Proposal for a Regulation of the European Parliament and of the Council establishing common rules concerning the conditions to be complied with to pursue the occupation of road transport operator {SEC(2007) 635} {SEC(2007) 636}
Date: 2007-05-23
Institutions: European Commission
Subjects: access to a profession, carriage of goods, carriage of passengers, carrier, right of establishment, road transport

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 23.5.2007 
COM(2007) 263 final 

2007/0098 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

establishing common rules concerning the conditions to be complied with to pursue the 
occupation of road transport operator 

(presented by the Commission) 

{SEC(2007) 635} 
{SEC(2007) 636} 

EN 

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EXPLANATORY MEMORANDUM 

1. 

BACKGROUND TO THE PROPOSAL 

1.1. 

Grounds and objectives 

Directive  96/26/EC  on  admission  to  the  occupation  of  road  transport  operator,  the  four 
Regulations  on  access  to  the  road  transport  market,1  together  with  the  deregulation  of 
international transport prices which took place a few years earlier, shaped the internal market 
in road transport. 

The  common  requirements  for  admission  to  the  occupation,  as  laid  down  in  the  Directive, 
have  ensured  minimum  quality  standards  for  road  transport,  while  the  opening-up  of  the 
market as a result of the Regulations has made for greater competition. Generally speaking, 
this  legislative  framework  has  proved  successful,  in  so  far  as  road  transport  companies  are 
charging more favourable rates, offering diversified services and responding more closely to 
customers' needs for just-in-time services. 

However, experience shows that some of the measures of this legislative framework are not 
applied and enforced uniformly, as a result of legal provisions that are unclear, incomplete or 
not  in  keeping  with  the  development  of  the  sector.  This  is  the  case  with  the  Directive  on 
admission  to  the  occupation,  which  applies  to  all  road  transport  companies,  whatever  their 
size (owner-operators, small and medium-sized enterprises or large companies). The different 
ways in which the Directive is being applied are detrimental to fair competition. Companies 
remain subject to monitoring and checks which vary from one Member State to another, with 
very different levels of professional qualification and financial soundness. This prevents full 
benefit from being taken of all the advantages of the internal market in road transport. 

The  proposal  for  a  Regulation  is  intended  to  replace  the  Directive  and  rectify  these 
shortcomings. 

1.2. 

Issue addressed 

Directive  96/26/EC  establishes  minimum  conditions  relating  to  good  repute,  financial 
standing  and  professional  competence  which  companies  have  to  satisfy  to  be  authorised  to 
engage  in  the  occupation  of  road  transport  operator,  that  is  to  say  to  carry  out  national  or 
international goods or passenger transport operations. These conditions are the only common 
requirements  imposed  on  companies  to  be  authorised  to  carry  out  their  activities  on  the 
Community road transport market. The Directive also establishes mutual recognition of some 
of the documents required in order to obtain an authorisation.  

In its legislative programme for 20062 the Commission announced that it intended to examine 
in detail the rules deriving from this Directive and, where appropriate, to take steps to ensure 
that  they  are  applied  in  a  more  harmonised,  simpler,  more  enforceable  and  more  effective 
fashion.  Its  examination  was  based  on  an  extensive  stakeholder  consultation  and  an  impact 
assessment, and revealed that Member States had had difficulty in transposing the Directive 

1 

2 

Regulation  (EEC)  No  881/92,  Regulation  (EEC)  No  3118/93,  Regulation  (EEC)  No  684/92,  and 
Regulation (EEC) No 12/98. 
Reference 2006/TREN/01. 

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and were applying it in a very disparate manner. By way of illustration, the success rates in 
the examinations to test professional competence vary between the Member States from 10% 
to over 90%. This has several drawbacks, including:  

– 

– 

– 

– 

the  risk  of  distortion  of  competition  between,  on  the  one  hand,  transport  operators 
with a real establishment that is accessible to the authorities responsible for checking 
their compliance  with the minimum standards for admission to the occupation and, 
on the other, "letter-box" companies which can avoid proper monitoring; 

a  lack  of  market  transparency  on  account  of  the  disparities  between  the  minimum 
standards  of  financial  and  professional  competence  and,  as  a  corollary,  "the 
subcontracts in series"; road transport customers have no guarantee as to the quality 
offered by road transport companies; 

the  continuing  presence  of  negligent  companies  with  low  levels  of  professional 
qualification and financial standing, entailing risks for road  safety and jeopardising 
the  socio-economic  efficiency  of  road  transport  (better  qualified  companies  cannot 
compete); 

monitoring that is not uniform and is not coordinated between the national authorities 
which are supposed to withdraw authorisations from companies committing offences 
which  tarnish  their  good  repute.  This  lack  of  coordination  creates  unnecessary 
administrative  costs  and  undermines  the  credibility  and  dissuasiveness  of  the 
withdrawal of licences. 

1.3. 

Consistency with other EU policies and objectives 

The  proposal  for  a  Regulation  will  contribute  to  the  achievement  of  the  objectives  of  the 
Lisbon  Strategy,  since  it  will  make  for  fairer  competition  within  the  sector  and  greater 
transparency for road transport customers. In the final analysis, it will contribute towards the 
provision  of  more  efficient  and  better  transport  services.  Given  the  dominant  role  of  road 
transport in industry's production and distribution systems, it will contribute to boost the EU's 
competitiveness. 

The  new Regulation will indirectly  improve  road safety as a result of  stricter monitoring of 
negligent  companies,  which  are  more  likely  to  be  involved  in  accidents  than  others.  It  will 
improve  the  working  conditions  of  road  transport  workers  by  raising  the  standards  of 
professional qualification. It will also strengthen the independence of certain owner-operators 
vis-à-vis their customers and protect them from practices tantamount to employing them in a 
disguised or indirect way. 

Lastly, this proposal follows on from the Commission's commitment to simplify the content 
of  the  "acquis"  and  to  update  it.  It  is  part  of  the  "better  regulation"  programme  for  the 
updating and simplification of the Community acquis. The legislative simplification achieved 
consists  in  greater  legal  clarity,  by  means  of  provisions  that  are  easier  to  monitor,  can  be 
enforced  in  practice  and  ensure  greater  overall  consistency  with  the  provisions  of  the 
Regulations on access to the transport market3. It also gives the Member States the possibility 
of reducing certain unnecessary administrative burdens relating to checks.  

3 

See above. 

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Modernisation of the rules governing admission to the occupation of road transport operator, 
in particular by introducing electronic registers, is one of the immediate measures to be taken 
in  the  context  of  the  "Action  Programme  for  Reducing  Administrative  Burdens  in  the 
European Union" proposed by the Commission on 24 January 2007.4 The conclusions of the 
European  Council  meeting  of  8  and  9  March  call  upon  Parliament  and  the  Council  to  give 
special priority to these immediate measures and therefore to the examination and adoption of 
this proposal.  

2. 

CONSULTATION OF INTERESTED PARTIES AND IMPACT ASSESSMENT 

2.1. 

Consultation of interested parties 

Before  this  proposal  was  drafted,  a  public  consultation  exercise  was  conducted  in  order  to 
gather as many comments as possible from stakeholders. This consultation, organised jointly 
with  that  carried  out  in  connection  with  the  parallel  recasting  of  the  four  Regulations  on 
market access, was based on a questionnaire which was published on the Internet and sent by 
mail to all organisations which represent the road transport sector. 

The  Commission  received  67  written  contributions  from  national  authorities,  national  and 
European organisations representing road freight and passenger transport operators, users and 
various other economic interest groups. On 7 November 2006 the Commission held a hearing 
for stakeholders who had replied to the public consultation in writing or had expressed their 
interest  in  the  meantime.  This  hearing  was  attended  by  42  delegations  representing  the 
industry plus 37 observers from national administrations. 

The stakeholders generally considered that the conditions to be complied with to pursue the 
occupation of road transport operator needed to be more harmonised, and better enforced and 
monitored.  With  the  exception  of  passenger  transport  operators,  who  thought  that  higher 
standards should be required, they recommended giving priority to the harmonisation of the 
existing national rules. Generally, they advocate: 

– 

– 

– 

– 

improving monitoring by means of checks targeting high-risk companies (rather than 
more  frequent  systematic  checks),  an  operational  exchange  of  information  between 
the  authorities  in  the  various  Member  States  which  are  supposed  to  monitor  the 
companies'  conduct,  and  the  use  of  electronic  registers  which  would  reduce 
administrative costs;  

introducing  common  provisions  to  ensure  that  companies  have  a  real,  stable 
establishment, so as to reduce distortion of competition by "letter-box" companies;  

harmonising  the  indicators  used  to  measure  a  company's  financial  standing  and  the 
standard of examinations to test professional competence;  

ensuring that the holder of a certificate of professional competence does actually run 
the transport business and is not just a "front" for obtaining an authorisation. 

All  the  comments  made  during  this  process  have  been  taken  into  consideration.  Several  of 
them enabled improvements to be made to the attached proposal and the impact assessment. 

4 

COM(2007) 23 final. 

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In  this  way,  the  Commission  broadened  the  range  of  options  that  needed  to  be  assessed  in 
order to reflect the various points of view expressed. Accordingly, it did not act on the idea of 
replacing  the  financial  standing  condition  by  compulsory  professional  liability  insurance, 
since several stakeholders considered that this idea was not sufficiently well-developed.  

A summary of the replies received to the public consultation, the text of the individual replies 
and 
at: 
http://ec.europa.eu/transport/road/consultations/road_market_en.htm 

the  hearing  of  7  November  2006 

record  of 

available 

the 

are 

2.2. 

Collection and use of expertise 

The Commission's public consultation benefited from the independent expertise provided by 
Professor  Brian  Bayliss,  who  in  1994  was  Co-Chairman  of  the  Committee  of  Enquiry  on 
Road  Transport  which  produced  a  comprehensive  report  on  the  state  of  completion  of  the 
internal market and the work that still needed to be accomplished at that time. 

2.3. 

Impact assessment 

The impact assessment carried out to prepare this proposal covered the recasting of both the 
rules on admission to the occupation and those on access to the market, in view of their close 
links  and  their  overlaps.  It  was  based  on  various  studies  carried  out  during  2004,  2005  and 
2006. Special care was taken to ensure that the scope of the assessment was adjusted to take 
account of the stakeholders' reactions and to adapt the attached proposal to take account of the 
conclusions of the assessment.  

Five policy options were assessed:  

(1) 

(2) 

(3) 

(4) 

The "no change" option: this would leave the existing road legislation unaltered. The 
problems outlined at the beginning of this document would persist or even become 
worse as cabotage is opened up to all Member States.  

The "technical simplification and non-regulatory" option: this would entail merging 
and consolidating the five EC legislative instruments into three. It would provide the 
Member States and the industry with non-binding guidelines for implementing these 
instruments.  This  option  would  be  easy  to  implement,  but  it  would  be  unlikely  to 
reduce the differences between the national rules, and hence solve the main problems 
identified at the outset.  

The  "harmonisation"  option:  this  would  turn  the  current  Directive  and  the  four 
Regulations  into  three  Regulations  and,  in  so  doing,  harmonise  admission  to  the 
occupation  to  a  greater  extent,  increase  legal  clarity  concerning  cabotage  and 
improve  its  application.  This  option  would  contribute  to  fair  competition,  improve 
compliance  with  road  transport  rules,  in  particular  concerning  safety,  and  increase 
the average level of professional standards in the sector.  

The  "higher  quality  standards"  option:  this  would  gradually  introduce  higher 
financial  standing  requirements  and  compulsory  continuous  training  for  transport 
managers  in  companies.  In  the  short  term,  this  option  would  make  entry 
proportionally  more  difficult  for  small  companies.  In  the  long  run,  it  would 
encourage operators to be more efficient, bringing benefits for society as a whole.  

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(5) 

The "liberalisation" option: this would open up cabotage to competition to a greater 
extent  and  would  liberalise  regular  international  coach  services.  This  option  would 
reduce certain transport rates, but without necessarily improving the socio-economic 
effectiveness  of  road  transport  unless  accompanied  by  prior  further  harmonisation, 
including  in  the  taxation  and  social  field.  This  option  would  entail  the  risk  of  job 
losses in  some countries. At  all events, given the likely scale of its impact,  a more 
thorough analysis would need to be undertaken, and this option would go beyond the 
framework of simplification of which this proposal is part.  

This  proposal  therefore  reflects  option  No  3,  the  "harmonisation"  option.  An  executive 
summary of the impact assessment and the full text of the impact assessment accompany this 
proposal. The impact assessment estimates that the proposal for a Regulation, in combination 
with  the  other  two  market  access  Regulations  proposed  at  the  same  time,  will  reduce 
distortions of competition, improve the compliance of transport operators with social and road 
safety  rules,  and  enable  the  Member  States  to  reduce  administrative  costs  by  around 
€190 million per annum.5 

3. 

LEGAL ASPECTS 

3.1. 

Summary of the measures proposed 

The  proposal  for  a  Regulation  lays  down  the  conditions  with  which  all  companies  must 
comply  to  be  authorised  to  pursue  the  occupation  of  road  transport  operator.  It  clarifies  the 
existing legal provisions and supplements them so as to strengthen overall consistency and to 
guarantee effective and uniform application. It introduces:  

– 

– 

– 

– 

– 

the  concept  of  the  responsibility  of  the  transport  manager  who  lends  his  or  her 
professional  competence  certificate  to  a  company  to  enable  it  to  obtain  an 
authorisation, and stricter rules governing his or her links with the company;  

criteria to be met to ensure that a company is actually stably established in a Member 
State and that its conduct can be properly monitored by the national authority which 
authorised it to pursue the occupation;  

comparable  financial  indicators  to  measure  a  company's  financial  standing, 
compulsory  minimum  training  of  140  hours  prior  to  the  examination  to  test 
professional  competence  which  all  applicants  must  sit,  and  the  accreditation  of 
training centres and examination centres; 

the  obligation  for  authorities  which  discover  that  a  transport  operator  no  longer 
satisfies the good repute, financial standing or professional competence conditions to 
warn  the  operator  and,  if  remedial  action  is  not  taken  within  a  specified  period,  to 
impose  administrative  sanctions  ranging  from  withdrawing  its  authorisation  to 
disqualifying its transport manager; 

mutual  recognition  between  Member  States  of  infringements  of  EC  road  transport 
rules. This will result in the totalling-up of serious repeated infringements wherever 

5 

Total for EU27. 

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they are committed which, above a certain threshold, are likely to tarnish a transport 
operator's good repute and lay it open to the sanctions referred to above;  

– 

– 

electronic  registers  interconnected  between  all  Member  States  so  as  to  reduce  the 
administrative  cost  of  monitoring  companies  and  facilitate  the  exchange  of 
information between Member States;  

the  gradual  elimination  of  certain  exceptions  which,  since  they  are  left  to  the 
discretion  of  Member  States,  are  not  granted  to  companies  in  a  uniform  manner. 
These exceptions are no longer justified and distort competition to the detriment of 
the vast majority of companies which do not benefit from them.  

3.2. 

Legal basis 

The proposal for a  Regulation, which repeals  Directive  96/26/EC, is based on Article 71 of 
the Treaty establishing the European Community. 

3.3. 

Subsidiarity principle 

The aim of this proposal is essentially to harmonise the national rules imposed on companies 
regarding  admission  to  the  occupation,  and  in  so  doing  to  make  the  internal  market  more 
effective.  This  harmonisation  cannot  be  brought  about  by  the  Member  States  acting  alone. 
Moreover, the proposal seeks to improve the exchange of information between the Member 
States'  authorities  which  monitor  compliance  with  the  rules  governing  admission  to  the 
occupation, which can only be done in piecemeal fashion on a bilateral basis by the Member 
States.  Community  action  is  therefore  necessary  since  it  is  impossible  for  a  single  Member 
State or group of Member States to satisfactorily solve the problems identified.  

3.4. 

Proportionality principle 

The proposal complies with the proportionality principle for the following reasons. 

– 

– 

– 

– 

the  proposal  lays  down  common  conditions  but  does  not  prevent  Member  States 
from adding their own conditions concerning admission to the occupation; 

the  only  limit  to  this  possibility  derives  from  the  principle  of  freedom  of 
establishment  and  the  need  to  ensure  the  mutual  recognition  of  certain  certificates, 
but  the  proposal  does  not  introduce  any  substantial  change  compared  with  the 
provisions already in force; 

the  proposal  offers  the  Member  States  a  choice  between  two  methods  whereby  a 
company can provide evidence of its financial standing (financial indicators or bank 
guarantees);  

the obligations imposed on the national authorities which authorise the pursuit of the 
occupation take due account of their discretionary powers, in particular with regard 
to  establishing  and  ruling  on  infringements.  Based  on  the  ruling  of  the  Court  in  its 

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judgment of 13 September 2005,6 it establishes a common approach to the imposition 
of administrative sanctions such as the withdrawal of authorisations. Given the fact 
that  such  sanctions  are  already  very  dissuasive,  the  Regulation  does  not,  however, 
make  provision  for  other  sanctions  of  a  criminal  or  financial  nature  and  leaves  the 
Member States free to decide on this matter.  

Lastly, the harmonisation of the conditions governing the pursuit of the occupation cannot be 
limited  solely  to  companies  authorised  to  carry  out  international  transport  operations,  given 
that, since the completion of the internal market, the national markets are no longer separate 
for the following reasons:  

– 

– 

– 

several  Member  States  make  no  distinction  between  authorisations  issued  for  an 
international  transport  operation  and  those  issued  for  a  purely  national  transport 
operation;  

in other Member States, companies authorised to carry out transport operations only 
within a Member State are in competition with companies from other Member States 
carrying out cabotage;  

companies authorised to carry out international transport operations fall back on their 
national  market  when,  because  of  the  economic  situation,  they  can  no  longer  find 
customers wanting them to carry goods to other Member States.  

The  proposal  for  a  Regulation,  like  the  current  Directive,  therefore  covers  all  transport 
operations, including national ones. 

3.5. 

Choice of instrument 

The  main  objective  of  revising  the  rules  governing  admission  to  the  occupation  of  road 
transport  operator  is  to  ensure  that  these  rules  are  applied  more  effectively  and  in  a  less 
disparate  way.  A  Regulation,  which  is  directly  applicable  and  will  ensure  more  uniform 
application,  would  therefore  appear  to  be  the  most  appropriate  instrument.  It  will  make  for 
greater transparency, and help to reduce certain administrative costs. This choice seems all the 
more  appropriate  considering  that  admission  to  the  occupation  is  the  basic  condition  for 
gaining access to the market, and a Regulation has been the instrument used since 1992 in that 
area.  

3.6. 

Budgetary implications 

The proposal will not entail any additional cost for the Community budget. 

3.7. 

European Economic Area 

The proposal for a Regulation is of relevance to the EEA and should therefore be extended to 
it. 

6 

Case C-176/03. In that judgment, the Court explains that the Community legislature may take measures 
in  relation  to  Member  States'  criminal  law  where  the  application  of  criminal  sanctions  constitutes  an 
indispensable measure to combat serious damage to the environment. 

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4. 

PROVISIONS PROPOSED 

4.1. 

Taking-over of existing provisions 

This  proposal  supplements  and  revises  the  existing  rules  on  admission  to  the  occupation  of 
road  transport  operator.  It  therefore  takes  over  several  principles  and  provisions  from 
Directive 96/26/EC:  

– 

– 

– 

the  three  conditions  to  be  satisfied  by  a  company  wishing  to  gain  admission  to  the 
occupation 
financial  standing) 
repute,  professional  competence  and 
(Article 3); 

(good 

mutual  recognition  of  diplomas,  certificates  and  other  evidence  of  formal 
qualification to facilitate freedom of establishment (Articles 18 to 20);  

the model certificate of professional competence (Annex II) and the list of subjects of 
which knowledge is required in order to obtain that certificate (Annex I). 

However, a recasting on the basis of the Interinstitutional Agreement of 28 November 2001 
on  a  more  structured  use  of  the  recasting  technique  for  legal  acts  would  not  have  made  it 
possible  to  achieve  the  requisite  degree  of  legal  clarity.  The  principles  and  provisions  in 
question constitute an "acquis" that cannot be called into question. The Commission therefore 
calls upon the European Parliament and the Council to take the greatest possible account of 
this, and to exercise their prerogatives with regard to the new provisions, as described below. 

4.2. 

New provisions  

4.2.1.  Clarification of the definitions and updating of the scope 

Article  1  adds  to  the  list  of  definitions  to  facilitate  more  uniform  application. 
Article 2  defines  the  new  scope  which  is  consistent  with  the  other  road  transport 
legislation by including all  vehicles over 3.5 tonnes and limiting the exemptions to 
certain transport operations clearly identified in other Community acts.  

4.2.2.  Requirement as to establishment 

Articles  3  and  5  lay  down  common  rules  to  ensure  that  only  companies  that  are 
genuinely and stably established can be authorised to engage in the occupation. The 
aim is to ensure that all companies are subject to the same level of monitoring and to 
avoid  situations  where  some  are  not  monitored  by  the  authorities  in  the  Member 
States in which they are established. Under Article 5, companies are genuinely and 
stably established if they have an office, registered vehicles and an operating centre.  

4.2.3.  Making the transport manager responsible 

Article  4  specifies  the  links  that  the  person  with  the  required  professional 
competence ("the transport manager") must have with the company for which he or 
she  is  supposed  to  run  the  transport  business.  That  person  must  be  employed  and 
remunerated  by  the  company.  Since  that  person  is  supposed  to  actually  run  the 
company's  transport  business  on  a  permanent  basis,  he  or  she  must  bear  the 
consequences  of  his  or  her  decisions  and  consequently  assume  responsibility  for 
infringements committed in connection with activities which he or she directs. This 

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responsibility is defined for the purposes of this Regulation, but is without prejudice 
to  any  criminal  or  financial  responsibility  defined  in  the  national  legislation  of  a 
Member State. The possibility for owner-operators to use another transport manager 
for  qualification  purposes  is  regulated,  in  particular  to  increase  their  independence 
with regard to bigger transport operators which entrust them with consignments, and 
thus protect them from the practice of disguised employment.  
Clarification of the conditions to be satisfied with regard to good repute 

Article 6 lists the Community rules serious infringements of which may lead to the 
loss of good repute even if committed in other Member States. It also indicates that 
repeated minor infringements may be regarded as serious. It grants the Commission 
implementing  powers  to  draw  up  a  common  list  of  infringements.  This  list  is  a 
precondition for any organised exchange of information between Member States and 
the definition of common thresholds for the withdrawal of authorisations.  

4.2.4.  New indicators for measuring a company's financial standing 

Article  7  introduces  more  precise  indicators  for  measuring  a  company's  financial 
standing. Companies or Member States can choose between two options: either the 
current  assets  and  the  "quick  ratio"  (according  to  the  terminology  of  the  fourth 
accounting  directive)7  established  on  the  basis  of  the  company's  annual  accounts 
have  to  comply  with  certain  thresholds  or  the  company  has  to  provide  proof  of  its 
financial standing by means of a bank guarantee. The financial indicators proposed 
are those commonly used in financial analysis to assess a company's ability to meet 
its short-term debts. 

4.2.5. 

Improving professional competence  

Article  8  introduces  a  common  approach  combining  training  and  a  compulsory 
examination  to  test  professional  competence  applicable  to  all  applicants,  including 
those with professional experience and those holding a diploma. It also provides for a 
minimum  system  of  accreditation  for  examination  centres  and  training  centres,  and 
calls  for  the  promotion  of  exchanges  of  experience  between  Member  States  in  this 
area.  Lastly,  the  possibility  for  Member  States  to  make  a  distinction  between  the 
level of qualification according to whether or not international transport is involved 
is  removed.  The  reasoning  behind  this  is  that  those  whose  job  it  is  to  manage 
transport  activities  will  most  certainly  have  had  occasion  to  manage  transport 
operations between different Member States in the course of their careers.  

4.2.6. 

Improving monitoring 

Articles 9, 10, 11 and 13 clarify and strengthen the role of the authorities designated 
by the Member States to check that companies meet the conditions laid down in the 
Regulation. These Articles introduce common principles designed to ensure greater 
transparency,  comparability  and,  ultimately,  credibility  for  the  rules  governing 
admission  to  the  occupation.  Articles  10  and  12  indicate  the  time  limits  to  be 
complied with by those authorities when examining dossiers, and the time limits that 
may  be  granted  to  companies  to  rectify  their  situation  before  incurring  a  sanction. 

7 

Fourth  Council  Directive  78/660/EEC  of  25  July  1978  on  the  annual  accounts  of  certain  forms  of 
companies. 

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Article 12 requires the competent authorities to warn companies which run the risk of 
no  longer  satisfying  the  conditions  set  out  in  the  Regulation.  Article  21  sets  out  a 
gradual  range  of  sanctions  going  from  partial  withdrawal  of  the  authorisation  to 
disqualification  of  the  transport  operator.  Where  checks  are  concerned,  Article  11 
provides  for  targeted  checks  which  Member  States  can  carry  out  instead  of 
systematic  checks  more  frequently  than  the  existing  five-year  checks.  The  targeted 
checks  method  has  proved  to  be  an  effective  way  of  detecting  infringements  and 
reducing  administrative  costs,  since  only  companies  identified  as  being  at  risk  are 
checked.  

4.2.7.  Administrative simplification and cooperation  

Article 15 calls for the introduction in each Member State of an electronic register of 
companies which should be interconnected throughout the Community by the end of 
2010 in compliance with the rules on the protection of personal data. Such registers 
already exist in many Member States, and have proved to be effective in reducing the 
administrative costs of monitoring companies. Article 16 indicates the essential rules 
applicable to the protection of personal data, in accordance with Directive 95/46/EC. 
Article 17 provides for the designation of national contact points to be used for the 
exchange  of  information,  and  certain  procedures  to  be  followed  (detailed  in  the 
proposals for Regulations adopted in parallel with this proposal).  

4.2.8.  Other amendments  

The  other  substantive  amendments  concern  general  provisions  resulting  from  the 
amendments  indicated  above,  in  particular  to  specify  the  applicable  transitional 
period and gradually eliminate unjustified prior rights, the committee procedure rules 
which apply, and the reports to be compiled to ensure more rigorous monitoring at 
national and Community level.  

EN 

11 

   EN 

 
2007/0098 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

establishing common rules concerning the conditions to be complied with to pursue the 
occupation of road transport operator 

(Text with EEA relevance) 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

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

Having regard to the proposal from the Commission, 

Having regard to the opinion of the European Economic and Social Committee,8 

Having regard to the opinion of the Committee of the Regions,9 

Having consulted the European Data Protection Supervisor, 

Acting in accordance with the procedure laid down in Article 251 of the Treaty,10 

Whereas: 

(1) 

(2) 

The  completion  of  an  internal  market  in  road  transport  with  fair  conditions  of 
competition  requires  the  uniform  application  of  common  rules  on  admission  to  the 
occupation of road haulage operator or road passenger transport operator, hereinafter 
referred to as "occupation of road transport operator". Such common rules will help to 
contribute towards achieving a higher level of professional qualification for transport 
operators,  the  rationalisation  of  the  market,  and  an  improved  quality  of  service 
rendered, in the interests of transport operators, their customers and the economy as a 
whole,  together  with  improvements  in  road  safety.  They  will  also  facilitate  the 
effective exercise of the right of establishment for transport operators. 

Council Directive 96/26/EC of 29 April 1996 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  operations11  laid  down  minimum  conditions  governing  admission  to  the 
occupation  of  road  transport  operator  and  the  mutual  recognition  of  the  documents 

8 
9 
10 
11 

OJ C …, …, p. …. 
OJ C …, …, p. …. 
OJ C …, …, p. …. 
OJ L 124, 23.5.1996, p. 1. Directive last amended by Directive 2004/66/EC (OJ L 168, 1.5.2004, p. 35). 

EN 

12 

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required in this connection. However, experience, the impact assessment carried out, 
and various studies show that the Directive is being applied in a very disparate fashion 
from  one  Member  State  to  another.  The  disparities  in  question  have  several  adverse 
consequences, in particular distortion of competition, a lack of market transparency, a 
lack of uniformity with regard to monitoring, and the risk that undertakings with a low 
level of professional qualification may be negligent or less compliant with road safety 
rules and social welfare rules, which may harm the image of the sector. 

These consequences are all the more detrimental in that they are liable to disturb the 
smooth functioning of the internal market in road transport, since access to the market 
in  international  goods  transport  and  certain  cabotage  operations  is  open  to 
undertakings  throughout  the  Community.  The  only  condition  imposed  on  such 
undertakings is that they have a Community licence, which they can obtain provided 
that they satisfy the conditions governing admission to the occupation, in accordance 
with  Regulation  (EC)  No…/…  as  regards  the  carriage  of  goods  by  road  and 
Regulation (EC) No…/… as regards the carriage of passengers.  

It  is  therefore  appropriate  to  modernise  the  existing  rules  on  admission  to  the 
occupation  of  road  transport  operator,  in  order  to  ensure  that  they  are  applied  more 
uniformly  and  more  effectively.  Since  compliance  with  these  rules  constitutes  the 
main  condition  governing  access  to  the  Community  market,  and  the  applicable 
Community instruments in this field are Regulations, a Regulation would appear to be 
the most appropriate instrument to govern admission to the occupation.  

In  the  interests  of  fair  competition,  the  common  rules  governing  the  exercise  of  the 
occupation  should  apply  as  widely  as  possible  to  all  undertakings.  However,  it  is 
unnecessary to include in this Regulation undertakings which only perform transport 
operations with a very small impact on the transport market.  

It should be the responsibility of the Member State of establishment to verify that an 
undertaking satisfies at all times the conditions laid down in this Regulation so that the 
Member  State  in  question  can,  if  necessary,  decide  to  suspend  or  withdraw  the 
authorisations  which  allow  that  undertaking  to  operate  on  the  market.  Proper 
compliance with and reliable monitoring of the conditions governing admission to the 
occupation presuppose that undertakings are stably and effectively established.  

The  natural  persons  with  the  requisite  good  repute  and  professional  competence 
should be clearly identified and designated to the competent authorities. Such persons, 
referred to as "transport managers", should be those who continuously and effectively 
run the transport activities of road transport undertakings. It is appropriate to specify 
the  conditions  under  which  a  person  is  considered  to  manage,  continuously  and 
effectively, a transport activity in an undertaking.  

The  good  repute  of  transport  managers  is  conditional  on  their  not  having  incurred 
serious  criminal  convictions  or  serious  sanctions,  in  particular  for  infringing 
Community  rules  relating  to  road  transport.  Il  is  necessary  to  define  jointly,  in  the 
areas covered by Community rules, the types of infringements and the corresponding 
degrees of seriousness liable to detract from the good repute of an undertaking.  

(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

A  road  transport  undertaking  must  have  a  minimum  financial  standing  to  ensure 
proper  launching  and  proper  administration  of  the  undertaking.  The  current  method 

EN 

13 

   EN 

 
based  on  a  minimum  threshold  for  capital  and  reserves  leaves  a  great  deal  of 
uncertainty  about  the  financial  resources  to  be  taken  into  account,  and  does  not 
guarantee that an undertaking has the ability to meet its short-term commitments. It is 
appropriate  to  use  other,  better  defined  and  more  relevant  financial  indicators  which 
can  be  established  on  the  basis  of  the  annual  accounts.  Undertakings  which  so  wish 
should be afforded the possibility of demonstrating their financial standing with a bank 
guarantee, which may constitute a simpler and less expensive method for them.  

(10)  A  high  level  of  professional  qualification  should  increase  the  socio-economic 
efficiency of the road transport sector. It is therefore appropriate that applicants for the 
post  of  transport  manager  should  undergo  high-quality  training.  To  ensure  greater 
uniformity  of  training  and  examination  and  transparency  vis-à-vis  applicants,  it  is 
appropriate  to  provide  that  the  Member  States  accredit  examination  and  training 
centres  according  to  criteria  to  be  defined  by  them.  On  the  grounds  of  fairness  and 
transparency,  it  is  also  appropriate  that  all  applicants,  including  those  who,  because 
they have experience or a diploma, may be exempted from compulsory initial training, 
should pass an examination. Since the completion of the internal market, the national 
markets  are  no  longer  separate.  Consequently,  those  responsible  for  managing 
transport activities should possess the requisite knowledge for managing both national 
and  international  transport  operations.  The  list  of  subjects  of  which  knowledge  is 
required in order to obtain a certificate of professional competence and the procedures 
for the organisation of examinations are likely to evolve with technical progress, and 
provision should be made for updating them.  

(11)  Fair  competition  and  road  transport  that  is  fully  compliant  with  the  rules  call  for  a 
uniform  level  of  monitoring  by  Member  States.  The  national  authorities  responsible 
for monitoring undertakings and the validity of their authorisations have a crucial role 
to play in this respect, and it is appropriate to ensure that they take suitable measures if 
necessary, in particular by suspending or withdrawing authorisations, or declaring as 
unsuitable  transport  managers  who  are  negligent  or  act  in  bad  faith.  An  undertaking 
should, however, be warned in advance and should have a reasonable period of time 
within which to rectify the situation before incurring such sanctions.  

(12)  More  organised  administrative  cooperation  between  Member  States  would  improve 
the  effectiveness  of  the  monitoring  of  undertakings  operating  in  several  Member 
States  and  reduce  administrative  costs.  Electronic  registers  of  undertakings 
interconnected  throughout  the  Community,  in  compliance  with  the  Community  rules 
on  the  protection  of  personal  data,  would  facilitate  such  cooperation  and  reduce  the 
cost involved in checks for both undertakings and administrations. There are already 
national  registers  in  most  Member  States.  There  is  also  already  infrastructure  in 
existence  for  interconnection  between  Member  States.  More  systematic  use  could 
therefore be made of these national registers of undertakings and their interconnection 
throughout the Community at a lower cost, thus contributing to a significant reduction 
in the administrative costs of checks and an improvement in their effectiveness.  

(13)  Some of the data contained in these registers concerning infringements and sanctions 
are personal. Member States must therefore take the measures necessary to ensure that 
Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 
on the protection of individuals with regard to the processing of personal data and on 

EN 

14 

   EN 

 
the  free  movement  of  such  data12  is  complied  with,  in  particular  with  regard  to  the 
monitoring  of  the  processing  of  such  data  by  a  public  authority,  the  right  of  data 
subjects to be provided with information, their right of access, and their right to object. 
For the purposes of this Regulation, it would appear to be necessary to keep this type 
of data for at least two years to ensure that disqualified undertakings do not establish 
themselves in other Member States. 

(14) 

It  is  essential  to  interconnect  the  national  registers  so  as  to  enable  information  to  be 
exchanged rapidly and efficiently between Member States and guarantee that transport 
operators  are  not  tempted  to  commit,  or  take  the  risk  of  committing,  serious 
infringements 
their  country  of  establishment. 
Interconnection  of  this  kind  entails  the  joint  definition  of  the  precise  format  for  the 
data to be exchanged and the technical procedures for the exchange of data. 

in  Member  States  other 

than 

(15) 

In  order  to  ensure  the  efficient  exchange  of  information  between  Member  States, 
national contact points should be designated and certain common procedures in terms 
of time limits and the nature of the information to be forwarded as a minimum should 
be specified. 

(16)  To facilitate freedom of establishment, the production of appropriate documents issued 
by a competent authority in the country of origin of the road transport operator should 
be  accepted  as  sufficient  proof  of  good  repute  for  admission  to  the  activities  in 
question in a host Member State, providing that it can be ascertained that the persons 
concerned have not been declared unfit to pursue the occupation in the other Member 
States from which they come. 

(17)  With  regard  to  professional  competence,  a  single  model  certificate  issued  in 
accordance with the Community provisions of this Regulation should be regarded as 
sufficient proof by the  Member State of establishment, so as to facilitate freedom of 
establishment. 

(18)  Closer monitoring of the application of the provisions of this Regulation is required at 
Community  level,  which  presupposes  the  forwarding  of  regular  reports  on  the  good 
repute,  financial  standing  and  professional  competence  of  undertakings  in  the  road 
transport sector drawn up on the basis of the national registers.  

(19)  Member  States  should  provide  for  sanctions  applicable  to  infringements  of  the 
provisions  of  this  Directive.  Such  sanctions  shall  be  effective,  proportionate  and 
dissuasive. 

(20)  Given  that  the  objectives  of  the  action  proposed,  namely  modernisation  of  the  rules 
governing  admission  to  the  occupation  of  road  transport  operator  in  order  to  ensure 
that they are applied more uniformly and comparably in the Member States cannot be 
achieved  adequately  by  the  Member  States  themselves  and  can  therefore  be  better 
attained at Community level, the Community may take measures, in accordance with 
the  principle  of  subsidiarity  enshrined  in  Article 5  of  the  Treaty.  In  accordance  with 
the  principle  of  proportionality  set  out  in  that  Article,  the  Regulation  does  not  go 
beyond what is necessary to achieve those objectives. 

12 

OJ L 281, 23.11.1995, p. 31. 

EN 

15 

   EN 

 
                                                 
(21)  The measures necessary for the implementation of this Regulation should be adopted 
in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the 
procedures for the exercise of implementing powers conferred on the Commission.13 

(22)  The  Commission  should,  in  particular,  be  authorised  to  draw  up  a  list  of  categories, 
types and degrees of seriousness of infringements leading to the loss of the requisite 
good  repute  of  road  transport  operators,  to  adapt  to  technical  progress  the  Annex  to 
this  Regulation  concerning  the  knowledge  to  be  taken  into  consideration  for  the 
recognition  of  professional  competence  by  the  Member  States  and  the  Annex 
concerning the model certificate of professional competence, and to draw up the list of 
maximum infringements entailing the suspension or withdrawal of the authorisation to 
pursue the occupation or a declaration of unsuitability. Since the measures in question 
are  of  general  scope  and  are  designed  to  amend  non-essential  elements  of  this 
Regulation  or  to  supplement  it  by  the  addition  of  new  non-essential  elements,  they 
should be adopted in accordance with the regulatory procedure with scrutiny provided 
for  in  Article  5a  of  Decision  1999/468/EC.  On  the  grounds  of  efficiency,  the  time 
limits  normally  applicable  in  the  context  of  the  regulatory  procedure  with  scrutiny 
should  be  shortened  for  the  updating  of  the  model  certificate  of  professional 
competence.  

(23)  Directive 96/26/EC should be repealed. 

HAVE ADOPTED THIS REGULATION: 

CHAPTER I  

General provisions  

Article 1 
Subject matter and definitions 

1. 

2. 

This Regulation governs admission to the occupation of road transport operator and 
the pursuit of that occupation.  

For the purposes of this Regulation: 

(a) 

(b) 

(c) 

"the occupation of road transport operator" shall mean the occupation of road 
passenger transport operator or the occupation of road haulage operator;  

"the  occupation  of  road  haulage  operator"  shall  mean  the  activity  of  any 
undertaking transporting goods for hire or reward by means of either a motor 
vehicle or a combination of vehicles; 

"the occupation of road passenger transport operator" shall mean the activity of 
any  undertaking  operating,  by  means  of  motor  vehicles  so  constructed  and 
equipped  as  to  be  suitable  for  carrying  more  than  nine  persons,  including  the 

13 

OJ L 184, 17.7.1999, p. 23. Decision amended by Decision 2006/512/EC (OJ L 200, 22.7.2006, p. 11). 

EN 

16 

   EN 

 
 
                                                 
driver,  and  intended  for  that  purpose,  passenger  transport  services  for  the 
public  or  for  specific  categories  of  users  against  payment  by  the  person 
transported or by the transport organiser, 

(d) 

(e) 

(f) 

(g) 

(h) 

(i) 

"undertaking" shall mean any natural person, any legal person, whether profit-
making  or  not,  any  association  or  group  of  persons  without  legal  personality, 
whether  profit-making  or  not,  or  any  official  body,  whether  having  its  own 
legal personality or being dependent upon an authority having such personality; 

"transport manager" shall mean a natural person employed by an undertaking 
or,  if  that  undertaking  is  a  natural  person,  that  same  person  or,  where 
appropriate,  another  natural  person  designated  by  it  by  means  of  a  contract, 
who  effectively  and  continuously  manages  the  transport  activities  of  that 
undertaking;  

"authorisation to pursue the occupation of road transport operator" shall mean 
an administrative decision which authorises an undertaking which satisfies the 
conditions  provided  for  in  this  Regulation  to  pursue  the  occupation  of  road 
transport operator;  

"competent authority  for  the  purpose  of  authorising  the  pursuit  of  the 
occupation"  shall  mean  a  national,  regional  or  local  authority  in  a  Member 
State  which  verifies  whether  an  undertaking  satisfies  the  conditions  provided 
for in this Regulation, and which is empowered to award, suspend or withdraw 
the authorisation to pursue the occupation of road transport operator; 

"Member  State  of  establishment"  shall  mean  the  Member  State  in  which  an 
undertaking  wishes  to  establish  itself,  regardless  of  whether  its  transport 
manager originates in another country ;  

"Member State of origin" shall mean the Member State in which the transport 
manager of an undertaking which wishes to establish itself in another Member 
State used to reside or work. 

Article 2 
Scope 

1. 

This Regulation shall apply to all undertakings established in the Community which 
are  engaged  in  the  occupation  of  road  transport  operator.  It  shall  also  apply  to 
undertakings which wish to engage in the occupation of road transport operator. 

2. 

By way of derogation from paragraph 1, this Regulation shall not apply: 

(a) 

to undertakings engaged in the occupation of road haulage operator solely by 
means of motor vehicles or combinations of vehicles the maximum authorised 
weight  of  which  does  not  exceed  3.5  tonnes.  Member  States  may,  however, 
lower this limit for all or some categories of transport operations. 

(b) 

to  undertakings  which  are  engaged  exclusively  in  certain  road  passenger 
transport services for non-commercial purposes, which have a main occupation 

EN 

17 

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other  than  that  of  road  passenger  transport  operator,  and  which  use  vehicles 
driven by their own employees.  

Article 3 
Requirements for engaging in the occupation of road transport operator  

Undertakings  engaged  in  the  occupation  of  road  transport  operator  and  those  wishing  to 
engage in the occupation of road transport operator must satisfy the following requirements: 

(a) 

be effectively and stably established in one of the Member States;  

(b)  be of good repute; 

(c) 

be of appropriate financial standing; 

(d)  have the requisite professional competence. 

The conditions to be met in order to satisfy each of these requirements are set out in Chapter 
II.  Notwithstanding  this  Regulation,  Member  States  may  decide  to  impose  additional 
conditions that undertakings must meet in order to be allowed to engage in the occupation of 
road transport operator.  

Article 4 
Transport manager 

1. 

2. 

An undertaking which wishes to engage in the occupation of road transport operator 
shall designate to the competent authority referred to in Article 9 at least one natural 
person who satisfies the requirements set out in Article 3(b) and (d). That person, the 
transport manager, must meet the following conditions: 

(a) 

he or she must effectively and continuously manage the transport activity of the 
undertaking, and  

(b)  be  employed  and  remunerated  by  the  undertaking  or,  if  the  undertaking  is  a 

natural person, be that same person. 

By  way  of  derogation  from  paragraph  1,  if  an  undertaking  is  a  natural  person  who 
does  not  satisfy  the  requirement  as  to  professional  competence  provided  for  in 
Article 3(d), the competent authorities may authorise it to engage in the occupation 
of road transport operator, provided that:  

(a) 

(b) 

it designates to those authorities another person who satisfies the requirements 
provided for in Article 3(b) and (d), and is empowered by means of a contract 
to carry out duties as transport manager on behalf of the undertaking; 

the  contract  linking  the  undertaking  with  the  transport  manager  specifies  the 
duties  to  be  performed  on  a  permanent  basis  by  the  party  concerned,  and 
indicates  his  or  her  responsibilities  as  transport  manager;  the  duties  to  be 
specified  shall  comprise  in  particular  those  relating  to  vehicle  maintenance, 

EN 

18 

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verification  of  transport  contracts  and  documents,  accounting,  the  assignment 
of loads to drivers and vehicles, and the verification of safety procedures;  

the person designated  does not  manage,  in the capacity of transport manager, 
the transport activities of more than four different undertakings carried out with 
a maximum total fleet of twelve vehicles;  

the person designated is independent of the other undertakings which call upon 
him  or  her  to  carry  out  transport  operations  or  which  carry  out  transport 
operations on his or her behalf.  

(c) 

(d) 

3. 

The transport  manager shall  lose  his or her good repute within the meaning of this 
Regulation  if  serious  infringements  or  repeated  infringements  above  a  certain 
threshold  among  the  infringements  referred  to  in  Article  6(1)  are  committed  in  the 
context of the transport activities which he or she manages.  

CHAPTER II 

Conditions to be met 

Article 5 
Conditions relating to the requirement as to establishment 

To satisfy the requirement provided for in Article 3(a), an undertaking must be effectively and 
stably established in the Member State which, through a competent authority, authorises it to 
engage in the occupation. To that end, the undertaking must;  

(a) 

have an establishment, situated in that Member State with premises in which it 
keeps  its  business  documents,  and  in  particular  all  its  accounting  documents, 
personnel  management  documents  and  any  other  document  to  which  the 
authority competent to authorise the pursuit of the occupation must have access 
in  order  to  verify  compliance  with  the  conditions  provided  for  in  this 
Regulation;  

(b)  have  at  its  disposal  vehicles,  whether  wholly  owned  or,  for  example,  under  a 
hire purchase, hire or leasing contract or under a purchase contract, which are 
registered in and which it uses in that Member State; 

(c) 

have  an  operating  centre,  situated  in  that  Member  State,  with  the  necessary 
equipment, and in particular a sufficient number of vehicle parking places for 
regular use by its vehicles. 

Article 6 
Conditions relating to the requirement as to good repute 

1. 

For  the  purposes  of  Article  3(b),  the  requirement  as  to  the  good  repute  of  an 
undertaking  shall  mean  that  its  managers  have  not  been  convicted  of  any  serious 
criminal offence or offences under commercial law or bankruptcy law and that they 

EN 

19 

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carry out their activity in good faith and in compliance with the rules applicable to 
road transport and in accordance with professional ethics.  

Member  States  shall  determine  the  special  conditions  which  an  undertaking  must 
meet pursuant to this Regulation in order to satisfy the requirement as to good repute. 
Member States shall provide that an undertaking satisfies that requirement if:  

(a) 

there are no compelling grounds for doubting its good repute;  

(b) 

the natural person(s) whom it has designated as transport manager pursuant to 
Article  4  has  not  (have  not)  incurred  convictions  or  sanctions  in  one  of  the 
Member  States  for  serious  infringements  or  repeated  minor  infringements  of 
Community rules concerning in particular:  

(i) 

the  driving  time  and  rest  periods  of  drivers,  working  time,  and  the 
installation and use of recording equipment; 

(ii) 

the  maximum  weights  and  dimensions  of  commercial  vehicles  used  in 
international traffic; 

(iii) 

the initial qualification and continuous training of drivers; 

(iv) 

the  roadworthiness  testing  of  commercial  vehicles  and  the  compulsory 
annual technical inspection of motor vehicles; 

(v) 

access  to  the  market  in  international  road  haulage  or,  as  appropriate, 
access to the market in passenger transport; 

(vii)  safety in the carriage of dangerous goods by road; 

(viii)  the installation and use of speed-limiting devices on certain categories of 

vehicle; 

(ix) 

the driving licence; 

(x) 

admission to the occupation. 

(c) 

the undertaking has not been convicted of serious infringements of the national 
rules in force concerning the pay and employment conditions in the profession, 
road traffic, road safety or professional liability.  

2. 

For  the  purposes  of  point  (b)  of  the  second  subparagraph  of  paragraph  1,  the 
Commission  shall  adopt  the  list  of  categories,  types  and  degrees  of  seriousness  of 
infringements  and  the  frequency  of  occurrence  beyond  which  repeated  minor 
infringements shall lead to the loss of the requisite good repute. Since these measures 
are designed to amend non-essential elements of this Regulation and to supplement 
it,  they  shall  be  adopted  in  accordance  with  the  regulatory  procedure  with  scrutiny 
provided for in Article 25(3).  

To this end, the Commission shall apply the following principles:  

(a) 

the categories and types of infringement are those most frequently encountered; 

EN 

20 

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3. 

1. 

2. 

(b) 

(c) 

the most serious degree of seriousness concerns infringements which create a 
serious risk of fatalities or serious injuries;  

the frequency of occurrence beyond which repeated minor infringements shall 
be regarded as serious shall increase according to the number of drivers used 
for the transport activities managed by the natural person concerned.  

The  requirement  as  to  good  repute  shall  not  be  satisfied  until  rehabilitation  or  any 
other  measure  having  an  equivalent  effect  has  taken  place  pursuant  to  the  relevant 
existing national provisions. 

Article 7 
Conditions relating to the requirement as to financial standing  

For the purposes of Article 3(c), the requirement as to financial standing shall consist 
in  having  available  sufficient  resources  to  ensure  proper  launching  and  proper 
administration of the undertaking.  

The requirement as to financial standing shall be satisfied where an undertaking can 
at  all  times  meet  its  actual  and  potential  commitments  in  the  course  of  the  annual 
accounting  year.  To  this  end,  the  undertaking  must  prove,  on  the  basis  of  annual 
accounts certified by an auditor or a duly accredited person, that it has at its disposal 
each year:  

(a) 

current assets totalling at least EUR 9 000 for a single vehicle used and EUR 5 
000 for each additional vehicle used;  

(b)  debt claims, securities and cash at bank and in hand totalling more than 80% of 
debts of which the residual duration is no greater than one year ("quick ratio" 
>= 80%). 

For the purposes of this Regulation, the value of the euro in those national currencies which 
are non-participants in the third stage of Monetary Union 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 Union. They shall have effect from 1 January of the 
following calendar year.` 

The  accounting  items  referred  to  in  points  (a)  et  (b)  of  the  first  subparagraph  shall  be 
understood as meaning those defined in Council Directive 78/660/EEC.14 

3. 

By way of derogation from paragraph 2, the competent authority may agree that an 
undertaking may give proof of its financial standing by means of a certificate from 
one  or  more  banks  or  other  financial  institutions  providing  a  joint  and  several 
guarantee  for  the  undertaking  in  the  form  of  a  bank  surety,  or  any  other  similar 
means,  in  respect  of  the  amounts  specified  in  point  (a)  of  paragraph  2.  The  bank 
surety  may  be  called  in  by  the  competent  authority  which  authorises  the  pursuit  of 
the occupation and cannot be released without the agreement of the latter.  

14 

OJ L 222, 14.8.1978, p. 11. 

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21 

   EN 

 
                                                 
4. 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

The  annual  accounts  referred  to  in  paragraph  2,  and  the  surety  referred  to  in 
paragraph 3, which are to be verified, are those of the economic entity established in 
the  territory  of  the  Member  State  in  which  an  authorisation  is  applied  for  and  not 
those of any other entities established in the territory of any other Member State.  

Article 8 
Conditions relating to the requirement as to professional competence  

For the purposes of Article 3(d), the requirement as to professional competence shall 
be  satisfied  if  the  person(s)  who  is  (are)  deemed  to  satisfy  it  pursuant  to  Article  4 
possesses (possess) knowledge corresponding to the level of training provided for in 
Section 1 of Annex I in the subjects listed therein. It shall be established, following 
training involving compulsory attendance at courses of a total duration of at least 140 
hours, by means of a compulsory written examination which may be supplemented 
by  an  oral  examination  These  examinations  shall  be  organised  in  accordance  with 
Section 2 of Annex I.  

Only  the  authorities  and  bodies  accredited  for  this  purpose  by  a  Member  State  in 
accordance with criteria defined by it may organise the written and oral examinations 
whereby professional competence can be established. Member States shall regularly 
verify  that  the  conditions  under  which  the  authorities  and  bodies  which  they  have 
accredited organise the examinations are in accordance with Annex I.  

Member States shall accredit, in accordance with criteria defined by them, the bodies 
capable of offering applicants high-quality training to prepare them efficiently for the 
examination,  and  continuous  training  so  that  transport  managers  who  so  wish  can 
update their knowledge. Member States shall regularly verify that these bodies at all 
times fulfil the criteria on the basis of which they were accredited.  

Member States may exempt from compulsory training applicants who provide proof 
of at least five years' practical experience in a transport undertaking at management 
level.  

A  Member  State  may  exempt  the  holders  of  certain  higher  education  diplomas  or 
technical  education  diplomas  issued  in  that  Member  State  and  which  entail 
attendance  at  courses  in  the  subjects  listed  in  Annex  I  and  which  they  specifically 
designate  to  this  end  from  compulsory  training  in  the  subjects  covered  by  the 
diplomas.  

A  certificate  issued  by  the  authority  or  body  referred  to  in  paragraph  2  must  be 
produced  as  proof  of  professional  competence.  That  certificate  shall  not  be 
transferable. It shall be drawn up in accordance with the model certificate set out in 
Annex  II  and  bear  the  engraved  stamp  or  seal  of  the  accredited  authority  or  body 
which issued it. 

The  Commission  shall  adapt  Annex  I  and  Annexe  II  to  technical  progress.  Since 
these measures are designed to amend non-essential elements of this Regulation, they 
shall be adopted in accordance with the regulatory procedure with scrutiny referred 
to  in  Article  25(3),  as  regards  Annex  I,  and  in  accordance  with  the  regulatory 
procedure with scrutiny referred to in Article 25(4), as regards Annex II.  

EN 

22 

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8. 

Exchanges  of  experience  and  information  between  Member  States  concerning 
training, examinations and accreditation shall be actively encouraged, mainly but not 
exclusively, by the Committee referred to in Article 25 and by any other body that 
the Commission may designate.  

CHAPTER III 

Authorisation and monitoring  

Article 9 
Competent authorities  

1. 

Each Member State shall designate one or more competent authorities to ensure that 
the  Regulation  is  implemented  correctly.  Those  competent  authorities  shall  be 
empowered to:  

(a) 

examine applications made by undertakings; 

(b)  grant authorisations to engage in the occupation, and suspend or withdraw such 

authorisations;  

(c) 

(d) 

declare  a  natural  person  to  be  unfit  to  manage  the  transport  activity  of  an 
undertaking in the capacity of transport manager;  

carry  out  the  requisite  checks  to  verify  whether  an  undertaking  satisfies  the 
requirements provided for in Article 3.  

The competent authorities shall publish all the conditions laid down pursuant to this 
Regulation,  any  other  national  provisions,  the  procedures  to  be  followed  by 
interested applicants and the corresponding explanations.  

Article 10 
Examination and registration of applications  

The  competent  authority  shall  authorise  undertakings  which  submit  an  application 
and satisfy the requirements provided for in Article 3 to engage in the occupation of 
road transport operator.  

The  competent  authority  shall  record  in  the  electronic  register  referred  to  in 
Article 15  the  name  of  the  transport  manager  designated  by  the  undertaking,  the 
address of the establishment, the number of vehicles used and, if the authorisation is 
valid for international transport, the serial number of the Community licence and that 
of the certified copies.  

The  time  limit  for  the  examination  of  an  application  for  authorisations  by  a 
competent authority shall be as short as possible and shall not exceed three months.  

From  the  date  of  the  interconnection  of  the  national  electronic  registers  referred  in 
Article 15(4), a competent authority shall verify, when assessing the good repute of 

2. 

1. 

2. 

3. 

4. 

EN 

23 

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5. 

1. 

2. 

3. 

1. 

2. 

an undertaking, that the transport manager(s) designated has not (have not) in the last 
two years been declared, in one of the Member States, unfit to manage the transport 
activity of an undertaking pursuant to Article 13. 

Undertakings  with  an  authorisation  to  engage  in  the  occupation  of  road  transport 
operator  shall,  within  28  days,  notify  the  competent  authority  which  granted  the 
authorisation of any changes in the data referred to in paragraph 2.  

Article 11 
Checks  

The competent authorities shall verify that undertakings which they have authorised 
to  engage  in  the  occupation  continue  to  fulfil  the  requirements  provided  for  in 
Article 3. To that end, they shall check every five years that undertakings still fulfil 
each of those requirements 

In addition to the verifications provided for in paragraph 1, the competent authorities 
shall  carry  out  checks  targeting  undertakings  classed  as  being  at  risk  under  the 
system  established  by  the  Member  States  pursuant  to  Article  9  of  Directive 
2006/22/EC  of  the  European  Parliament  and  of  the  Council.15  Member  States  shall 
extend  this  risk  classification  system  to  cover  all  the  infringements  specified  in 
Article 6 of this Regulation.  

A Member State shall carry out the requisite checks to verify whether an undertaking 
still  meets  the  conditions  governing  admission  to  the  occupation  whenever  the 
Commission so requests. It shall inform the Commission of the results of the checks 
carried out at the Commission's request and of the measures taken if it is established 
that the undertaking no longer meets the conditions provided for in this Regulation.  

Article 12 
Warning procedure and procedure for the withdrawal of authorisations 

The  competent  authority  shall  withdraw  or  partially  suspend  the  authorisation  to 
engage  in  the  occupation  of  road  transport  operator  granted  to  an  undertaking  if  it 
establishes that the undertaking no longer satisfies the requirements provided for in 
Article 3 and after having sent a warning.  

A warning shall be sent to an undertaking if the competent authority establishes that 
an undertaking runs the risk of no longer satisfying the requirements provided for in 
Article 3. If it is established that one of those requirements is no longer satisfied, the 
warning shall grant a time limit for the undertaking to rectify the situation within the 
following limits:  

(a) 

a time limit not exceeding six months for the recruitment of a replacement for 
the  transport  manager  if  the  latter  no  longer  satisfies  the  requirements  as  to 
good repute or professional competence, which may be extended by six months 
in the event of the death or physical incapacity of the transport manager 

15 

OJ L 102, 11.4.2006, p. 35. 

EN 

24 

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(b) 

(c) 

a time limit not exceeding six months where the undertaking has to rectify the 
situation by demonstrating that it has an effective and stable establishment; 

a  time  limit  not  exceeding  six  months  if  the  requirement  as  to  financial 
standing  is  not  satisfied,  in  order  to  demonstrate,  on  the  basis  of  a  financial 
plan  with  realistic  assumptions,  that  the  requirement  as  to  financial  standing 
will once again be satisfied on a permanent basis as from the next accounting 
year.  

The  competent  authority  may  require  undertakings  whose  authorisation  has  been 
partially  or  provisionally  suspended  or  withdrawn  to  ensure  that  its  transport 
managers follow the training course and pass the examination referred to in Article 8 
prior to any rehabilitation measure. 

Article 13 
Declaration of unfitness of the transport manager  

In the event of infringements the seriousness of which is well established by dint of 
their systematic, premeditated nature and by attempts to hide the facts, the competent 
authority shall declare the transport manager of an undertaking whose authorisation 
has been withdrawn unfit to manage the transport activity of an undertaking.  

Unless  and  until  a  rehabilitation  measure  has  been  taken,  the  certificate  of 
professional competence referred to in Article 8(6) of the person declared to be unfit 
to manage transport activities shall no longer be valid in any Member State. 

Article 14  
Decisions of the competent authorities and appeals  

Decisions taken by the competent authorities in the Member States pursuant to this 
Regulation entailing the rejection of an application for admission to the occupation 
of  road  transport  operator  or  the  suspension  or  withdrawal  of  an  existing 
authorisation  or a declaration of unfitness shall state the reasons on which they are 
based.  

Such  decisions  shall  take  into  account  the  information  available  concerning 
infringements committed by the undertaking or one of the transport managers which 
are  such  as  to  detract  from  the  good  repute  of  the  undertaking,  and  any  other 
information at the disposal of the competent authority. 

They  shall  specify  the  rehabilitation  measures  applicable  in  the  event  of  the 
suspension of an authorisation or a declaration of unfitness.  

Member  States  shall  take  steps  to  ensure  that  the  undertakings  to  which  this 
Regulation applies have the possibility of appealing to independent organisations or 
bodies, and then to a court, with regard to the decisions referred to in paragraph 1. 
The  submission  of  an  appeal,  including  an  appeal  before  a  court,  shall  not  have 
suspensory effect.  

3. 

1. 

2. 

1. 

2. 

EN 

25 

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CHAPTER IV 

Simplification and administrative cooperation  

1. 

2. 

3. 

Article 15 
National electronic registers 

For the purposes of implementing this Regulation, and in particular Articles 10, 11, 
12,  13  and  26,  each  Member  State  shall  keep  a  national  electronic  register  of  road 
transport  undertakings  which  have  been  authorised  by  a  competent  authority 
designated  by  it  to  engage  in  the  occupation  of  road  transport  operator.  The  data 
contained  in  that  register  shall  be  processed  under  the  supervision  of  a  public 
authority  designated  for  that  purpose.  The  electronic  register  shall  be  accessible  on 
line to all the competent authorities of the Member State in question, as referred to in 
Article 9. It shall be accessible to other authorities only if they are sworn and duly 
endowed with powers relating to supervision and the imposition of sanctions in the 
road transport sphere. 

The national electronic register of a Member State shall contain the following data: 

(a) 

the name and legal form of the undertaking;  

(b) 

the address of its establishment; 

(c) 

(d) 

(e) 

(f) 

the  names  of  the  transport  managers  designated  to  meet  the  conditions  as  to 
good  repute  and  professional  competence  or,  as  appropriate,  the  name  of  the 
legal representative 

the  type  of  authorisation,  the  number  of  vehicles  which  it  covers  and,  where 
appropriate,  the  serial  number  of  the  Community  licence  and  that  of  the 
certified copies;  

the  number,  the  category  and  the  type  of  serious  infringements  and  repeated 
minor infringements, as referred to in Article 6(1)(b), which have resulted in a 
sanction in the last two years; 

the names of any persons declared to be unfit to manage the transport activity 
of  an  undertaking  in  the  last  two  years,  and  the  rehabilitation  measures 
applicable.  

Data  concerning  an  undertaking  the  authorisation  of  which  has  been  partially  or 
provisionally suspended or withdrawn or concerning any person declared to be unfit 
for the occupation shall remain in the register for two years. Such data shall specify 
the reasons for the suspension or withdrawal of the authorisations or the declaration 
of unfitness.  

Member States shall take all necessary measures to ensure that all the data contained 
in  the  electronic  register  are  kept  up  to  date  and  are  accurate,  in  particular  those 
referred to in paragraph 2(e) and (f).  

EN 

26 

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4. 

5. 

6. 

Member States shall take all necessary measures to ensure that the national electronic 
registers  are  interconnected  throughout  the  Community  no  later  than  31  December 
2010. Interconnection shall be implemented in such a way that a competent authority 
in any Member State can consult the electronic registers of all the Member States.  

For the purposes of paragraph 5, the common rules concerning the format of the data 
exchanged,  concerning  the  technical  procedures  for  automatic  consultation  of  the 
electronic registers of the other Member States shall be adopted by the Commission 
in accordance with the consultation procedure referred to in Article 25(2).  

The  Commission  may  take  any  initiative  necessary  in  order  to  facilitate  the 
implementation of paragraph 5. It may decide to postpone the time limit referred to 
therein.  Since  a  decision  to  postpone  would  be  designed  to  amend  non-essential 
elements  of  this  Regulation,  it  shall  be  adopted  in  accordance  with  the  regulatory 
procedure with scrutiny provided for in Article 25(4).  

Article 16 
Protection of personal data 

With regard to the application of Directive 95/46/EC, Member States shall ensure in particular 
that: 

(a) 

(b) 

(c) 

(d) 

1. 

all persons are informed when data relating to them are recorded or it is planned to 
forward such data to third parties. The information provided shall specify the identity 
of  the  authority  responsible  for  processing the  data,  the  type  of  data  processed  and 
the reasons; 

all  persons  have  the  right  of  access  to  data  relating  to  them  with  the  authority 
responsible for processing the data. This right shall be ensured without constraint, at 
reasonable intervals and without excessive delay or cost for the authority responsible 
for processing the data or for the applicant; 

all  persons  have  the  right  to  obtain  the  rectification,  erasure  or  blocking  of 
incomplete or inaccurate data relating to them; 

all persons have the right to oppose on compelling legitimate grounds the processing 
of data relating to them. Where there is justified opposition, the processing may no 
longer involve those data. 

Article 17 
Administrative cooperation between Member States 

Where  a  Member  State  detects  an  infringement  committed  by  an  undertaking  the 
authorisation of which has been issued by a competent authority in another Member 
State,  and  the  seriousness  of  the  infringement  could  result  in  the  suspension  or 
withdrawal of the authorisation pursuant to this Regulation, the Member State shall 
communicate  to  the  other  Member  State  all  the  information  in  its  possession 
concerning the infringement and any sanctions which it has imposed. 

EN 

27 

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2. 

3. 

4. 

Member States shall designate a national contact point responsible for the exchange 
of  information  with  the  other  Member  States  with  regard  to  the  application  of  this 
Regulation. Member States shall forward to Commission the names and addresses of 
their national contact points by … at the latest. The Commission shall draw up a list 
of all the contact points and forward it to the Member States. 

Member  States  which  exchange  information  in  the  framework  of  this  Regulation 
shall use the national contact points designated pursuant to paragraph 2. 

Member States which exchange information concerning the infringements referred to 
in  Article  6(2)  or  concerning  any  transport  managers  declared  to  be  unfit  shall 
comply with the procedure and time limits referred to in Article 12(1) of Regulation 
(EC)  No  …/…  or,  as  appropriate,  Article  23(1)  of  Regulation  (EC)  No  …/….  A 
Member State which receives notification of an infringement from another Member 
State shall record that infringement in its national electronic register.  

CHAPTER V 

Mutual recognition of diplomas, certificates and other evidence of 
formal qualifications 

Article 18 
Certificates of good repute and equivalent documents 

1. 

2. 

3. 

Without  prejudice  to  Article  10(4),  the  new  Member  State  of  establishment  shall 
accept  as  sufficient  proof  of  good  repute  for  admission  to  the  occupation  of  road 
transport operator the production of an extract from a judicial record or, failing that, 
an equivalent document issued by a competent judicial or administrative authority in 
the  transport  operator's  Member  State(s)  of  origin  showing  that  this  requirement  is 
satisfied. 

Where  a  Member  State  imposes  on  its  own  nationals  certain  conditions  relating  to 
good repute, and proof that these conditions are met cannot be provided by means of 
the document referred to in paragraph 1, that State shall accept as sufficient proof for 
nationals  of  other  Member  States  a  certificate  issued  by  a  competent  judicial  or 
administrative authority in the Member State(s) of origin stating that these conditions 
have  been  met.  Such  certificate  shall  relate  to  the  specific  facts  taken  into 
consideration in the new Member State of establishment. 

If a document required in accordance with paragraphs 1 and 2 has not been issued by 
the country (countries) of origin, it may be replaced by a declaration on oath or by a 
solemn  declaration  made  by  the  person  concerned  before  a  competent  judicial  or 
administrative  authority  or,  where  appropriate,  a  notary  in  the  Member  State  of 
origin; such authority or notary shall issue a certificate authenticating the declaration 
on oath or the solemn declaration.  

EN 

28 

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4. 

Documents  issued  in  accordance  with  paragraphs  2  and  3  shall  not  be  accepted  if 
produced more than three months after their date of issue. This condition shall apply 
also to declarations made in accordance with paragraph 3. 

Article 19 
Certificates of standing  

Where a Member State imposes on undertakings established on its territory certain conditions 
relating  to  financial  standing  in  addition  to  those  provided  for  in  Article  7,  that  State  shall 
accept as sufficient proof a certificate issued by a competent authority in the Member State(s) 
of  origin  stating  that  these  conditions  have  been  met.  Such  certificate  shall  relate  to  the 
specific facts taken into consideration in the new Member State of establishment. 

1. 

2. 

1. 

2. 

Article 20 
Certificates of professional competence  

Member  States  shall  recognise  as  sufficient  proof  of  professional  competence 
certificates complying with the model certificate set out in Annex II which are issued 
by the authorities or bodies accredited for that purpose.  

Certificates  issued  before  …  as  proof  of  professional  competence  pursuant  to  the 
provisions  in  force  until  that  date  shall  be  deemed  equivalent  to  the  certificate  the 
model  for  which  is  set  out  in  Annex  II  and  shall  be  recognised  as  proof  of 
professional  competence  in  all  Member  States.  Member  States  may,  however, 
request an additional document which provides proof of the effective exercise of the 
activity  in  question  in  a  Member  State  during  a  period  of  at  least  three  years.  This 
activity must not have ceased more than five years before the date of submission of 
the certificate. 

CHAPTER VI 

Final provisions 

Article 21 
Sanctions 

Member  States  shall  determine  the  system  of  sanctions  for  infringements  of  the 
provisions of this Regulation and shall take all the measures necessary to ensure that 
those  sanctions  are  applied.  The  sanctions  thus  provided  for  must  be  effective, 
proportionate and dissuasive. Member States shall give notification of the provisions 
in  question  not  later  than  .....  and  shall  give  notification  of  any  subsequent 
amendment concerning them as soon as possible. 

The sanctions referred to in paragraph 1 shall comprise in particular the provisional 
or partial suspension of the authorisation to engage in the occupation, the withdrawal 
of such authorisation, and the declaration of the unfitness of the transport managers 
involved.  They  shall  also  comprise  the  confiscation  of  any  vehicle  used  by  any 

EN 

29 

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undertaking which carries out transport operations without having an authorisation as 
provided for in this Regulation.  

3. 

The Commission shall draw up a list of maximum infringements of this Regulation 
entailing at least the provisional or partial suspension of the authorisation to engage 
in  the  occupation,  the  withdrawal  of  such  authorisation  or  the  declaration  of  the 
unfitness  of  the  transport  managers  involved.  Since  that  measure  is  designed  to 
amend  non-essential  elements  of  this  Regulation  and  to  supplement  it,  it  shall  be 
adopted  in  accordance  with  the  regulatory  procedure  with  scrutiny  referred  to  in 
Article 25(3).  

4. 

The  infringements  referred  to  in  Article  6(2)  shall  be  mutually  recognised  for  the 
purposes of applying the sanctions referred to in paragraph 2 of this Article. 

Article 22 
Prior rights 

Undertakings  which  can  provide  proof  that,  before  certain  dates,  they  were  authorised  in  a 
Member  State  to  engage  in  the  occupation  of  road  haulage  operator  or  road  passenger 
transport  operator  in  national  or  international  transport  shall  be  exempted  from  providing 
proof  that  they  have  the  professional  competence  referred  to  in  Article  3(d)  until  1  January 
2012. Those dates are as follows: 

(a) 

1  January  1975  for  Belgium,  Denmark,  Germany,  France,  Ireland,  Italy, 
Luxembourg, Netherlands and the United Kingdom, 

(b)  1 January 1981 for Greece, 

(c) 

1 January 1983 for Spain and Portugal, 

(d)  3 October 1989 for the territory of the former German Democratic Republic, 

(e) 

1 January 1995 for Austria, Finland and Sweden; 

Article 23 
Transitional provisions 

Undertakings  which,  before  the  date  of  entry  into  force  of  this  Regulation,  have  an 
authorisation  to  engage  in  the  occupation  of  road  transport  operator  shall  comply  with  the 
provisions of this Regulation no later than two years after that date.  

Article 24 
Mutual assistance 

1. 

2. 

The  competent  authorities  in  the  Member  States  shall  cooperate  closely  and  shall 
grant each other mutual assistance for the purposes of applying this Regulation. They 
shall ensure the confidentiality of the information which they exchange. 

information  on  serious  criminal 
The  competent  authorities  shall  exchange 
convictions,  and  serious  infringements  committed  and  serious  and  specific  facts 

EN 

30 

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liable  to  have  consequences  for  the  pursuit  of  the  occupation  of  road  transport 
operator,  in  compliance  with  the  provisions  applicable  to  the  protection  of  private 
data.  

Article 25 
Committee procedure 

The  Commission  shall  be  assisted  by  the  Committee  set  up  by  Article  18(1)  of 
Regulation (EC) No 3821/85.16  

reference 

Where 
this  paragraph,  Articles  3  and  7  of 
Decision 1999/468/EC  shall  apply,  having  regard  to  the  provisions  of  Article  8 
thereof.  

is  made 

to 

Where reference is made to this paragraph, Article 5a(1-4) and Article 7 of Decision 
1999/468/EC shall apply, having regard to the provisions of Article 8 thereof. 

Where reference is made to this paragraph, Articles 5a(1-4) and 5(b) and Article 7 of 
Decision  1999/468/EC  shall  apply,  having  regard  to  the  provisions  of  Article  8 
thereof. 

The  periods 
Decision 1999/468/EC shall be set at one month. 

laid  down 

in  of  Article  5a(3)(c), 

(4)(b)  and 

(4)(e)  of 

1. 

2. 

3. 

4. 

Article 26 
Reports on the pursuit of the occupation 

1. 

Every  two  years  the  Member  States  shall  draw  up  a  report  on  the  activities  of  the 
competent  authorities  and  shall  forward  it  to  the  Commission.  This  report  shall 
comprise 

(a) 

(b) 

an  analysis  of  the  sector  with  regard  to  good  repute,  financial  standing  and 
professional competence;  

the  number  of  authorisations  granted  by  year  and  by  type,  those  suspended, 
those  withdrawn,  the  number  of  warnings,  the  number  of  declarations  of 
unfitness and the reasons; 

(c) 

the number of certificates of professional competence issued each year;  

(d) 

statistics relating to updates of the national electronic registers, and  

(e) 

an  analysis  of  the  exchanges  of  information  with  the  other  Member  States, 
including in particular the annual number of established infringements notified 
to other Member States and the replies received pursuant to Article 17(3), and 
the annual number of requests and replies received pursuant Article 17(4).  

16 

OJ L 370, 31.12.1985, p. 8. Regulation last amended by Commission Regulation (EC) No 1791/2006 
(OJ L 363, 20.12.2006, p. 1.) 

EN 

31 

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2. 

The  Commission  shall  draw  up  every  two  years,  on  the  basis  of  these  national 
reports, a report for the attention of the European Parliament and the Council on the 
pursuit  of  the  occupation  of  road  transport  operator.  That  report  shall  contain  in 
particular  an  assessment  of  the  operation  of  the  exchange  of  information  between 
Member  States.  It  shall  be  published  at  the  same  time  as  the  report  referred  to  in 
Article 17 of Regulation (EC) No 561/2006.17  

Article 27 
List of competent authorities 

Each Member State shall forward to the Commission a list of competent authorities which it 
has designated to authorise the pursuit of the occupation of road transport operator and a list 
of  the  accredited  authorities  or  bodies  responsible  for  organising  the  examinations.  A 
consolidated list of those authorities and bodies throughout the Community shall be published 
by the Commission in the Official Journal of the European Union. 

Article 28 
Communication of national measures 

Member States shall communicate to the Commission as soon as possible the text of the laws, 
regulations  or  administrative  provisions  of  national  law  which  they  adopt  in  the  field 
governed by this Regulation. 

Article 29 
Repeal 

Directive 96/26/EC is hereby repealed. 

References to the repealed Directive shall be construed as references to this Regulation. 

Article 30 
Entry into force 

This  Regulation  shall  enter  into  force  on  the  twentieth  day  following  its  publication  in  the 
Official Journal of the European Union. 

It shall apply with effect from… 

This Regulation shall be binding in its entirety and directly applicable in all Member States.  

17 

OJ L 102, 11.4.2006, p.1. 

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Done at Brussels, […] 

For the European Parliament 
The President 
[…] 

For the Council 
The President 
[…] 

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ANNEX I 

I. 

LIST OF SUBJECTS REFERRED TO IN ARTICLE 8  

The  knowledge  to  be  taken  into  consideration  for  the  official  recognition  of  professional 
competence  by  the  Member  States  must  cover  at  least  the  subjects  listed  below  for  road 
haulage and road passenger transport respectively. In relation to these subjects, applicant road 
haulage  and  road  passenger  transport  operators  must  have  the  levels  of  knowledge  and 
practical aptitude necessary for the management of a transport undertaking. 

The  minimum  level  of  knowledge,  as  indicated  below,  may  not  be  below  level  3  of  the 
training-level structure laid down in the Annex to Council Decision 85/368/EEC,18 that is the 
level achieved in training acquired in the course of compulsory education supplemented either 
by vocational training and supplementary technical training or by secondary school or other 
technical training. 

A. 

A. Civil law 

Road haulage and passenger transport 

The applicant must, in particular: 

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

rights and obligations arising therefrom; 

(2)  be 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 such a claim affects his contractual liability; 

(4)  be familiar with the rules and obligations arising from the CMR Convention on 

the Contract for the International Carriage of Goods by Road. 

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 
such a claim affects his contractual liability. 

18 

OJ L 199, 31.7.1985, p. 56. 

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B. 

Commercial law 

Road haulage and passenger transport 

The applicant must, in particular: 

(1)  be familiar with the conditions and formalities laid down for plying the trade, 
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 company 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)  be familiar with the employers' social security obligations; 

(3)  be familiar with 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 rules applicable to driving time, rest periods and working 
time,  and  in  particular  the  provisions  of  Council  Regulation  No  561/2006,19 
Council  Regulation  No  3821/85,20  Directive  2002/15/EC  and  Directive 
2006/22/EC, and the practical measures for applying those provisions; 

(5)  be familiar with the rules applicable to the initial qualification and continuous 
training of drivers, and in particular those deriving from Directive 2003/59/EC. 

D. 

Fiscal law 

Road haulage and passenger transport 

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

(1)  VAT on transport services; 

(2)  motor-vehicle tax; 

19 
20 

OJ L 102, 11.4.2006, p. 1. 
OJ L 370, 31.12.1985, p. 8. 

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(3) 

the  taxes  on  certain  road  haulage  vehicles  and  tolls  and  infrastructure  user 
charges; 

(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 therefrom; 

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

(4)  be able to read and interpret a profit and loss account; 

(5)  be  able  to  assess  the  undertaking's  profitability  and  financial  position,  in 

particular on the basis of financial ratios; 

(6)  be able to prepare a budget; 

(7)  be  familiar  with  his  undertaking'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 organisation chart relating to the undertaking's personnel 

as a whole and to organise work plans, etc.; 

(9)  be  familiar  with  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)  be familiar with the different categories of transport auxiliaries, their role, their 

functions and, where appropriate, their status; 

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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 

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  subcontracting,  and  in  particular  the 
rules  governing  the  official  organisation  of  the  occupation,  admission  to  the 
occupation,  authorisations  for  intra-Community  and  extra-Community  road 
transport operations, inspections and sanctions; 

(2)  be familiar with the rules for setting up a road transport undertaking; 

(3)  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, the goods and luggage are kept both in 
the vehicle and on the premises of the undertaking. 

Road haulage 

(4)  be  familiar  with  the  rules  on  the  organisation  of  the  market  in  road  haulage 

services, on freight handling and logistics; 

(5)  be familiar with border formalities, the role and scope of T documents and TIR 

carnets, and the obligations and responsibilities arising from their use. 

Road passenger transport 

(6)  be familiar with the rules on the organisation of the market in road passenger 

transport; 

(7)  be familiar with the rules for introducing road passenger transport services and 

be able to draw up transport plans. 

G. 

Technical standards and technical aspects of operation 

Road haulage and passenger transport 

The applicant must, in particular: 

(1)  be familiar with the rules concerning the weights and dimensions of vehicles in 
the Member States and the procedures to be followed in the case of abnormal 
loads which constitute an exception to these rules; 

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(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  Council  Directive 
94/55/EC,21 Council Directive 96/35/EC,22 and Council Regulation (EEC) No 
259/93;23 

(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 

Road haulage and passenger transport 

The applicant must, in particular: 

(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  different  Member  States  (speed 
limits,  priorities,  waiting  and  parking  restrictions,  use  of  lights,  road  signs, 
etc.); 

21 
22 
23 

OJ L 319, 12.12.1994, p. 7. 
OJ L 145, 19.6.1996, p. 10. 
OJ L 30, 6.2.1993, p. 1. 

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(3)  be able to draw up drivers' instructions for checking their compliance with the 
safety  requirements  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; 

(5)  be  able  to  implement  procedures  for  securing  goods  properly  and  be  familiar 

with the corresponding techniques.  

Road passenger transport 

(6)  have elementary knowledge of the layout of the road network in the Member 

States. 

II. 

ORGANISATION OF THE EXAMINATION 

1. 

Member  States  shall  organise  a  compulsory  written  examination  which  they  may 
supplement  by  an  optional  oral  examination  to  establish  whether  applicant  road 
transport  operators  have  achieved  the  required  level  of  knowledge  in  the  subjects 
listed  in  part  I,  in  particular,  their  capacity  to  use  the  instruments  and  techniques 
relating thereto and to fulfil the corresponding executive and coordination duties. 

(a)  The compulsory written examination shall involve two tests, namely: 

– 

written  questions  consisting  of  either  multiple  choice  questions  (each 
with  four  possible  answers),  questions  requiring  direct  answers  or  a 
combination of both systems, 

– 

written exercises/case studies. 

The minimum duration of each test is two hours. 

2. 

3. 

(b)  Where  an  oral  examination  is  organised,  Member  States  may  stipulate  that 
participation is subject to successful completion of the written examination. 

Where  Member  States  also  organise  an  oral  examination,  they  must  provide,  in 
respect of each of the three tests, for a weighting of marks of a minimum of 25 % and 
a maximum of 40 % of the total number of marks to be given. 

Where  Member  States  organise  only  a  written  examination  they  must  provide,  in 
respect of each test, for a weighting of marks of a minimum of 40 % and a maximum 
of 60 % of the total number of marks to be given. 

With regard to all the tests, applicants must obtain an average of at least 60 % of the 
total number of marks to be given, achieving in any given test not less than 50 % of 
the total number of marks possible. In one test only, a Member State may reduce that 
mark from 50 % to 40 %. 

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ANNEX II 

EUROPEAN COMMUNITY 

EN 

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(Stout fawn paper – Format DIN A4 synthetic paper 150g/m2 or more) 

(Text in the official language(s) or one of the official languages of the Member State issuing the certificate) 

Distinctive symbol of the Member State 
concerned24 

  Designation of the accredited authority or body25 

CERTIFICATE OF PROFESSIONAL COMPETENCE 
IN ROAD HAULAGE [PASSENGER TRANSPORT26]  

No………… 

We 
………………………………………………………………………………………............................................................. 
that27born 

hereby 
on……………………………………………………………in…………………………………………………………... 

certify 

has  successfully  completed 
(year:……….; 
session:…………..)  organised  for  the  award  of  the  certificate  of  professional  competence  in  road  haulage 
(EC) 
[passenger 
No………/……….of………………………………… 

in  accordance  with  Regulation 

training  and  passed 

the  examination 

road  haulage 

transport]29 

transport]28 

[passenger 

tests 

the 

the 

for 

This certificate constitutes the sufficient proof of professional competence referred to in Article 20(1) of Regulation 
(EC) No………/……….of……………establishing common rules concerning the conditions to be complied  with to 
pursue the occupation of road transport operator. 

Issued at………………………………………………………,on……………………………………………………………30 

___________ 

24 

25 

26 
27 
28 
29 
30 

Distinctive symbol of the State: (B) Belgium, (BG) Bulgaria, (CZ) Czech Republic, (DK) Denmark, (D) 
Germany, (EST) Estonia,  
(GR) Greece, (E) Spain, (F) France, (IRL) Ireland, (I) Italy, (CY) Cyprus, (LV) Latvia, (LT) Lithuania, 
(L)  Luxembourg,  (H)  Hungary,  (NL)  Netherlands,  (A)  Austria,  (PL)  Poland,  (P)  Portugal,  (RO) 
Romania, (SLO) Slovenia, (SK) Slovakia, (FIN) Finland, (S) Sweden, (UK) United Kingdom. 
Authority  or  body  designated  in  advance  for  this  purpose  by  each  Member  State  of  the  European 
Community to issue this certificate. 
Delete as appropriate. 
Surname and forename; place and date of birth 
Delete as appropriate. 
Identification of the examination 
Stamp and signature of the accredited body issuing the certificate. 

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