occupation of road haulage operator  and 

road passenger transport operator and mutual recognition of diplomas, certificates  and other 

evidence of formal  qualifications  intended to facilitate  for these operators the right to 

freedom  of establishment  in national and international transport  operations 

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community, and in particular Article 75.1 

thereof 

Having regard to the proposal from the Commission , 

Having regard to the opinion of the Economic and Social Committee , 

n 

Acting in accordance with the procedure referred to in Article 189c of the Treaty 

and in co-operation with the European Parliament, 

10 

Whereas  it  is  necessary  to  further  strengthen  the  common  rules  provided  for  in  Directive 

96/26/EC  on admission  to the occupation  of road  haulage operator  and road  passenger  transport 

operator  and  mutual  recognition  of  diplomas,  certificates  and  other  evidence  of  formal 

qualifications  intended  to  facilitate  for  these  operators  the  right  to  freedom  of  establishment  in 

national and international transport operations ; 

Whereas  it  is  necessary  because  of  developments  in  the  haulage  market,  changes  in  transport 

policies  and  the  functioning  of  the  internal  market  to  extend  the  scope  of  application  of  this 

Directive to all road haulage operators for hire or reward with motor vehicles irrespective of their 

size; 

Whereas  with  regard  to  the  provisions  of  good  repute,  it  is  necessary  to  underline  that  this 

requirement is not satisfied  if natural persons who are deemed to satisfy  this condition  have been 

convicted  of one serious criminal offence  or of certain repeated  minor offences  and to underline 

also  the  importance  of  the  rules  concerning  the protection  of  the  environment  and  professional 

liability; 

Whereas  with  regard  to  the  provisions  of  financial  standing,  it  is  necessary,  in  order  to  avoid 

imbalances  in  the  market,  to  fix  appropriate  available  capital  and  reserves  at  a  higher  and 

harmonized  level;  whereas  it  is  necessary  to  examine  the  value  of  the  ECU  fixed  in  national 

currencies every five years; 

9 

O.J.  No L  124,  23.5.1996 

11 

Whereas, with regard to the provisions of professional  competence, it is advisable to stipulate that 

an  applicant  road  transport  operator  demonstrates  such  competence  by  passing  a  compulsory 

written and an optional oral examination; whereas road transport operators must have the required 

knowledge for the pursuit of both national and international transport; whereas  it is essential that 

all  transport  operators  hold  certificates  certifying  professional  competence  delivered  at  a 

harmonized  level and on the basis of harmonized testing rules in all Member States; whereas it is 

also  necessary,  for  this  purpose,  to  harmonize  certain  aspects  of  the  organisation  of  the 

examination; 

Whereas  it  is necessary  to  introduce  a transitional  arrangement  as to  the  implementation  of  the 

Directive for Austria, Finland and Sweden; 

Whereas  it  is  necessary  every  five  years  to  assess  whether  authorized  operators  still  fulfill  the 

provisions  on  good  repute  and  financial  standing  and  that  a  person  at  managerial  level  is 

professionally  competent; whereas it is necessary that financial  standing is also checked  between 

the second and the third year of the five-year period; 

Whereas the functioning  of the internal market requires Member States to impose penalties which 

are effective,  proportionate and dissuasive; 

Whereas  the  requirements  of  this  Directive  as  far  as  good  repute  and  financial  standing  are 

concerned should be fulfilled  by all road transport operators not later than  1  January 2000 in order 

to  achieve  the  level  of  quality  and  the  level  of  harmonization  which  are  needed  in  the  internal 

market; 

Whereas,  in  accordance with  the principle of  proportionality,  it  is necessary  and  appropriate,  in 

order  to  implement  the  fundamental  objective  of  the  common  transport  policy,  to  regulate  the 

conditions on admission to the occupation of road transport operator; whereas this directive shall 

not  go  beyond  what  is  necessary  to  achieve  this  objective,  in  accordance  with  Article  3B, 

paragraph 3 of the Treaty. 

HAS ADOPTED THIS DIRECTIVE: 

12 

Article 1 

Directive 96/26/EC 

is hereby amended as follows: 

Article 2 is modified  as follows: 

Paragraph  1  is replaced by the following : 

"The  Directive  shall  apply  to  undertakings  engaged  in  the  occupation  of  road 

haulage  operator  and  to  those  engaged  in  the  occupation  of  road  passenger 

transport operator as defined  in Article 1." 

Article 3 is modified  as follows: 

Paragraph 2 subparagraph a) is replaced by the following: 

"have been convicted of a serious criminal offence,  including an offence  of a 

commercial nature." 

Paragraph 2  subparagraph c) is replaced by the following : 

"have been convicted of a serious offence,  or repeated minor offences  against  the 

rules in force concerning: 

the pay and employment conditions in the profession, or 

road haulage or road passenger transport,  as appropriate,  in particular  the 

rules  relating  to  drivers'  driving  and  rest  periods,  the  weights  and 

dimensions  of  commercial  vehicles,  road  safety  and  vehicle  safety,  the 

protection  of  the  environment  and  the  rules  concerning  professional 

liability." 

O.J.  N oL  124,23.5.1996 

13 

Paragraph 3 subparagraph c) is replaced by the following : 

"The undertaking must have available capital and reserves of at least: 

9,000  Ecus  when  only  one  vehicle  is  used  and  5,000  Ecus  for  each 

additional vehicle with a permissible payload  of more than  3,5  tonnes, or 

of a permissible total laden weight of more than 6 tonnes, or per vehicle so 

constructed  and equipped  as to be suitable for  carrying more than twenty 

persons - including the driver. 

Undertakings  engaged  in  the  occupation  of  road  haulage  operator  by 

means of vehicles the permissible payload  of which  does not  exceed  3,5 

tonnes  or the permissible total  laden» weight  of which  does  not  exceed  6 

tonnes, must for these vehicles have an available capital and reserves of at 

least 9,000 Ecus when only one vehicle is used and  700 Ecus per  500 kg 

of the maximum authorized weight for each additional vehicle. 

Undertakings  engaged  in  the  occupation  of  road  passenger  transport 

operator  by  means  of  vehicles  so  constructed  and  equipped  as  to  be 

suitable for  carrying  more  than  nine  but  no  more  than  twenty  persons  -

including the driver, must for these vehicles have an available capital and 

reserves of at least 9,000 Ecus when only one vehicle is used and 250 Ecus 

per seat for each additional vehicle. 

For  the  purposes  of  this  Directive,  the  value  of  the  ECU  in  national 

currencies shall be fixed  every five years. The rates to be applied  shall be 

those obtained  on the first  working  day  of  October  and  published  in  the 

Official  Journal of the European  Communities  and shall  have effect  from 

1 January of the following calendar year." 

14 

Paragraph 4 subparagraph  1  is replaced by the following : 

"The condition relating to professional  competence shall consist in the possession 

of skills in the subjects listed in the Annex and shall be demonstrated by passing a 

compulsory written  and  and optional oral examination,  according  to the form  set 

out in the Annex, organized  by the authority or body  designated  for  this  purpose 

by each Member State." 

Paragraph 4 subparagraph 2 is deleted. 

Article 5 is modified  as follows: 

In  paragraph  1 the following new indent is added : 

"- 

1  January  1995 for Austria, Finland and Sweden". 

In paragraph 2 subparagraph  1  the following new  indent is added : 

"- 

after  31  December  1994  and  before  31  December  1996  for  Austria, 

Finland and Sweden." 

In paragraph 2 in the penultimate subparagraph the following new indent is added: 

"- 

1  January  1997 for Austria, Finland and Sweden." 

A new paragraph 3 is added: 

"All road transport operators who are authorized to practise before  1  January  1998 

shall  as  from  1  January  2000  meet  the  provisions  laid  down  in  Article  3, 

paragraphs 2 and 3." 

In Article 6  two new subparagraphs are added to paragraph  1 : 

"Member States shall ensure that the competent authorities assess every five years whether 

or not the operator still fulfils  the requirements of good repute and financial  standing, and 

that  the  requirement  of  professional  competence  is  still  fulfilled  by  (a)  person(s) 

continuously and effectively  managing the transport operations of the undertaking." 

15 

"Member States shall ensure that the competent authorities assess between the second and 

the third  year during  the period  of five  years whether  or not the operator  still  fulfils  the 

requirements of financial standing." 

Article 7 is modified  as follows: 

In paragraph  1) the words "serious offences"  are replaced by "a serious  offence". 

Paragraph 2) is deleted. 

Paragraph 3) becomes paragraph 2). 

Article 8 is modified  as follows: 

In paragraph 2) the words "or of no previous bankruptcy" are deleted. 

In paragraph 4)  the last sentence is deleted. 

Article  10 is modified  as follows: 

To paragraph 3 the following subparagraph is added: 

"The certificates  issued  to road  transport  operators  before  1 January  2000  on basis  of  at 

least five years' practical  experience in a transport undertaking  at management  level shall 

be  deemed  equivalent  to  the  certificates  issued  pursuant  to  the  provisions  of  this 

Directive." 

Article 2 

Annex I is replaced by the Annex to this proposal. 

16 

Article 3 

Member  States  shall  lay  down  the  system  of  penalties  for  breaching  the  national 

provisions  adopted pursuant to this Directive and shall take all the measures necessary  to 

ensure that those penalties are applied. The penalties thus provided for  shall be  effective, 

proportionate  and  dissuasive.  Member  States  shall  notify  the  relevant  provisions  to  the 

Commission not later than  1  July  1998 and shall notify  any subsequent changes as soon as 

possible. 

Article 4 

1. 

Member States, after consulting the Commission, shall adopt and publish the laws, 

regulations  and administrative provisions necessary to comply with this Directive 

at the  latest  1 July  1998. Member  States  shall  apply these  provisions  as  from  1 

July 1998. 

2. 

Member States shall immediately communicate to the Commission the text of the 

provisions  of  national  law  which  they  adopt  in  the  field  governed  by  this 

Directive. 

Article 5 

This Directive shall enter into force on the day of its publication in the  Official 

Journal of the European Communities. 

17 

Article 6 

This Directive is addressed to the Member States. 

Done at, 

For the Council 

the President 

4 g 

ANNEX 

1.  LIST OF SUBJECTS REFERRED TO IN ARTICLE 3(4) 

The  knowledge  to  be  taken  into  consideration  for  the  official  recognition  of 

professional  competence  must  cover  at  least the  subjects  listed  below.  In  relation  to 

these  subjects,  applicant  road  haulage  and  road  passenger  transport  operators  must 

have the levels of knowledge and practical aptitude set out below. 

A. 

Civil  Law 

The applicant must, in particular: 

Road  haulage  and passenger  transport 

1. 

be familiar  with the main types of contract used in road transport  and with  the 

rights and obligations arising  therefrom; 

2. 

show  that  he  is  capable  of  negotiating  a  legally  valid  transport  contract, 

notably with regard to conditions of carriage; 

Road  haulage 

3. 

be able to consider a claim by his principal regarding compensation  for  loss of 

or  damage  to  goods  during  transportation  or  for  their  late  delivery,  and  to 

understand  how this claim  affects  his contractual  responsibility; 

4. 

be  familiar  with  the  rules  and  obligations  arising  from  the  CMR  Convention 

on the contract for  the international  carriage of goods by road; 

• 

1 2> 

Road passenger  transport 

5. 

be able to consider  a claim by his principal  regarding  compensation  for  injury 

to  passengers  or  damage  to  their  baggage  caused  by  an  accident  during 

transportation,  or  regarding  compensation  for  delays,  and  to  understand  how 

this claim afîects  his contractual  responsibility. 

B. 

Commercial  Law 

Road  haulage and passenger  transport 

The applicant must, in particular: 

1. 

demonstrate  that  he  is familiar  with  the  conditions  and  formalities  laid  down, 

as necessary for  engaging in the occupation, the general obligations  incumbent 

upon 

transport  operators  (registration,  keeping  records,  etc.)  and 

the 

consequences of bankruptcy; 

2. 

have  appropriate  knowledge  of  the  various  forms  of  commercial  enterprise 

and the rules governing their constitution  and operation. 

C. 

Social  Law 

Road  haulage and passenger transport 

The applicant must, in particular: 

1. 

be  familiar  with  the role  and  function  of  the various  social  institutions  which 

are  concerned  with  road  transport  (trade  unions,  works  councils,  shop 

stewards, labour inspectors, etc.); 

2. 

know  the  employers'  social  security  obligations  and  the  social  benefits  to 

which  workers  are  entitled  (retirement  pension,  unemployment  benefit, 

sickness benefits,  etc.); 

3. 

know the  rules  governing  work  contracts  for  the various  categories  of  worker 

employed  by road transport undertakings  (form  of the contracts, obligations  of 

the  parties,  working  conditions  and  working  hours,  paid  leave,  remuneration, 

breach of contract, etc.); 

4. 

be  familiar  with  the provisions  on  driving  periods  and  rest  periods  laid  down 

in  Regulation  (EEC)  No.3820/85,  the  provisions  of  Regulation  (EEC) 

No.3821/85  on  recording  equipment  in  road  transport  and  the  practical 

arrangements for implementing these Regulations. 

D. 

Fiscal  Law 

Road  haulage and passenger  transport 

The applicant must, in particular, be familiar with the rules governing: 

VAT on transport services; 

motor vehicle tax; 

tolls  and  infrastructure  user  charges,  and  the  taxes  on  certain  road  haulage 

1. 

2. 

3. 

vehicles; 

4. 

income tax. 

E. 

Business  and financial  management  of the  undertaking 

Road  haulage  and passenger  transport 

The applicant must, in particular: 

1. 

be  familiar  with  the  laws  and  practices  regarding  the use  of  cheques,  bills  of 

exchange,  promissory  notes,  credit  cards  and  other  means  or  methods  of 

payment; 

2. 

be  familiar  with  the various  forms  of  credit  (bank  credit,  documentary  credit, 

guarantee  deposits,  mortgages,  leasing,  renting,  factoring,  etc.)  and  with  the 

charges and obligations  arising from  them; 

know what a balance sheet is, how it is set out and how to interpret  it; 

be able to read and  interpret a profit  and loss account; 

be  able  to  assess  the  company's  profitability  and  financial  position,  in 

3. 

4. 

5. 

particular  on the basis of financial  ratios; 

6. 

be able to prepare a budget; 

-1 

7. 

know  his  company's  cost  elements  (fixed  costs,  variable  costs,  working 

capital,  depreciation,  etc.),  and  be  able  to  calculate  costs  per  vehicle,  per 

kilometre, per journey or per tonne; 

8. 

be  able to  draw up  an organization  chart  relating  to  the  company's  personnel 

as  a  whole  and  to  organize  work  plans  and  training  programmes  for 

employees, drivers, etc.; 

9. 

know  the  principles  of  marketing,  publicity  and  public  relations,  including 

transport services sales promotion  and the preparation of customer files,  etc.; 

10. 

be  familiar  with  the  different  types  of  insurance  relating  to  road  transport 

(liability,  accidental  injury/life  insurance, non-life  and  luggage insurance)  and 

with the guarantees  and obligations arising  therefrom; 

11. 

be  familiar  with  the  applications  of  electronic  data  transmission  in  road 

transport; 

Road  haulage 

12. 

be able to apply the rules governing the invoicing of road haulage services and 

know the meaning and implications of Incoterms; 

13. 

know the different  categories of transport auxiliaries, their role, their  functions 

and, where appropriate, their status; 

Road passenger  transport 

14. 

be  able  to  apply  the  rules  governing  fares  and  pricing  in  public  and  private 

passenger  transport; 

15. 

be able to  apply the rules  governing  the  invoicing  of  road  passenger  transport 

services. 

F. 

Access to the market 

• 

2  Z 

Road  haulage and passenger  transport 

The applicant must, in particular: 

1. 

be familiar  with the occupational  regulations governing road transport for  hire 

or  reward,  industrial  vehicle  rental  and  sub-contracting,  and  in  particular  the 

rules  governing  the  official  organization  of  the  occupation,  admission  to  the 

occupation,  authorizations  for  intra-  and  extra-Community  road  transport 

2. 

3. 

operations, inspections and sanctions; 

know the rules for setting up a road transport undertaking; 

be  familiar  with  the  various  documents  required  for  operating  road  transport 

services  and  be  able  to  introduce  checking  procedures  for  ensuring  that  the 

approved  documents  relating  to  each  transport  operation,  and  in  particular 

those relating to the vehicle, the driver and the goods or luggage,  are kept both 

in the vehicle and on the premises of the undertaking; 

Road  haulage 

4. 

know the rules on the organization  of  the market  in road  haulage  services,  on 

freight  handling and logistics; 

5. 

be  familiar  with  frontier  formalities,  the  role  and  scope  of  T  documents  and 

TIR carnets, and the obligations and responsibilities  arising from  their use; 

Road passenger  transport 

6. 

7. 

know the rules on the organization of the market in road passenger  transport; 

know  the  rules  for  introducing  road  passenger  transport  services,  and  be  able 

to draw up transport plans. 

G. 

Technical  standards and aspects of operation. 

The applicant must, in particular: 

Road  haulage and passenger  transport 

1. 

be  familiar  with  the rules  concerning  the weights  and  dimensions  of  vehicles 

in  the  Member  States  of  the  European  Union  and  the  procedures  to  be 

followed  in the case of  abnormal  loads which  constitute  an  exception  to  these 

rules; 

2. 

be able to choose vehicles  and their components  (chassis, engine,  transmission 

system, braking system, etc.) in accordance with the needs of the undertaking; 

3. 

be familiar  with  the formalities  relating  to  the type  approval,  registration  and 

technical  inspection of these vehicles; 

4. 

understand  what  measures  must  be  taken  to  reduce  noise  and  to  combat  air 

pollution by motor vehicle exhaust emissions; 

5. 

be  able  to  draw  up  periodic  maintenance  plans  for  the  vehicles  and  their 

equipment; 

Road  haulage 

6. 

be  familiar  with  the  different  types  of  cargo-handling  and  loading  devices 

(tailboards,  containers,  pallets,  etc.)  and  be  able  to  introduce  procedures  and 

issue instructions for  loading and unloading goods (load  distribution,  stacking, 

stowing, blocking and chocking, etc.); 

7. 

be  familiar  with  the  various  techniques  of  "piggy-back"  and  roll-on  roll-off 

combined  transport; 

8. 

be  able to  implement  procedures  for  complying  with  the rules  on  the  carriage 

of dangerous goods and waste, notably those arising  from: 

Directive  94/55/EC  on  the  approximation  of  the  laws  of  the  Member 

States with regard to the transport of dangerous goods by road; 

Directive 96/3 5/EC on the appointment  and vocational  qualification  of 

safety  advisers  for  the  transport  of  dangerous  goods  by  road,  rail  and 

inland waterway; 

Regulation  (EEC)  No.259/93  on  the  supervision  and  control  of 

shipments of waste within, into and out of the European  Community; 

9. 

be  able to  implement  procedures  for  complying  with  the rules  on  the  carriage 

of  perishable  foodstuffs,  notably  those  arising  from  the  Agreement  on  the 

international  carriage of perishable foodstuffs  and on the special  equipment  to 

be used for  such carriage (ATP); 

10. 

be able to implement procedures for  complying with the rules on the  transport 

of live animals. 

H. 

Road  safety 

The applicant must, in particular: 

Road  haulage  and passenger  transport 

1. 

know  what  qualifications  are  required  for  drivers  (driving  licence,  medical 

certificates,  certificates  of fitness,  etc.); 

2. 

be  able  to  take  the  necessary  steps  to  ensure  that  drivers  comply  with  the 

traffic  rules,  prohibitions  and  restrictions  in  force  in  the  different  Member 

States  of  the  European  Union  (speed  limits,  priorities,  waiting  and  parking 

restrictions, use of lights, road  signs, etc.); 

3. 

be able to draw up drivers'  instructions for  checking their compliance with  the 

safety  requiements  concerning  the  condition  of  the  vehicles,  their  equipment 

and cargo, and concerning preventive measures to be taken; 

4. 

be able to lay down procedures to be followed  in the event of an accident and 

to  implement  appropriate  procedures  for  preventing  the  recurrence  of 

accidents or serious traffic  offences; 

Road passenger transport 

5. 

know  the  basic  layout  of  the  road  network  in  the  Member  States  of  the 

European Union. 

•  <?G 

II. ORGANISATION OF THE EXAMINATION 

The examination which shall ensure that road transport operators have achieved the level 

of  knowledge  in  the  subjects  mentioned  above,  in  particular,  their  capacity  to  use  the 

instruments and techniques relating thereto and to fulfil  executive and coordination duties, 

will consist of the following elements : 

A. 

1. 

Compulsory written examination 

Written  questions  on  basis  of  a minimum  of  hundred  multiple  choice  questions 

with  four  alternative  answers,  with  a  deduction  of  one  full  point  for  incorrect 

answers. 

The written examination represents 30 % of the total points to be reached  and the 

candidate  must  answer  60  %  of  the  questions  correctly  to  pass  this  part  of  the 

examination. 

Duration  : two hours 

2. 

Written exercises/case studies representing 40 % of the total points to be reached. 

The  candidate  will  have  to  do  60  %  of  the  exercises/case  studies  in  a  correct 

manner to pass this part of the examination. 

Duration  : two hours 

B. 

Non Compulsory Oral Examination 

30 % of the total points have to be reached 

C. 

In  case  a  Member  States  arranges  for  written  examinations  and  exercises/case 

studies only, the percentage of total points under A. 1. and A.2. above will be 40 % 

and 60 % respectively. 

D. 

Result 

70 % of the full  examination must have been answered in a correct manner to pass 

the examination. 

z-1 

IMPACT ASSESSMENT FORM 
The impact of the proposal on business with special 
reference to small and medium-sized  enterprises 

Title of the proposal: 
Proposal for a Council Directive amending Directive 96/26/EC on admission to the occupation of 
road haulage operator and road passenger transport operator and mutual recognition  of diplomas, 
certificates* and other evidence of formal qualifications intended to facilitate for these operators the 
right to freedom  of establishment in national and international transport operations. 

The proposal 

1. 

Taking account of the principle of subsidiarity, why is Community legislation necessary in 
this area and what are the main aims? 

The  Community  legislation  is  based  on  Article  75(1)  a of  the  Treaty.  The  organization  of  the 
transport  market  is  one  of  the  essential  factors  in  the  implementation  of  the  common  transport 
policy provided for  in the Treaty. The adoption of measures aimed at coordinating the conditions 
of admission to the occupation of road haulage and road passenger transport operator  is likely to 
favour  effective  exercise of the right of establishment of those operators. A further  harmonization 
and strengthening of common rules for  admission to the occupation  in national  and  international 
transport  operations  is  necessary  to  ensure  that  such  operators  are  well  qualified  and  thus 
contribute  to  the  rationalization  of  the  market  and  improvement  in  the  quality  of  the  service 
provided,  in the  interest  of  users,  operators  and  the  economy  as  a whole,  and  to  a greater  road 
safety. 

The  proposal  aims  at  pursuing  the  harmonization  process  and  strengthening  the  road  transport 
market.  Therefore,  and  in order to  avoid  imbalances  and  situations which  contain  elements  of 
distortion  of  competition  and  in  order  to  improve  quality,  it  is  proposed  that  for  the  financial 
standing, the sum  of  available mimimum  capital and reserves be fixed  at a higher  level  and that 
for professional  competence,  the requirements necessary to manage a transport undertaking  are 
reinforced  to  ensure that  the value of  certificates  certifying  the  professional  competence  of  an 
operator, are as uniform  as possible in all Member States. 

In  view  of  market  developments  -  in  particular  the  growth  of  courier  services  -  the  scope  of 
application  of the Directive  is widened,  to  include  also those vehicles which  have  a  permissible 
payload of less than 3,5 tonnes or a permissible total laden weight of less than 6 tonnes. 

2  J? 

The impact on business 

2. 

Who will be affected  by the proposal? 

which sectors of business ? 

The  proposal  will  affect  all 
road  haulage  and  road  passenger  transport  operators  with  the 
exception  of those who  carry out passenger transport operations with vehicles  suitable for  up to 
nine persons. It will affect  as well the specialized national bodies engaged  in the training and/or 
examination of applicants to the occupation of road haulage or road passenger transport operator. 

which sizes of business (what is the concentration of small and medium-sized 
firms)? 

Road transport operators in the Community have an average of about 4,4 vehicles in operation.  In 
1990, 78% of  the undertakings in the profession in the Member States of which data are available 
had between  1 and  5 vehicles  in operation,  11% between  6 and  10 and  11%  had more than  11 
vehicles. So, the concentration of SME's in the road transport sector is high. 

are there particular geographical areas in the Community where these 
businesses are found ? 

The  figures  are  more  or  less  the  same  in  all  Member  States,  with  the  exception  of  Austria, 
Belgium  and  the  Netherlands  where  the  number  of  undertakings  with  more  than  5 vehicles  is 
somewhat higher, whereas in the Mediterranean countries as well as in Sweden and Finland, more 
than 90% of the operators own between  1  and 5 vehicles. 

3. 

What will businesses have to do to comply with the proposal? 

The transport operator will have to fulfill  the new requirements on good repute and on increased 
financial  standing in order to be allowed  to continue his activities. He will, furthermore,  have to 
make sure that the person in charge with the  management of the undertaking  is in possession of 
the necessary professional  competence, proven by a certificate. Certificates  issued prior to the date 
of entry into force of this Directive will remain valid. 
Training  and/or  examination  bodies will  have to  amend  their  educational  material  and  teaching 
programme and will have to adapt their written examinations consequently. 

*  ^3 

4. 

What economic effects  is the proposal likely to have? 

on employment 

The proposal is not likely to have any effect on the overall level of employment. The strengthened 
requirements for access to the profession will make  road operators more solid and, therefore, will 
limit the number of operators leaving and entering the sector. So, employment will be more stable 
because less operators will come and go in the sector. 

on investment and the creation of new businesses 

Neither is the proposal likely to have any effect  on investment, nor should it hinder the creation of 
new businesses,  since the level  of,  in particular,  financial  standing  is not  so  high  that  it will  be 
prohibitive for new applicants to the profession or for those already admitted. 

on the competitive position of businesses 

The  proposal  aims  to  harmonize  the  competitive  positions  of  businesses  by  eliminating  present 
factors of imbalances and of possible distortions of competition, because of different  requirements 
in financial standing and professional  competence. 

5. 

Does the proposal contain measures to take account of the specific  situation of small and 
medium-sized firms (reduced or different  requirements etc)? 

The proposal does not contain specific measures to this effect.  But the existing Directive provides 
already  the  possibility  for  Member  States  to  exempt  from  all  or  some  of  the  elements  of  the 
proposal those operators who only do national transport and whose operations have only  a minor 
impact  on  the  market  because  of  the  nature  of  the  carriage  operations  concerned,  or  the  short 
distances involved.  In addition, the Directive contains a provision  on the temporary  or  definitive 
replacement  of  the  holder  of  professional  competence  (in  the  event  of  death  or  incapacity),  a 
provision which is in particular geared to the needs of SME's. 

Consultation 

6. 

List of organizations which have been consulted concerning the proposal  and herewith  is 
the summary of their main views : 

A  consultation  meeting  was  organized  concerning  the  new  proposal  on  admission  to  the 
occupation of road haulage operator and road passenger transport operator and mutual recognition 
of diplomas, certificates  and other evidence of formal  qualifications  intended to facilitate for these 
operators the right to freedom  of establishment  in national and  international  transport operations. 
The  following  organizations  were  present 
:  IRU  (International  Road  Union),  UNICE, 
EUROCHAMBRES and the EUROPEAN TRANSPORT WORKERS UNION. 

I 

"3o 

Apart 
from  the  representative  of  EUROCHAMBRES,  who  questioned  the  convenience  of 
maintaining  the  conditions  on  admission  to  the  occupation  of  road  transport  operator  as  this 
occupation is the only one  where - according to EUROCHAMBRES  - such conditions  exist, all 
the other organisations were in favour to harmonize further the conditions for the admission to the 
occupation of road transport operator. 

In  most  cases  the  Commission  has  taken  into  account  the  opinion  of  the  majority  of  the 
professional  organizations  consulted  during  the  preparation  of  the  new  legal  text,  and  has 
subsequently concentrated  its proposal on the points on which the willingness to act existed, i.e. 
to increase the levels of financial  standing and of professional  competence and to extend the scope 
of application of the Directive to road haulage irrespective of the size of the vehicles. 

il 

ISSN 0254-1475 

COM(97) 25 final 

DOCUMENTS 

EN 

07  04  16  10 

Catalogue  number  :  CB-CO-97-021 -EN-C 

ISBN 92-78-15168-8 

Office  for  Officiai  Publications of the European  Communities 

L-2985  Luxembourg