CELEX: 51996PC0412
Language: en
Date: 1996-07-31
Title: Amended proposal for a EUROPEAN PARLIAMENT AND COUNCIL DIRECTIVE on common rules for the development of the internal market of Community postal services and the improvement of quality of service

COMMISSION OF THE EUROPEAN COMMUNITIES
                                             Brussels, 31.07.1996
                                             COM(96) 412 final
                                             96/0221 (COD)
                         Amended proposal for a
      EUROPEAN PARLIAMENT AND COUNCIL DIRECTIVE
on common rules for the development of the internal market of Community postal
              services and the improvement of quality of service
       (presented by the Commission pursuant to Article 189 a (2)
                            of the EC-Treaty)
 ---pagebreak---  ---pagebreak---                            EXPLANATORY MEMORANDUM
The Commission hereby presents a modified proposal for a European Parliament and
Council Directive on common rules for the development of the internal market of
Community postal services and the improvement of quality of service. The modified
proposal incorporates those amendments proposed by the European Parliament at First
Reading which are accepted by the Commission.
I.   INTRODUCTION
    a)      Background
    The Commission adopted its proposal on 25 July 1995, and it was formally
    transmitted to the European Parliament and the Council on 22 November 19951.
    The Economic and Social Committee gave its opinion on 28 March 19962. The
    European Parliament adopted a favourable Resolution at its First Reading on 9 May
     1996, and proposed 58 amendments to the Commission proposal3.
    b)      Purpose of the Directive
    This Directive aims to provide for a harmonised regulatory framework at
     Community level for the postal sector.
     It provides for a minimum mandatory universal service to be provided throughout
    the Community to all citizens, wherever they are located, at affordable prices. In
     order to ensure the financial viability of the universal service, the proposed Directive
     defines harmonised criteria for the services which may be reserved to the universal
     service providers to the extent necessary for the maintenance of the universal
     service, whilst also providing for a gradual and controlled opening up of the postal
     market to more competition.
     The proposed Directive also provides for the establishment of service quality
     standards both for national postal services and for intra-Community cross-border
     services, as well as setting out a procedure for the elaboration and adoption of
     harmonised technical standards. Furthermore, the proposed Directive requires
     separation between regulatory powers and operational functions.
1
   OJC322, 2.12.95, p. 22
2
   TRA/293,28.03.96
3
   A4 - 0105/96, PV 09-05-96
 ---pagebreak--- 2. EP AMENDMENTS ACCEPTED BY THE COMMISSION
   Of the 58 amendments adopted by the European Parliament at First Reading, the
   Commission can accept 10 in full, 5 in part and 1 in principle, making a total of 16.
   Amendments accepted in full :            4, 9, 13, 21, 27, 30, 39, 55, 56, 57
   Amendments accepted in part :            1, 37, 38, 41, 48
   Amendment accepted in principle :        15
   The Commission has accepted those amendments which :
   - emphasise the importance of creating an internal market for postal services within
      the European Community;
   - re-inforce the need for a wide consultation of interested parties in the postal
      sector;
   - increase transparency and ensure the effective provision of relevant information to
      the public;
   - refer to the possibility for Member States to integrate the twelve-star symbol of
      the EU into their postage stamps and the need to explore the possibilities for
      introducing Euro-denominated postage stamps;
   - make clear that the process of liberalisation should not curtail the right of Member
      States to make provision for services for blind and partially sighted persons;
   - clarify the text in a manner consistent with the aims of the Directive;
   - extend the period allowed for implementation of the Directive;
   - are consistent with other Community legislation.
3. AMENDMENTS NOT ACCEPTED BY THE COMMISSION
   The Commission has not accepted 42 of the 58 amendments proposed by the
   European Parliament. The reasons are given below, where the amendments are
   grouped into 9 broad categories.
   Reserved services and timetable for liberalisation
   (Amendments 10, 14, 16, 19, 20, 28, 34, 40, 41 (in part), 54)
   Amendment 10 implies that a reserved area should always exist, whereas Article
   8(1) makes clear that services should only be reserved when necessary. Amendments
   16, 19, 34 and 40 would effectively freeze any liberalisation of direct mail or cross-
   border mail for at least 5 years after entry into force of the Directive. This would
   seriously undermine the delicate balance, called for by the Council in its Resolution
 ---pagebreak---  of 7th February 19944 , between the gradual, controlled opening of the market and
 the safeguarding
             1
           'O -
                      of the universal service.
 This open-ended retention of direct mail and cross-border mail within the reserved
  area forms part of a general postponement of the liberalisation process which (as a
  result of amendments 20, 28, 40 (3rd part) and 54) would also include postponement
 of the general review of the application of the Directive from the first half of the
 year 2000 at the latest, until five years after its entry into force. These amendments
 are therefore also not accepted by the Commission.
 There is also no justification for restricting competition in registered mail services
 outside the price and weight limits of the reserved area, and hence amendment 41
 (first part) is not accepted. The operation of the reserved services must comply with
  the rules of the Treaty, and with the competition rules in particular, and amendment
  14, which implies otherwise, is therefore not accepted.
  Declaration and authorisation procedures
  (Amendments 23, 42 (in part), 43)
  As a consequence of the freezing of liberalisation measures referred to above,
  amendments 42 and 43 would also remove from the Directive the provisions which
  allow for the implementation and ultimate harmonisation of declaration and
  authorisation procedures for the commercial provision of non-reserved postal
  services. The Parliament also rejected recital 22 of the Commission's proposal,
  which refers to declaration and authorisation procedures, by a separate vote.
  Similarly, amendment 23 would delete the reference to the possible establishment of
  an identification system for direct mail. Those amendments would therefore remove
  important safeguards designed to ensure the orderly provision of the universal
  service in the context of the opening up of the market by the Member States, and are
  therefore not accepted.
  Universal Service
  (Amendments 8, 12, 22, 33, 37 (in part), 38 (in part), 42 (in part), 45)
  The minimum requirements for the universal service are set out in detail in Chapter
  2 of the Directive, and the limited definition provided in amendment 33 is therefore
  both insufficient and unnecessary. Special and new services have specific
  characteristics which distinguish them from services within the universal postal
  service, and amendments 22 and 42 (first part) (which take no account of such
  differences) are therefore not accepted. Amendment 38 (which would delete the
  words "whose circumstances are similar" from the 2nd indent of Article 5) fails to
  take account of the diversity of the needs of users which the universal service must
  satisfy.
  Amendment 38 also introduces elements (social protection of employees and
  economic and social cohesion) which, although valid Community objectives, are not
  intrinsic elements of the definition of the universal service as such. Furthermore, the
OJ C 48, 16.02.94, p. 3
 ---pagebreak---  universal service requirements apply throughout the Community and should not
 therefore focus only on its provision in the most remote or least advantaged regions
 (amendment 8).
 Amendments 12, 37 and 45 would make the setting of a single uniform tariff a
 mandatory element of the universal service. While the Commission believes that a
uniform tariff structure may often be appropriate, this is for Member States to decide
upon in accordance with the principle of subsidiarity, and is not a pre-condition for
the existence of a universal service, as experience in some Member States has
shown. Users' interests in relation to tariffs are sufficiently protected by the concept
of affordability already enshrined in the Directive. The provision of a free service
for blind and partially sighted persons is a matter for Member States to decide upon,
in accordance with the principle of subsidiarity, and should not therefore be included
as a mandatory element of the universal service (amendment 37, final indent).
Quality of Service
(Amendments 5, 48 (in part), 49, 50)
The quality of Community cross-border services is clearly unsatisfactory at present,
and the deletion of the reference to this fact in the recitals is not therefore justified
(amendment 5). Although the Commission is sympathetic to the additional quality
standard for national services introduced by amendment 48 (second part), the
exceptions which that amendment would introduce are not acceptable.
Amendment 49, while motivated by a valid concern to improve performance levels,
is insufficiently precise to warrant inclusion in a legislative text. On the other hand,
the limitations which amendment 50 would place on postal users' rights of access to
effective complaint, compensation and appeal procedures would significantly
weaken the mechanisms established by the Directive to ensure that quality standards
are met.
Terminal Dues
(Amendments 25, 26, 81)
Amendments 25, 26 and 81 would seek to establish a stricter and more detailed set
of criteria for the establishment and regulation of a system of terminal dues by
Member States and the Commission. However, tariff systems such as terminal dues
are primarily the responsibility of the postal operators, who must act in co-
ordination with their national regulatory authorities and in compliance with the rules
of the Treaty and, in particular, the competition rules. Flexibility is therefore
required for the development and continued monitoring of the terminal dues system.
The Commission proposal already sets out, in accordance with the Council
Resolution of 7 February 1994, the fundamental principles on which the terminal
dues system has to be founded, and takes into account that considerable adjustments
will need to be made to tariffs in some Member States in order to ensure their
alignment with costs. Recourse to Article 25 of the Universal Postal Convention can
only be justified where it dies not conflict with the rules of the EC Treaty. Similarly,
certain forms of remailing cannot be prevented and a case by case approach to the
issue of remailing is necessary. Hence amendments 25, 26 and 81 are not accepted.
 ---pagebreak--- Social and Employment issues
(Amendments 3, 7, 11, 17, 18, 24, 40 (in part), 58)
Whilst the Commission fully recognises the importance of taking employment and
social issues into account in the ongoing process of liberalisation, it believes that to
make the development of employment and social protection within the postal sector
an over-riding priority or a pre-condition for liberalisation and the improvement of
quality of service would risk undermining the principal objectives of the directive
and deprive it of its effectiveness. Hence amendments 3, 11, 24, 40 (end of
paragraph 2) and 58 are not accepted. Amendments 7 and 17 are not appropriate
because they prejudge the impact on employment of the liberalisation measures
proposed.
As regards the requirement in amendment 18 for a study on the implications of the
Directive on current levels of jobs, the Directive already contains, in Articles 8(2)
and (3), provision for a general review which will include, among other elements,
analysis of the implications in the area of employment and services.
Definitions
(Amendments 31, 32, 35, 36)
Amendments 32 and 36 introduce definitions for terms ("public service", "self-
provision", "express mail service" and "hybrid mail service") which are not used in
the substantive text of the Directive and hence are unnecessary. The definition of
"direct mail" in amendment 35 places undue emphasis on the form of the message
(requiring that it be "identical") as opposed to its purpose (advertising or marketing),
and so is not accepted. Amendment 31 seems unnecessarily to duplicate the existing
contents of the definition of "postal item".
Case law of the Court of Justice
(Amendments 6 and 29)
The selective references to the case law of the Court of Justice and its interpretation
contained in amendments 6 and 29 are not considered conducive to legal certainty in
their present context. Moreover, as regards the reference in amendment 29 to the
Commission's draft Notice on the application of the competition rules to the postal
sector, it is not appropriate to try to restrict, by means of a Directive, rights and
obligations of the Commission which derive from the EC Treaty itself.
Other amendments
(Amendments 2, 40 (in part), 44, 47, 51, 52, 53)
Amendment 47 would result in a weakened requirement for accounting separation
between the primary activities within the reserved area and non-reserved services,
and introduces additional criteria of uncertain application. Hence it is not accepted.
The Commission believes that it remains appropriate to provide for a future
harmonisation of the conditions of access to the public postal network, if necessary,
and the deletion of Article 12 (amendment 44) is therefore not accepted. The
development of harmonised technical standards in the framework of the internal
market is carried out on a voluntary basis, and the more binding wording in
amendment 51 is therefore not accepted.
                                                                                       6
 ---pagebreak---    The conduct and procedures of the Advisory Committee established by virtue of
   Article 21 must be governed by the established rules of comitology agreed between
   the Community institutions, and the changes to these procedures which amendment
   52 would bring about cannot therefore be accepted.
   The Commission's original proposal is consistent with Member States' right, in
   accordance with the principle of subsidiarity, to provide for special services to be
   made available to blind and partially sighted persons. Amendment 40 (end of
   paragraph 1) is therefore unnecessary.
   Only those bodies whose role in the legislative process is provided for by the EC
   Treaty should be referred to in the preamble, and hence amendment 2 is not
   accepted. Article 22 of the Commission's proposal already entrusts national
   regulatory authorities with the task of ensuring compliance with all obligations (and
   consequently the protection of corresponding rights) derived from the Directive and
   the specific reference in amendment 53 to rights provided for in Article 8(1), is
   therefore inappropriate.
4. CONCLUSION
   The Commission has accepted 16 of the 58 amendments proposed by the European
   Parliament at First Reading, either in whole, in part or in principle.
   In accordance with Article 189a paragraph 2 of the EC Treaty, the Commission
   amends its initial proposal, incorporating these amendments.
 ---pagebreak---   Amended proposal for a European Parliament and Council Directive on common
 rules for the development of the internal market of Community postal services and
                            the improvement of quality of service
                  Original text                               Amended text
                                           Title
Proposal for a European Parliament and        Proposal for a European Parliament and
Council Directive on common rules for the     Council Directive on common rules for the
development of Community postal               development of the internal market of
services and the improvement of quality of    Community postal services and the
service                                        improvement of quality of service
                                         Recital 4
(4)Whereas         the    Commission     has (4)Whereas the Commission has conducted
   conducted         wide-ranging     public     wide-ranging public consultation on
   consultation on those aspects of postal       those aspects of postal services that are
   services that are of interest to the          of interest to the Community and the
   Community;                                    interested parties in the postal sector
                                                 have communicated their observations to
                                                 the Commission:
                                         Recital 8
(8)Whereas the measures seeking to ensure (8)Whereas the measures seeking to ensure
   the gradual opening-up of the market          the gradual and controlled opening-up of
   and to secure a proper balance in their       the market and to secure a proper
   application are necessary in order to         balance in their application are necessary
   guarantee, throughout the Community,          in order to guarantee, throughout the
   and subject to the obligations and rights     Community, and subject to the
   of the universal service providers, the       obligations and rights of the universal
   free provision of services in the postal      service providers, the free provision of
   sector itself;                                services in the postal sector itself;
                                         Recital 14
(14) Whereas users of the universal (14) Whereas users of the universal
   service must be given adequate                service must be given adequate
   information on the range of services          information on the range of services
   offered, the conditions governing their       offered, the conditions governing their
   supply and use, and the tariffs;              supply and use, the quality of the
                                                 services provided, and the tariffs;
 ---pagebreak---                                         Recital 16a (new)
                                                 ( 16a) Whereas the process of liberalization
                                                     should not curtail the continuing supply
                                                     qf certain free services for blind and
                                                     partially sighted persons introduced hy
                                                    flhe Member States;
                                           Recital 20
 (20) Whereas, for reasons of public order (20) Whereas, for reasons of public order
    and public security, Member States may           and public security, Member States may
    have a legitimate interest in conferring         have a legitimate interest in conferring
    the right to site letter-boxes intended for      the right to site letter-boxes intended for
    the reception of postal items on the            the reception of postal items on the
    public highway on one or more entities           public highway on one or more entities
    designated by them; whereas, for the            designated by them; whereas, for the
    same reasons, they are entitled to              same reasons, they are entitled to
    appoint the entity or entities responsible      appoint the entity or entities responsible
    for issuing postage stamps bearing the          for issuing postage stamps identifying
    name of the country;                            the country of origin; whereas the
                                                    postage stamps may indicate that the
                                                    country belongs to the European Union
                                                    bv integrating the 12-star symbol;
                                           Recital 37
(37) Whereas the future work on the (37) Whereas the future work on the
    development of measures relating to the         development of measures relating to the
    quality of Community cross-border               quality of Community cross-border
   service and technical standardization            service and technical standardization
   must be prepared under the aegis of the          must be prepared under the aegis of the
    Commission, assisted by the Member              Commission, assisted by the Member
    States in consultation with interested          States in consultation with interested
   parties, including associations of               parties, including associations of
   consumers, and with the assistance of a          consumers, and with the assistance of a
   committee set up for this purpose;               committee set up for this purpose;
                                                    whereas the possibility of issuing
                                                    Euro-denominated          postage    stamps
                                                    should be studied in the light of progress
                                                    towards the third phase of economic and
                                                    monetary union;
                                           Recital 41
(41) Whereas this Directive does not Deleted
   affect the application of the rules of the
   Treaty, and in particular its rules on
   competition and freedom to provide
   services.
 ---pagebreak---                                 Article 3, first four paragraphs
Member States shall ensure that users - Unchanged
enjoy the right to a universal service
involving the provision of a good-quality
postal service for all users at all points on
their territory at affordable prices.
To that end, Member States shall take steps - Unchanged
to ensure that the density of the points of
contact, and of the points where mail is
collected, take account of the needs of
users.
They shall take steps to ensure that the          They shall take steps to ensure that the
universal service providers guarantee             universal service providers guarantee every
every working day, and not less than five         working day, and not less than five days a
days a week save in exceptional                   week save in exceptional circumstances:
circumstances or geographical conditions:
- one collection from the clearance points, - unchanged
- one door-to-door delivery for every - unchanged
   natural or legal person.
Each Member State shall take the measures - unchanged
necessary to ensure that the universal
service includes the following minimum
facilities:
- the collection, transport and distribution - unchanged
   of addressed mail items and addressed
   books, catalogues, newspapers and
   periodicals up to 2 kg and addressed
   postal packages up to 20 kg,
- services for registered items and insured - unchanged
   items.
                                           Article 5
Each Member State shall take steps to              unchanged
ensure that the universal service meets the
following requirements:
- it shall offer a service guaranteeing the         it shall offer a service guaranteeing the
   inviolability       and     secrecy       of     inviolability     and      secrecy     of
   correspondence,                                  correspondence and data protection.
                                                                                            10
 ---pagebreak---    it shall offer an identical service to all - unchanged
   users whose circumstances are similar,
   it shall be made available without any - unchanged
   form of discrimination whatsoever,
   especially without discrimination arising
   from political, religious or ideological
   considerations,
   it shall not be interrupted or terminated, - unchanged
   except in cases offeree majeure,
   it shall evolve in response to the - unchanged
   technical,     economic      and     social
   environment and to the demands of
   users.
                                   Article 6, first paragraph
Member States shall take steps to ensure          Member States shall take steps to ensure
that users are regularly given sufficiently       that users are regularly given sufficiently
detailed information by the universal             detailed information by the universal
service provider(s) regarding the particular      service provider(s) regarding the particular
features of the universal services offered,       features of the universal services offered,
with special reference to the general             with special reference to the general
conditions of access to these services as         conditions of access to these services as
well as to prices and quality standard            well as to prices and quality standard
levels.      This information shall be            levels. This information must be made
published, in particular, through the use of      available to the public.
publicly displayed notices or brochures
                                           Article 9
Member States shall appoint the entity or         Member States shall appoint the entity or
entities that are entitled to place               entities that are entitled to place
letter-boxes on the public highway for the        letter-boxes on the public highway for the
reception of postal items and to issue            reception of postal items and to issue
postage stamps bearing the name of the            postage stamps identifying the country of
country.                                          origin.
                                                                                             11
 ---pagebreak---                                   Article 17, first paragraph
Member States shall take steps to ensure         Member States shall take steps to ensure
that standards are laid down for national        that standards are laid down for national
mail that are compatible with those laid         mail that are compatible with those laid
down by the Commission for the                   down by the Commission for the
intra-Community cross-border services.           intra-Community cross-border services.
However, regard being had to specific            However, regard being had to specific
national conditions, an initial objective        national conditions, the initial minimum
shall be to ensure that in all Member States     requirement shall be to ensure that in all
the items of correspondence of the fastest       Member        States     the      items   of
standard category achieve an end-to-end          correspondence of the fastest standard
transit time of one working day from the         category achieve an end-to-end transit time
date of deposit to the date of delivery for at   of one working day from the date of
least 80% of the items dispatched.               deposit to the date of delivery for at least
                                                 80% of the items dispatched.
                                         Article 23(2)
2.The review body shall be composed of 2.The review body shall be composed of
   up to five independent experts,                  independent experts conversant with the
   appointed by the Commission, who,                nature, role and diversity of postal
   together, shall provide the different            services in the Member States, appointed
   areas of expertise required. They shall          by the Commission and who, together,
   collect all appropriate information on           shall provide the different areas of
   developments in the sector, particularly         expertise required. They shall collect all
   concerning economic, social and                  appropriate         information        on
   technological aspects, as well as                developments in the sector, particularly
   information on quality of service.               concerning economic, social and
                                                    technological aspects, as well as
                                                    information on quality of service.
                                    Article 23 (2a) (new)
                                                 2a In its report referred to in paragraph 1
                                                    above, the Commission shall also
                                                    include the opinions submitted by the
                                                    representatives of the postal operators,
                                                    whether public or private, the workers in
                                                    the postal sector and national consumers
                                                    concerning the sector's evolution and the
                                                    application of this Directive.
                                                                                            12
 ---pagebreak---                                  Article 24, first paragraph
Member States shall bring into force the        Member States shall bring into force the
laws, regulations and administrative            laws, regulations and administrative
provisions necessary to comply with this        provisions necessary to comply with this
Directive not later than six months after       Directive not later than one year after the
the date of its entry into force. They shall    date of its entry into force. They shall
immediately inform the Commission               immediately inform the Commission
thereof.                                        thereof.
                                                                                          13
 ---pagebreak---  ---pagebreak---                                                                    ISSN 0254-1475
                                                            COM(96) 412 final
                                              DOCUMENTS
EN                                                                   15 08 10
                                    Catalogue number : CB-CO-96-404-EN-C
                                                             ISBN 92-78-07754-2
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