Amended proposal for a European Parliament and Council Directive amending Directive 97/67/EC with regard to the further opening to competition of Community postal services
Date: 2001-03-21
Institutions: European Commission
Subjects: competition, harmonisation of standards, postal service, quality standard, single market

26.6.2001

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Official Journal of the European Communities

C 180 E/291

Amended proposal for a European Parliament and Council Directive amending Directive 97/67/EC
with regard to the further opening to competition of Community postal services (1)

(2001/C 180 E/27)

(Text with EEA relevance)

COM(2001) 109 final (cid:151) 2000/0139(COD)

(Submitted by the Commission pursuant to Article 250 (2) of the EC Treaty on 21 March 2001)

(1) OJ C 337 E, 28.11.2000, p. 220.

INITIAL PROPOSAL

AMENDED PROPOSAL

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

Unchanged

Having regard to the Treaty establishing the European
Community, and in particular Articles 47(2), 55 and 95
thereof,

Having regard to the proposal from the Commission,

Having regard to the opinion of
Committee,

the Economic and Social

Having regard to the opinion of the Committee of the Regions,

Acting in accordance with the procedure laid down in Article
251 of the Treaty,

Whereas:

(1) The Council in its resolution of 7 February 1994 on the
development of Community postal services (1), identified
as one of the main objectives of Community postal policy
the
the gradual,
controlled opening to competition of the postal market
and a durable guarantee of the provision of the universal
service.

furtherance of

reconciling of

the

(2) 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 (2)
established a regulatory framework for the postal sector
at Community level,
including measures to guarantee a
universal service, the setting of maximum limits for the
postal services which Member States may reserve to their
universal service provider(s) with a view to the main-
tenance of
the universal service, and a timetable for
decision-making on the further opening of the market
for the purposes of creating a single
to competition,
market in postal services.

___________
(1) OJ C 48, 16.2.1994, p. 3.
(2) OJ L 15, 21.1.1998, p. 14.

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INITIAL PROPOSAL

AMENDED PROPOSAL

(3) Article 16 of the Treaty highlights the place occupied by
services of general
interest in the shared values of the
Union as well as their role in promoting social and terri-
torial cohesion; the same Article further states that care
should be taken that such services operate on the basis of
principles and conditions which enable them to fulfil their
missions.

(4) The European Parliament’s Resolutions of 14 January
1999 on European postal services (1) and its further
Resolution of 18 February 2000, also on European
postal
the social and economic
importance of postal services and the need to maintain
a high quality of universal service.

services (2), highlight

(4 bis) The measures described must be fashioned in such a
way that the social tasks of the Community pursuant
to Article 2 of the Treaty (cid:151) namely, a high level of
employment and of social protection (cid:151) are also
achieved as objectives.

(4 ter) The rural postal network in mountain and island
regions plays an essential role in integrating businesses
into the national/global economy and in maintaining
terms in rural
cohesion in social and employment
mountain and island regions. Furthermore, rural post
offices in mountain and island regions can provide an
essential
infrastructure network affording universal
access to new telecommunications technologies.

Unchanged

(5) The European Council, meeting in Lisbon, on 23 and 24
March 2000, set out in its Presidency conclusions two
decisions applying to postal services, whereby action
was requested of the Commission, the Council and the
Member States
respective
powers. The requested actions are: first, to set out by
the end of 2000 a strategy for the removal of barriers
to services, namely postal services, and secondly, to speed
up liberalisation in areas such as postal services, the stated
aim being to achieve a fully operational market in postal
services.

in accordance with their

(5 bis) The Lisbon European Council of Heads of State and
in March 2000 also considered it
Government
the internal
essential
market and of a knowledge-based economy,
full
account is taken of the Treaty provisions relating to
services of general economic interest, and to the
undertakings entrusted with operating such services.

in the framework of

that,

___________
(1) OJ C 104, 14.4.1999, p. 134.
(2) Resolution B5-0116/2000; not yet published in the Official Journal.

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INITIAL PROPOSAL

AMENDED PROPOSAL

(6) The Commission has undertaken a thorough review of the
Community postal sector, including the commissioning of
studies on the economic, social and technological devel-
opments in the sector, and has consulted extensively with
interested parties.

Unchanged

(7) The Community postal sector requires a modern regu-
latory framework which aims at enhancing the internal
market for postal services. in order to enable the sector to
compete with alternative methods of communication and
to satisfy the changing and increased demands of users.

(7) The Community postal sector requires a modern regu-
latory framework which aims in particular at enhancing
the internal market for postal services. Increased competi-
tiveness should enable the postal sector to be integrated
with alternative methods of communication and allow the
quality of the service provided to ever-more demanding
users to be improved.

service matching the

(8) The basic aim of ensuring the durable provision of a
universal
standard of quality
required by Directive 97/67/EC on a consistent basis
throughout
secured under,
conditions of high efficiency ensured by the freedom to
provide services in this area.

the Community can be

(8) The basic aim of safeguarding the durable provision of a
universal service matching the standard of quality defined
by the Member States in accordance with Article 3 of
Directive 97/67/EC on a consistent basis throughout the
Community can be secured if, in this area, the possibility
of reserving services is maintained and, at the same time,
there are conditions of high efficiency ensured by a
sufficient degree of freedom to provide services.

(9) The competitive advantages provided by a universal postal
network which is efficient and responsive to customer
demand can help to offset any additional costs incurred
by reason of the obligation to provide a universal service
which cannot be self-financing.

Unchanged

(10) Experience has shown that referring only to the price
limit as a means of determining the added value of
express services is no longer a practical proposition due
to the development of added value express services below
the price limit.

fulfilling special customer needs,

(11) It is therefore appropriate to define a category comprising
this
(cid:145)special services(cid:146)
category should include all services with the required
added features. Such services should not be reserved,
regardless of
the weight or the price of such items.
Sending mail electronically for distant printing only will
not be sufficient to take it outside the reserved area.

(12) The increase in demand within the postal sector as a
whole, predicted for
the medium term, will help to
offset the loss of market share that the universal service
providers may incur as a result of further market-opening
and will thereby further safeguard the universal service.

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INITIAL PROPOSAL

AMENDED PROPOSAL

important; of

in the postal sector,

(13) Amongst the factors which bring about change affecting
employment
technological devel-
opment and market pressure for efficiency gains are the
most
the remaining factors for change,
market-opening will play a less prominent part. Market-
opening will help to expand the overall size of the postal
markets, and any reductions in staff
levels among the
universal service providers due to such measures (or
their anticipation) are likely to be offset by the resulting
growth in employment among private operators and new
market entrants.

(14) It

is appropriate to provide at Community level a
timetable for a gradual and controlled opening of the
letters market to competition which allows all universal
service providers sufficient time to put in place the further
measures of modernisation and restructuring required to
ensure their long-term viability under the new market
conditions. An appropriate period of time is also needed
to enable Member States to adapt their regulatory systems
to a more open environment. It is therefore appropriate to
provide for a step-by-step approach to further market-
opening, consisting of an intermediate step representing
a significant but controlled opening of
the market,
followed by a review and proposal for a further step.

(15) It is appropriate to ensure that the next phase of market-
opening is both substantial in nature and achievable in
practice for the Member States.

(16) A general reduction to 50 grams in the weight limit of the
services which may be reserved to the universal service
providers, combined with opening outgoing cross-border
mail and express mail fully to competition, represents a
relatively simple and controlled further phase which is
nevertheless significant.

(17) In the Community,

items of ordinary correspondence
weighing between 50 grams and 350 grams represent
on average approximately 16 % of
the total postal
revenues of the universal service providers, whilst items
of outward cross-border correspondence and express
services below the price limit represent a further 4 % or
so, on average, of
the
universal service providers.

the total postal

revenues of

(18) A price limit for the services capable of being reserved, of
two and a half times the public tariff
for an item of
the fastest
correspondence in the first weight step of
standard category, is appropriate in combination with a
50-gram weight limit where applicable.

(19) A 50-gram weight limit for items of ordinary domestic
correspondence is practical, since it does not present a
risk of its circumvention by way of an artificial increase
in the weight of individual items of correspondence, most
items of correspondence being below 20 grams in weight.

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INITIAL PROPOSAL

AMENDED PROPOSAL

(20) Direct mail already represents in most Member States a
dynamic and growing market with substantial growth
prospects while in the remaining Member States there is
considerable potential for growth. Direct mail is already
largely open to competition in six Member States. The
improvements in service flexibility and pricing resultant
from competition would improve the position of direct
mail versus alternative communications media, which, in
turn, would be likely to lead to new postal items as an
additional spin-off and strengthen the position of
the
postal
industry as a whole. Nevertheless, to the extent
necessary to ensure the provision of universal service, it
should be provided that direct mail may continue to be
reserved within the above weight and price limits of 50
grams and two and a half times the basic public tariff.

(21) Outgoing cross-border mail

is already de facto open to
competition in most Member States;
its reservation is
not needed to ensure universal service representing on
average 3 % of total postal revenues. Opening this part
of
jure would allow different postal
operators to collect, sort and transport all outgoing cross-
border mail and to deliver it in Member States, but only
where the domestic regulation in a particular Member
State permits this.

the market de

Identifying the origins of

to competition
(22) Opening incoming cross-border mail
the 50-gram limit
would allow circumvention of
the posting of a proportion of
through relocation of
thereby making its effects unpre-
bulk domestic mail,
corre-
dictable.
enforcement
spondence
could
items of
difficulties. A 50-gram weight
ordinary
and
incoming cross-border
direct mail, as for ordinary domestic correspondence, is
practical as it does not present a risk of circumvention
either in this way or through an artificial increase in the
weight of individual items of correspondence.

additional
limit
for
correspondence

items of

present

(23) Setting a timetable now, aimed at a further step towards
the completion of the internal market in postal services, is
important for both the long-term viability of the universal
service and the continued development of modern and
efficient posts.

(24) It is appropriate to provide for a further period within
which Member States may continue to reserve certain
postal services to their universal service provider(s). This
service
enable
additional period will
providers
to complete the process of adapting their
operations and human resources to conditions of greater
competition without upsetting their financial equilibrium
and thus without jeopardising the provision of universal
service.

the universal

(24) It is appropriate to continue to provide for the possibility
for Member States to reserve certain postal services to
their universal service provider(s). These arrangements
will enable the universal service providers to complete
the process of adapting their operations and human
resources to conditions of greater competition without
upsetting their financial equilibrium and thus without
jeopardising the safeguarding of universal service.

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INITIAL PROPOSAL

AMENDED PROPOSAL

(25) It is appropriate both to define the new weight and price
limits and the services to which they may apply and to
provide for a further review and decision on further
market-opening.

Unchanged

(26) Measures adopted by a Member State, including the estab-
lishment of a compensation fund or any change in its
operation or any implementation of or payment from it,
may involve aid granted by a Member State or through
in any form whatsoever within the
State resources
the Treaty necessitating
meaning of Article 87(1) of
prior notification to the Commission pursuant to Article
88(3) thereof.

(27) The concept of

licensing competitors in the universal
service
combined with requirements
obliging such licensees to contribute to the provision of
universal service.

can be

area

(28) It is appropriate for national regulatory authorities to link
the introduction of all such licences to requirements that
consumers of
their services are to have transparent,
simple and inexpensive procedures available to them for
dealing with their complaints, regardless of whether they
relate to the services of the universal service provider(s) or
to those of operators holding authorisations,
including
individual
is further appropriate for
It
these procedures to be available to users of all postal
services, whether or not they are universal services.

licence-holders.

(27a) Directive 97/67/EC established that Member States shall
designate one or more national regulatory authorities for
the postal sector that are legally separate from and oper-
ationally independent of the postal operators. In view of
the dynamics of
the
important
regulatory authorities play
should be acknowledged and furthered. Article 9 of the
above-mentioned Directive allows Member States to go
beyond the objectives of the present Directive.

the European postal markets,

role national

licences to requirements

they relate to the services of

(28) It is appropriate for national regulatory authorities to link
the introduction of all
that
consumers of the licensees’ services are to have trans-
parent, simple and inexpensive procedures available to
them for dealing with their complaints, regardless of
the universal
whether
service provider(s) or to those of operators holding auth-
orisations,
is
further appropriate for these procedures to be available
to users of all postal services, whether or not they are
should include
universal
procedures for determining responsibility in case of loss
or damage to mail items.

including individual

Such procedures

licence-holders.

services.

It

Unchanged

service.

(29) The universal service providers normally provide services,
for example to business customers, consolidators of mail
for different customers and bulk mailers, enabling them to
enter
the mail stream at different points and under
different conditions by comparison with the standard
service
letters
In doing this,
trans-
providers should comply with the principles of
parency
between
different third parties and as between third parties and
universal service providers supplying equivalent services.
It is also necessary for such services to be available to
residential customers who post
in similar conditions,
given the need for non-discrimination in the provision
of services.

and non-discrimination,

the universal

both as

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INITIAL PROPOSAL

AMENDED PROPOSAL

(30) It is appropriate in the light of the complaints which have
been raised against certain incumbent operators in recent
years to provide for Member States to adopt rules to
ensure that universal service providers do not cross-
subsidise services outside the reserved area by means of
revenues from services in the reserved area, except where
it
is shown to be strictly necessary to fulfil specific
It is therefore appropriate
universal service obligations.
for national regulatory authorities to adopt rules to this
effect and for them to communicate these rules to the
Commission.

(30) It is appropriate in the light of the complaints which have
been raised against certain incumbent operators in recent
years to provide for Member States to adopt rules to
ensure that universal service providers do not cross-
subsidise services outside the reserved area by means of
revenues from services in the reserved area, except where
is shown to be strictly necessary to fulfil specific
it
service obligations, as defined by Member
universal
States
in accordance with Article 3 of Directive
97/67/EC, as amended by this Directive. It is therefore
appropriate for national regulatory authorities to adopt
rules to this effect and for them to communicate these
rules to the Commission.

(31)

In view of the amendments, it is appropriate to postpone
until 31 December 2006 the date for the expiry of
Directive 97/67/EC.

Unchanged

(32) Directive

97/67/EC should

therefore

be

amended

accordingly.

(33) This Directive is without prejudice to the application of
the Treaty rules on competition and on the freedom to
provide services, as explained in particular in the Notice
application of
from the Commission on the
the
competition rules
sector and on the
to the postal
assessment of certain State measures relating to postal
services (1),

HAVE ADOPTED THIS DIRECTIVE:

Article 1

Directive 97/67/EC is hereby amended as follows:

1. In Article 2, the following point is added:

(cid:145)20. Special

services:

additional

and which offer

services clearly distinct

from the
service, which meet particular customer
universal
requirements
service
features with added-value not offered by the standard
postal service. Additional added-value service features
are, for example, delivery on appointment, the option
to effect a change of destination or of addressee in
course of transit or if delivery to the primary desti-
nation fails, tracking and tracing, guaranteed time of
delivery, more than one attempt at delivery, delivery
according to the priority or sequence specified by the
customer.

Home collection without any such features is not a
special service.

___________
(1) OJ C 39, 6.2.1998, p. 2.

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INITIAL PROPOSAL

AMENDED PROPOSAL

Electronic transmission to and/or electronic receipt by
the operator for sorting, printing and/or preparation
of mail shall not be regarded as an additional service
feature within the meaning of the first subparagraph.

the

service

following additional

Express mail is a special service, which, in addition to
faster and more reliable collection, transportation and
delivery, is characterised by the provision of some or
all of
features:
collection from the sender’s address, delivery to the
addressee in person or to his authorised represen-
tative, guarantee of delivery by a given date, possi-
bility of a change of destination and addressee in
sender of delivery,
transit,
for
tracking and tracing, personalised treatment
customers and the offer of a range of
services
according to requirements.(cid:146)

confirmation to the

2. Article 7 is replaced by the following:

(cid:145)Article 7

services

to the universal

1.
To the extent necessary to ensure the provision of
universal service, Member States may continue to reserve
certain standard mail
service
provider(s). Those services shall be limited to the clearance,
sorting, transport and delivery of ordinary items of domestic
correspondence and incoming cross-border correspondence
within both of the following weight and price limits. The
weight limit shall be 50 grams. This weight limit does not
apply if the price is equal or more than two and a half
times the public tariff for an item of correspondence in the
first weight step of the fastest category.

In the case of the free postal service for blind and partially
sighted persons,
to the weight and price
exceptions
restrictions may be permitted.

To the extent necessary to ensure the provision of universal
service, direct mail may continue to be reserved within the
weight and price limits referred to in the first subparagraph.

Items

of outgoing

2.
correspondence,
document exchange and special services (including express
mail) may not be reserved.

cross-border

For special services, the sending of mail electronically for
distant printing only shall not be sufficient to avoid the
monopoly on incoming cross-border mail.

3.
the
As a further step towards the completion of
internal market in postal services, the European Parliament
and the Council shall decide, not later than 31 December
2005, on a further opening of the postal market with effect
from 1 January 2007.

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INITIAL PROPOSAL

AMENDED PROPOSAL

To that end, the Commission shall present a proposal by 31
December 2004, following a review of the sector which
focus on the need to ensure the provision of
shall
universal service in an appropriate manner in a competitive
market environment.

Upon request by the Commission, Member States shall
provide all
the information necessary for completion of
this review.(cid:146)

3. In Article 9, the following paragraph is added:

3. In Article 12, a fifth indent is added:

for

for

services

example

apply the principles of

(cid:145)6. Whenever universal service providers apply special
tariffs,
for businesses, bulk
mailers or consolidators of mail from different customers,
they shall
transparency and
non-discrimination with regard both to the tariffs and to
the associated conditions. The tariffs shall take account of
the avoided costs, as compared to the standard service
features offered for the
covering the complete range of
individual
transport,
clearance,
postal items and, together with the associated conditions,
shall apply equally both as between different third parties
and as between third parties and universal service providers
supplying equivalent services.

sorting and delivery of

(cid:145)(cid:151) Whenever universal

consolidators of mail

they shall apply the principles of

service providers apply special
for example for services for businesses, bulk
tariffs,
from different
mailers or
customers,
trans-
parency and non-discrimination with regard both to
the tariffs and to the associated conditions. The tariffs
shall take account of the avoided costs, as compared to
the standard service covering the complete range of
transport, sorting
features offered for the clearance,
items and, together
and delivery of individual postal
shall apply equally
with the associated conditions,
both as between different
and as
between third parties and universal service providers
supplying equivalent services.

third parties

Any such tariffs
customers who post under similar conditions.(cid:146)

shall also be available to residential

Any such tariffs shall also be available to residential
customers who post under similar conditions.(cid:146)

4. In Article 12, the following indent is added:

4. In Article 12, a sixth indent is added:

(cid:145)(cid:151) cross-subsidisation of universal

services outside the
reserved area out of revenues from services in the
reserved area shall be prohibited except to the extent
to which it is shown to be strictly necessary to fulfil
specific universal service obligations imposed in the
competitive area; rules shall be adopted to this effect
by the national regulatory authorities who shall inform
the Commission of such measures.(cid:146)

Unchanged

4a. Article 19, paragraph 1 is replaced by the following:

(cid:145)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 (including procedures for determining where
responsibility lies in cases where more than one operator
is involved).(cid:146)

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INITIAL PROPOSAL

AMENDED PROPOSAL

5. In Article 19, the following sentence is added to the first

Unchanged

paragraph:

(cid:145)Member States shall ensure that
this principle is also
applied to beneficiaries of postal services which do not
fall within the universal service.(cid:146)

6. In Article 27, the date (cid:145)31 December 2004(cid:146) is replaced by

the date (cid:145)31 December 2006(cid:146).

Article 2

1. Member States shall bring into force the laws, regulations
and administrative provisions necessary to comply with this
Directive no later
than 31 December 2002. They shall
forthwith inform the Commission thereof.

When Member States adopt those provisions, they shall contain
a reference to this Directive or be accompanied by such a
reference on the occasion of
their official publication.
Member States shall determine how such reference is to be
made.

2. Member States shall communicate to the Commission the
texts of the main provisions of national law which they adopt
in the field covered by this Directive.

Article 3

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

Article 4

This Directive is addressed to the Member States.