7th Symposium of Lawyers - Andrei Lokhov

“Diversity of controls and sanctions in goods road transport: helping your hauliers through the maze of unharmonised applications”

Andrei Lokhov,
Assistant Departmental Manager, ASMAP,
Russian Federation

Conditions for admission to the profession of international road carrier and engaging in activities: inspection measures and sanctions within the Russian Federation

In Russia the procedure for admission to the profession of international road carrier is established by the Government of the Russian Federation, which, in its resolution of 16.10.2001 No 730 ratified the “Rules for the authorisation of Russian carriers to engage in international road transport”.

Corporate entities, irrespective of their legal form, and individual entrepreneurs engaging in the carriage of commercial and non-commercial goods, are authorised to engage in international road transport.
Authorisation of a Russian carrier to engage in international road transport is undertaken by the Federal Department for monitoring in the transport sector, as well as by its regional bodies (subsequently referred to as the transport inspection and monitoring body).
The conditions for authorising a Russian carrier to engage in international road transport are:

• the presence of vehicles, belonging to the carrier, as his/her own property or on any other legal basis,
• the presence of specialist managers, meeting the requirements in terms of qualifications to organise road transport on an international scale,
• that the Russian carrier is in a solid financial position (assets with a value of no less than 300,000 RUB (~ 12,000 US$) in the case of a single vehicle engaging in international road transport, and no less than 170,000 RUB (~ 7,000 US$) for each additional vehicle,
• mandatory insurance covering the civil liability of vehicle owners.

The requirements in terms of qualifications for specialist managers are established by the Russian Federation’s Ministry of Transport, in coordination with the Federal Customs Authority.

The decision to authorise a Russian carrier to engage in international road transport is taken by the appropriate transport inspection and monitoring body within 30 days of receipt of an application in the form specified by the Russian Federation’s Ministry of Transport, and is issued in the form of an order.

The transport inspection and monitoring body informs the Russian carrier of the decision in writing within 3 days of the date on which the decision is made.

In order to confirm the decision to authorise the Russian carrier to engage in international road transport, the latter is issued with an authorisation certificate (subsequently referred to as the certificate), as well as an authorisation card for each vehicle that will be used for international road transport.

n order to obtain authorisation to engage in international road transport, the Russian carrier must submit the following documents to the appropriate transport inspection and monitoring body for his/her place of registration:
1) an authorisation application,
2) copies of incorporation documents and a copy of the document confirming the registration of the corporate entity in the single national register of corporate entities (for corporate entities) or a copy of the national registration certificate of a citizen as an individual entrepreneur (for an individual entrepreneur),
3) a registration certificate showing that the applicant is registered with the tax authorities, with his/her tax payer’s identity number,
4) a document containing information on the number and type of vehicles, as well as documents confirming that they comply with international technical standards and with international conventions and agreements governing international road transport,
5) a copy of the document confirming the professional expertise of the specialist manager,
6) the balance sheet for the previous accounting period (the balance sheets in question are not required for newly established corporate entities),
7) a document confirming professional experience of international road transport, for Russian carriers that have submitted an application to engage in international road transport for a period of 5 years,
8) a copy of the civil liability insurance policy for the vehicle owner.
The certificate is issued:
for 1 year – to Russian carriers submitting an application for the first time, with no experience of international road transport or with less than one year’s experience,
for 5 years (if the application does not mention a shorter period) – to Russian carriers which, during the course of the 4 years prior to the application, have engaged in international road transport for at least one year.

The validity period for a certificate issued for 5 years may be extended on the request of the holder, but no more than twice.

The validity period for a certificate issued for one year cannot be extended.

An extension to the validity period for a certificate is granted by the transport inspection and monitoring body that issued it within 30 days from receipt of the corresponding request from a Russian carrier.

In the event of an increase in the number of vehicles, the holder of the certificate may obtain an authorisation card for each newly acquired vehicle from the transport inspection and monitoring body by submitting a document confirming the ownership rights to the vehicle in question, as well as documents confirming that it complies with international technical standards techniques and international conventions and agreements governing international road transport.

The certificate forms the basis for issuing a Russian carrier with an authorisation from the relevant body in a foreign country to use vehicles within the foreign country in question, as well as one of the mandatory documents for engaging in the procedure of international road transport in accordance with the customs agreement governing the international carriage of goods covered by TIR carnets (1975).

Examination of the application for authorisation to engage in international road transport, as well as issuing, extending and modifying the certificate and authorisation cards is performed free of charge.
In the event that the specialist manager should leave his/her post, the holder of the certificate is entitled to continue to engage in international road transport on condition that, within 30 days, documents for another specialist manager who will fill the post, with the required qualifications, are sent to the transport inspection and monitoring body.
(contained in the resolution passed by the Government of the Russian Federation on 14.04.2007 No 232)

The issue of a certificate or extension of the validity period for a certificate may be refused in the event of:
1) the presence in the documents submitted by the Russian carrier of incorrect or false information,
2) the failure by the Russian carrier to comply with the conditions for authorisation to engage in international road transport,
3) the withdrawal of the certificate, on which less than a year has past.

The decision to refuse to issue a certificate or to extend the validity period for a certificate is issued to theRussian carrier in writing within 3 days of the decision, with details of the reason for the refusal.

The holder of the certificate is obliged:
1) to comply with the legislation of the Russian Federation, the clauses of international agreements concluded by the Russian Federation and these regulations,
2) to ensure that the driver of the vehicle has the authorisation card in his/her possession when engaging in international road transport,
3) in the event of a reorganisation of a corporate entity, a change in its name or location, or a change in the name or place of residence of an individual entrepreneur, to submit a request to modify the certificate and the authorisation cards by enclosing documents confirming the changes made, within 15 days at the latest.Prior to modification of the aforementioned documents, international road transport may be undertaken on the basis of documents issued previously, on which the transport inspection and monitoring body will note the receipt of a request to modify them,
4) in the event that the certificate is suspended or withdrawn, to return the certificate and the authorisation cards to the transport inspection and monitoring body.
Transferring the certificate to another Russian carrier, and transferring the authorisation cards for the use of a vehicle not belonging to the holder of the certificate in question or whose ownership has been transferred by the latter to another person, is prohibited.

Russian carriers engaging in international road transport without a certificate are liable to be prosecuted in accordance with the legislation of the Russian Federation.

Within the scope of its powers, the transport inspection and monitoring body carries out national checks on compliance by the holders of certificates with the clauses of the legislation of the Russian Federation, international agreements concluded by the Russian Federation and these regulations.

Should it discover an infringement by the holder of a certificate of the clauses of the legislation of the Russian Federation, international agreements concluded by the Russian Federation and these regulations, the transport inspection and monitoring body is entitled to:

• issue warnings,
• suspend the certificate for a period of no longer than 6 months,
• withdraw the certificate.

The holder of the certificate is obliged to inform the transport inspection and monitoring body in writing that he/she has remedied infringements that have led to the suspension of the certificate.

Following receipt of the corresponding notification, the transport inspection and monitoring body checks, where necessary, that the infringements which led to the suspension of the certificate have been remedied by the holder, takes the decision to renew the validity of the certificate and to return the certificate and the authorisation cards, and informs the holder of this in writing within 7 days.

The validity period for the certificate is not extended to compensate for any period of suspension.
In the event that the holder of the certificate fails to remedy the infringements recorded by the pre determined deadline, the certificate is withdrawn.

The transport inspection and monitoring body advises the holder of a certificate in writing of its decision to suspend the certificate or to withdraw it, with the corresponding reasons, no later than 7 days after it has been issued.

The decision to issue a warning or to suspend or withdraw a certificate may also be taken on the basis of information from customs authorities within the Russian Federation, or from the relevant body in a foreign country, relating to an infringement by the holder of the certificate of customs regulations or tax legislation within the Russian Federation or the procedure for engaging in international road transport within a foreign country.

The certificate and the authorisation cards are devoid of any legal value and are deemed to be withdrawn from the moment the corporate entity is abolished or ceases to trade following its reorganisation, except where it reforms, or the certificate ceases to be valid as regards the national registration of a citizen as an individual entrepreneur.

The decisions and actions of the transport inspection and monitoring body may be contested with the Russian Federation’s Ministry of Transport or in court.

According to the legislation of the Russian Federation governing administrative offences, the transport inspection and monitoring bodies are authorised to hear the following cases in relation to carriers.

Article 8.22. Operation of motor vehicles exceeding the standards for polluting substances in exhaust fumes or the standards relating to noise levels

… operation of a car or other motor vehicle, where the level of polluting substances in exhaust fumes or the level of noise produced during operation exceeds the levels imposed by the national standards of the Russian Federation, -
results in the imposition of an official fine for employees of the sum of between five hundred and one thousand roubles.

Article 8.23. Operation of motor vehicles exceeding the standards for polluting substances in exhaust fumes or the standards relating to noise levels

The operation by citizens … of cars, motorcycles or other motor vehicles, with a level of polluting substances in exhaust fumes or a level of noise during operation that exceeds the levels imposed by the national standards of the Russian Federation, -
results in the imposition of an official fine of between one hundred and three hundred roubles.

Article 11.23. Infringement by the driver of a vehicle engaging in international road transport of the rules governing working hours and breaks

1. Driving a goods vehicle or a bus/coach for the provision of international road transport without a monitoring system (tachograph) or with a tachograph switched off, as well as with incomplete tachograms or without completing registration forms reflecting the system of working hours and breaks for drivers, -
results in the imposition of an official fine of up to two thousand five hundred roubles.
2. Infringement of the established system of working hours and breaks by the driver of a heavy goods vehicle or bus/coach, engaging in international road transport, -
results in the imposition of an official fine of between five hundred and one thousand roubles.

Article 11.26. Illegal use of vehicles registered in other countries to transport goods and/or passengers

1. Use of vehicles belonging to foreign carriers to transport goods and/or passengers between points located within the Russian Federation, -
results in an official fine for the driver of between one thousand and one thousand five hundred roubles, and for the employees of shippers, recipients and agents of between two thousand and three thousand roubles.
2. Engaging, without authorisation, in the international road transport of goods and/or passengers using a heavy goods vehicle or a bus/coach registered in another country from the territory of the Russian Federation on the territory of a foreign country, or on the territory of the Russian Federation from the territory of a foreign country, in which the vehicle in question is not registered, -
results in an official fine for the driver of between one thousand five hundred and two thousand roubles.

Article 11.27. Driving a vehicle without a national registration plate for the vehicle (or the trailer) on the vehicle (or trailer) and infringement of other rules for operating the vehicle during the course of international road transport

Driving a vehicle without a national registration plate for the vehicle (or the trailer) on the vehicle (or trailer) and infringement of other rules for operating the vehicle during the course of international road transport, as well as without the corresponding transport documents for the goods being transported or, in established cases, without a passenger list for a bus/coach engaged in irregular transport, -
results in the imposition of an official fine for the driver of between two hundred and five hundred roubles.

Article 11.29. Engaging in international road transport without the necessary authorisations

Engaging in international road transport by drivers of vehicles belonging to foreign carriers without the necessary authorisations, where such authorisations are mandatory, -
results in the imposition of an official fine of between one thousand and one thousand five hundred roubles.

Article 12.3. Driving of a vehicle by a driver who does not have in his/her possession the documents outlined in road traffic regulations
…
2. Driving of a vehicle by a driver who does not have in his/her possession … in the cases required by law, the licence card, the waybill or the transport documents for the goods, -
results in a warning or an official fine of one hundred roubles.

Article 12.21.1. Infringement of the rules for transporting abnormal and heavy loads

1. Transporting abnormal or heavy loads without special authorisation and without a transport permit in cases where a transport permit is mandatory, as well as any departure from the route specified in the special authorisation -
results in the imposition of an official fine for the driver of between two thousand and two thousand five hundred roubles or a withdrawal of the licence to drive a vehicle for a period of between four and six months, for employees responsible for transport of between fifteen thousand and twenty thousand roubles and for corporate entities of between four hundred thousand and five hundred thousand roubles.
2. Transporting abnormal loads exceeding the clearances specified in the special authorisation by more than 10 centimetres -
results in the imposition of an official fine for the driver of between one thousand five hundred and two thousand roubles or a withdrawal of the licence to drive a vehicle for a period of between two and four months, for employees responsible for transport of between ten thousand and fifteen thousand roubles and for corporate entities of between two hundred and fifty thousand and four hundred thousand roubles.
3. Transporting abnormal loads exceeding the maximum authorised weight or axle pressure, specified in the special authorisation, by more than 15 percent -
results in the imposition of an official fine for the driver of between one thousand five hundred and two thousand roubles, for employees responsible for transport of between ten thousand and fifteen thousand roubles and for corporate entities of between two hundred and fifty thousand and four hundred thousand roubles.
4. Infringement of the rules for transporting abnormal and heavy loads, with the exception of the cases outlined in sections 1 – 3 of this article, -
results in the imposition of an official fine for the driver of between one thousand and one thousand five hundred roubles, for employees responsible for transport of between five thousand and ten thousand roubles and for corporate entities of between one hundred and fifty and two hundred and fifty thousand roubles.

Article 12.21.2. Infringement of the rules for transporting hazardous goods

1. Transporting hazardous goods by a driver with no training certificate for drivers of vehicles transporting hazardous goods, authorisation certificate for the vehicle to transport hazardous goods, special authorisation, approved transport route or emergency card for the hazard information system, outlined in the rules for transporting hazardous goods, as well as transporting hazardous goods using a vehicle whose design does not comply with the rules for transporting hazardous goods or which lacks the hazard information system components or the fittings or resources needed to remedy the consequences of an accident when transporting hazardous goods, or a failure to comply with the conditions for transporting hazardous goods, outlined in the aforementioned rules, -
results in the imposition of an official fine for the driver of between two thousand and two thousand five hundred roubles, or a withdrawal of the licence to drive a vehicle for a period of between four and six months, for employees responsible for transport of between fifteen thousand and twenty thousand roubles and for corporate entities of between four hundred thousand and five hundred thousand roubles.
2. Infringement of the rules for transporting hazardous goods, with the exception of the cases outlined in section 1 of this article, -
results in the imposition of an official fine for the driver of between one thousand and one thousand five hundred roubles, for employees responsible for transport of between five thousand and ten thousand roubles and for corporate entities of between one hundred and fifty thousand and two hundred and fifty thousand roubles.

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