The European Union (Recognition of Professional Qualifications) Regulations 2015

PART 1 U.K. General Provisions

Citation and commencement U.K.

1.  These Regulations may be cited as the European Union (Recognition of Professional Qualifications) Regulations 2015 and come into force on 18th January 2016.

Interpretation U.K.

2.—(1) In these Regulations—

“the 2007 Regulations” means the European Communities (Recognition of Professional Qualifications) Regulations 2007 M1 ;

“adaptation period” has the meaning set out in regulation 30;

“another relevant European State” means a relevant European State other than the United Kingdom;

“applicant” has the meaning set out in regulation 8(3) and (4);

“aptitude test” has the meaning set out in regulation 31;

“assistance centre” means the authority designated in the United Kingdom to assist with recognition of professional qualifications and to issue a European Professional Card in respect of any profession that is not regulated in the United Kingdom;

“Commission” means the European Commission;

“common training framework” has the meaning set out in regulation 64 in respect of a profession listed in a delegated act of the Commission pursuant to Article 49a(4) of the Directive;

“common training test” has the meaning set out in regulation 65 in respect of a profession listed in a delegated act of the Commission pursuant to Article 49b(4) of the Directive;

“compensation measures” means an adaptation period or an aptitude test;

“competent authority”—

(a)

in relation to the United Kingdom, has the meaning set out in regulation 4(1) to (4);

(b)

in relation to another relevant European State, has the meaning set out in regulation 4(5),

and unless the context otherwise requires, a reference to a competent authority is a reference to a competent authority in relation to the United Kingdom;

“designated competent authority” means a competent authority that has been authorised in the United Kingdom either to use IMI for the purposes of processing the European Professional Card or for measures relating to alerts regarding a professional whose professional activities have been restricted or prohibited even on a temporary basis, or for both purposes

“the Directive” means Directive 2005/36/EC of the European Parliament and of the Council of 7th September 2005 on the recognition of professional qualifications M2 ;

“Directive 95/46/EC” means 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 the free movement of such data, as amended from time to time M3 ;

“Directive 2002/58/EC” means Directive 2002/58/EC of the European Parliament and of the Council of 12 July 2002 concerning the processing of personal data and the protection of privacy in the electronic communications sector (Directive on privacy and electronic communications), as amended from time to time M4 ;

“Directive 2006/123/EC” means Directive 2006/123/EC of the European Parliament and of the Council of 12 December 2006 on services in the internal market, as amended from time to time M5

“enactment” includes—

(a)

an enactment contained in subordinate legislation within the meaning given by subsection (1) of section 21 of the Interpretation Act 1978 M6 , except that the definition of that term in that subsection shall have effect as if “Act” included Northern Ireland legislation, and

(b)

an enactment contained in an Act of the Scottish Parliament or in an instrument made under such an Act;

“European Credit Transfer and Accumulation System” or “ECTS credit” means the credit system for higher education used in the European Higher Education Area;

“European Professional Card” has the meaning given in the Directive;

“evidence of formal qualifications” has the meaning set out in regulation 9(2);

“home State” means the relevant European State in which the applicant obtained their professional qualifications or in which they lawfully practised;

“holder” means a person to whom a competent authority of a relevant European State has awarded professional qualifications;

“host State” means the relevant European State to which an applicant applies for access to or pursuit of a regulated profession in its territory;

“IMI” means the Internal Market Information System, the online, secure messaging system developed by the European Commission;

“Implementing Regulation 2015” means Commission Implementing Regulation (EU) No 2015/983 on the procedure for issuance of the European Professional Card and the application of the alert mechanism pursuant to Directive 2005/36/EC of the European Parliament and of the Council M7 ;

“lifelong learning” means all general education, vocational education and training, non-formal education and informal learning during life resulting in an improvement in knowledge, skills and competences and may include professional ethics;

“manager of an undertaking” means any person who in any undertaking in the occupational field in question has pursued an activity—

(a)

as a manager of an undertaking or a manager of a branch of an undertaking;

(b)

as a deputy to the proprietor or the manager of an undertaking where that post involves responsibility equivalent to that of the proprietor or manager represented; or

(c)

in a managerial post with duties of a commercial and/or technical nature and with responsibility for one or more departments of the undertaking;

“missing document” for the purposes of applications for a European Professional Card has the meaning set out in Article 6(2) and 10(3) of the Implementing Regulation 2015;

“overriding reasons of general interest” means reasons recognised as such in the case law of the Court of Justice of the European Union;

“point of single contact” means the authority designated in the United Kingdom to handle online queries on access to professional activities in the United Kingdom;

“practice” in relation to any regulated profession includes—

(a)

the taking up or pursuit of that profession in a relevant European State, whether in a self-employed capacity or as an employed person; and

(b)

in the course of such pursuit—

(i)

the right to use a professional title or designatory letters; and

(ii)

the enjoyment of the benefit of the status associated with membership of the profession;

“profession” includes occupation or trade;

“professional association” means an association or organisation recognised in a special form, the purpose of which is, in particular, to promote and maintain a high standard in the professional field with which it is concerned and which, to that end—

(a)

prescribes and enforces respect within its membership for rules of professional conduct and awards professional qualifications to its members; and

(b)

confers on its members the right to use one or more professional titles or designatory letters or to benefit from a status corresponding to that professional qualification;

“professional experience” means the actual and lawful full-time or equivalent part-time pursuit of the profession concerned;

“professional traineeship” means a period of professional practice carried out under supervision that constitutes a condition for access to a regulated profession, and takes place either during or after completion of an education leading to a diploma;

“professional qualifications” has the meaning set out in regulation 9(1);

“professional rules” mean rules of a professional, statutory or administrative nature which are directly linked to professional qualifications, such as the definition of the profession, the use of titles, and serious professional malpractice which is directly and specifically linked to consumer protection and safety, as well as disciplinary provisions which are applicable to professionals who pursue the same profession;

“regulated education and training” has the meaning set out in regulation 8(2);

“regulated profession” has the meaning set out in regulation 8(1);

“relevant body” means a body in the home State that can validate professional qualifications;

“relevant European State” means—

(a)

in relation to all provisions except regulation 78(3), an EEA State;

(b)

in relation to regulation 78(3), an EEA state or Switzerland.

“same profession” means the profession for which the applicant is qualified in their home State if the activities covered are comparable;

“sectoral professions” means one or more of the following regulated professions namely that of doctor, nurse responsible for general care, dental practitioner, veterinary surgeon, midwife, pharmacist and architect;

“third country” means a country other than a relevant European State,

“UK applicant” means a person whose qualifications were obtained wholly within the United Kingdom applying to a competent authority for authorisation to practise for the purposes of access to, or pursuit of a regulated profession, or any professional lawfully pursuing that profession in the United Kingdom.

(2) A reference in these Regulations to the Directive or a provision of the Directive is a reference to the Directive or a provision of the Directive as amended from time to time.

(3) A reference in these Regulations to the Implementing Regulation 2015 or a provision of that Regulation is a reference to the Implementing Regulation 2015 or a provision of that Regulation as amended from time to time.

(4) A reference in these Regulations to the United Kingdom shall, as the context requires, be taken to include a reference to any one or more of: England, Wales, Scotland, and Northern Ireland.

(5) For the purposes of these Regulations, an association or organisation established in the United Kingdom shall be taken to have been recognised in special form if the mode of its establishment was incorporation by Royal Charter.

(6) For the purposes of these Regulations, a profession having public health or safety implications is a regulated profession which is one of the following—

(a) a profession listed in Schedule 2;

(b) a sectoral profession, except the profession of architect, in a case described in regulation 3(8).

Marginal Citations

M1 S.I. 2007/2781.

M2 OJ No L 255, 30.9.2005, p.22.

M3 OJ No L 281, 23.11.1995, p 31.

M4 OJ No L 201, 31.7.2002, p 37.

M5 OJ No L 274, 20.10.2009, p 36.

M6 1978 c.30.

M7 OJ No L 159, 25.6.2015, p 27.

Application U.K.

3.—(1) Subject to paragraphs (4) to (11), the provisions listed in paragraph (2) apply to applicants.

(2) Those provisions are—

(a) regulations 5(1) to (3), 6 and 7 (functions of competent authorities);

(b) regulations 10 and 11 (partial access);

(c) regulations 12 to 26 (Part 2 (freedom to provide services on a temporary and occasional basis));

(d) regulations 27 to 34, (Part 3 (freedom of establishment));

(e) regulation 35, (recognition of professional experience);

(f) regulations 38 to 43, (common provisions on establishment);

(g) regulations 44 to 63, (Part 4 European Professional Card) (in cases where the profession is listed in Annex 1 to the Implementing Regulation 2015);

(h) regulations 64 and 65, (automatic recognition on the basis of Common Training Platform);

(i) regulation 66 (exchange of information);

(j) regulation 68 (appeals);

(k) regulation 69 (use of academic titles).

(3) The provisions in regulation 67(1) and 67(3) to (10), and regulation 68 to the extent it applies to regulation 67, apply to professionals referred to in regulation 67(2).

(4) The provisions listed in paragraph (2) apply to the sectoral professions only as mentioned in paragraphs (3) and (5).

(5) The following provisions apply to the sectoral professions only in cases within paragraph (8) (in which the applicant for specific and exceptional reasons does not satisfy the requirements for automatic recognition or recognition on the basis of acquired rights)—

(a) regulations 6 and 7 (functions of competent authorities);

(b) regulations 10 and 11 (partial access);

(c) except for the profession of architect, regulations 13(1) and (2) and 19 to 23 (checks for professions having public health or safety implications);

(d) regulations 27 to 34, (Chapter 1 of Part 3 (General system for the recognition of training));

(e) regulations 38 to 43 (Chapter 4 of Part 3) except regulation 42(3);

(f) regulations 44 to 63 (European Professional Card) (in cases where the profession is listed in Annex 1 to the Implementing Regulation 2015);

(g) regulation 66 (information); and

(h) regulation 68 (appeals).

(6) The provisions listed in paragraph (2) apply to the professions listed in Part 3 of Schedule 1 only as mentioned in paragraph (7).

(7) The following provisions apply to the professions listed in Part 3 of Schedule 1—

(a) regulation 5(1) to (3) (functions of competent authorities);

(b) regulations 6 and 7 (competent authorities);

(c) regulations 12 to 26 (freedom to provide services on a temporary and occasional basis);

(d) regulations 27 to 34 (general system for recognition of training) (in cases where the applicant for specific and exceptional reasons does not meet the requirements set out in Schedule 4);

(e) regulation 35 (automatic recognition);

(f) regulations 38 to 43 (common provisions on establishment);

(g) regulations 44 to 63 (European Professional Card) (in cases where the profession is listed in Annex 1 to the Implementing Regulation 2015);

(h) regulation 66 (exchange of information);

(i) regulation 68 (appeals); and

(j) regulation 69 (use of academic titles).

(8) The cases mentioned in paragraph (5) are—

(a) for applicants who are doctors with basic training, specialised doctors, nurses responsible for general care, dental practitioners, specialised dental practitioners, veterinary surgeons, midwives, pharmacists and architects, when the applicant does not meet the requirements of effective and lawful professional practice required in Articles 23, 27, 33, 37, 39, 43 and 49 of the Directive (acquired rights);

(b) for applicants who are architects, when the applicant holds evidence of formal qualifications not listed in Annex V point 5.7 of the Directive;

(c) without prejudice to the provisions of Articles 21(1), 23 and 27 of the Directive (automatic recognition and acquired rights), for applicants who are doctors, nurses, dental practitioners, veterinary surgeons, midwives, pharmacists and architects holding evidence of formal qualifications as a specialist, which must follow the training leading to the possession of a title listed in Annex V of the Directive, points 5.1.1, 5.2.2, 5.3.2, 5.4.2, 5.5.2, 5.6.2, and 5.7.1, solely for the purposes of the recognition of the relevant speciality;

(d) for applicants who are specialised nurses without training as a general care nurse, where, in the United Kingdom, the relevant professional activities are pursued by nurses responsible for general care, specialised nurses without training as general care nurses or specialised nurses holding evidence of formal qualifications as a specialist which follows the training leading to the possession of the titles listed in Annex V, point 5.2.2 of the Directive; and

(e) for applicants whose qualifications were obtained in a third country and, if wishing to access and pursue a sectoral profession in the United Kingdom on a permanent basis—

(i) who have, in the relevant sectoral profession, three years' professional experience on the territory of a relevant European State which recognised the formal qualifications obtained in the third country by permitting the applicant to pursue the profession on its territory in accordance with its rules; and

(ii) whose three years' professional experience is certified by that State.

(9) Regulations 12 to 26 (Part 2) and regulations 50 to 55 relating to temporary and occasional provision of service do not apply—

(a) to any of the professions listed in Part 2 of Schedule 1; and

(b) to the profession of solicitor in England and Wales, Northern Ireland or Scotland or the profession of barrister in England and Wales or Northern Ireland, or the profession of advocate in Scotland where the European Communities (Services of Lawyers) Order 1978 M8 applies.

(10) These Regulations do not apply to the profession of statutory auditor as defined in section 1210 of the Companies Act 2006 M9 .

(11) These Regulations do not apply to the profession of notary appointed by an official act of government.

Marginal Citations

M8 S.I. 1978/1910 amended by S.I. 1980/1964, 1981/228, 2003/435, 2004/1117, 2008/81 and 2013/1605, S.S.I 2004/186, 2007/359 and 2013/177.

M9 2006 c.46.

Competent authorities U.K.

4.—(1) In the case of a regulated profession listed in any of Parts 1 to 3 of Schedule 1, the competent authority in the United Kingdom for the purposes of the Directive so far as relating to that profession is the body or authority specified in relation to that profession in that Part of that Schedule.

(2) In the case of a regulated profession that is regulated in the United Kingdom but is not listed in Schedule 1, the competent authority in the United Kingdom for the purposes of the Directive so far as relating to that profession is the governing body of that profession in the United Kingdom.

(3) In these Regulations “competent authority”, in relation to a profession listed in Part 4 of Schedule 1, means the body or authority specified in relation to that profession in that Part of that Schedule.

(4) In regulations 8 and 9, and in Parts 4 and 5 of these Regulations, “competent authority” includes the assistance centre.

(5) For the purposes of these Regulations, the competent authority in another relevant European State in relation to—

(a) any document, certificate, attestation of competence, diploma or qualification,

(b) any period of professional experience, or

(c) any application, action or decision,

is the authority, body or person who under laws, regulations or administrative provisions is authorised in that State to issue, award or recognise the document or information concerned or (as the case may be) to certify the period of professional experience, to receive the application or to take the action or decision.

Functions of competent authorities in the United Kingdom U.K.

5.—(1) Without prejudice to its other powers and functions, a competent authority has the function of receiving and considering applications by applicants and taking the actions and decisions referred to in these Regulations.

(2) A competent authority must, using the IMI procedure—

(a) work in close collaboration with competent authorities of other relevant European States;

(b) provide assistance to competent authorities of other relevant European States in order to facilitate application of these Regulations; and

(c) ensure the confidentiality of the information which they exchange.

(3) If the holder of a qualification awarded by a competent authority requests, either in writing or by electronic means, that authority to provide the holder with any information or evidence as listed in Annex VII of the Directive in support of the holder's application to practise a profession in another relevant European State which regulates that profession, the competent authority must produce that information or evidence to the holder within the time limits set down in that Annex or, if there are no time limits, as soon as is reasonably practicable following the request of the holder.

(4) A competent authority must also act as a point of single contact for their regulated professions.

(5) A competent authority must fully cooperate with the assistance centre in the home or host state and provide all relevant information about individual cases to such assistance centres on request and subject to data protection rules in accordance with Directives 95/46/EC and 2002/58/EC.

(6) A competent authority must enable all requirements, procedures and formalities relating to matters covered by these Regulations to be easily completed, remotely and by electronic means but they may request certified copies at a later stage in the event of justified doubts and where strictly necessary.

(7) Paragraph (6) does not apply to the carrying out of an adaptation period or an aptitude test.

(8) Where a competent authority asks for advance electronic signatures under Article 2.2 of Directive 1999/93/EC on a Community framework for electronic signatures M10 for the completion of procedures referred to in paragraph (6), it must accept electronic signatures in compliance with Commission Decision 2009/76/EC setting out measures facilitating the use of procedures by electronic means through the points of single contact under Directive 2006/123/EC, and provide for technical means to process documents with advanced electronic signature in formats defined by Commission Decision 2011/130/EU establishing minimum requirements for the cross-border processing of documents signed electronically by competent authorities under Directive 2006/123/EC M11 .

(9) Procedures must be carried out in accordance with Article 8 of Directive 2006/123/EC relating to the point of single contact.

(10) The procedural time limits set out in regulations 21 and 42 commence at the point when an application or any missing documents have been submitted by an applicant to a point of single contact or directly to the competent authority.

(11) Any request for certified copies under paragraph (6) is not considered as a request for missing documents.

Marginal Citations

M10 OJ No L 13, 9.1.2000, p.12.

M11 OJ No L 53, 26.2.2011, p.66.

6.—(1) A competent authority seeking to ensure that a professional has a knowledge of language necessary for practising the profession in the United Kingdom may impose controls—

(a) in cases where the profession has patient safety implications; and

(b) in all other cases, where there is serious and concrete doubt about the applicant's language knowledge in respect of the professional activities the applicant intends to pursue.

(2) Any controls under this regulation may only be carried out after the recognition of the professional qualification or the issue of a European Professional Card.

(3) Controls under this regulation must be proportionate to the activity to be pursued.

(4) A decision to impose controls under this regulation is subject to appeal in accordance with regulation 68.

7.—(1) Where access to a regulated profession in the UK is conditional on completion of a professional traineeship, the competent authority must, when considering a request for authorisation to practise the profession—

(a) recognise professional traineeships that have been carried out to an equivalent standard in another relevant European state;

(b) take account of traineeships that have been carried out in a third country.

(2) The competent authority must publish guidelines on the organisation and recognition of traineeships carried out in a relevant European state or third country, and in particular on the role of the supervisor of the professional traineeship.

(3) Recognition of the professional traineeship under paragraph 1(a) does not replace any requirements to pass an examination in order to gain access to the profession.

(4) Competent authorities in the United Kingdom may impose a reasonable limit on the duration of the part of any traineeship which can be carried out abroad.

Regulated profession, regulated education and training and applicants U.K.

8.—(1) In these Regulations, “ regulated profession” means—

(a) in relation to the United Kingdom—

(i) a profession listed in any of Parts 1, 3 and 4 of Schedule 1;

(ii) a profession practised by members of a professional association who have a title or designation set out in Part 2 of Schedule 1;

(iii) a professional activity or group of activities access to which, the pursuit of which or one of the modes of pursuit of which is subject (directly or indirectly) by virtue of legislative, regulatory or administrative provisions to the possession of specific professional qualifications; or

(iv) a professional activity or group of activities pursuit of which is by persons using a professional title limited by legislative, regulatory or administrative provisions to holders of a given professional qualification;

(b) in relation to another relevant European State, a professional activity, or group of professional activities, which constitutes a profession if and in so far as the activity, or group of activities, is regulated in that State as a professional activity.

(2) “Regulated education and training” means education and training which is directly geared to the practice of a profession in a relevant European State, and comprises a course or courses complemented where appropriate by professional training or probationary or professional practice, the structure and level of which are determined by the laws, regulations or administrative provisions of that relevant European State or which are monitored or approved by the competent authority in a relevant European State.

(3) For the purposes of Part 2, and of any other provision of these Regulations so far as relating to Part 2, including Part 4, “applicant” means an individual—

(a) who wishes to access and pursue a regulated profession in the United Kingdom on a temporary and occasional basis, whether in an employed or self-employed capacity;

(b) who is a national of a relevant European State or who, although not a national of such a State, is by virtue of any enforceable EU right entitled to be treated, for the purposes of access to and pursuit of a regulated profession, no less favourably than a national of such a State;

(c) whose qualifications were obtained in a relevant European State or a third country;

(d) who is legally established in their home State for the purpose of pursuing the same profession there; and

(e) who, if neither that profession nor the education and training leading to it is regulated in their home State, has pursued that profession in that State for at least one year during the ten years preceding the provision of services.

(4) For the purposes of Chapters 1, 2 and 4 of Part 3, and of any other provision of these Regulations so far as relating to those Chapters, including Part 4, “applicant” means an individual—

(a) who wishes to access and pursue a regulated profession in the United Kingdom on a permanent basis, whether in an employed or self-employed capacity;

(b) who is a national of a relevant European State or who, although not a national of such a State, is by virtue of any enforceable EU right entitled to be treated, for the purposes of access to and pursuit of a regulated profession, no less favourably than a national of such a State;

(c) whose qualifications were obtained in a relevant European State or a third country; and

(d) who, if their qualifications were obtained in a third country, has three years' professional experience in the profession concerned—

(i) on the territory of a relevant European State which recognised the formal qualifications obtained in the third country by permitting the individual to pursue the profession on its territory in accordance with its rules, and

(ii) certified by that State.

Professional qualifications and evidence of formal qualifications U.K.

9.—(1) In these Regulations, subject to regulation 12(2), “ professional qualifications” means—

(a) qualifications attested by evidence of formal qualifications;

(b) an attestation of competence issued by a competent authority in the home State on the basis as set out in regulation 27(a);

(c) professional experience.

(2) “Evidence of formal qualifications” means—

(a) diplomas, certificates and other evidence issued by an authority in a relevant European State certifying successful completion of professional training obtained mainly in one or more relevant European States; or

(b) where sub-paragraph (a) does not apply, diplomas, certificates and other evidence issued by a third country if the holder has three years' professional experience—

(i) on the territory of a relevant European State which recognised the formal qualifications obtained in the third country by permitting the applicant to pursue the profession on its territory in accordance with its rules, and

(ii) certified by that State.

Partial access U.K.

10.—(1) Subject to paragraph (4), the competent authority in the United Kingdom must grant partial access, on a case by case basis, to a professional activity on its territory when all of the following conditions are met—

(a) the professional is fully qualified to exercise in the home State the professional activity for which partial access is sought in the United Kingdom;

(b) differences between the professional activity exercised in the home State and the regulated profession in the United Kingdom are so large that the application of compensation measures would amount to requiring the applicant to complete the full programme of education and training required in the United Kingdom to have access to the full regulated profession in the United Kingdom;

(c) the professional activity can objectively be separated from other activities falling under the regulated profession in the United Kingdom.

(2) In determining paragraph (1)(c) the competent authority in the United Kingdom must take into account whether the professional activity can be pursued autonomously in the home State.

(3) Professionals benefitting from partial access must clearly indicate to service recipients the scope of their professional activities.

(4) Partial access may be denied if such denial is justified by overriding reasons of general interest, suitable for securing the attainment of the objective pursued, and does not go beyond what is necessary to attain that objective.

Procedure applicable to partial access applications U.K.

11.—(1) Applications for the purpose of establishment must be examined by the competent authority in accordance with Chapters 1 and 4 of Part 3.

(2) Applications for the purpose of providing temporary and occasional services in respect of professional activities having public health or safety implications must be examined by the competent authority in accordance with Part 2.