Annexes

Research Report Economic impact of regulation in the field of liberal professions in different Member States Regulation of Professional Services Iain Paterson, Marcel Fink, Anthony Ogus Section co-authors: Joachim Merz*, Felix Fink*; Helmut Berrer Final Report – Part 3 Study for the European Commission, DG Competition** January 2003 * (Case Studies: Germany, France) **The contents of the study do not necessarily reflect the opinion or position of the European Commission. Institut für Höhere Studien (IHS), Wien Institute for Advanced Studies, Vienna Contact: Iain Paterson : +43/1/599 91-152 email: paterson@ihs.ac.at email: paterson@ihs.ac.at Affiliations Anthony Ogus: Centre for Regulation and Competition, University of Manchester School of Law Joachim Merz, Felix Fink: Research Institute on Liberal Professions, University of Lüneburg Marcel Fink: Department of Government, University of Vienna Iain Paterson, Helmut Berrer: Department of Economics & Finance, Institute for Advanced Studies, Vienna Thanks go to the IHS project team members Niki Graf and Hermann Kuschej, and to the many correspondents at professional bodies, member states’ statistical offices and Eurostat. Part 3 - References and Annexes Contents REFERENCES ANNEXES ANNEX A1 COMPOSITION OF REGULATION INDICES ANNEX A2 COMPOSITION OF REGULATION INDICES ANNEX A3 COMPOSITION OF REGULATION INDICES ANNEX A4 COMPOSITION OF REGULATION INDICES ANNEX A5 COMPOSITION OF REGULATION INDICES ANNEX A6 COMPOSITION OF REGULATION INDICES - LAWYERS……………………………..I NOTARIES …………………………….II ACCOUNTANTS ………………………III ARCHITECTS ……………………...…IV ENGINEERS …………………………..V PHARMACISTS ………………………VI ANNEX B1 EXCERPTS OF COMPARABLE STRUCTURE DATA -- ITALY, LEGAL SERVICES,,,,,,,VII ANNEX B2 EXCERPTS OF COMPARABLE STRUCTURE DATA -- DENMARK, ACCOUNTANCY SERVICES………………………………………………………………………………………..VIII ANNEX B3 EXCERPTS OF COMPARABLE STRUCTURE DATA --GERMANY, TECHNICAL SERVICES…………………………………………………..……………………………………..IX ANNEX C1 GDP PER CAPITA IN PURCHASING POWER STANDARD (PPS)……...……………X ANNEX C2 POI – PRICE AND OUTPUT INDICES…………………………………………………XI ANNEX D1 SOURCES OF ESTIMATES FOR 'NUMBER OF PROFESSIONALS’ - LEGAL SERVICES…………………………………………………………………………………………XII ANNEX D2 SOURCES OF ESTIMATES FOR 'NUMBER OF PROFESSIONALS’ - ACCOUNTANCY SERVICES………………………………………………………………………………..………XIII ANNEX D3 SOURCES OF ESTIMATES FOR 'NUMBER OF PROFESSIONALS’ - TECHNICAL SERVICES………………………………………………………………….…………………….XIV ANNEX D4 SOURCES OF ESTIMATES FOR 'NUMBER OF PROFESSIONALS’ - PHARMACY SERVICES………………………………………………………………………………………...XV ANNEX E1 RETURNS OF IHS QUESTIONNAIRES FROM MEMBER STATES - SUMMARY STATISTICS…………………………………………………………………………………..…..XVI ANNEX E2 SYNOPSIS OF IHS QUESTIONNAIRE RETURNS -- CASE STUDY COUNTRIES/PROFESSIONS………………………………………………………….………….XVII ANNEX E3 IHS QUESTIONNAIRE I H S — Paterson, Fink, Ogus et al. / Regulation of Professional Services — References AKERLOF, George A., 1970, The Market for “Lemons”: Qualitative Uncertainty and the Market Mechanism, Quarterly Journal of Economics, Vol. 84, 488-500. BARTELS, K. D., 1996, Aus- und Fortbildung des Accountancy Berufsstandes. Ein Vergleich zwischen dem Vereinigten Königreich und der Bundesrepublik Deutschland, Frankfurt/Main. BLACK, Julia, 1996, Constitutionalising Self-Regulation, Modern Law Review, Vol. 59, 24-55. CLEMENT, Werner, KOLB Walter, 2000, Die Entwicklung des Arzneimittelsektors am Apothekenmarkt Österreichs im internationalen Vergleich 1989-1998, IWI Industriewissenschaftliches Institut, IWI Fachbereich Gesundheitsökonomie. FAURE, M., FINSINGER J., SIEGERS J., VAN DEN BERGH R., (eds.), 1993, Regulation of professions: A Law and Economics approach to the regulation of attorneys and physicians in the US, Belgium, The Netherlands, Germany and the UK, Antwerpen. FAURE, M., MAKS J.A.H., PHILIPSEN N.J., 2001, (Zelf)-regulering van de Apothekersmarkt, Maandschrift Economie, Vol. 65, 208-228. FELDERER et al, Bernhard, 2002, Umsatzsteuermodifikation am Arzneimittelmarkt Pros und Cons., IHS Research Report 679, Vienna. FELDERER, B., FINK M., HELMENSTEIN C., PATERSON I., 1998, Re-Regulierung der Freien Berufe. Eine komparative Analyse der rechts- und wirtschaftsberatenden Freien Berufe in Österreich und drei weiteren Europäischen Ländern, IHS Research Report 499, Vienna. FELDERER, B., FINK M., HELMENSTEIN C., PATERSON I., KUZMICS C., 1999, Beschäftigungspotentiale der Freien Berufe. Eine komparative Analyse der rechts-, wirtschafts- und technisch beratenden Berufe, IHS Research Report 504, Vienna. FIALA, Markus, CLEMENT Werner, 2000, Empirische Grundlagen des österreichischen Pharmagroßhandels im europäischen Vergleich. GELKING, C., 1996, Deregulierung der Freien Berufe: Kritische Analyse einer berufs- und standesrechtlichen Überregulierung freiberuflicher Dienstleistungen, Frankfurt/Main — Paterson, Fink, Ogus et al. / Regulation of Professional Services — I H S HENSSLER, M., NERLICH J. (eds.), 1994, Anwaltliche Tätigkeit in Europa, Bonn. HERRMANN, H., 1996, Recht der Kammern und Verbände Freier Berufe: Europäischer Ländervergleich und USA, Baden-Baden. HOFMACHER, Maria, RIEDEL Monika, 2001, Ressourcenverbrauch in der EU: Innovation kostet Schwerpunktthema. Die Regulierung des Arzneimittelmarktes macht alle sicherer, Health System Watch, Beilage zur Fachzeitschrift Soziale Sicherheit, Hauptverband der österreichischen Sozialversicherungsträger. HOLEN, Arlene S.,1965, ‘Effects of Professional Licensing Arrangements on Interstate Labor Mobility and Resource Allocation’, Journal of Political Economy, Vol 73, 492-498. IBFD (International Bureau of Fiscal Documentation) (ed.), 2001, Steuerberater-Handbuch Europa, Länderdarstellungen, Rechtsvorschriften, Berufsrecht, Verwaltungsverlautbarungen, Querschnitts-darstellungen, Rechtsprechung, Lose-Blatt Sammlung, Bonn. IFB (ed.), 1993, Freie Berufe in Europa. Materialien zur Struktur und Lage der Freien Berufe in der Europäischen Gemeinschaft, in Österreich und der Schweiz, Bonn. IMS Health, 1999, Europäischer Spannen- und Leistungsvergleich für Apotheken. KAY, John A., 1988, The Forms of Regulation, in Seldon, Arthur (ed), Financial Regulation – or Over-Regulation, 33-42. Institute of Economic Affairs. KAY, John A., VICKERS John, 1990, Regulatory Reform: An Appraisal, in Majone, Giandomenico (ed.), Deregulation or Re-regulation: Regulatory Reform in Europe and the United States, London, Frances Pinter. KENWORTHY, l., 2001, Quantitative Indicators of Corporatism, Department of Sociology, Emory University, Atlanta, http://www.emory.edu/SOC/lkenworthy/QIoC-paper.pdf. KLOS, J., 1991, Der Berufsweg zum Wirtschaftsprüfer, in Steuer&Studium – Zeitschrift für die Aus- und Fortbildung im Steuerrecht, Heft 10/91 (Oktober), 363-367. LECG Ltd., 2001, Restrictions on Competition in the Provision of Professional Services”, Report for the Office of Fair Trading, in Competition in professions, OFT. MAKS, J.A.H., PHILIPSEN N.J., 2002, An economic analysis of the regulation of professions, in L. Vereeck (ed), The Regulation of Architects, Intersentia, Antwerpen. I H S — Paterson, Fink, Ogus et al. / Regulation of Professional Services — MILLER, J.C., 1985, The FTC and Voluntary Standards: Maximising the Net Benefits of SelfRegulation. The Cato Journal, Vol. 4, 897-903. NGUYEN-HONG, Duc, 2000, Restrictions on Trade in Professional Services, Staff Research Paper, Productivity Commission, Melbourne. OECD, 1996, International Trade in Professional Services. Assessing Barriers and Encouraging Reform, Paris. OECD. 1999, Employment Outlook, Paris. OGUS Anthony, 2000, Self-Regulation, in B. Bouckaer and g. De Geest (eds), Encyclopedia of Law and Economics, Vol. V: The Economics of crime and Litigation, Edward Elgar, 587-602. OGUS, Anthony, 1995, ‘Rethinking Self-Regulation’, Oxford Journal of Legal Studies, Vol 15 97-108. ÖSTERREICHISCHE APOTHEKERKAMMER, 2002, Die Österreichische Apotheke in Zahlen. PASHIGIAN, B. Peter, 1977, ‘The Market for Lawyers: The Determinants of the Demand for and Supply of Lawyers’, Journal of Law and Economics, Vol 20, 53-85. PASHIGIAN, B. Peter, 1979, ‘Occupational Licensing and the Interstate Mobility of Professionals’, Journal of Law and Economics, Vol 22, 1-25. PELTZMAN, Sam, 1976, ‘Toward a More General Theory of Regulation’, Journal of Law and Economics, 211-240. POSNER, Richard A., 1974, ‘Theories of Economic Regulation’, Bell Journal of Economics and Management Science, Vol 5, 335-358. ROSIAN, Ingrid, HABL Claudia, VOGLER Sabine, WEIGL Marion, 2001, ÖBIG, Arzneimittel Steuerung der Märkte in der EU, Österreichisches Bundesinstitut für Gesundheitswesen. STD (Svensk Teknik och Design), 2001, Sector Review, Swedish Federation of Consulting Engineers and Architects. — Paterson, Fink, Ogus et al. / Regulation of Professional Services — I H S STEPHEN, Frank H., 2002, An Economic Perspective on the Regulation of Legal Service Markets, Evidence submitted to the Justice 1 Committee's Inquiry into the Regulation of the Legal Profession, Scottish Parliament, Official Report. STEPHEN, Frank H., LOVE James H., 2000, Regulation of Legal Profession, in Bouckaert, B. and De Geest, G. (eds.), Encyclopedia of Law and Economics, Edward Elgar,.9871017. STIGLER, George J., 1971, The Theory of Economic Regulation, Bell Journal of Economics, Vol 2, 3-21. SVORNY, Shirley, 2000, Regulation of Legal Profession, in Bouckaert, B. and De Geest, G. (eds.), Encyclopedia of Law and Economics, Edward Elgar,.296-328. VAN DEN BERGH, Roger, FAURE Michael G., 1991, Self Regulation of the Professions in Belgium, International Review of Law and Economics, Vol 11, 165-182. WASILEWSKI, R., 1997, Der Berufsstand in der Europäischen Perspektive, in: Bertl (Hrsg.), 201-267. WEIN, T., 1995, Recht durch Rechtsanwälte? Eine ökonomische Analyse des Marktes für Rechtsanwaltsdienstleistungen, Berlin. WHO (World Health Organisation), 1999, Health Care Systems in Transition, Portugal, European observatory of health care systems. I H S — Paterson, Fink, Ogus et al. / Regulation of Professional Services — i Annex A1 Composition of Regulation Indices - Lawyers ii — Paterson, Fink, Ogus et al. / Regulation of Professional Services — I H S Annex A2 Composition of Regulation Indices - Notaries I H S — Paterson, Fink, Ogus et al. / Regulation of Professional Services — iii Annex A3 Composition of Regulation Indices - Accountants iv — Paterson, Fink, Ogus et al. / Regulation of Professional Services — I H S Annex A4 Composition of Regulation Indices - Architects I H S — Paterson, Fink, Ogus et al. / Regulation of Professional Services — v Annex A5 Composition of Regulation Indices - Engineers vi — Paterson, Fink, Ogus et al. / Regulation of Professional Services — I H S Annex A6 Composition of Regulation Indices - Pharmacists I H S — Paterson, Fink, Ogus et al. / Regulation of Professional Services — vii Annex B1 Excerpts of Comparable Structure Data -- Italy, Legal Services ITALY - k7411 Legal services 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 Key Variables: F in units T in Mio EUR E in units 74 158 1 5 818 1 131 184 1 77 367 1 7 824 1 131 409 1 80 241 1 7 824 1 136 694 1 70 254 1 8 222 1 128 185 1 79 093 1 87 608 1 9 104 1 11 273 1 135 842 1 148 665 1 139 500 2 57.61 1 57.68 1 1 1 108 1 1 166 1 117 3 115 3 129 3 1 825 3 1 717 3 1 697 3 64 3 67 3 76 3 2 227 3 2 358 3 2 577 3 1 220 3 1 373 3 1 519 3 Professionals in units 57.33 1 1 971 78 3 1 769 3 44 3 2 291 3 1 295 3 1 182 3 1 592 3 66 3 81 3 1 497 3 1 066 3 1 530 3 T per cap. in EUR 102 3 T in % of GDP 0.69 3 Population in Mio. GDP in Bil. EUR 57.27 1 839 57.46 1 57.56 1 1 1 1 030 1 069 101 3 1 699 3 98 3 1 704 3 60 3 57 3 2 292 3 2 379 3 1 349 3 1 396 3 Key Indicators: T per Firm in 1000 EUR E per 1000 firms T per E in 1000 EUR E per Mio. of Pop F per Mio. of Pop Prof per 1000 F T per Prof in 1000 EUR E per 1000 Prof Prof Density (per Mio. Pop) 136 3 0.81 3 7 014 3 122 3 Vol per firm in 1000 EUR* Vol per E in 1000 EUR* Vol in POI-adjusted Mio. EUR* Vol per cap. in EUR* Vol per Prof in 1000 EUR* 1 Source: Eurostat 2 Value refers to year 2001 3 Value calc. by IHS 2 419 3 158 3 195 3 0.82 3 0.97 3 8 989 3 10 073 3 12 577 3 156 3 175 3 218 3 106 3 128 3 127 3 144 3 62 3 70 3 74 3 85 3 90 3 136 3 143 3 0.76 3 0.77 3 8 557 3 8 479 3 149 3 148 3 95 3 111 3 53 3 65 3 80 3 viii — Paterson, Fink, Ogus et al. / Regulation of Professional Services — I H S Annex B2 Excerpts of Comparable Structure Data -- Denmark, Accountancy Services DENMARK - k7412 Accountancy 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 Key Variables: F in units T in Mio EUR E in units 7 377 1 7 532 1 4 022 3 4 104 3 1 048 1 1 067 1 1 199 3 1 376 3 20 246 1 19 370 1 16 366 3 17 024 3 5 077 2 5.31 1 5.33 1 165 1 176 1 298 4 335 4 4 069 4 4 148 4 73 4 81 4 3 739 4 3 080 4 3 194 4 1 454 4 757 4 770 4 Professionals in units 5.18 1 1 119 1 142 4 142 4 2 744 4 2 572 4 52 4 55 4 E per Mio. of Pop 3 922 4 F per Mio. of Pop 1 429 4 Population in Mio. GDP in Bil. EUR 5.16 1 114 5.20 1 128 1 5.22 1 138 1 5.25 1 144 1 5.28 1 149 1 5.29 1 156 1 Key Indicators: T per Firm in 1000 EUR E per 1000 firms T per E in 1000 EUR Prof per 1000 F T per Prof in 1000 EUR E per 1000 Prof 203 4 0.92 4 766 4 Vol per cap. in EUR* 148 4 Vol per firm in 1000 EUR* 104 4 38 4 T in % of GDP Vol in POI-adjusted Mio. EUR* Vol per E in 1000 EUR* 206 4 0.90 4 755 4 146 4 100 4 39 4 Vol per Prof in 1000 EUR* 1 Source: Eurostat 2 Value refers to year 2001 3 Source: Danish national data from Danmarks Statistik 4 Value calc. by IHS 4 271 4 3 353 4 953 4 226 4 258 4 0.72 4 0.78 4 820 4 938 4 154 4 176 4 204 4 229 4 50 4 55 4 185 4 Prof Density (per Mio. Pop) T per cap. in EUR 1 237 I H S — Paterson, Fink, Ogus et al. / Regulation of Professional Services — ix Annex B3 Excerpts of Comparable Structure Data --Germany, Technical Services GERMANY - k742 Technical services 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 Key Variables: F in units T in Mio EUR E in units Professionals in units Population in Mio. GDP in Bil. EUR 69 880 1 32 490 1 360 269 1 130 148 2 82.16 1 20 255 1 Key Indicators: 465 3 5 156 3 90 3 E per Mio. of Pop 4 385 3 F per Mio. of Pop 850 3 1 862 3 T per Firm in 1000 EUR E per 1000 firms T per E in 1000 EUR Prof per 1000 F 250 3 E per 1000 Prof 2 768 3 Prof Density (per Mio. Pop) 1 584 3 T per cap. in EUR 395 3 T in % of GDP 1.60 3 T per Prof in 1000 EUR 29 711 3 Vol per cap. in EUR* 362 3 Vol per firm in 1000 EUR* 425 3 82 3 228 3 Vol in POI-adjusted Mio. EUR* Vol per E in 1000 EUR* Vol per Prof in 1000 EUR* 1 Source: Eurostat 2 Value refers to year 2001 3 Value calc. by IHS x — Paterson, Fink, Ogus et al. / Regulation of Professional Services — I H S Annex C1 GDP per capita in Purchasing Power Standard (PPS) I H S — Paterson, Fink, Ogus et al. / Regulation of Professional Services — xi Annex C2 POI – price and output indices1 1 Constructed as the product of Purchasing Power Parities (PPP) deflators, which remove the effect of price level differences between countries, and GDP per capita in Purchasing Power. xii — Paterson, Fink, Ogus et al. / Regulation of Professional Services — I H S Annex D1 Sources of Estimates for 'Number of Professionals’ - Legal Services country number reference year value given for AUT 4 592 2001 2000 BEL 14 888 2001 2000 DNK 4 359 FIN 2 120 unclear 2000 or 2001 2002 FRA 39 940 2000 2001 GER 105 724 2000 2000 GRC ~ ~ ~ IRL 7 476 2001 1999 ITA 139 500 2001 2000 LUX 830 2001 2000 NLD 13 222 2001 1999 PRT ~ ~ ~ ESP 105 269 2001 1999 SWE 8 480 2000 2000 UK 111 772 2001 2000 2000 2000 sources 1) Österreichische Rechtsanwaltskammer (ÖRAK) - member statistic (sent by ÖRAK electronically) 2) Österreichische Notariatskammer (ÖNK) - IHS questionnaire 1) Ordre des barreux francophones et germanophones - telephone 2) Vereniging van Vlaamse Balies - telephone 3) Fédération Royale des Notaires de Belgique - IHS questionnaire 1) Det Danske Advokatsamfund - IHS questionnaire 1) Suomen Asianajajaliito - website <http://www.asianajajaliitto.fi> 1) Ministry for Justice - website <http://www.justice.gouv.fr> 2) Conseil National des Barreaux - IHS questionnaire 3) Conseil Supérieur du Notariat Francais - IHS questionnaire 1) Bundesrechtsanwaltskammer (BRAK) - website <http://www.brak.de> (BRAK-member statistic) 2) Bundesnotarkammer - website <www.bnotk.de> (BNK - member statistic) ~ 1) Law Society of Ireland - IHS questionnaire 2) Bar Council - website <http://www.lawlibrary.ie> 1) Autorita garante della concorrenza e del meracato 1) Ordre des Avocats du Barreau de Luxembourg - IHS questionnaire 2) Chambre des Notaires du Grand-Duché de Luxembourg - telephone 1) Nederlandse Orde van Advocaten - IHS questionnaire 2) Koninklijke Notariële Beroepsorganisatie - IHS questionnaire ~ 1) Consejo General del Notariado - questionnaire, 2) Consejo General de la Abogacia Espanola - website <http://www.cgae.es/> (Censo de Colegiados 2001) 1) Sveriges Advocatsamfund - IHS questionnaire 2) IHS calculations 1) General Council of the Bar- IHS questionnaire 2) Law Society England and Wales - IHS questionnaire 3) Faculty of Advocates of Scotland - telephone 4) Law Society of Scotland - IHS questionnaire 5) General Council of the Bar in Northern Ireland - IHS questionnaire I H S — Paterson, Fink, Ogus et al. / Regulation of Professional Services — xiii Annex D2 Sources of Estimates for 'Number of Professionals’ - Accountancy Services country number AUT 3 068 2000 2000 BEL ~ ~ ~ DNK 5 077 2001 2000 FIN 3 126 2001 2000 FRA 14 800 2002 2000 GER 14 078 2000 2000 GRC ~ ~ ~ IRL 2 696 2001 2000 ITA 88 421 2001 2000 LUX 346 2001 2000 NLD 6 359 2001 1999 PRT ~ ~ ~ ESP 5 162 1999 2001 SWE 4 100 2001 2000 UK 51 675 reference year value given for 2001 2000 sources 1) Kammer der Wirtschaftstreuhänder - IHS questionnaire ~ 1) Foreningen Registrerede Revisorer (FRR) - IHS questionnaire 2) Foreningen af Statssutoriserede Revisorer (FSR) - IHS questionnaire 1) Central Chamber of Commerce of Finland - IHS questionnaire 2) KHT-yhdistys, Föreningen CGR RY, Finnish Institute of Authorised Public Accountants - telephone 1) Conseil Supérieur de lÓrdre des Experts-Comptables (Mr. Monnot) telephone) 1) Wirtschaftsprüferkammer - website <http://www.wpk.de/> (WPKmember statistic) ~ 1) The Institute of Chartered Accountants in Ireland - IHS questionnaire 2) IHS - estimate 1) Consiglio Nazionale dei Dottori Commercialisti - IHS questionnaire 2) Consiglio Nazionale dei Ragionieri Commercialisti - IHS questionnaire 1) Ordre des Experts-Comptables - telephone 1) Koninklijk Nederlands Instituut van Registeraccountants - website <http://www.nivra.nl/> (NIVRA - member statistic) ~ 1) Instituto de Auditores-Censores Jurados de Cuentas de Espana telephone 1) Revisorsnämnden (RN) - website <http://www.revisorsnamnden.se> 1) Accountancy Foundation Review Board 2) Institute of Chartered Accountants of England and Wales - website <http://www.icaew.co.uk> (ICAEW - member statistic) 3) The Chartered Institute of Management Accountants - telephone 4) The Chartered Institute of xiv — Paterson, Fink, Ogus et al. / Regulation of Professional Services — I H S Annex D3 Sources of Estimates for 'Number of Professionals’ - Technical Services country number reference year value given for AUT 7 673 2000 2000 BEL ~ ~ ~ DNK 11 595 2000 2000 FIN 6 500 2001 2000 FRA 80 300 2000 2000 GER 130 148 2001 2000 GRC ~ ~ ~ IRL 7 189 2001 1999 ITA 131 448 2001 2000 LUX 789 2001 2000 NLD 39 000 2001 1999 PRT ~ ~ ~ ESP 48 723 2001 2000 SWE 17 850 2001 2000 UK 199 039 2000 2000 sources 1) Bundeskammer der Architekten und Ingenieurkonsulenten - IHS questionnaire 2) Fachverband Technische Büros - Ingenieurbüros IHS questionnaire ~ 1) Danish Association of Consulting Engineers - IHS questionnaire 2) Federation of Danish Architects - IHS questionnaire 1) The Finnish Association of Graduate Engineers TEK - telephone 2) Finnish Association of Architects SAFA - telephone 1) Conseil national de l'Ordre des architects - IHS questionnaire 2) Consiglio Nazionale degli Architetti, Pianificatori, Paesaggisti e Conservatori - website <http://www.archieuro.archiworld.it/> 3) Conseil national des ingénieurs et des scientifiques de 1) Bundesarchitektenkammer - IHS questionnaire 2) Bundesingenieurkammer - IHS questionnaire ~ 1) Royal Institute of the Architects of Ireland - IHS questionnaire 2) The Institution of Engineers of Ireland - IHS questionnaire 1) Sindicato Nazionale Ingegneri Liberi - Professionisti Italiani - IHS questionnaire 2) 2) Consiglio Nazionale degli Architetti, Pianificatori, Paesaggisti e Conservatori - website <http://www.archieuro. archiworld.it/> 1) Ordre des Architectes et Ingénieurs Conseils de Luxembourg OAI IHS questionnaire 1) Koninklijk Instituut van Ingenieurs (KIVI) - telephone 2) Royal Institute of Dutch Architects - IHS questionnaire ~ 1) Consejo Superior de los Colegios de Arquitectos de España (CSCAE) - IHS questionnaire 2) TECNIBERIA CIVIL - Asociación Espanola de Empresas Consultatoras de Ingenieria Civil - IHS questionnaire 1) STD - Swedish Federation of Architects and Consulting Engineers report 1) The Engineering Council - report 2) Architects Registration Board IHS questionnaire I H S — Paterson, Fink, Ogus et al. / Regulation of Professional Services — xv Annex D4 Sources of Estimates for 'Number of Professionals’ - Pharmacy Services country number reference year value given for sources AUT 4 581 2001 2000 1) Österreichische Apothekerkammer - IHS questionnaire BEL 8 000 2001 1999 1) Ordre des Pharmaciens- Conseil National - telephone DNK 1 008 2001 2000 1) Danish Ministry of the Interior and Health - letter to IHS FIN 4 200 2002 2000 1) The Finnish Pharmacists' Association - website <http://www.farmasialiitto.fi/sflinenglish.htm> FRA 57 650 2002 2000 1) Pharmazeutische Zeitung - website <http://www.pharmazeutischezeitung.de/pza/2002-36/titel.htm> GER 46 078 2000 1999 1) Bundesvereinigung Deutscher Apothekerverbände (ABDA) - IHS questionnaire GRC ~ ~ ~ IRL 2 966 1999 1999 1) The Pharmaceutical Society of Ireland - IHS questionnaire ITA 64 000 2000 2000 1) Federazione Ordini Farmacisti Italiani - IHS questionnaire LUX 292 1998 2000 1) World Health Organization - Health for all - Database NLD 2 528 1999 1998 1) World Health Organization - Health for all - Database PRT 9 498 2001 2000 1) Ordem dos Farmacêuticos - IHS questionnaire ESP 19 641 2000 2000 1) Consejo General de Colegios Oficiales de Farmaceuticos España website <http://www.portalfarma.com/home.nsf> SWE 5 000 2001 2000 1) Sveriges Farmacevtförbund - telephone UK 31 000 2001 2000 1) Royal Pharmaceutical Society of Great Britain (RPSGB) - IHS questionnaire ~ xvi — Paterson, Fink, Ogus et al. / Regulation of Professional Services — I H S Annex E1 Returns of IHS Questionnaires from member states - Summary statistics I H S — Paterson, Fink, Ogus et al. / Regulation of Professional Services — xvii Annex E2 Synopsis of IHS Questionnaire returns from professional bodies - for Case Study countries/professions1 part 3 Professional field Country Denmark Contacts number of members or profs. Other data All data Det Danske Advokatsamfund 9 9 9 9 9 Bundesrechtsanwaltskammer 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 General Council of the Bar of Northern Ireland 9 9 9 9 9 Law Society of Northern Ireland 9 9 9 9 9 9 9 9 9 9 9 9 Conseil National des Barreaux 9 9 9 9 9 Conseil Supérieur du Notariat Francais 9 9 9 9 9 Wirtschaftsprüferkammer 9 9 9 9 9 Institut der Wirtschaftsprüfer in Deutschland 9 9 9 9 9 Bundesverband Deutscher Unternehmensberater BDU e.V. 9 9 9 9 9 Bundessteuerberaterkammer 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 Consiglio Nazionale dei Dottori Commercialisti 9 9 9 9 9 Consiglio Nazionale dei Ragionieri Commercialisti ed Economisti d'impresa 9 9 9 9 Deutscher Anwaltverein e. V. Germany repart 1 part 2 plied Bundesnotarkammer 9 Deutscher Notarverein Landesnotarkammer Bayern General Council of the Bar The Law Society U.K. England/Wales The Faculty Office of the Archbishop of Canterbury 9 9 Scrivener's Company (London Notaries) Faculty of Advocates U.K. Scotland The Law Society of Scotland Society of Solicitor Advocates Legal Services U.K. North. Ireland Consiglio Nazinale Forense Consiglio dell'Ordine degli Avvocati e Procuratori di Roma Italy Consiglio dell'Ordine degli Avvocati e Procuratori di Milano Consiglio Dell'Ordine degli Avvocati e Procuratori di Napoli Consiglio Nazionale del Notariato Barreau de Paris Conférence des Batonniers Association française des Avocats Conseils d'Entreprise Confederation Nationale des Avocats France Fédération Nationale des Unions de Jeunes Avocats Syndicat des Avocats de France 9 Koninklijk Nederlands Instituut van Registeraccountants Netherlands De Nederlandse Orde van Belastingadviseurs De Nederlandse Federatie van Belastingadviseurs Germany Accountancy Der Deutsche Steuerberaterverband Conseil Supérieur de lÓrdre des Experts-Comptables France Institut Francais des Experts Comtables (IFEC) La Compagnie Nationale des Commissaires aux Comptes Italy Associazione Nationale Tributaristi Italiani 1 Parts of Questionnaire: Part 1- current regulations; Part 2 – recent changes in regulation; Part 3 – structure data etc. 9 9 xviii — Paterson, Fink, Ogus et al. / Regulation of Professional Services — I H S Annex E2 (cont’d) Synopsis of IHS Questionnaire returns from professional bodies - for Case Study countries/professions 2 part 3 Professional field Contacts Country number of members or profs. Other data All data 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9 9* 9 9 9 9 9 Ordre des géomètres-experts - Secrétaire Général 9 9 9 9 9 ABDA, Bundesvereinigung Deutscher Apothekerverbände 9 9 9 9 9 Sveriges Farmacevtförbund 9 9 9 9 Socialstyrelsen - National Board of Health and Welfare (Leif Gudmundson) 9 9 9 9 9 9 9 9 9 9 9 9 Bundeskammer der Architekten und Ingenieurkonsulenten Austria repart 1 part 2 plied Fachverband Technische Büros - Ingenieurbüros Verband Österreichischer Ingenieure Österreichischer Ingenieur- und Architekten-Verein Consejo Superior de los Colegios de Arquitectos de España CSCAE Asociación Española de Consultores en Ingeniería y Organización Spain Colegio de Ingenieros de Caminos, Canales y Puertos TECNIBERIA CIVIL - Asoc. Espanola de Empresas Consultatoras de Ingenieria Civil Instituto de la Ingenieria de Espana Technical services Finnish Association of Architects SAFA Finland Finnish Association of Consulting Firms The Finnish Association of Graduate Engineers TEK The Association of Finnish Civil Engineers Conseil national de l'Ordre des architects Union Nationale des Syndicats Français d’Architectes UNSFA France Chambre des Ingénieurs-Conseils de France Syntec-Ingénierie Conseil national des ingénieurs et des scientifiques de France Germany Apoteket AB Sweden Ministry of Health and Social Affairs (Mr Lars Hedengran) The Pharmaceutical Society of Ireland Ireland Pharma-cies Hospital Pharmacists Association - Ireland Irish Pharmaceutical Union Associação Nacional das Farmácias Sindicato Nacional dos Farmacêuticos Ordem dos Farmacêuticos Portugal Associação dos Farmacêuticos Católicos Associação Portuguesa dos Farmacêuticos Hospitalares - APFH Associação Portuguesa dos Jovens Farmacêuticos - APJF Instituto Nacional da Farmacia e do Medicamento * members are industrial firms (not individuals) 2 Parts of Questionnaire: Part 1- current regulations; Part 2 – recent changes in regulation; Part 3 – structure data etc. 9 Annex E3 - IHS Questionnaire Survey Questionnaire “Professional Services” These data sheets may be filled in ‘electronically’. For this purpose two types of grey input-boxes are provided: - square click-boxes ( ). Click as appropriate to reply “yes” or “no” to questions. - rectangular text-boxes ( ). Fill in if question elicits a response of a number, a name or a few words or sentences. The size of the box depends on the amount of text-input. Part I. INFORMATION ON PROFESSIONAL REGULATIONS 1. General Information 1.1. Professional Field (please choose) Accountancy Services Legal Services Architectural Services Engineering Services Pharmacists 1.2. Name of Profession (please fill in) Official Name: English Name (where appropriate) 1.3. This Data Sheet was filled in by … Name: Organisation and Position: Postal Address Street name and No.: City and Postal Code: Country: E-Mail Address: Tel. Nr.: Fax. Nr.: 1 2. Organisational Characteristics of the Profession 2.1. The following is true for the main organisational structure of the profession...(see Note 1) (please choose one) Licensing and compulsory membership in a professional association Licensing without compulsory membership in a professional association. No compulsory licensing and voluntary membership in a professional association (=certification). No compulsory licensing nor voluntary membership in a professional association (=certification). 2.2. Regulations are created ... (please choose one) exclusively by public authorities exclusively by the responsible professional association by public authorities and by the professional association 2.3. The implementation of the regulations is organised and controlled... exclusively by public authorities exclusively by the responsible professional association by public authorities and by the professional association 2.4. Disciplinary sanctions for failure to respect these regulations are decided... exclusively by public authorities exclusively by the responsible professional association by public authorities and by the professional association there are no such sanctions 2 3. Market Entry Regulations Yes No Yes No 3.1. Are there specific regulations on access to the profession / gaining a professional title? 3.2. Are there specific regulations on access to the professional market / tasks or services offered exclusively by licensed professionals if “no” go to question 3.4. 3.3. a. Please list (up to ten) services that your profession has a exclusive right to offer. Type of exclusive service 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 3.3. b. Please list (up to ten) services that your profession and other professions have the right to provide, and name these other professions. This type of service may also be offered by Type of service (please fill in name of profession/s) 1. 1. 2. 2. 3. 3. 4. 4. 5. 5. 6. 6. 7. 7. 8. 8. 9. 9. 10. 10. 3 Yes No 3.4. Is a University Degree a necessary precondition to enter the profession? if “yes”, which degree and what is the minimum duration of study: name of degree years (please give exact information) Yes No 3.5. Is there any other higher education qualification enabling application for entrance to the profession? if “yes”, of what duration: name of qualification years (please give exact information) Yes No Yes No Yes No 3.6. Are there requirements in regard of relevant practice in order to become a full member of the profession? if “yes”, of what duration: years (please give exact information) 3.7. Does there exist a requirement to pass one or more special professional exams in order to become a full member of the profession and offer services that are restricted to the profession? if “yes”, how many? (please fill in the number and names) 3.8. Is compulsory membership in a professional association required in order to become a full member of the profession and offer services that are restricted to the profession? if “yes”: are there more than one such professional organisations for this profession? if “yes”, how many? (please fill in the number and names) 4 Yes No 3.9. Is the establishment of a business in the profession restricted to specific forms of business (such as limited liability partnerships or public companies)? if “yes”: please click on the kinds of business structures which are not permitted: Sole practitioners Limited Liability Partnerships Public limited companies Private company Other, (please name) Yes No Yes No 3.10. Is the establishment of a business in the profession restricted by quotas/economic needs tests? (see Note 2) 3.11. Are there regulations on compulsory professional indemnity insurance? if “yes”: what is the minimum amount for which professionals must be insured (please fill in EUR) per case per business 4. Regulations on market behaviour Yes 4.1. Are there special regulations for the fees/prices for services the profession is offering? if “no” go to question 4.3. 4.2. Of what kind are these regulations? (please choose one) binding minimum prices for all kinds of services binding maximum prices for all kinds of services binding minimum prices for some kinds of services binding maximum prices for some kinds of services non-binding recommended prices for all kinds of services non-binding recommended prices for some kinds of services other, (please describe): 5 No Yes No Higher Lower Yes No Yes No 4.2. a. Are these prices/recommendations always respected in practice? If “no”, are real prices higher or lower, on average? 4.2. b. Are there any restrictions on particular pricing arrangements (e.g. contingency fees)? If “yes”, please specify: 4.3. Are there special regulations on advertising and marketing? if “no” go to question 4.5. 4.4. Of what kind are these regulations? all forms of advertising are strictly forbidden, most forms of advertising are forbidden some forms of advertising are forbidden, these being: direct mailing price advertising (general) comparative price advertising other (please fill in): 1. 2. 3. Yes 4.5. Are there special regulations on location and diversification? if “no” go to question 4.7. 4.6. Of what kind are these regulations? geographical restrictions on offering services restrictions on establishing branch offices other, (please describe): 6 No Yes No 4.7. Are there special regulations on interprofessional co-operation? if “no” go to question 4.9. 4.8. Of what kind are these regulations? interprofessional co-operation of any form is generally forbidden. interprofessional co-operation only in the form of incorporation is generally forbidden. interprofessional co-operation only with some comparable licensed professions is allowed in various commercial forms (incl. incorporation). interprofessional co-operation in the form of incorporation is allowed only with comparable licensed professions, incorporation is forbidden. If other circumstances pertain, please describe briefly: Yes No 4.9. Is continuing education an obligation to the members of the profession? if “yes”: To what extent and how is the continuing education organised and controlled? Please describe briefly: Yes No 4.10. Are there any regulations on specialisation in the profession (for example see Note 3) if “yes”: how is specialisation organised?; is there a right to a title for this specialisation?; may this specialisation be advertised? Please describe briefly: 7 5. Other Instruments for Quality Control Yes No 5.1. Do there exist special information or benchmarking systems for the profession, where information about the quality of services of individual firms is given? if “yes”: please describe briefly and give a short overview of the experience with these instruments: Yes No 5.2. Are there any special (voluntary) certification systems, which coexist alongside the traditional licensing or certification model (see Note 4) if “yes”: please describe briefly and give a short overview of the experience with these instruments: Yes No 5.3. Does there exist any other special instrument of quality control not mentioned in the data sheet so far? if “yes”: please describe briefly and give a short overview of the experience with these instruments: Thank you for completing this part of the questionnaire. Now please turn to Part II. 8 Part II. Background to the Regulatory Framework 6. Changes, Reforms and Innovations in Regulations Please give a brief outline of areas in which regulation of the profession has been changed in the past 10 years. If you wish to include a longer exposition, reports, or study results (e.g. Regulatory Impact Analysis), please indicate this. Area of Regulation Change in Regulation (and Date of Implementation) 1. 2. 3. Further: Further: 9 Purpose of and Advantages / Disadvantages associated with this change 7. Regulations currently being reviewed Please give a brief outline of areas in which regulation of the profession is currently being discussed. If you wish to include a longer exposition, reports, or study results, please indicate this. Area of Regulation Change in Regulation under Discussion (proposed by Profession?, Government?) 1. 2. 3. Further: Further: 10 Proposed Purpose of and Benefits claimed for this change / Arguments against change 8. Reasons for Regulation/Liberalisation You may be aware that regulations on your profession vary, sometimes greatly between EU countries. If you have any knowledge of the regulatory systems of other countries, please fill out the table below. Please give brief details of areas in which the profession is known to be differently regulated, or liberalized, (in comparison to the regulatory system elsewhere), along with a synopsis of the reasons for adopting this position. If you wish to include a longer exposition, reports, or study results, please indicate this. Area of Regulation/Liberalisation Reasons for Regulation 1. 2. 3. Further: Further: Thank you for completing this part of the questionnaire. Now please turn to Part III. 11 OR: Reasons for Liberalisation Part III. Structure and Dynamics of the Profession 9. Data Source-Year In this section data is requested for the years 1990, 1995 and 2001. If some data for 2001 is not yet available, please give all data for 2000 and click here accordingly: Most recent data is for: 2000 (please click if appropriate) 2001 (please click if appropriate) If you are NOT representing a professional body, please proceed to question 12 in this section (questions concerning the profession as a whole). 10. Membership of the Professional Body Please state, if known Total no. of members 1990 1995 2000/01 Total Membership of your Professional Body By membership category (name as appropriate) 11. Stages in Access to the Profession Please fill in the number of ... 1990 newly admitted profession members in year… professional trainees (in all stages of preQualification) trainees passing Final Qualifying Examinations in year… trainees taking Final Qualifying Examinations in year… new trainee entrants in year … graduates from relevant disciplines, if known (e.g. law faculties) 12 Total no. 1995 2000/01 12. Questions about the Profession as a whole (see Note 5) 12.1. Country of reference: Country or Jurisdiction (see Note 6) Please answer all the following questions with concrete data, or, if this is not available, with an estimate! 12.2. Professionals 1990 1995 Total no. 2000/01 Total no. of professionals (regardless of professional affiliation) practicing in your country % Percentage of above, self-employed Percentage of above, non-self-employed Total no. No. of professionals with professional affiliation in your country practicing abroad No. of professionals with professional affiliation in your country practicing in rest of EU or EU candidate countries No. of professionals with professional affiliation in your country practicing in other (non EU/Candidate) countries 12.3. Total Employment (Professionals and Non-professionals) in your country 1990 Professionals and Non-professionals (see Note 7) Percentage of above, full-time employment Percentage of above, part-time employment 1995 Total no. 2000/01 % 12.4. Firms Practicing the Profession in your country (see Note 8) 1990 1995 Total no. Firms in your country % Percentage of above, non-incorporated status Percentage of above, incorporated status 13 2000/01 12.4.1. Size of Firms (in terms of Professionals) 1990 1995 % 2000/01 1990 1995 % 2000/01 1990 1995 % 2000/01 1995 Total no. 2000/01 Percentage of Firms with… 1 Qualified Professional 2 Qualified Professionals 3-5 Qualified Professionals 5-30 Qualified Professionals more than 30 Qualified Professionals 12.4.2. Size of Firms (in terms of Non-professional Employees) Percentage of Firms with… 0 Employees 1-2 Employee 3-10 Employees 10-50 Employees more than 50 Employees 12.4.3 Size of Firms (locational). (see Note 9) Percentage of Firms with… 1 Office 2-5 Offices 5-20 Offices 20-50 Offices more than 50 Offices 12.5. Firms with head office in your country: Cross-Border Activity 1990 Firms with offices outwith your country in… All countries rest of EU or EU Candidate countries other countries 12.5.1. Firms with head office in other countries: country of origin (EU or non-EU) with largest number of offices registered in your country (in descending order). Name of the country Country with largest no. of offices Country with second largest no. of offices Country with third largest no. of offices 14 12.6. Output of the Profession 12.6.1. Please indicate the branch represented by your profession (see Note 10) Branch (Please give name) 12.6.2. Please indicate currency used for economic data in the questions below: 1990 1995 2000/01 Currency (see Note 11) 12.6.3. Turnover 1990 1995 2000/01 1990 1995 % 2000/01 1990 1995 2000/01 Turnover before tax of branch in… own country All countries abroad Rest of EU and EU Candidate countries other countries 12.7. Concentration of the Branch (see Note 12) Market Share of the 5 (five) largest firms Market Share of top 10% largest firms Market Share of top 30% largest firms 12.8. Cost Structure of Firms (Please enter best estimates) The ‘median firm’ has costs broken down into… Remuneration of Professionals other Salaries and Wages Cover for Professional Insurance and Risk Investment in office premises Investment in technology (Computers) on-going professional education (courses) other costs Sum of above % 100% 100% 100% Thank you for completing these questions. Please send questionnaire when completed to: ‘Electronic’ version graf@ihs.ac.at (preferred): Institute for Advanced Studies Department of Economics and Finance Hardcopy versions: ‘SURVEY OF PROFESSIONAL SERVICES’ (Iain Paterson) Stumpergasse 56 A-1060 Vienna Fax: ++43 - 1 - 599 91 - 555 15 Notes supplementary to the Survey Questionnaire Note 1: Professional Institutional Model „Licensing“ stands for cases where there is a requirement for official/legal permission to offer specific services on the market. Such licensing is typically carried out by public authorities and/or the responsible professional association. In this model only the service providers licensed in this way are allowed to use a specific professional title. „Certification“ stands for cases where there is no requirement for licensing in order to offer specific services on the market, but usually where (some/not all) service providers are organized in one or more professional bodies and for this certification have to fulfil certain quality (e.g. educational) requirements. Usually only the service providers certified in this way are allowed to use a specific professional title. Note 2: Quota Restrictions In general terms this question deals with quantitative limits on the number of people who may enter the profession / offer the respective professional services. Such limits may be related to economic needs tests or other types of proviso. Note 3: Specialisation Specialisation my take different forms. A lawyer may, for example, acquire specific skills and some kind of additional certification (see note 1) in the field of marriage law. In this context “specialisation” means that the respective member of the profession not only has the advantage of acquiring specific skills but that this specialisation is recognised by some kind of institutionalised certification. This may take place within the traditional licensing or certification model adopted by the profession, or as a separately organised grouping. Note 4: Additonal Certification For the term “certification” see note 1. This question deals with special voluntary certification that, for example, may exist in the context of further specialisation (see note 3) or international co-operation (e.g. lawyers in different countries specialising in European Community Law and setting explicit quality standards for the co-operating members). Note 5: Questions about the Profession as a whole Membership of a Professional Body may not necessarily extend to include all professionals in your field. Nevertheless in this section information regarding your knowledge about the profession as a whole is sought. Please answer with concrete data, or, where this is not available, with an estimate based on your knowledge of the profession. If you wish to draw attention explicitly to the fact that an entry to a question is an estimate, you may choose to enclose the estimate in brackets. Note 6: Country of reference Unless otherwise indicated questions refer to the professionals and firms in the country of your own professional body. In many cases this will be identical with your EU member state. Other cases included are, for example, England and Wales, Scotland, where this is appropriate for your profession. Note 7: non-professional Employees In this question ‘employees’ refers always to non-professional employees: non-self-employed professionals are thus not to be included. Note 8: Firms This includes all firms whose primary business involves practicing the profession e.g. accountancy firms, firms offering accountancy and legal services, but not an industrial firm employing some professional accountants. 16 Note 9: Office Locations Location here refers access by clients/consumers. Different offices (branch offices) in the same town or city are also different locations. Note 10: Branch Branch refers to the economic sector activity relevant to your professional body. This may be different in different member states. For example, in some countries Notaries will be a separate branch, in others it will possibly be included under ‘Lawyers’. Please name the relevant branch for your profession. Note 11: Currency Please indicate as appropriate e.g. BEF, DEM, GBP, EUR etc. Note 12: Concentration ‘Market Share’ refers to the percentage of total branch turnover. ‘Largest’ firms are those with highest turnover before tax. ************************************************************************************************* ON FILLING OUT THIS DOCUMENT ELECTRONICALLY IT MAY INCREASE IN LENGTH AND LOSE ITS ORIGINAL ‘SHAPE’. THIS IS NOT IMPORTANT: JUST SEND THE FILLED-IN VERSION WITHOUT REGARD TO APPEARANCE.. ************************************************************************************************* Thank you for completing these questions. Please send questionnaire when completed to: ‘Electronic’ version graf@ihs.ac.at (preferred): Institute for Advanced Studies Department of Economics and Finance Hardcopy versions: ‘SURVEY OF PROFESSIONAL SERVICES’ (Iain Paterson) Stumpergasse 56 A-1060 Vienna Fax: ++43 - 1 - 599 91 - 555 17 Authors: Iain Paterson, Marcel Fink, Anthony Ogus Section co-authors: Case studies (Germany, France): Joachim Merz, Felix Fink; Helmut Berrer Title: Economic impact of regulation in the field of liberal professions in different Member States Research Report © 2003 Institute for Advanced Studies (IHS), Stumpergasse 56, A-1060 Vienna • +43 1 59991-0 • Fax +43 1 59991-555 • http://www.ihs.ac.at