Amended proposal for a COUNCIL DECISION on the position to be taken by the European Union in the EEA Joint Committee concerning an amendment to Annex VI (Social Security) and Protocol 37 to the EEA Agreement
Date: 2011-03-08
Institutions: European Commission
Subjects: EFTA countries, European Economic Area, family benefit, occupational safety, social policy, social security, social-security benefit, social-security harmonisation, wage earner

EN 

EN 

   EN 

 
EUROPEAN COMMISSION 

Brussels, 8.3.2011 
SEC(2011) 261 final 

2010/0245 (NLE) 

Amended proposal for a 

COUNCIL DECISION 

of 8.3.2011 

on the position to be taken by the European Union in the EEA Joint Committee 
concerning an amendment to Annex VI (Social Security) and Protocol 37 to the EEA 
Agreement 

EN 

   EN 

 
 
  
1. 

2. 

3. 

4. 

5. 

6. 

EXPLANATORY MEMORANDUM 

In  order  to  ensure  the  requisite  legal  security  and  homogeneity  of  the  Internal 
Market, the EEA Joint Committee is to integrate all the relevant EU legislation into 
the EEA Agreement as soon as possible after its adoption. 

To  that  end,  the  Commission  transmitted  to  the  Council  on  9  September  2010  the 
Commission  proposal  for  a  Council  Decision1,  establishing  the  EU  position  on  a 
draft  Decision  of  the  EEA  Joint  Committee  aiming  at  amending  Annex  VI  (social 
security)  of  the  EEA  Agreement  by  adding  new  EU  acquis  in  this  field.  This 
concerns Regulation 883/2004/EC of the European Parliament and of the Council of 
29 April 2004, Regulation 988/2009 of the European Parliament and of the Council 
of 16 September 2009 and Regulation 987/2009/EC of the European Parliament and 
Council  of  16  September  2009  on  the  coordination  of  social  security  systems.  In 
addition, the draft Decision contains provisions to include a number of decisions and 
recommendations of the Administrative Commission. The draft decision furthermore 
contains  provisions  to  amend  Protocol  37  to  include  in  its  list  of  Committees  the 
Administrative  Commission  for  the  coordination  of  social  security  systems 
(Regulation (EC) No 883/2004 of the European Parliament and Council). 

The  originally  transmitted  draft  Commission  proposal  for  a  Council  Decision  was 
based  on articles 218(9), 48 and 352  TFEU. This legal basis needs to be  amended. 
The  Lisbon  Treaty  extended  the  competence  set  out  in  Article  48  TFEU,  which 
empowers  the  Union  to  coordinate  the  social  security  system  of  Member  States,  to 
self-employed migrant workers. Thus, after the entry into force of the Lisbon Treaty, 
it is not necessary to rely on Article 352 TFEU as legal basis in order to cover this 
group of persons. The legal basis should thus be limited to exclusively article 218(9) 
TFEU covering the procedure to be followed and article 48 TFEU which now covers 
all  the  substantial  elements  of  the  relevant  acquis.  This  has  been  confirmed  by  the 
jurisprudence of the European Court of Justice. 

The amended draft Commission proposal for a Council Decision on the position to 
be  taken  by  the  European  Union  in  the  EEA  Joint  Committee  concerning  an 
amendment to Annex VI (Social Security) and Protocol 37 to the EEA Agreement, in 
annex, replaces the draft Commission proposal for a Council Decision transmitted on 
9 September 2010. 

Article  1(3)  of  Council  Regulation  (EC)  No  2894/94  concerning  arrangements  for 
implementing the EEA Agreement provides that the Council establishes the position 
to  be  adopted  on  the  Union’s  behalf  on  such  Decisions,  on  a  proposal  from  the 
Commission. 

The  Commission  submits  the  draft  Decision  of  the  EEA  Joint  Committee  for 
adoption by the Council as the Union’s position. The Commission would hope to be 
able to present it in the EEA Joint Committee at the earliest possible opportunity. 

1 

SEC(2010)1013final 

EN 

1 

   EN 

                                                 
2010/0245 (NLE) 

Amended proposal for a 

COUNCIL DECISION 

of 8.3.2011 

on the position to be taken by the European Union in the EEA Joint Committee 
concerning an amendment to Annex VI (Social Security) and Protocol 37 to the EEA 
Agreement 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Articles 218(9) and 48 thereof, 

Having  regard  to  Council  Regulation  (EC)  No  2894/94  of  28  November  1994  concerning 
arrangements  for  implementing  the  Agreement  on  the  European  Economic  Area2,  and  in 
particular Article 1(3) thereof, 

Having regard to the proposal from the Commission, 

Whereas: 

(1) 

(2) 

Annex  VI  to  the  EEA  Agreement  contains  specific  provisions  and  arrangements 
concerning social security and Protocol 37 contains a list of Committees where EEA 
EFTA States participate. 

It is appropriate to include Regulation 883/2004/EC of the European Parliament and of 
the Council of 29 April 2004, Regulation 988/2009 of the European Parliament and of 
the  Council  of  16  September  2009  and  Regulation  987/2009/EC  of  the  European 
Parliament  and  Council  of  16 September  2009 on the  coordination of social  security 
systems  in  the  Agreement.  In  addition,  it  is  appropriate  to  include  a  number  of 
decisions  and  recommendations  of  the  Administrative  Commission.  Furthermore, 
Protocol 37 should be amended to include in its list of Committees the Administrative 
Commission  for  the  coordination  of  social  security  systems  (Regulation  (EC)  No 
883/2004 of the European Parliament and Council. 

(3) 

It is necessary, therefore, to amend Annex VI and Protocol 37, 

2 

OJ L 305, 30.11.1994, p. 6.  

EN 

2 

   EN 

                                                 
HAS ADOPTED THIS DECISION:  

Sole Article 

The position to be taken by the European Union in the EEA Joint Committee on an envisaged 
amendment  to  Annex  VI  -  Social  Security  as well  to  Protocol  37  to  the  EEA  Agreement  is 
laid down in the Annex to this Decision. 

Done at Brussels, 8.3.2011 

For the Council 
The President 

EN 

3 

   EN 

 
 
ANNEX 

Draft 

DECISION OF THE EEA JOINT COMMITTEE  
No 

of 

amending Annex VI (Social security) and Protocol 37 to the EEA Agreement 

THE EEA JOINT COMMITTEE, 

Having  regard  to  the  Agreement  on  the  European  Economic  Area,  as  amended  by  the  Protocol 
adjusting the Agreement on the European Economic Area, hereinafter referred to as ‘the Agreement’, 
and in particular Articles 98 and 101 thereof, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

Annex VI to the Agreement was amended by Decision of the EEA Joint Committee No …/… 
of …3. 

Protocol 37 to the Agreement was amended by Decision of the EEA Joint Committee No…/… 
of …4. 

Regulation (EC) No 883/2004 of the European Parliament and of the Council of 29 April 2004 
on the coordination of social security systems5, as corrected by OJ L 200, 7.6.2004, p. 1 and 
OJ L 204, 4.8.2007, p. 30, is to be incorporated into the Agreement. 

Regulation (EC) No 988/2009 of the European Parliament and of the Council of 16 September 
2009 amending Regulation (EC) No 883/2004 on the coordination of social security systems, 
and determining the content of its Annexes6 is to be incorporated into the Agreement. 

Regulation (EC) No 987/2009 of the European Parliament and of the Council of 16 September 
2009  laying  down  the  procedure  for  implementing  Regulation  (EC)  No  883/2004  on  the 
coordination of social security systems7 is to be incorporated into the Agreement. 

Decision No A1 of 12 June 2009 concerning the establishment of a dialogue and conciliation 
procedure concerning the validity of documents, the determination of the applicable legislation 
and  the  provision  of  benefits  under  Council  Regulation  (EC)  No  883/2004  of  the  European 
Parliament and of the Council8 is to be incorporated into the Agreement. 

(7) 

Decision  No  A2  of  12  June  2009  concerning  the  interpretation  of  Article  12  of  Regulation 
(EC) No 883/2004 of the European Parliament and of the Council on the legislation applicable 

3 
4 
5 
6 
7 
8 

OJ L … 
OJ L … 
OJ L 166, 30.4.2004, p. 1. 
OJ L 284, 30.10.2009, p. 43. 
OJ L 284, 30.10.2009, p. 1. 
OJ C 106, 24.4.2010, p. 1. 

EN 

4 

   EN 

                                                 
to  posted  workers  and  self-employed  workers  temporarily  working  outside  the  competent 
State9 is to be incorporated into the Agreement. 

Decision  No  E1  of  12  June  2009  concerning  the  practical  arrangements  for  the  transitional 
period for the data exchange via electronic means referred to in Article 4 of Regulation (EC) 
No 987/2009  of the European  Parliament  and  of  the Council10 is to be incorporated into the 
Agreement. 

Decision  No  F1  of  12  June  2009  concerning  the  interpretation  of  Article  68  of  Regulation 
(EC) No 883/2004 of the European Parliament and of the Council relating to priority rules in 
the event of overlapping of family benefits11 is to be incorporated into the Agreement. 

Decision  No  H1  of  12  June  2009  concerning  the  framework  for  the  transition  from  Council 
Regulations (EEC) No 1408/71 and (EEC) No 574/72 to Regulations (EC) No 883/2004 and 
(EC)  No  987/2009  of  the  European  Parliament  and  of  the  Council  and  the  application  of 
Decisions  and  Recommendations  of  the  Administrative  Commission  for  the  coordination  of 
social security systems12 is to be incorporated into the Agreement. 

Decision No H2 of 12 June 2009 concerning the methods of operation and the composition of 
the  Technical  Commission  for  data  processing  of  the  Administrative  Commission  for  the 
coordination of social security systems13 is to be incorporated into the Agreement. 

Decision  No  P1  of  12  June  2009  on  the  interpretation  of  Articles  50(4),  58  and  87(5)  of 
Regulation  No  883/2004  of  the  European  Parliament  and  of  the  Council  for  the  award  of 
invalidity, old-age and survivor’s benefits14 is to be incorporated into the Agreement. 

Decision  No  S1  of  12  June  2009  concerning  the  European  Health  Insurance  Card15  is  to  be 
incorporated into the Agreement. 

Decision  No  S2  of  12  June  2009  concerning  the  technical  specifications  of  the  European 
Health Insurance Card16 is to be incorporated into the Agreement. 

Decision No S3 of 12 June 2009 defining the benefits covered by Articles 19(1) and 27(1) of 
Regulation  (EC)  No  883/2004  of  the  European  Parliament  and  of  the  Council  and  Article 
25(A)(3) of Regulation (EC) No 987/2009 of the European Parliament and of the Council17 is 
to be incorporated into the Agreement. 

Decision No U1 of 12 June 2009 concerning Article 54(3) of Regulation (EC) No 987/2009 of 
the European Parliament and of the Council relating to increases in unemployment benefit for 
dependent members of the family18 is to be incorporated into the Agreement. 

OJ C 106, 24.4.2010, p. 5. 
OJ C 106, 24.4.2010, p. 9. 
OJ C 106, 24.4.2010, p. 11. 
OJ C 106, 24.4.2010, p. 13. 
OJ C 106, 24.4.2010, p. 17. 
OJ C 106, 24.4.2010, p. 21. 
OJ C 106, 24.4.2010, p. 23. 
OJ C 106, 24.4.2010, p. 26. 
OJ C 106, 24.4.2010, p. 40. 
OJ C 106, 24.4.2010, p. 42. 

(8) 

(9) 

(10) 

(11) 

(12) 

(13) 

(14) 

(15) 

(16) 

9 
10 
11 
12 
13 
14 
15 
16 
17 
18 

EN 

5 

   EN 

                                                 
(17) 

(18) 

(19) 

(20) 

(21) 

(22) 

(23) 

(24) 

(25) 

Decision No U2 of 12 June 2009 concerning the scope of Article 65(2) of Regulation (EC) No 
883/2004  of  the  European  Parliament  and  of  the  Council  on  the  right  to  unemployment 
benefits of wholly unemployed persons other than frontier workers who were resident in the 
territory of a Member State other than the competent Member State during their last period of 
employment or self-employment19 is to be incorporated into the Agreement. 

Decision  No  U3  of  12  June  2009  concerning  the  scope  of  the  concept  of  ‘partial 
unemployment’  applicable  to  the  unemployed  persons  referred  to  in  Article  65(1)  of 
Regulation  (EC)  No  883/2004  of  the  European  Parliament  and  of  the  Council20  is  to  be 
incorporated into the Agreement. 

Recommendation  No  P1  of  12  June  2009  concerning  the  Gottardo  judgment,  according  to 
which  the  advantages  enjoyed  by  a  State’s  own  nationals  under  a  bilateral  convention  on 
social security with a non-member country must also be granted to workers who are nationals 
of other Member States21 is to be incorporated into the Agreement. 

Recommendation No U1 of 12 June 2009 concerning the legislation applicable to unemployed 
persons engaging in part-time professional or trade activity in a Member State other than the 
State of residence22 is to be incorporated into the Agreement. 

Recommendation  No  U2  of  12  June  2009  concerning  the  application  of  Article  64(1)(a)  of 
Regulation (EC) No 883/2004 of the European Parliament and of the Council to unemployed 
persons accompanying their spouses or partners pursuing a professional or trade activity in a 
Member State other than the competent State23 is to be incorporated into the Agreement. 

For the Agreement to function well, Protocol 37 to the Agreement is to be amended to include 
the  Administrative  Commission  for  the  coordination  of  social  security  systems  set  up  by 
Regulation  (EC)  No  883/2004  and  Annex  VI  is  to  be  amended  in  order  to  specify  the 
procedures for association with this Commission and the bodies attached to it. 

Regulation  (EC)  No  883/2004  repeals  Council  Regulation  (EEC)  No  1408/7124,  which  is 
incorporated  into  the  Agreement  and  which  is  consequently  to  be  repealed  under  the 
Agreement. 

Regulation  (EC)  No  987/2009  repeals,  with  effect  from  1  May  2010,  Council  Regulation 
(EEC) No 574/7225, which is incorporated into the Agreement and which is consequently to be 
repealed under the Agreement. 

All acts under the headings “Acts of which the Contracting Parties shall take due account” and 
“Acts of which the Contracting Parties shall take note” are obsolete and are consequently to be 
repealed under the Agreement, 

HAS DECIDED AS FOLLOWS: 

19 
20 
21 
22 
23 
24 
25 

OJ C 106, 24.4.2010, p. 43. 
OJ C 106, 24.4.2010, p. 45. 
OJ C 106, 24.4.2010, p. 47. 
OJ C 106, 24.4.2010, p. 49. 
OJ C 106, 24.4.2010, p. 51. 
OJ L 149, 5.7.1971, p. 2. 
OJ L 74, 27.3.1972, p. 1. 

EN 

6 

   EN 

                                                 
Annex VI to the Agreement shall be amended as specified in the Annex to this Decision. 

Article 1 

Article 2 

The text of point 5 (Administrative Commission on Social Security for Migrant Workers) of Protocol 
37 (containing the list provided for in Article 101) to the Agreement shall be replaced by the following: 

“Administrative  Commission  for  the  coordination  of  social  security  systems  (Regulation  (EC)  No 
883/2004 of the European Parliament and of the Council).” 

Article 3 

The texts of Regulations (EC) Nos 883/2004, as corrected by OJ L 200, 7.6.2004, p. 1 and OJ L 204, 
4.8.2007, p. 30, 987/2009 and 988/2009, Decisions Nos A1, A2, E1, F1, H1, H2, P1, S1, S2, S3, U1, 
U2 and U3, and Recommendations No P1, U1 and U2 in the Icelandic and Norwegian languages, to be 
published in the EEA Supplement to the Official Journal of the European Union, shall be authentic. 

Article 4 

This  Decision  shall  enter  into  force  on  the  day  following  the  last  notification  to  the  EEA  Joint 
Committee under Article 103(1) of the Agreement*. 

Article 5 

This  Decision  shall  be  published  in  the  EEA  Section  of,  and  in  the  EEA  Supplement  to,  the  Official 
Journal of the European Union. 

Done at Brussels, . 

For the EEA Joint Committee 
The President 

The Secretaries 
to the EEA Joint Committee 

* 

EN 

[No constitutional requirements indicated.][Constitutional requirements indicated.] 

7 

   EN 

 
 
 
 
 
 
                                                 
ANNEX 

to Decision of the EEA Joint Committee No […] 

The text of Annex VI to the Agreement shall be replaced by the following: 

‘INTRODUCTION 

When  the  acts  referred  to  in  this  Annex  contain  notions  or  refer  to  procedures  which  are 
specific to the Community legal order, such as 

- 

- 

- 

- 

- 

preambles; 

the addressees of the Community acts; 

references to territories or languages of the EC; 

references  to  rights  and  obligations  of  EC  Member  States,  their  public  entities, 
undertakings or individuals in relation to each other; and 

references to information and notification procedures; 

Protocol 1 on horizontal adaptations shall apply, unless otherwise provided for in this Annex. 

SECTORAL ADAPTATIONS 

I. 

II. 

For the purposes of this Annex and notwithstanding the provisions of Protocol 1, the 
term  ‘Member  State(s)’  contained  in  the  acts  referred  to  shall  be  understood  to 
include, in addition to its meaning in the relevant EC acts, Iceland, Liechtenstein and 
Norway. 

In applying the provisions of the acts referred to in this Annex for the purposes of the 
present  Agreement,  the  rights  and  duties  conferred  upon  the  Administrative 
Commission  for  the  coordination  of  social  security  systems  attached  to  the  EC 
Commission and the rights and duties conferred upon the Audit Board and upon the 
Technical Commission for data processing, both attached to the said Administrative 
Commission,  shall  be  assumed,  according  to  the  provisions  of  Part  VII  of  the 
Agreement, by the EEA Joint Committee. 

I. GENERAL SOCIAL SECURITY COORDINATION 

ACTS REFERRED TO 

1. 

32004 R 0883: Regulation (EC) No 883/2004 of the European Parliament and of the 
Council of 29 April 2004 on the coordination of social security systems (OJ L 166, 
30.4.2004, p. 1), as corrected by OJ L 200, 7.6.2004, p. 1 and OJ L 204, 4.8.2007, p. 
30, as amended by: 

- 

32009 R 0988: Regulation (EC) No 988/2009 of the European Parliament and 
of the Council of 16 September 2009 (OJ L 284, 30.10.2009, p. 43). 

EN 

8 

   EN 

The provisions of the Regulation shall, for the purposes of this Agreement, be read 
with the following adaptations: 

(a)  The following subparagraph shall be added to Article 87(10): 

“With regard to Liechtenstein, the provisions of the second sentences of Article 
65(2) and (3) shall be applicable at the latest as from 1 May 2012.”; 

(b)  The following shall be added to Annex I(I): 

“ICELAND 

Advances of maintenance payments under the Act on Social Security No 
100/2007. 

LIECHTENSTEIN 

Advances  of  maintenance  payments  under  the  Law  on  the  grant  of 
advances of maintenance payments of 21 June 1989 as amended. 

NORWAY 

Advance  payment  of  child  maintenance  under  the  Advance  payment  of 
child maintenance Act of 17 February 1989 No. 2.”; 

(c)  The following shall be added to Annex I(II): 

“ICELAND 

Lump sum grants intended to offset the cost of international adoption pursuant 
to the Act on Adoption Grants No 152/2006. 

NORWAY 

Lump sum grants payable at childbirth pursuant to the National Insurance Act.

Lump sum grants payable at adoption pursuant to the National Insurance Act.”; 

(d)  The following shall be added to Annex II: 

“ICELAND – DENMARK 

Article  7  of  the  Nordic  Convention  on  social  security  of  18  August  2003 
(concerning coverage of extra travel expenses in case of sickness during stay in 
another  Nordic  country  increasing  the  cost  of  return  travel  to  the  country  of 
residence). 

ICELAND – FINLAND 

Article  7  of  the  Nordic  Convention  on  social  security  of  18  August  2003 

EN 

9 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
 
 
 
 
 
 
 
 
 
(concerning coverage of extra travel expenses in case of sickness during stay in 
another  Nordic  country  increasing  the  cost  of  return  travel  to  the  country  of 
residence). 

ICELAND – SWEDEN 

Article  7  of  the  Nordic  Convention  on  social  security  of  18  August  2003 
(concerning coverage of extra travel expenses in case of sickness during stay in 
another  Nordic  country  increasing  the  cost  of  return  travel  to  the  country  of 
residence). 

ICELAND – NORWAY 

Article  7  of  the  Nordic  Convention  on  social  security  of  18  August  2003 
(concerning coverage of extra travel expenses in case of sickness during stay in 
another  Nordic  country  increasing  the  cost  of  return  travel  to  the  country  of 
residence). 

NORWAY – DENMARK 

Article  7  of  the  Nordic  Convention  on  social  security  of  18  August  2003 
(concerning coverage of extra travel expenses in case of sickness during stay in 
another  Nordic  country  increasing  the  cost  of  return  travel  to  the  country  of 
residence). 

NORWAY – FINLAND 

Article  7  of  the  Nordic  Convention  on  social  security  of  18  August  2003 
(concerning coverage of extra travel expenses in case of sickness during stay in 
another  Nordic  country  increasing  the  cost  of  return  travel  to  the  country  of 
residence). 

NORWAY – SWEDEN 

Article  7  of  the  Nordic  Convention  on  social  security  of  18  August  2003 
(concerning coverage of extra travel expenses in case of sickness during stay in 
another  Nordic  country  increasing  the  cost  of  return  travel  to  the  country  of 
residence).”; 

(e)  The following shall be added to Annex III:   

“ICELAND 

NORWAY”; 

(f)  The following shall be added to Annex IV:   

“ICELAND 

LIECHTENSTEIN”; 

EN 

10 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
(g)  The following shall be added to Annex VIII, Part 1: 

“ICELAND 

All  applications  from  the  old-age  basic  scheme  and  the  defined  benefit  State 
employee scheme. 

LIECHTENSTEIN 

All  applications  for  pensions  of  the  old-age,  survivors’  and  invalidity 
insurances from the statutory pension scheme as well as for old-age, survivors’ 
and invalidity pensions from the occupational scheme as far as the regulations 
of the respective pension fund do not contain provisions concerning reduction.

NORWAY 

All applications for old age pension, except pensions mentioned in Annex IX.”; 

(h)  The following shall be added to Annex VIII, Part 2: 

“ICELAND 

Old-age employment pension scheme. 

LIECHTENSTEIN 

Old-age, survivors’ and invalidity pensions from the occupational scheme.”; 

(i)  The following shall be added to Annex IX(I): 

“ICELAND 

Child pension in accordance with the Act on Social Security No 100/2007 and 
child pension in accordance with the Act on Mandatory Pension Insurance and 
on the Activities of Pension Funds No 129/1997.”; 

(j)  The following shall be added to Annex IX(II): 

“ICELAND 

Invalidity pension in the form of basic pension, pension supplement and age-
related  pension  supplement  according  to  the  Act  on  Social  Security  No 
100/2007. 

Invalidity  pension  according  to  the  Act  on  Mandatory  Pension  Insurance  and 
on the Activities of Pension Funds No 129/1997. 

NORWAY 

Norwegian  disability  pension,  also  when  converted  into  an  old-age  pension 

EN 

11 

   EN 

 
 
 
 
 
 
 
 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
upon the reaching of the pensionable age, and all pensions (survivors’ and old-
age pensions) based on the deceased person’s pension earnings.”; 

(k)  The following shall be added to Annex X: 

“LIECHTENSTEIN 

(a)  Allowances  for  blind  persons  (Law  on  the  granting  of  allowances  for 

blind persons of 17 December 1970 as amended); 

(b)  Maternity allowances (Law on the granting of maternity allowances of 25 

November 1981 as amended); 

(c)  Supplementary  benefits  to  the  old  age,  survivors’  and  invalidity 
insurance (Law on supplementary benefits to the old age, survivors’ and 
invalidity insurance of 10 December 1965 as amended). 

NORWAY 

(a)  Guaranteed  minimum  supplementary  pension  to  persons  who  are  born 
disabled or become disabled at an early age under the National Insurance 
Act; 

(b)  Special benefits in accordance with the Act of 29 April 2005 No. 21 on 
supplementary  allowance  to  persons  with  short  periods  of  residence  in 
Norway.”; 

(l)  The following shall be added to Annex XI:   

“ICELAND 

1. 

(a)  Notwithstanding the provisions of Article 6, persons who have not 
been  gainfully  employed  in  one  or  more  EC  Member  States  or 
EFTA States are entitled to an Icelandic social pension only if they 
have been, or have previously been, permanent residents of Iceland 
for  at  least  three  years,  subject  to  the  age  limits  prescribed  by 
Icelandic legislation. 

(b)  The  above  mentioned  provisions  do  not  apply  to  Icelandic  social 
pension entitlement for the members of the family of persons who 
are or have been gainfully employed in Iceland, or for students or 
the members of their families. 

2.  Where employment or self-employment in Iceland has terminated and the 
contingency  occurs  during  employment  or  self-employment  in  another 
State to which this Regulation applies and where the disability pension of 
both the social security and the supplementary pension schemes (pension 
funds) in Iceland no longer includes the period between the contingency 
and the pensionable age (future periods), periods of insurance under the 
legislation  of  another  State  to  which  this  Regulation  applies  shall  be 
taken  into  consideration  for  the  requirement  of  the  future  periods  as  if 
they were periods of insurance in Iceland. 

EN 

12 

   EN 

 
 
 
 
LIECHTENSTEIN 

1. 

Compulsory insurance under Liechtenstein sickness insurance scheme for 
benefits in kind (“Krankenpflegeversicherung”) and possible exemptions: 

(a)  The Liechtenstein legal provisions governing compulsory sickness 
insurance for benefits in kind shall apply to the following persons 
not resident in Liechtenstein: 

(i) 

persons  subject  to  Liechtenstein  legal  provisions  under  Title 
II of the Regulation; 

(ii)  persons  for  whom  Liechtenstein  shall  bear  the  costs  of 
benefits according to Article 24, 25, 26 of the Regulation; 

(iii)  persons receiving Liechtenstein unemployment benefits; 

(iv)  family members of persons referred to in (i) and (iii) or of an 
employed  or  self-employed  person  resident  in  Liechtenstein 
who  is  insured  under  the  Liechtenstein  sickness  insurance 
scheme; 

(v) 

family  members  of  persons  referred  to  in  (ii)  or  of  a 
pensioner resident in Liechtenstein who is insured under the 
Liechtenstein sickness insurance scheme. 

As  family  members  are  considered  those  persons  who  are  defined  as 
family  members  according  to  the  legislation  of  the  State  of 
residence. 

(b)  Persons  referred  to  in  (a)  may,  on  request,  be  exempted  from 
compulsory insurance for benefits in kind if and as long as they are 
resident in Austria and can prove that they are eligible for cover in 
the  event  of  sickness  in  a  statutory  or  equivalent  sickness 
insurance. The exemption cannot be revoked except in the case of a 
change of employer. 

This request 

(aa)  must be submitted  within three  months  of  the  date  of  which 
the  obligation  to  take  out  insurance  in  Liechtenstein  comes 
into effect; where, in justified cases, the request is submitted 
after this deadline, the exemption shall take effect as from the 
commencement  of  the  insurance  obligation.  Persons  being 
already insured in Austria at the time of the entry into force 
of the Regulation in the EEA are considered to be exempted 
from  the  Liechtenstein  compulsory  insurance  for  benefits  in 
kind; 

(bb)  shall apply to all family members residing in the same State. 

EN 

13 

   EN 

2. 

Persons who are working, but not residing in Liechtenstein and who have 
statutory  or  equivalent  insurance  cover  in  their  State  of  residence  in 
accordance with point 1(b), as well as their family members, shall benefit 
from  the  provisions  of  Article  19  of  the  Regulation  during  their  stay  in 
Liechtenstein. 

3. 

For the purposes of applying Articles 18, 19, 20, 27 of the Regulation in 
Liechtenstein, the competent insurer shall bear all invoiced costs. 

4.  Where a person subject to Liechtenstein legal provisions under Title II of 
the  Regulation  is,  in  application  of  1(b),  subject  for  the  purposes  of 
sickness insurance to the legal provisions of another State covered by this 
Agreement,  the  costs  of  these  benefits  in  kind  for  non-occupational 
accidents  shall  be  shared  equally  between  the  Liechtenstein  insurer 
against  the  occupational  and  non-occupational  accidents  and  industrial 
diseases  and 
if  an 
entitlement exists to benefits in kind from both bodies. The Liechtenstein 
insurer  against  occupational  and  non-occupational  accidents  and 
industrial  diseases  shall  meet  all  costs  in  the  event  of  occupational 
accidents,  accidents  on  the  way  to  work  or  industrial  diseases,  even 
where there is an entitlement to benefits from a sickness insurance body 
in the country of residence. 

the  competent  sickness 

institution 

insurance 

NORWAY 

1. 

The  transitional  provisions  of  the  Norwegian  legislation  entailing  a 
reduction  of  the  insurance  period  which  is  required  for  a  full 
supplementary pension for persons born before 1937 shall be applicable 
to  persons  covered  by  the  Regulation  provided  that  they  have  been 
residents  of  Norway,  or  engaged  in  gainful  occupation  as  employed  or 
self-employed in Norway, for such a number of years as is required after 
their  sixteenth  birthday  and  before  1  January  1967.  This  requirement 
shall  be  one  year  for  each  year  the  person's  year  of  birth  falls  before 
1937. 

2.  A person insured under the National Insurance Act who provides care to 
insured  care-needing  old,  disabled  or  sick  persons  shall,  according  to 
prescribed  conditions,  be  credited  pension  points  for  such  periods. 
Likewise,  and  without  prejudice  to  Article  44  of  Regulation  (EC)  No 
987/2009,  a  person  who  takes  care  of  small  children  shall  be  credited 
pension  points  when  staying  in  another  State  to  which  this  Regulation 
applies,  provided  that  the  person  concerned  is  on  parental  leave  under 
Norwegian labour law. 

3. 

(a)  Notwithstanding the provisions of Article 6, persons who have not 
been  gainfully  employed  in  one  or  more  EC  Member  States  or 
EFTA States are entitled to a Norwegian social pension only if they 
have  been,  or  have  previously  been,  permanent  residents  of 
Norway for at least three years, subject to the age limits prescribed 
by Norwegian legislation. 

EN 

14 

   EN 

(b)  The above mentioned provisions do not apply to Norwegian social 
pension entitlement for the members of the family of persons who 
are or have been gainfully employed in Norway, or for students or 
the members of their families.” 

MODALITIES  FOR  THE  PARTICIPATION  OF  EFTA  STATES  IN  THE 
ADMINISTRATIVE  COMMISSION  FOR  THE  COORDINATION  OF  SOCIAL 
SECURITY  SYSTEMS  AND  IN  THE  TECHNICAL  COMMISSION  FOR  DATA 
PROCESSING  AND  IN  THE  AUDIT  BOARD,  BOTH  ATTACHED  TO  THE 
ADMINISTRATIVE  COMMISSION,  IN  ACCORDANCE  WITH  ARTICLE  101 
OF THE AGREEMENT: 

Iceland,  Liechtenstein  and  Norway  may  each  send  a  representative,  present  in  an 
advisory capacity (observer), to the meetings of the Administrative Commission for 
the  coordination  of  social  security  systems,  attached  to  the  European  Commission, 
and  to  the  meetings  of  the  Technical  Commission  for  data  processing  and  of  the 
Audit Board, both attached to the Administrative Commission. 

2. 

32009 R 0987: Regulation (EC) No 987/2009 of the European Parliament and of the 
Council  of  16  September  2009  laying  down  the  procedure  for  implementing 
Regulation (EC) No 883/2004 on the coordination of social security systems (OJ L 
284, 30.10.2009, p. 1). 

The provisions of the Regulation shall, for the purposes of this Agreement, be read 
with the following adaptations: 

(a)  The following shall be added to Annex 1: 

“ICELAND – DENMARK 

Article  15  of  the  Nordic  Convention  on  Social  Security  of  18  August  2003: 
Agreement on the reciprocal waiver of refund pursuant to Articles 36, 63 and 
70  of  Regulation  (EEC)  No  1408/71  (cost  of  benefits  in  kind  in  respect  of 
sickness  and  maternity,  accidents  at  work  and  occupational  diseases,  and 
unemployment benefits) and Article 105 of Regulation (EEC) No 574/72 (costs 
of administrative checks and medical examinations). 

ICELAND – LUXEMBURG  

Arrangement of 30 November 2001 on the reimbursement of costs in the field 
of social security. 

ICELAND – FINLAND 

Article  15  of  the  Nordic  Convention  on  Social  Security  of  18  August  2003: 
Agreement on the reciprocal waiver of refund pursuant to Articles 36, 63 and 
70  of  Regulation  (EEC)  No  1408/71  (cost  of  benefits  in  kind  in  respect  of 
sickness  and  maternity,  accidents  at  work  and  occupational  diseases,  and 
unemployment benefits) and Article 105 of Regulation (EEC) No 574/72 (costs 
of administrative checks and medical examinations). 

EN 

15 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
ICELAND – SWEDEN 

Article  15  of  the  Nordic  Convention  on  Social  Security  of  18  August  2003: 
Agreement on the reciprocal waiver of refund pursuant to Articles 36, 63 and 
70  of  Regulation  (EEC)  No  1408/71  (cost  of  benefits  in  kind  in  respect  of 
sickness  and  maternity,  accidents  at  work  and  occupational  diseases,  and 
unemployment benefits) and Article 105 of Regulation (EEC) No 574/72 (costs 
of administrative checks and medical examinations). 

ICELAND – NORWAY 

Article  15  of  the  Nordic  Convention  on  Social  Security  of  18  August  2003: 
Agreement on the reciprocal waiver of refund pursuant to Articles 36, 63 and 
70  of  Regulation  (EEC)  No  1408/71  (cost  of  benefits  in  kind  in  respect  of 
sickness  and  maternity,  accidents  at  work  and  occupational  diseases,  and 
unemployment benefits) and Article 105 of Regulation (EEC) No 574/72 (costs 
of administrative checks and medical examinations). 

NORWAY – DENMARK 

Article  15  of  the  Nordic  Convention  on  Social  Security  of  18  August  2003: 
Agreement on the reciprocal waiver of refund pursuant to Articles 36, 63 and 
70  of  Regulation  (EEC)  No  1408/71  (cost  of  benefits  in  kind  in  respect  of 
sickness  and  maternity,  accidents  at  work  and  occupational  diseases,  and 
unemployment benefits) and Article 105 of Regulation (EEC) No 574/72 (costs 
of administrative checks and medical examinations). 

NORWAY – LUXEMBOURG 

Article 2 to 4 of the Arrangement of 19 March 1998 on reimbursement of costs 
in the field of social security.  

NORWAY – NETHERLANDS 

Agreement  of  23  January  2007  on  the  reimbursement  of  costs  for  benefits  in 
kind provided under Regulations (EEC) Nos 1408/71 and 574/72.  

NORWAY – PORTUGAL 

Arrangement  of  24  November  2000  under  Articles  36(3)  and  63(3)  of 
Regulation  (EEC)  No  1408/71  and  Article  105(2)  of  Regulation  (EEC)  No 
574/72 on the reciprocal waiving of the reimbursement of costs of benefits in 
kind for sickness, maternity, accidents at work and occupational diseases and 
the  costs  incurred  for  administrative  checks  and  medical  examinations 
provided under these Regulations. 

NORWAY – FINLAND 

Article  15  of  the  Nordic  Convention  on  Social  Security  of  18  August  2003: 
Agreement on the reciprocal waiver of refund pursuant to Articles 36, 63 and 
70  of  Regulation  (EEC)  No  1408/71  (cost  of  benefits  in  kind  in  respect  of 

EN 

16 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
sickness  and  maternity,  accidents  at  work  and  occupational  diseases,  and 
unemployment benefits) and Article 105 of Regulation (EEC) No 574/72 (costs 
of administrative checks and medical examinations). 

NORWAY – SWEDEN 

Article  15  of  the  Nordic  Convention  on  Social  Security  of  18  August  2003: 
Agreement on the reciprocal waiver of refund pursuant to Articles 36, 63 and 
70  of  Regulation  (EEC)  No  1408/71  (cost  of  benefits  in  kind  in  respect  of 
sickness  and  maternity,  accidents  at  work  and  occupational  diseases,  and 
unemployment benefits) and Article 105 of Regulation (EEC) No 574/72 (costs 
of administrative checks and medical examinations). 

NORWAY – UNITED KINGDOM   

The  Exchange  of  Letters  of  20  March  1997  and  3  April  1997  concerning 
Articles  36(3)  and  63(3)  of  the  Regulation  (reimbursement  or  waiving  of 
reimbursement  of  the  costs  of  benefits  in  kind),  and  Article  105  of  the 
implementing  Regulation  (waiving  of  the  costs  of  administrative  checks  and 
medical examinations).”; 

(b)  The following shall be added to Annex 3: 

“NORWAY”; 

(c)  The following shall be added to Annex 5: 

“LIECHTENSTEIN 

NORWAY”. 

ACTS OF WHICH THE CONTRACTING PARTIES SHALL TAKE DUE ACCOUNT 

3.1 

3.2 

4.1 

32010 D 0424(01): Decision No A1 of 12 June 2009 concerning the establishment of 
a  dialogue  and  conciliation  procedure  concerning  the  validity  of  documents,  the 
determination  of  the  applicable  legislation  and  the  provision  of  benefits  under 
Council  Regulation  (EC)  No  883/2004  of  the  European  Parliament  and  of  the 
Council (OJ C 106, 24.4.2010, p. 1). 

32010 D 0424(02): Decision No A2 of 12 June 2009 concerning the interpretation of 
Article  12  of  Regulation  (EC)  No  883/2004  of  the  European  Parliament  and  of  the 
Council  on  the  legislation  applicable  to  posted  workers  and  self-employed  workers 
temporarily working outside the competent State (OJ C 106, 24.4.2010, p. 5). 

32010  D  0424(03):  Decision  No  E1  of  12  June  2009  concerning  the  practical 
arrangements  for  the  transitional  period  for  the  data  exchange  via  electronic  means 
referred to in Article 4 of Regulation (EC) No 987/2009 of the European Parliament 
and of the Council (OJ C 106, 24.4.2010, p. 9). 

5.1 

32010 D 0424(04): Decision No F1 of 12 June 2009 concerning the interpretation of 
Article  68  of  Regulation  (EC)  No  883/2004  of  the  European  Parliament  and  of  the 

EN 

17 

   EN 

 
 
 
 
 
 
 
6.1 

6.2 

7.1 

8.1 

8.2 

8.3 

9.1 

9.2 

Council relating to priority rules in the event of overlapping of family benefits (OJ C 
106, 24.4.2010, p. 11). 

32010 D 0424(05): Decision No H1 of 12 June 2009 concerning the framework for 
the transition from Council Regulations (EEC) No 1408/71 and (EEC) No 574/72 to 
Regulations  (EC)  No  883/2004  and  (EC)  No  987/2009  of  the  European  Parliament 
and  of  the  Council  and  the  application  of  Decisions  and  Recommendations  of  the 
Administrative  Commission  for  the  coordination  of  social  security  systems  (OJ  C 
106, 24.4.2010, p. 13). 

32010  D  0424(06):  Decision  No  H2  of  12  June  2009  concerning  the  methods  of 
operation  and  the  composition  of  the  Technical  Commission  for  data  processing  of 
the Administrative Commission for the coordination of social security systems (OJ C 
106, 24.4.2010, p. 17). 

32010 D 0424(07): Decision No P1 of 12 June 2009 on the interpretation of Articles 
50(4), 58 and 87(5) of Regulation No 883/2004 of the European  Parliament  and of 
the  Council  for  the  award  of  invalidity,  old-age  and  survivor’s  benefits  (OJ  C  106, 
24.4.2010, p. 21). 

32010 D 0424(08): Decision No S1 of 12 June 2009 concerning the European Health 
Insurance Card (OJ C 106, 24.4.2010, p. 23). 

32010  D  0424(09):  Decision  No  S2  of  12  June  2009  concerning  the  technical 
specifications of the European Health Insurance Card (OJ C 106, 24.4.2010, p. 26). 

The  provisions  of  the  Decision  shall,  for  the  purposes  of  this  Agreement,  be  read 
with the following adaptation: 

Notwithstanding  point  3.3.2  of  the  Annex  to  the  Decision,  the  EFTA  States  shall 
nevertheless have the possibility to insert the European stars on the European Health 
Insurance Cards to be issued by them. 

32010 D 0424(10): Decision No S3 of 12 June 2009 defining the benefits covered by 
Articles  19(1)  and  27(1)  of  Regulation  (EC)  No  883/2004  of  the  European 
Parliament and of the Council and Article 25(A)(3) of Regulation (EC) No 987/2009 
of the European Parliament and of the Council (OJ C 106, 24.4.2010, p. 40). 

32010  D  0424(11):  Decision  No  U1  of  12  June  2009  concerning  Article  54(3)  of 
Regulation  (EC)  No  987/2009  of  the  European  Parliament  and  of  the  Council 
relating to increases in unemployment benefit for dependent members of the family 
(OJ C 106, 24.4.2010, p. 42). 

32010 D 0424(12): Decision No U2 of 12 June 2009 concerning the scope of Article 
65(2)  of  Regulation  (EC)  No  883/2004  of  the  European  Parliament  and  of  the 
Council on the right to unemployment benefits of wholly unemployed persons other 
than frontier workers who were resident in the territory of a Member State other than 
the  competent  Member  State  during  their  last  period  of  employment  or  self-
employment (OJ C 106, 24.4.2010, p. 43). 

9.3 

32010  D  0424(13):  Decision  No  U3  of  12  June  2009  concerning  the  scope  of  the 
concept of ‘partial unemployment’ applicable to the unemployed persons referred to 

EN 

18 

   EN 

in Article 65(1) of Regulation (EC) No 883/2004 of the European Parliament and of 
the Council (OJ C 106, 24.4.2010, p. 45). 

ACTS OF WHICH THE CONTRACTING PARTIES SHALL TAKE NOTE 

10.1 

11.1 

11.2 

32010  H  0424(01):  Recommendation  No  P1  of  12  June  2009  concerning  the 
Gottardo  judgment,  according  to  which  the  advantages  enjoyed  by  a  State’s  own 
nationals under a bilateral convention on social security with a non-member country 
must  also  be  granted  to  workers  who  are  nationals  of  other  Member  States  (OJ  C 
106, 24.4.2010, p. 47). 

32010  H  0424(02):  Recommendation  No  U1  of  12  June  2009  concerning  the 
legislation  applicable  to  unemployed  persons  engaging  in  part-time  professional  or 
trade  activity  in  a  Member  State  other  than  the  State  of  residence  (OJ  C  106, 
24.4.2010, p. 49). 

32010  H  0424(03):  Recommendation  No  U2  of  12  June  2009  concerning  the 
application  of  Article  64(1)(a)  of  Regulation  (EC)  No  883/2004  of  the  European 
Parliament and of the Council to unemployed persons accompanying their spouses or 
partners  pursuing  a  professional  or  trade  activity  in  a  Member  State  other  than  the 
competent State (OJ C 106, 24.4.2010, p. 51). 

II. SAFEGUARDING OF SUPPLEMENTARY PENSION RIGHTS 

ACTS REFERRED TO 

12. 

398  L  0049:  Council  Directive  98/49/EC  of  29  June  1998  on  safeguarding  the 
supplementary pension rights of employed and self-employed persons moving within 
the Community (OJ L 209, 25.7.1998, p. 46).’ 

EN 

19 

   EN