CELEX: 62001CC0441
Language: en
Date: 2003-01-16
Title: Opinion of Mr Advocate General Ruiz-Jarabo Colomer delivered on 16 January 2003. # Commission of the European Communities v Kingdom of the Netherlands. # Failure of a Member State to fulfil obligations - Directive 89/391/EEC - Measures to encourage improvements in the safety and health of workers at work - Article 7(3). # Case C-441/01.

OPINION OF ADVOCATE GENERALRUIZ-JARABO COLOMER delivered on 16 January 2003 (1)
         Case C-441/01 Commission of the European CommunitiesvKingdom of the Netherlands
            ((Action for failure by a Member State to fulfil its obligations – Directive 89/391/EEC – Measures aimed at encouraging improvements in the safety and health of workers at work – Order of precedence between organising the measures to protect and prevent against occupational hazards within the undertaking
               and enlisting an external agency to provide the service))
            
            
      
         
      1.  The Commission seeks a declaration from the Court of Justice, under Article 226 EC, that the Kingdom of the Netherlands has
      failed to fulfil its obligations under Article 7(3) of Directive 89/391/EEC on the introduction of measures to encourage improvements
      in the safety and health of workers at work. 
      
         			(2)
         		Under that provision, where undertakings lack the capabilities to organise activities related to the protection from and the
      prevention of occupational risks, they may enlist the help of external agencies. It appears that the Netherlands legislation
      provides that employers may choose between designating one or more of their employees to carry out the tasks concerned and
      engaging an external agency to arrange the service.
       I ─ Directive 89/391
      
      2.  The Council adopted Directive 89/391 on the basis of Article 118 A of the EC Treaty (Articles 117 to 120 of the EC Treaty
      have been replaced by Articles 136 EC to 143 EC). In view of the excessively high incidence of accidents at work and occupational
      diseases, it is proposed, in the tenth and eleventh recitals, that preventive measures be introduced or improved without delay
      in order to safeguard the safety and health of workers and ensure a higher degree of protection. To that end, workers and/or
      their representatives must be informed of the risks to their safety and health and of the measures required to reduce or eliminate
      these risks.
      
      3.  Article 7, paragraph 3 of which is the provision whose breach is alleged, provides: 
      1.  Without prejudice to the obligations referred to in Articles 5 and 6, the employer shall designate one or more workers to
      carry out activities related to the protection and prevention of occupational risks for the undertaking and/or establishment.
      
      2.  Designated workers may not be placed at any disadvantage because of their activities related to the protection and prevention
      of occupational risks.Designated workers shall be allowed adequate time to enable them to fulfil their obligations arising from this Directive.
      
      3.  If such protective and preventive measures cannot be organised for lack of competent personnel in the undertaking and/or establishment,
      the employer shall enlist competent external services or persons.
      
      4.  Where the employer enlists such services or persons, he shall inform them of the factors known to affect, or suspected of
      affecting, the safety and health of the workers and they must have access to the information referred to in Article 10(2).
      
      5.  In all cases:
      
      
      ─
      the workers designated must have the necessary capabilities and the necessary means,  
      
      
      
      ─
      the external services or persons consulted must have the necessary aptitudes and the necessary personal and professional means,
      and  
      
      
      
      ─
      the workers designated and the external services or persons consulted must be sufficient in number  
      to deal with the organisation of protective and preventive measures, taking into account the size of the undertaking and/or
      establishment and/or the hazards to which the workers are exposed and their distribution throughout the entire undertaking
      and/or establishment.
      
      6.  The protection from, and prevention of, the health and safety risks which form the subject of this Article shall be the responsibility
      of one or more workers, of one service or of separate services whether from inside or outside the undertaking and/or establishment.The worker(s) and/or agency(ies) must work together whenever necessary.
      
      7.  Member States may define, in the light of the nature of the activities and size of the undertakings, the categories of undertakings
      in which the employer, provided he is competent, may himself take responsibility for the measures referred to in paragraph 1.
      
      8.  Member States shall define the necessary capabilities and aptitudes referred to in paragraph 5.They may determine the sufficient number referred to in paragraph 5.
      
      
      3.  The Member States were required to implement the directive by 31 December 1992 and to immediately inform the Commission thereof.
      The Member States also have a duty to communicate to the Commission the texts of the provisions of national law which they
      have already adopted, or adopt, in this field.
       II ─ The Netherlands legislation
      
      4.  Article 17(1) of the Law on the working environment (Nederlandse Arbeidsomstandighedenwet), the aim of which is to transpose
      Article 7(1) and (3) of Directive 89/391 into national law, provides: 
      1.  In accordance with their legal obligations, employers must enlist the assistance of:
      (a) one or more experienced workers who can be organised into a service; 
      
      (b) other experts; 
      
      (c) one or more services composed of other experts; or 
      
      (d) a combination of experienced workers, other experts, or services within the meaning of subparagraphs (a), (b) and (c).
      
      
      
      5.  In the defence, the Netherlands Government states that the above provision was replaced by Article 14 of the 1998 Law on the
      working environment. Although the wording of the current provision differs from that of Article 17, which is at issue in these
      proceedings, both articles refer to the principle that employers may, without distinction, enlist internal or external services
      to organise protective and preventive measures.
       III ─ The administrative procedure
      
      6.  In February 1994, the Netherlands authorities communicated to the Commission the legislative provisions it had adopted to
      implement Directive 89/391. In July 1997, the Commission sent the Netherlands authorities a letter of formal notice, pointing
      out that, as concerns the organisation of protective and preventive measures, Directive 89/391 does not grant employers the
      right to choose between their own staff and an external undertaking, and that instead the directive creates a hierarchy between
      the two options, by reference to whether there are employees with the necessary capabilities.
      
      7.  Since the Commission was not persuaded by the explanations offered by Netherlands Government in November 1997, it delivered
      a reasoned opinion in late December 1998, calling upon the Netherlands Government to adopt, within two months, the measures
      necessary to implement the directive correctly. In its reply, at the end of March 1999, the Netherlands Government refused
      to alter its position, and the Commission therefore proceeded with the action by bringing it before the Court.
       IV ─ The procedure before the Court
      
      8.  The Commission lodged the application at the Court Registry on 15 November 2001. The defendant government lodged its defence
      on 5 February 2002. The reply was lodged on 27 March 2002, and the rejoinder on 13 May 2002.
      
      9.  At the hearing, which was held on 28 November 2002, oral argument was presented by the agents of the Commission and the Netherlands
      Government.
       V ─ Analysis of the action
      
      10.  The Commission requests the Court to declare that, by failing to transpose correctly Article 7(3) of Directive 89/391 correctly
      into national law, the Netherlands has failed to fulfil its obligations. The Commission also seeks an order for costs against
      the Netherlands.The Commission claims that, under the directive, employers must designate one or more of their employees to carry out activities
      related to protection and prevention, and that employers may only enlist external personnel where there are insufficient capabilities
      within the undertaking.
      
      11.  In the opinion of the Netherlands Government, however, Directive 89/391 does not impose on the Member States any hierarchy
      in relation to the two options, and it relies on five grounds in support of that view.
      (a) The wording of Article 7(3) 
      
      
      
      12.  The defendant Government contends that there is no support for Commission's interpretation in the text of the provision. If
      that interpretation were to stand, it would be impossible for employers with staff skilled in the prevention of occupational
      risks to engage the services of an external agency to organise the service, unless they decided to dismiss the staff concerned.
      An employer who subsequently recruited workers competent in the field would be obliged to terminate the contract with the
      external undertaking. Similarly, Article 7(6) of the directive would be rendered meaningless. Even if there were cause to
      interpret Article 7(3) in the sense advocated by the Commission, the Member States would not be obliged to reproduce its contents
      verbatim, since they are free to decide the form and the methods used to achieve the aim pursued by the directive. In the
      opinion of the Netherlands Government, it is preferable to enlist persons or agencies from outside the undertaking to organise
      activities related to the protection from and the prevention of occupational risks because external services have more expertise
      in this field.
      
      13.  I am unable to agree with any of those arguments.
      
      14.  Article 7 of Directive 89/391 governs the organisation of activities related to the protection from and the prevention of
      occupational risks in undertakings and provides that employers are to play a crucial role, to the extent that those who have
      the necessary capabilities at their disposal may themselves undertake the organisation of the activities concerned. Paragraph 1
      stipulates that, first and foremost, employers must designate one or more employees to carry out the activities, while bearing
      in mind that, in accordance with Paragraph 5, those employees must have the necessary capabilities and the necessary means
      and that, in accordance with Paragraph 6, they may undertake protective and preventive measures in conjunction with external
      undertakings. Paragraph 3 stipulates that if such measures cannot be organised for lack of competent staff in the undertaking
      and/or establishment, the employer must enlist external services or persons. This is an ancillary provision which is conditional
      upon there being insufficient means within the undertaking.The Court interpreted the two provisions in the same way in  
       Commission  v  
       Italy , 
      
         			(3)
         		 stating that  
      Article 7(1) and (3) of the directive require employers to arrange a service of prevention and protection from occupational
      risks within the undertaking or, if its internal capabilities are insufficient, to enlist external help.  In that case, the Italian legislation in question provided employers with the option, but not the obligation, to have recourse
      to persons or services outside the undertaking if the capabilities of the employees within it were insufficient.
      
      15.  The wording used in Article 7(1) and (3) is clear and precise. The employer must assess whether there are sufficient competent
      staff ─ in the absence of which, Paragraph 3 will apply ─ by reference to the necessary capabilities and aptitudes, which
      the Member States must define in accordance with Paragraph 8. The employer does not, therefore, make a value judgment that
      is personal and subjective in nature, as the Netherlands appears to fear, but rather a decision based on general, objective
      and uniform criteria that are laid down in national legislation. Where an employer, who, owing to a lack of available staff,
      has engaged an external agency or persons to provide the service of protection and prevention, subsequently has suitable employees
      available, it will be because that employer has made a conscious, rather than a random, decision to ensure that the activities
      in question are carried out within the establishment. In that situation, it seems logical to me that the employer would terminate
      the contract with the external undertaking since its services would no longer be needed.
      
      16.  The Court has held that transposing a directive into national law does not require its provisions to be reproduced verbatim
      in a specific, express law or regulation, provided that, depending on the content of the directive in question, it is sufficient
      in a general legal context. The Court has also stated, however, that the general legal context referred to must effectively
      ensure the full application of the directive in a clear and precise manner. 
      
         			(4)
         		 The defendant Government concedes that the Law on the working environment does not stipulate that precedence must be given
      to the organisation of protective and preventive measures by employees of the undertaking, as specified in the directive.
      Since the law ignores the hierarchy between the two options that is stipulated in the directive, it must therefore be concluded
      that Article 7(1) and (3) have not been accurately transposed into national law.
      
      17.  I share the Commission's view that there are good reasons behind the fact that Article 7 gives precedence to the performance
      of the tasks related to protection and prevention by employees wherever possible. First, employees have inside knowledge of
      the undertaking, they practise its work methods, they understand the hazards associated with the specific business activity
      it carries out, they are aware of the background, they can identify potential risks, and they are located permanently at the
      undertaking's premises. Second, it is the employees who have the greatest interest in efficient performance of the activities,
      since their physical safety and that of their colleagues is at stake. In addition, there is an increased chance that organising
      the activities concerned internally will lead to awareness, on the part of all staff, of the importance of carrying out such
      work, and that any inconvenience which may arise will not be deemed to be the result of obligations imposed from outside the
      undertaking.
      (b) The scheme of Article 7 
      
      
      
      18.  The Netherlands Government takes the view that there are certain advantages inherent in being able to choose to enlist an
      external service. The freedom to decide between one solution and the other is subject to factors such as the availability
      of competent staff, the make-up of the workforce, continuity in the provision of the service, and the problems which entrusting
      the activities to the staff would entail for the running of the establishment. Contrary to the Commission's view, the Netherlands
      Government does not agree that Article 7 of Directive 89/391 lays down a hierarchy between the two options provided for therein.
      
      19.  I do not agree with that approach either. Article 7(3) must be interpreted by reference to its position within the structure
      of the article. Paragraph 1 stipulates that an employer must designate one or more workers to carry out activities related
      to protection and prevention, with the proviso, under Paragraph 2, that workers may not be placed at any disadvantage as a
      result of carrying out those activities and may only do so on condition that they have the necessary time. Paragraph 3 provides
      that, if it is not possible to designate employees due to a lack of competent personnel, the employer must enlist an external
      undertaking to provide the service and must furnish that undertaking with the necessary information in that regard, pursuant
      to Paragraph 4. Paragraph 5 applies, in conjunction with the national legislation provided for under Paragraph 8, irrespective
      of whether the activities are carried out inside the undertaking or by an external agency. Paragraph 6 provides that the protection
      from and the prevention of occupational risks in an undertaking may be carried out partly by the staff of the undertaking
      and partly by an outside agency, in which case, the workers must work together where necessary. The fact that Paragraph 3
      follows two paragraphs, the first of which governs the designation of the workers responsible for the activities in question
      and the second of which counterbalances that by providing that their rights must be respected and that they must be provided
      with the necessary time, is a clear indication that an employer may only enlist an outside undertaking to arrange the service
      where the undertaking lacks staff with the necessary capabilities.In any event, if the directive did not stipulate any order of precedence between the two options, the first part of Paragraph 3,
      which makes recourse to external agencies conditional upon a lack of competent personnel in the undertaking, would be rendered
      superfluous.
      (c) The object of the directive 
      
      
      
      20.  The defendant Government maintains that Directive 89/391 aims to ensure that the attention given to working conditions and
      occupational hazards in undertakings is systematic and preventive in nature. The balanced participation of workers in the
      tasks concerned can be achieved in a number of ways, rather than merely by stipulating that precedence must be given to the
      performance of the tasks by employees. In the Netherlands, that was achieved by the transposition into national law of Article 9
      of the directive, which governs the obligations of employers, and of Article 10, which lays down the right of workers to receive
      information. Even where the organisation of protective and preventive measures is entrusted to an outside agency, Netherlands
      law provides that the agency must work closely with the staff of the undertaking. The Netherlands Government disagrees with
      the Commission's view that Directive 89/391 is designed to ensure that employees contribute as much as possible, since that
      aim is not referred to in Article 1, or in the preamble, or in the commentary on the initial proposal for the directive. The
      defendant also asserts that there is no support for the Commission's stance in the structure of the directive or in its underlying
      principles, which are set out in Article 1(2).
      
      21.  It is true that the object of Directive 89/391, as stipulated in Article 1(1) is to encourage improvements in the safety and
      health of workers at work. However, the preamble states that it is vital that workers and/or their representatives contribute
      to the adoption of the necessary protective measures, and that information, dialogue and balanced participation on safety
      and health at work must be encouraged between employers and workers and/or their representatives. 
      
         			(5)
         		 Those statements are referred to in Article 1(2) as general principles concerning the prevention of occupational risks and
      the protection of safety and health. It was as a result of those principles that precedence was given to the organisation
      of protective and preventive measures within undertakings. As the Commission rightly points out in the reply, the directive
      applies to all economic sectors, both public and private, with the sole exception of those with certain characteristics peculiar
      to the public service, such as, for example, the armed forces, the police and the civil protection services. Given that the
      scope of the directive is so wide, it is clear that there will be some undertakings which do not have the capabilities to
      enable them to provide the service using their own employees, but that does not mean that undertakings are not obliged to
      do so when they are able, by providing either a full service, or a partial service in conjunction with external agencies,
      as permitted by Article 7(6).Since the balanced participation of employers and workers in the prevention of occupational hazards is defined as a general
      principle of Directive 89/391, it follows that Article 7 thereof should provide that the internal organisation of the tasks
      involved must take precedence over the entitlement of employers to enlist an external undertaking to arrange the service.
      (d) Minimum harmonisation 
      
      
      
      22.  The defendant government considers that Directive 89/391 achieves only minimum harmonisation for two reasons. The first is
      that the legal basis for the directive is Article 118 A of the EC Treaty, and the second is that Article 1(3) refers to the
      principle that the directive is without prejudice to national and Community provisions which are more favourable to protection
      of the safety and health of workers. The Netherlands legislature used this opportunity to provide for greater protection,
      in particular through the establishment of a system of high-quality services throughout its national territory to carry out
      more advanced prevention activities than those referred to in the directive. In order to comply with the obligations relating
      to working conditions that are imposed on the competent services, some employers have to enlist external personnel to carry
      out the activities. Under the directive, Member States are entitled to provide increased protection, allowing employers complete
      freedom to choose the service which offers the highest level of protection.
      
      23.  Under Article 1(3) of Directive 89/391, Member States are effectively entitled to retain existing provisions which are more
      favourable to the safety and health protection of workers, and to improve their arrangements. It is not, however, appropriate
      to evaluate whether the protection guaranteed under the Netherlands legislation is higher than that provided under Directive
      89/391, but rather to ascertain whether the order of precedence between the two options referred to in Article 7 is accurately
      reflected in the national provisions.
      (e) Effectiveness of the directive 
      
      
      
      24.  The Netherlands maintains that there are a number of reasons why its legislation adequately ensures that undertakings have
      preventive and systematic internal health and safety policies. The first is that the legislation requires those who are charged
      with carrying out the most important protective and preventive tasks, whether employees or outside personnel, to be competent
      in the fields of medicine and hygiene at work, safety, ergonomics and management. It is, therefore, the size of the undertaking
      which determines whether there is a need to have recourse to external services, the advantage of which is that they are more
      objective in their work than the staff of the undertaking because they are not answerable to the employer. The second reason
      is that the legislation guarantees that workers may participate in the policy adopted in relation to working conditions, since
      the employer and the experts, whether internal or external, must inform the staff representatives and consult the workers'
      committee. The final reason is that a flexible system, which has stringent requirements regarding the competence of experts
      and which grants important rights to employees' representatives, is the best guarantee of compliance with the objectives of
      the directive.
      
      25.  I am unable to agree with those arguments either. The fact that the Netherlands has been more stringent than other Member
      States in defining the capabilities of workers and external agencies does not release it from the duty to comply with the
      order of precedence laid down in Article 7(1) and (3). I agree that, normally, the size of an undertaking influences whether
      or not there will be employees who are able to undertake activities related to the protection from and the prevention of occupational
      risks, but it must be pointed out that this is not always the case. In any event, the Member States must provide that it is,
      first and foremost, the responsibility of employers to arrange for the tasks concerned to be carried out within the undertaking.
      In addition, by ensuring that workers must receive information and that workers and/or their representatives must be consulted
      and allowed to participate in discussions, the Netherlands has transposed a number of the other provisions of the directive
      into national law.
      
      26.  For the reasons set out, I am of the opinion that the Commission has demonstrated that the Kingdom of the Netherlands has
      failed to fulfil its obligations under Article 7(3) of Directive 89/391, by providing in its national legislation that employers
      are entitled to choose, without distinction, between organising activities related to the protection from and the prevention
      of occupational risks within the undertaking, and enlisting an external body to arrange the service.Accordingly, the action brought by the Commission is well-founded and it is appropriate to declare that the Netherlands has
      failed to fulfil its obligations under Community law.
       VI ─ Costs
      
      27.  In accordance with Article 69(2) of the Rules of Procedure, the unsuccessful party must be ordered to pay the costs if they
      have been applied for in the other party's pleadings. Since I propose to allow the Commission's application, and in view of
      the fact that an application for costs has been made against the Kingdom of the Netherlands, it is appropriate to order that
      Member State to pay the costs of the proceedings.
        VII ─ Conclusion
      
      28.  In accordance with the foregoing considerations, I propose that the Court of Justice should:
      (1) declare that the Kingdom of the Netherlands has failed to fulfil its obligations under Article 7(3) of Council Directive 89/391/EEC
      of 12 June 1989 on the introduction of measures to encourage improvements in the safety and health of workers at work, by
      providing in its national legislation that employers are entitled to choose, without distinction, between organising activities
      related to the protection from and the prevention of occupational risks within the undertaking and enlisting an external body
      to arrange the service; 
      
      (2) order the defendant Member State to pay the costs. 
      
      
      
       1 –
         
           Original language: Spanish.
      
      2 –
         
         Council Directive 89/391/EEC of 12 June 1989 on the introduction of measures to encourage improvements in the safety and health
            of workers at work (OJ 1989 L 183, p. 1).
         
      
      3 –
         
         Judgment in Case C-49/00  
             Commission  v  
             Italy  [2001] ECR I-8575, paragraph 23.
         
      
      4 –
         
         Judgments in Case C-214/98  
             Commission  v  
             Greece  [2000] ECR I-9601, paragraph 49; in Case C-38/99  
             Commission  v  
             France  [2000] ECR I-10941, paragraph 53; and in  
             Commission  v  
             Italy , cited above, paragraph 21.
         
      
      5 –
         
         Eleventh and twelfth recitals.