Directive 97/67/EC of the European Parliament and of the Council of 15 December 1997 on common rules for the development of the internal market of Community postal services and the improvement of quality of service
Date: 1997-12-15
Institutions: Council of the European Union, European Parliament
Subjects: harmonisation of standards, postal service, provision of services, quality standard, single market

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DIRECTIVE 97/67/EC OF THE EUROPEAN PARLIAMENT AND OF THE
COUNCIL

on common rules for the development of the internal market of Community
postal services and the improvement of quality of service

of 15 December 1997

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF
THE EUROPEAN UNION,

in that postal services are an essential instrument of
communication and trade;

Having regard to the Treaty establishing the European
Community, and in particular Articles 57 (2), 66 and 100a
thereof,

Having regard to the proposal from the Commission (1),

Having regard to the opinion of the Economic and Social
Committee (2),

Having regard to the opinion of the Committee of the
Regions (3),

Having regard to the resolution of the European Par-
liament of 22 January 1993 concerning the green paper
on the development of the single market for postal ser-
vices (4),

Having regard to the Council resolution of 7 February
1994 on the development of Community postal ser-
vices (5),

Acting in accordance with the procedure laid down in
Article 189b of the Treaty, in the light of the joint text
approved by the Conciliation Committee on 7 November
1997 (6),

(1) Whereas measures should be adopted with the aim
of establishing the internal market in accordance
with Article 7a of the Treaty; whereas this market
frontiers in
comprises an area without
which the free movement of goods, persons,
services and capital is ensured;

internal

(2) Whereas the establishment of the internal market
in the postal sector is of proven importance for the
economic and social cohesion of the Community,

(1) OJ C 322, 2. 12. 1995, p. 22, and
OJ C 300, 10. 10. 1996, p. 22.
(2) OJ C 174, 17. 6. 1996, p. 41.
(3) OJ C 337, 11. 11. 1996, p. 28.
(4) OJ C 42, 15. 2. 1993, p. 240.
(5) OJ C 48, 16. 2. 1994, p. 3.
(6) Opinion of the European Parliament of 9 May 1996 (OJ C
152, 27. 5. 1996, p. 20), Council Common Position of 29 April
1997 (OJ C 188, 19. 6. 1997, p. 9) and Decision of the Euro-
pean Parliament of 16 September 1997 (OJ C 304, 6. 10.
1997, p. 34); Decision of
the European Parliament of 19
November 1997 and Decision of the Council of 1 December
1997.

(3) Whereas on 11 June 1992 the Commission
presented a Green Paper on the development of
the single market for postal services and, on 2 June
1993, a Communication on the guidelines for the
development of Community postal services;

(4) Whereas the Commission has conducted wide-
ranging public consultation on those aspects of
postal services that are of interest to the Com-
munity and the interested parties in the postal
sector have communicated their observations to the
Commission;

(5) Whereas the current extent of the universal postal
service and the conditions governing its provision
vary significantly from one Member State to
another; whereas,
in particular, performance in
terms of quality of services is very unequal amongst
Member States;

(6) Whereas cross-border postal

links do not always
meet
the expectations of users and European
citizens, and performance, in terms of quality of
service with regard to Community cross-border
postal services, is at the moment unsatisfactory;

for

(7) Whereas the disparities observed in the postal
sector have considerable implications
those
sectors of activity which rely especially on postal
services
the progress
towards internal Community cohesion, in that the
regions deprived of postal services of sufficiently
high quality find themselves at a disadvantage as
regards both their letter service and the distribution
of goods;

and effectively

impede

(8) Whereas measures seeking to ensure the gradual
and controlled liberalisation of the market and to
secure a proper balance in the application thereof
are necessary in order to guarantee, throughout the
to the obligations and
Community, and subject
rights of the universal service providers, the free
provision of services in the postal sector itself;

(9) Whereas action at Community level

to ensure
greater harmonisation of the conditions governing
the postal sector is therefore necessary and steps
must consequently be taken to establish common
rules;

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(10) Whereas,

in accordance with the principle of
subsidiarity, a set of general principles should be
adopted at Community level, whilst the choice of
the exact procedures should be a matter for the
Member States, which should be free to choose the
system best adapted to their own circumstances;

(11) Whereas it is essential to guarantee at Community
level a universal postal service encompassing a
minimum range of services of specified quality to
be provided in all Member States at an affordable
irrespective of
price for the benefit of all users,
their geographical location in the Community;

(12) Whereas the aim of the universal services is to offer
all users easy access to the postal network through
the provision, in particular, of a sufficient number
of access points and by ensuring satisfactory condi-
tions with regard to the frequency of collections
the
and deliveries; whereas
universal service must meet the fundamental need
to ensure continuity of operation, whilst at
the
same time remaining adaptable to the needs of
users as well as guaranteeing them fair and non-dis-
criminatory treatment;

the provision of

(13) Whereas universal

service must cover national

services as well as cross-border services;

(14) Whereas users of

the universal service must be
given adequate information on the range of services
offered, the conditions governing their supply and
use, the quality of the services provided, and the
tariffs;

(15) Whereas the provisions of this Directive relating to
universal service provision are without prejudice to
the right of universal service operators to negotiate
contracts with customers individually;

(16) Whereas the maintenance of a range of

those
services that may be reserved, in compliance with
the rules of the Treaty and without prejudice to the
application of the rules on competition, appears
justified on the grounds of ensuring the operation
of the universal service under financially balanced
conditions; whereas the process of
liberalisation
should not curtail the continuing supply of certain
free services for blind and partially sighted persons
introduced by the Member States;

(17) Whereas items of correspondence weighing 350
grammes and over represent less than 2 % of letter
volume and less than 3 % of the receipts of the
public operators; whereas the criteria of price (five

times the basic tariff) will better permit the distinc-
tion between the reserved service and the express
service, which is liberalised;

(18) Whereas, in view of the fact that the essential dif-
ference between express mail and universal postal
services lies in the value added (whatever form it
takes) provided by express services and perceived
by customers,
the most effective way of deter-
mining the extra value perceived is to consider the
extra price that customers are prepared to pay,
without prejudice, however, to the price limit of the
reserved area which must be respected;

for direct mail and cross-border mail

(19) Whereas it is reasonable to allow, on an interim
basis,
to
continue to be capable of reservation within the
limits provided; whereas, as a
price and weight
further step towards the completion of the internal
market of postal services, a decision on the further
gradual
the postal
market, in particular with a view to the liberalisa-
tion of cross-border and direct mail as well as on a
further
limits,
should be taken by the European Parliament and
the Council not later than 1 January 2000, on a
proposal from the Commission following a review
of the sector;

controlled liberalisation of

the price and weight

review of

(20) Whereas, for reasons of public order and public
security, Member States may have a legitimate
interest
in conferring on one or more entities
designated by them the right to site on the public
highway letter-boxes intended for the reception of
postal items; whereas, for the same reasons, they are
entitled to appoint the entity or entities responsible
for issuing postage stamps identifying the country
of origin and those responsible for providing the
registered mail service used in the course of judicial
or administrative procedures in accordance with
their national
legislation; whereas they may also
indicate membership of the European Union by
integrating the 12-star symbol;

(21) Whereas new services (services quite distinct from
conventional services) and document exchange do
not form part of the universal service and con-
sequently there is no justification for their being
reserved to the universal service providers; whereas
this applies equally to self-provision (provision of
postal services by the natural or legal person who is
the originator of the mail, or collection and routing
of these items by a third party acting solely on
behalf of that person), which does not fall within
the category of services;

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(22) Whereas Member States should be able to regulate,
by appropriate authorization procedures, on their
territory, the provision of postal services which are
reserved to the universal service providers;
not
whereas
those procedures must be transparent,
non-discriminatory, proportionate and based on
objective criteria;

an unfair

(23) Whereas the Member States should have the option
of making the grant of licences subject to universal
service obligations or contributions to a compensa-
tion fund intended to compensate the universal
service provider for the provision of services repre-
senting
financial burden; whereas
Member States should be able to include in the
authorisations an obligation that
the authorised
activities must not infringe the exclusive or special
rights granted to the universal service providers for
the reserved services; whereas an identification
system for direct mail may be introduced for the
purposes of supervision where direct mail is liber-
alised;

(24) Whereas measures necessary for the harmonisation
laid down by the
of authorisation procedures
Member States governing the commercial provision
to the public of non-reserved services will have to
be adopted;

(25) Whereas, should this prove necessary, measures
shall be adopted to ensure the transparency and
non-discriminatory nature of conditions governing
access to the public postal network in Member
States;

(26) Whereas, in order to ensure sound management of
the universal service and to avoid distortions of
competition,
the tariffs applied to the universal
service should be objective, transparent, non-dis-
criminatory and geared to costs;

(27) Whereas the remuneration for the provision of the
intra-Community cross-border mail service, without
prejudice to the minimum set of obligations
derived from Universal Postal Union acts, should
be geared to cover the costs of delivery incurred by
the universal service provider in the country of
destination; whereas this remuneration should also
provide an incentive to improve or maintain the
quality of the cross-border service through the use
of quality-of-service targets; whereas this would
justify suitable systems providing for an appropriate
coverage of costs and related specifically to the
quality of service achieved;

(28) Whereas

the different
accounts
reserved services and non-reserved services are

separate

for

necessary in order to introduce transparency into
the actual costs of the various services and in order
to ensure that cross-subsidies from the reserved
sector to the non-reserved sector do not adversely
affect the competitive conditions in the latter;

service providers

(29) Whereas, in order to ensure the application of the
principles set out in the previous three recitals,
universal
should implement,
within a reasonable time limit, cost accounting
systems, which can be independently verified, by
which costs can be allocated to services as accur-
ately as possible on the basis of transparent pro-
cedures; whereas
can be
fulfilled, for example, by implementation of the
principle of fully distributed costing; whereas such
cost accounting systems may not be required in
circumstances where genuine conditions of open
competition exist;

such requirements

(30) Whereas consideration should be given to the
interests of users, who are entitled to services of a
high quality; whereas, therefore, every effort must
be made to improve and enhance the quality of
services provided at Community level; whereas
in quality require Member
such improvements
to be attained or
States to lay down standards,
surpassed by the universal service providers,
in
respect of the services forming part of the universal
service;

aspect of

an essential

(31) Whereas the quality of service expected by users
the sevices
constitutes
provided; whereas the evaluation standards for this
quality of service and the levels of quality achieved
must be published in the interests of users; whereas
it is necessary to have available harmonised quality-
of-service standards and a common methodology
for measurement in order to be able to evaluate the
convergence of the quality of service throughout
the Community;

(32) Whereas national quality standards consistent with
Community standards must be determined by
intra-
Member States; whereas,
Community cross-border
requiring the
combined efforts of at least two universal service
providers from two different Member States, quality
standards must be defined at Community level;

in the case of
services

(33) Whereas compliance with these standards must be
independently verified at regular intervals and on a
harmonised basis; whereas users must have the
right to be informed of the results of this verifica-
tion and Member States
that
should ensure
corrective action is
taken where those results
demonstrate that the standards are not being met;

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(34) Whereas Council Directive 93/13/EEC of 5 April
1993 on unfair terms in consumer contracts (1)
applies to postal operators;

(35) Whereas the need for improvement of quality of
service means that disputes have to be settled
quickly and efficiently; whereas, in addition to the
forms of legal redress available under national and
Community
dealing with
complaints should be provided, which should be
transparent, simple and inexpensive and should
enable all relevant parties to participate;

procedure

law,

a

(36) Whereas progress in the interconnection of postal
networks and the interests of users require that
technical standardisation be encouraged; whereas
technical standardisation is indispensable for the
promotion of
interoperability between national
networks and for an efficient Community universal
service;

(37) Whereas guidelines on European harmonisation
standardisation
the European

specialised technical
entrusted to

provide for
activities
Committee for Standardisation;

to be

(38) Whereas a committee should be established to
assist the Commission with the implementation of
this Directive, particularly in relation to the future
work on the development of measures relating to
the quality of Community cross-border service and
technical standardisation;

(39) Whereas, in order to ensure the proper functioning
of the universal service and to ensure undistorted
competition in the non-reserved sector, it is im-
portant to separate the functions of the regulator,
on the one hand, and the operator, on the other;
whereas no postal operator may be both judge and
interested party; whereas it is for the Member State
to define the statute of one or more national regu-
latory authorities, which may be chosen from
public
entities
authorities
appointed for that purpose;

independent

or

therefore,

(40) Whereas the effects of the harmonised conditions
on the functioning of the internal market in postal
services will need to be the subject of an assess-
ment; whereas,
the Commission will
present a report to the European Parliament and
the Council on the application of this Directive,
including the appropriate information on develop-
ments
concerning
economic, social, employment and technological
aspects, as well as on quality of service, three years
following the date of its entry into force, and in any
event no later than 31 December 2000;

sector, particularly

in the

(1) OJ L 95, 21. 4. 1993, p. 29.

(41) Whereas this Directive does not affect the applica-
tion of the rules of the Treaty, and in particular its
rules on competition and the freedom to provide
services;

(42) Whereas nothing shall prevent Member States from
maintaining in force or introducing measures for
the postal sector which are more liberal than those
provided for by this Directive, nor, should this
Directive lapse, from maintaining in force measures
which they have introduced in order to implement
it, provided in each case that such measures are
compatible with the Treaty;

(43) Whereas it is appropriate that this Directive should
apply until 31 December 2004 unless otherwise
decided by the European Parliament and the
from the
Council on the basis of a proposal
Commission;

(44) Whereas this Directive does not apply to any ac-
tivity which falls outside the scope of Community
law, such as those provided for by Titles V and VI
of the Treaty on European Union, and in any case
to activities concerning public security, defence,
State security (including the economic well-being
of the State when the activities relate to State se-
curity matters) and the activities of the State in
areas of criminal law;

(45) Whereas this Directive does not,

in the case of
undertakings which are not established in the
Community, prevent the adoption of measures in
accordance with both Community law and existing
international obligations designed to ensure that
nationals of the Member States enjoy similar treat-
in third countries; whereas Community
ment
undertakings should benefit in third countries from
treatment and effective access that is comparable to
the treatment and access to the market which is
conferred on nationals of the countries concerned
within the Community context,

HAVE ADOPTED THIS DIRECTIVE:

CHAPTER 1

Objective and scope

Article 1

This Directive establishes common rules concerning:

— the provision of a universal postal service within the

Community,

— the criteria defining the services which may be
reserved for universal service providers and the condi-
tions governing the provision of non-reserved services,

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— tariff principles and transparency of accounts

for

universal service provision,

— the setting of quality standards for universal service
provision and the setting-up of a system to ensure
compliance with those standards,

— the harmonisation of technical standards,

— the creation of independent national regulatory au-

thorities.

Article 2

For the purposes of this Directive, the following defini-
tions shall apply:

1. postal

services:

services

involving the

clearance,

sorting, transport and delivery of postal items;

2. public postal network: the system of organisation and
resources of all kinds used by the universal service
provider(s) for the purposes in particular of:

for

8. direct mail: a communication consisting solely of
advertising, marketing or publicity material and
comprising an identical message, except
the
addressee’s name, address and identifying number as
well as other modifications which do not alter the
nature of the message, which is sent to a significant
number of addressees, to be conveyed and delivered
at the address indicated by the sender on the item
itself or on its wrapping. The national regulatory
authority shall interpret the term ‘significant number
of addressees’ within each Member State and shall
publish an appropriate defintion. Bills,
invoices,
financial statements and other non-identical messages
shall not be regarded as direct mail. A communica-
tion combining direct mail with other items within
the same wrapping shall not be regarded as direct
mail. Direct mail shall include cross-border as well as
domestic direct mail;

a

9. registered item:

service providing a

flat-rate
guarantee against risks of loss, theft or damage and
appropriate upon
supplying
request, with proof of the handing in of the postal
item and/or of its delivery to the addressee;

sender, where

the

— the clearance of postal

items covered by a
universal service obligation from access points
throughout the territory,

10. insured item: a service insuring the postal item up to
the value declared by the sender in the event of loss,
theft or damage;

— the routing and handling of those items from the
postal network access point to the distribution
centre,

— distribution to the addresses shown on items;

3. access points: physical facilities, including letter boxes
provided for the public either on the public highway
or at the premises of the universal service provider,
where postal items may be deposited with the public
postal network by customers;

4. clearance:

the operation of collecting postal

items

deposited at access points;

5. distribution: the process from sorting at the distribu-
tion centre to delivery of postal items to their addres-
sees;

6. postal item: an item addressed in the final form in
which it is to be carried by the universal service
provider. In addition to items of correspondence,
such items also include for instance books, cata-
logues, newspapers, periodicals and postal packages
containing merchandise with or without commercial
value;

7. item of correspondence: a communication in written
form on any kind of physical medium to be conveyed
and delivered at the address indicated by the sender
on the item itself or on its wrapping. Books, cata-
logues, newspapers and periodicals
shall not be
regarded as items of correspondence;

11. cross-border mail: mail from or to another Member

State or from or to a third country;

12. document exchange: provision of means,

including
the supply of ad hoc premises as well as transporta-
tion by a third party, allowing self-delivery by mutual
exchange of postal items between users subscribing to
this service;

13. universal service provider: the public or private entity
providing a universal postal service or parts thereof
within a Member State, the identity of which has
been notified to the Commission in accordance with
Article 4;

14. authorisations: means any permission setting out
rights and obligations specific to the postal sector and
allowing undertakings to provide postal services and,
where applicable, to establish and/or operate postal
networks for the provision of such services, in the
form of
‘individual
licence’ as defined below:

authorisation’ or

‘general

a

— ‘general authorisation’ means an authorisation,
regardless of whether it is regulated by a ‘class
licence’ or under general law and regardless of
whether such regulation requires registration or
declaration procedures, which does not require
the undertaking concerned to obtain an explicit
decision by the national
regulatory authority
before exercising the rights stemming from the
authorisation,

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— ‘individual licence’ means an authorisation which
is granted by a national regulatory authority and
which gives an undertaking specific rights, or
which subjects that undertaking’s operations to
specific obligations supplementing the general
authorisation where applicable, where the under-
taking is not entitled to exercice the rights
concerned until it has received the decision by
the national regulatory authority;

15. terminal dues: the remuneration of universal service
incoming cross-
the distribution of
items from another

providers for
border mail comprising postal
Member State or from a third country;

— one clearance,

— one delivery to the home or premises of every natural
or legal person or, by way of derogation, under condi-
regulatory
tions at
authority, one delivery to appropriate installations.

the discretion of

the national

Any exception or derogation granted by a national regula-
tory authority in accordance with this paragraph must be
communicated to the Commission and to all national
regulatory authorities.

4.
Each Member State shall adopt the measures neces-
sary to ensure that the universal service includes the fol-
lowing minimum facilities:

16. sender: a natural or legal person responsible for ori-

ginating postal items;

— the clearance, sorting, transport and distribution of

postal items up to two kilograms,

17. users: any natural or legal person benefiting from
an

service provision as

sender or

a

universal
addressee;

18. national regulatory authority: the body or bodies, in
each Member State,
to which the Member State
entrusts, inter alia, the regulatory functions falling
within the scope of this Directive;

19. essential requirements: general non-economic reasons
which can induce a Member State to impose condi-
tions on the supply of postal services. These reasons
are the confidentiality of correspondence, security of
the network as regards the transport of dangerous
goods and, where justified, data protection, environ-
mental protection and regional planning.

Data protection may include personal data protection,
information transmitted or
the confidentiality of
stored and protection of privacy.

CHAPTER 2

Universal service

Article 3

1. Member States shall ensure that users enjoy the right
to a universal service involving the permanent provision
of a postal service of specified quality at all points in their
territory at affordable prices for all users.

2.
To this end, Member States shall take steps to ensure
that the density of the points of contact and of the access
points takes account of the needs of users.

They shall take steps to ensure that the universal
3.
service provider(s) guarantee(s) every working day and not
less than five days a week, save in circumstances or
geographical conditions deemed exceptional by the
national regulatory authorities, as a miminum:

— the clearance, sorting, transport and distribution of

postal packages up to 10 kilograms,

— services for registered items and insured items.

5.
The national regulatory authorities may increase the
weight limit of universal service coverage for postal pack-
ages to any weight not exceeding 20 kilograms and may
lay down special arrangements for the door-to-door de-
livery of such packages.

Notwithstanding the weight
limit of universal service
coverage for postal packages established by a given
Member State, Member States shall ensure that postal
and
packages
weighing up to 20 kilograms are delivered within their
territories.

received from other Member States

The minimum and maximum dimensions for the
6.
postal items in question shall be those laid down in the
Convention and the Agreement concerning Postal Parcels
adopted by the Universal Postal Union.

The universal service as defined in this Article shall

7.
cover both national and cross-border services.

Article 4

Each Member State shall ensure that the provision of the
universal
service is guaranteed and shall notify the
Commission of the steps it has taken to fulfil this obliga-
tion and, in particular, the identity of its universal service
provider(s). Each Member State shall determine in ac-
cordance with Community law the obligations and rights
assigned to the universal service provider(s) and shall
publish them.

Article 5

1.
Each Member State shall take steps to ensure that
universal service provision meets the following require-
ments:

— it shall offer a service guaranteeing compliance with

the essential rerquirements,

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— it shall offer an identical service to users under

comparable conditions,

continue to be reserved within the price and weight limits
laid down in paragraph 1.

— it shall be made available without any form of dis-
crimination whatsoever, especially without discrimina-
tion arising from political, religious or ideological
considerations,

— it shall not be interrupted or stopped except in cases

of force majeure,

— it shall evolve in response to the technical, economic
and social environment and to the needs of users.

The provisions of paragraph 1 shall not preclude
2.
measures which the Member States take in accordance
with requirements relating to public interest recognized
by the Treaty, in particular Articles 36 and 56 thereof,
concerning, inter alia, public morality, public security,
including criminal invesigations, and public policy.

Article 6

Member States shall take steps to ensure that users are
regularly given sufficiently detailed and up-to-date infor-
mation by the universal service provider(s) regarding the
particular features of the universal services offered, with
special reference to the general conditions of access to
these services as well as to prices and quality standard
levels. This information shall be published in an appro-
priate manner.

Member States shall notify the Commission, within 12
months of the date of entry into force of this Directive,
how the information to be published in accordance with
subparagraph is being made available. Any
the first
shall be notified to the
subsequent modifications
Commission at the earliest opportunity.

CHAPTER 3

Harmonization of

the services which may be
reserved

Article 7

1.
To the extent necessary to ensure the maintenance
of universal service, the services which may be reserved by
each Member State for the universal service provider(s)
shall be the clearance, sorting, transport and delivery of
items of domestic correspondence, whether by accelerated
delivery or not, the price of which is less than five times
the public tariff for an item of correspondence in the first
weight step of the fastest standard category where such
category exists, provided that they weigh less than 350
grams. In the case of the free postal service for blind and
partially sighted persons, exceptions to the weight and
price restrictions may be permitted.

2.
To the extent necessary to ensure the maintenance
of universal service, cross-border mail and direct mail may

As a further step towards the completion of the
3.
internal market of postal services,
the European Par-
liament and the Council shall decide not later than 1
January 2000 and without prejudice to the competence of
the Commission, on the further gradual and controlled
liberalisation of the postal market, in particular with a
view to the liberalisation of cross-border and direct mail,
as well as on a further review of the price and weight
limits, with effect
taking into
account the developments, in particular economic, social
and technological developments, that have occurred by
that date, and also taking into account the financial equi-
librium of the universal service provider(s), with a view to
further pursuing the goals of this Directive.

from 1 January 2003,

Such decisions shall be based upon a proposal from the
Commission to be tabled before the end of 1998, fol-
lowing a review of
the sector. Upon request by the
Commission, Member States shall provide all the infor-
mation necessary for completion of the review.

4. Document exchange may not be reserved.

Article 8

The provisions of Article 7 shall be without prejudice to
Member States’ right to organise the siting of letter boxes
on the public highway, the issue of postage stamps and
the registered mail service used in the course of judicial or
administrative procedures
in accordance with their
national legislation.

CHAPTER 4

Conditions governing the provision of non-reserved
services and access to the network

Article 9

1.
For non-reserved services which are outside the
scope of the universal service as defined in Article 3,
Member States may introduce general authorisations to
the extent necessary in order to guarantee compliance
with the essential requirements.

For non-reserved services which are within the scope
2.
of the universal service as defined in Article 3, Member
States may introduce authorisation procedures, including
individual licences, to the extent necessary in order to
guarantee compliance with the essential requirements and
to safeguard the universal service.

The granting of authorisations may:

— where appropriate, be made subject

to universal

service obligations,

— if necessary,

impose requirements concerning the
quality, availability and performance of the relevant
services,

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— be made subject to the obligation not to infringe the
exclusive or special rights granted to the universal
service provider(s)
the reserved postal services
under Article 7(1) and (2).

for

3.
The procedures described in paragraphs 1 and 2
shall be transparent, non-discriminatory, proportionate
and based on objective criteria. Member States must
ensure that the reasons for refusing an authorisation in
whole or in part are communicated to the applicant and
must establish an appeal procedure.

In order to ensure that the universal service is safe-
4.
guarded, where a Member State determines that
the
universal service obligations, as provided for by this
Directive, represent an unfair financial burden for the
universal service provider, it may establish a compensa-
tion fund administered for this purpose by a body inde-
pendent of the beneficiary or beneficiaries. In this case, it
may make the granting of authorisation subject to an
obligation to make a financial contribution to that fund.
The Member State must ensure that the principles of
transparency, non-discrimination and proportionality are
respected in establishing the compensation fund and
when fixing the level of the financial contributions. Only
those services set out in Article 3 may be financed in this
way.

5. Member States may provide for an identification
system for direct mail, allowing the supervision of such
services where they are liberalised.

Article 10

1.
The European Parliament and the Council, acting
on a proposal from the Commission and on the basis of
Articles 57(2), 66 and 100a of the Treaty, shall adopt the
measures necessary for the harmonisation of
the pro-
cedures referred to in Article 9 governing the commercial
provision to the public of non-reserved postal services.

2.
The harmonisation measures referred to in para-
graph 1 shall concern, in particular, the criteria to be
observed and the procedures to be followed by the postal
operator, the manner of publication of those criteria and
procedures, as well as
to be
followed.

the appeal procedures

the public postal network under conditions which are
transparent and non-discriminatory.

CHAPTER 5

Tariff principles and transparency of accounts

Article 12

Member States shall take steps to ensure that the tariffs
for each of the services forming part of the provision of
the universal service comply with the following prin-
ciples:

— prices must be affordable and must be such that all

users have access to the services provided,

— prices must be geared to costs; Member States may
should be applied

decide that a uniform tariff
throughout their national territory,

— the application of a uniform tariff does not exclude
the right of
to
conclude individual agreements on prices with cus-
tomers,

service provider(s)

the universal

— tariffs must be transparent and non-discriminatory.

Article 13

1.
In order to ensure the cross-border provision of the
universal service, Member States shall encourage their
universal service providers to arrange that in their agree-
ments on terminal dues
intra-Community cross-
for
border mail, the following principles are respected:

— terminal dues shall be fixed in relation to the costs of
processing and delivering incoming cross-border mail,

— levels of remuneration shall be related to the quality

of service achieved,

— terminal dues shall be transparent and non-discrim-

inatory.

2.
The implementation of these principles may include
transitional arrangements designed to avoid undue disrup-
tion on postal markets or unfavourable implications for
economic operators provided there is agreement between
the operators of origin and receipt; such arrangements
shall, however, be restricted to the minimum required to
achieve these objectives.

Article 11

Article 14

The European Parliament and the Council, acting on a
proposal
from the Commission and on the basis of
Articles 57(2), 66 and 100a of the Treaty, shall adopt such
harmonisation measures as are necessary to ensure that
users and the universal service provider(s) have access to

1. Member States shall take the measures necessary to
ensure, within two years of the date of entry into force of
this Directive, that the accounting of the universal service
providers is conducted in accordance with the provisions
of this Article.

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21. 1. 98

2.
The universal service providers shall keep serparate
accounts within their internal accounting systems at least
for each of the services within the reserved sector on the
one hand and for the non-reserved services on the other.
The accounts for the non-reserved services should clearly
distinguish between services which are part of
the
universal service and services which are not. Such internal
accounting systems shall operate on the basis of con-
ac-
sistently applied and objectively justifiable cost
counting principles.

3.
The accounting systems referred to in paragraph 2
shall, without prejudice to paragraph 4, allocate costs to
each of the reserved and to the non-reserved services
respectively in the following manner:

(a) costs which can be directly assigned to a particular

service shall be so assigned;

(b) common costs, that is costs which cannot be directly
assigned to a particular service, shall be allocated as
follows:

(i) whenever possible, common costs shall be al-
located on the basis of direct analysis of the origin
of the costs themselves;

(ii) when direct analysis is not possible, common cost
categories shall be allocated on the basis of an
indirect linkage to another cost category or group
of cost categories for which a direct assignment or
allocation is possible; the indirect linkage shall be
based on comparable cost structures;

(iii) when neither direct nor indirect measures of cost
allocation can be found, the cost category shall be
allocated on the basis of a general allocator
computed by using the ratio of all expenses
directly or indirectly assigned or allocated, on the
one hand, to each of the reserved services and, on
the other hand, to the other services.

4. Other cost accounting systems may be applied only
if they are compatible with paragraph 2 and have been
approved by the national
regulatory authority. The
Commission shall be informed prior to their application.

regulatory authorities

shall ensure that
5. National
compliance with one of
the cost accounting systems
described in paragraphs 3 or 4 is verified by a competent
service
body which is
provider. Member States shall ensure that a statement
concerning compliance is published periodically.

independent of

the universal

The national regulatory authority shall keep avail-
6.
able, to an adequate level of detail, information on the
cost accounting systems applied by a universal service
provider, and shall
such information to the
Commission on request.

submit

7. On request, detailed accounting information arising
from these systems shall be made available in confidence
to the national regulatory authority and to the Commis-
sion.

8. Where a given Member State has not reserved any of
the services reservable under Article 7 and as not es-
tablished a compensation fund for universal service provi-
sion, as permitted under Article 9(4), and where the
national regulatory authority is satisfied that none of the
designated universal service providers in that Member
State is in receipt of State subvention, hidden or other-
wise, the national regulatory authority may decide not to
apply the requirements of paragraphs 2, 3, 4, 5, 6 and 7 of
this Article. The national regulatory authority shall inform
the Commission of all such decisions.

Article 15

The financial accounts of all universal service providers
shall be drawn up, submitted to audit by an independent
auditor and published in accordance with the relevant
Community and national
legislation to commercial
undertakings.

CHAPTER 6

Quality of services

Article 16

shall

States

Member
that quality-of-service
ensure
standards are set and published in relation to universal
service in order to guarantee a postal service of good
quality.

Quality standards shall focus,
times and on the regularity and reliability of services.

in particular, on routing

These standards shall be set by:

— the Member States in the case of national services,

— the European Parliament and the Council in the case
of intra-Community cross-border services (see Annex).
Future adjustment of
these standards to technical
progress or market developments shall be made in
accordance with the procedure laid down in Article
21.

Independent performance monitoring shall be carried out
at least once a year by external bodies having no links
with the universal service providers under standardised
conditions to be specified in accordance with the pro-
cedure laid down in Article 21 and shall be the subject of
reports published at least once a year.

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Article 17

Member States shall day down quality standards for
national mail and shall ensure that they are compatible
with those laid down for intra-Community cross-border
services.

Member States shall notify their quality standards for
national services to the Commission, who will publish
them in the same manner as the standards for intra-
Community cross-border services referred to in Article 18.

National regulatory authorities shall ensure that
inde-
pendent performance monitoring is carried out in ac-
cordance with the fourth subparagraph of Article 16, that
the results are justified, and that corrective action is taken
where necessary.

Article 18

1.
In accordance with Article 16, quality standards for
intra-Community cross-border services are laid down in
the Annex.

2. Where exceptional situations relating to infrastruc-
ture or geography so require,
the national regulatory
authorities may determine exemptions from the quality
standards provided for in the Annex. Where national
regulatory authorities determine exemptions
in this
manner, they shall notify the Commission forthwith. The
Commission shall submit an annual report of the notifi-
cations received during the previous 12 months to the
Committee established under Article 21 for its informa-
tion.

The Commission shall publish in the Official
3.
Journal of the European Communities any adjustments
made to the quality standards for intra-Community cross-
border services and shall take steps to ensure the regular
independent monitoring and the publication of per-
formance levels certifying compliance with these stan-
dards and the progress accomplished. National regulatory
authorities shall ensure that corrective action is taken
where necessary.

Article 19

Member States shall ensure that transparent, simple and
inexpensive procedures are drawn up for dealing with
users’ complaints, particularly in cases involving loss,
theft, damage or non-compliance with service quality
standards.

Member States shall adopt measures to ensure that those
procedures enable disputes
to be settled fairly and
promptly with provision, where warranted, for a system of
reimbursement and/or compensation.

Without prejudice to other possibilities of appeal under
national and Community legislation, Member States shall
ensure that users, acting individually or, where permitted
by national law,
jointly with organisations representing
the interests of users and/or consumers, may bring before

the competent national authority cases where users’
complaints to the universal service provider have not been
satisfactory resolved.

In accordance with Article 16, Member States shall ensure
that the universal service providers publish, together with
the annual report on the monitoring of their performance,
information on the number of complaints and the
manner in which they have been dealt with.

CHAPTER 7

Harmonisation of technical standards

Article 20

The harmonisation of technical standards shall be con-
tinued, taking into account in particular the interests of
users.

The European Committee for Standardisation shall be
entrusted with drawing up technical standards applicable
in the postal sector on the basis of remits to it pursuant to
the principles set out in Council Directive 83/189/EEC of
28 March 1983 laying down a procedure for the provision
of information in the field of technical standards and
regulations (1).

This work shall
the harmonisation
take account of
measures adopted at international level and in particular
those decided upon within the Universal Postal Union.

The standards applicable shall be published in the Offi-
cial Journal of the European Communities once a year.

Member States shall ensure that universal service pro-
viders refer to the standards published in the Official
Journal where necessary in the interests of users and in
particular when they supply the information referred to in
Article 6.

The Committee provided for in Article 21 shall be kept
informed of
the discussions within the European
Committee for Standardisation and the progress achieved
in this area by that body.

CHAPTER 8

The committee

Article 21

The Commission shall be assisted by a committee
composed of the representatives of the Member States and
chaired by a representative of
the Commission. The
committee shall establish its own rules of procedure.

(1) OJ L 109, 26. 4. 1983, p. 8. Directive as last amended by
Commission Decision 96/139/EC (OJ L 32, 10. 2. 1996, p.
31).

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The representative of the Commission shall submit to the
committee a draft of
the measures to be taken. The
committee shall deliver its opinion on the draft within a
time limit which the Chairman may lay down according
to the urgency of the matter. The opinion shall be de-
livered by the majority laid down in Article 148(2) of the
Treaty in the case of decisions which the Council
is
required to adopt on a proposal from the Commission.
The votes of the representatives of the Member States
within the committee shall be weighted in the manner set
out in that Article. The Chairman shall not vote.

The Commission shall adopt the measures envisaged if
the
they are
committee.

in accordance with the opinion of

If the measures envisaged are not in accordance with the
opinion of the committee, or if no opinion is delivered,
to the
the Commission shall, without delay,
Council a proposal relating to the measures to be taken.

submit

The Council shall act by a qualified majority.

If, upon the expiry of a period of three months from the
date of referral to the Council, the Council has not acted,
the proposed measures shall be adopted by the Commis-
sion.

CHAPTER 9

submit a report
to the European Parliament and the
Council on the application of this Directive, including
the appropriate information about developments in the
sector, particularly concerning economic, social, employ-
ment and technological aspects, as well as about quality of
service.

The report shall be accompanied where appropriate by
proposals to the European Parliament and the Council.

Article 24

Member States shall bring into force the laws, regulations
and administrative provisions necessary to comply with
this Directive not later than 12 months after the date of
its entry into force. They shall
forthwith inform the
Commission thereof.

When Member States adopt these measures, they shall
contain a reference to this Directive or be accompanied
by such reference on the occasion of their official pub-
lication.

Article 25

This Directive shall enter into force on the 20th day
following that of its publication in the Official Journal of
the European Communities.

The national regulatory authority

Article 26

Article 22

Each Member State shall designate one or more national
regulatory authorities for the postal sector that are legally
separate from and operationally independent of the postal
operators.

Member States
inform the Commission which
national regulatory authorities they have designated to
carry out the tasks arising from this Directive.

shall

The national regulatory authorities shall have as a par-
ticular task ensuring compliance with the obligations
arising from this Directive. They may also be charged
with ensuring compliance with competition rules in the
postal sector.

CHAPTER 10

Final provisions

Article 23

1.
This Directive shall not prevent any Member State
from maintaining or introducing measures which are
more liberal than those provided for by this Directive.
Such measures must be compatible with the Treaty.

2.
Should this Directive lapse, the measures taken by
the Member States to implement it may be maintained, to
the extent that they are compatible with the Treaty.

Article 27

The provisions of this Directive, with the exception of
Article 26, shall apply until 31 December 2004 unless
otherwise decided in accordance with Article 7(3).

Article 28

This Directive is addressed to the Member States.

Done at Brussels, 15 December 1997.

Without prejudice to Article 7(3), three years after the
date of entry into force of this Directive, and in any event
no later than 31 December 2000, the Commission shall

For the European Parliament

For the Council

The President

J. M. GIL-ROBLES

The President

J.-C. JUNCKER

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ANNEX

Quality standards for intra-Community cross-border mail

The quality standards for intra-Community cross-border mail in each country are to be established in
relation to the time limit for routing measured from end to end (*) for postal items of the fastest
standard category according to the formula formula D + n, where D represents the date of deposit (**)
and n the number of working days which elapse between that date and that delivery to the addressee.

Quality standards for intra-Community cross-border mail

Time limit

D + 3

D + 5

Objective

85 % of items

97 % of items

The standards must be achieved not only for the entirety of intra-Community traffic but also for each
of the bilateral flows between two Member States.

(*) End-to-end routing is measured from the access point to the network to the point of delivery to the addressee.
(**) The date of deposit to be taken into account shall be the same day as that on which the item is deposited, provi-
ded that deposit occurs before the last collection time notified from the access point to the network in question.
When deposit takes place after this time limit, the date of deposit to be taken into consideration will be that of
the following day of collection.