The Social Security (Iceland) (Liechtenstein) (Norway) Order (Northern Ireland) 2023

Made: 19th October 2023

Coming into operation in accordance with article 1(1)

The Secretary of State and the Commissioners for His Majesty’s Revenue and Customs make the following Order in exercise of the powers conferred by section 155(1)(a) and (2) of the Social Security Administration (Northern Ireland) Act 1992[^f00001].

Citation, commencement and interpretation

1

• (1) This Order may be cited as the Social Security (Iceland) (Liechtenstein) (Norway) Order (Northern Ireland) 2023 and comes into operation—

• (a) in relation to the United Kingdom and the first EEA EFTA State to notify the Depositary in accordance with Article 74(1) and (2) (Entry into force) of the Convention set out in the Schedule to this Order, on the first day of the month following the later of the dates on which the Depositary receives the notification of that EEA EFTA State and the United Kingdom[^f00002]; and

• (b) in relation to an EEA EFTA State which notifies the Depositary after the notification given by the EEA EFTA State referred to in sub-paragraph (a) in accordance with Article 74(1) and (3) of the Convention set out in the Schedule to this Order, on the first day of the month following the date on which the Depositary receives the notification of that EEA EFTA State.

• (2) In this Order—

• (a) “the Convention” means the Convention on Social Security Coordination between Iceland, the Principality of Liechtenstein, the Kingdom of Norway and the United Kingdom of Great Britain and Northern Ireland, signed at London on 30th June 2023[^f00003];

• (b) “the Depositary” is to be interpreted in accordance with Article 73(2) (Authentic text and depositary) of the Convention set out in the Schedule to this Order; and

• (c) “EEA EFTA State” has the meaning given to it in Article 1(o) (Definitions) of the Convention set out in the Schedule to this Order.

Modification of legislation

2

• (1) The legislation to which this paragraph applies is modified to the extent required to give effect to the provisions contained in the Convention set out in the Schedule to this Order, so far as they relate to Northern Ireland.

• (2) Paragraph (1) applies to—

• (a) the Social Security Administration (Northern Ireland) Act 1992[^f00004];

• (b) the Social Security Contributions and Benefits (Northern Ireland) Act 1992[^f00005];

• (c) the Jobseekers (Northern Ireland) Order 1995[^f00006];

• (d) Chapter 2 of Part 2 of the Social Security (Northern Ireland) Order 1998[^f00007];

• (e) the State Pension Credit Act (Northern Ireland) 2002[^f00008];

• (f) Part 1 of the Welfare Reform Act (Northern Ireland) 2007[^f00009];

• (g) Parts 2 and 5 of the Welfare Reform (Northern Ireland) Order 2015[^f00010];

• (h) Parts 1 and 5 of the Pensions Act (Northern Ireland) 2015[^f00011];

• (i) the following as they form part of domestic law by virtue of section 3 of the European Union (Withdrawal) Act 2018[^f00012];

• (i) Regulation (EC) No 883/2004 of the European Parliament and of the Council of 29 April 2004 on the coordination of social security systems;

• (ii) 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; and

• (j) regulations within the scope of section 155(5) of the Social Security Administration (Northern Ireland) Act 1992[^f00013].

Variation of Orders

3

The Social Security (Iceland) Order (Northern Ireland) 1985[^f00014] and the Social Security (Norway) Order (Northern Ireland) 1991[^f00015] are varied in accordance with Article 78 (Relationship with pre-existing Social Security Coordination Agreements) of the Convention set out in the Schedule to this Order, so far as they relate to Northern Ireland.

SCHEDULE — Convention on Social Security Coordination between Iceland, the Principality of Liechtenstein, the Kingdom of Norway and the United Kingdom of Great Britain and Northern Ireland

PREAMBLE

Iceland, the Principality of Liechtenstein, the Kingdom of Norway and the United Kingdom of Great Britain and Northern Ireland;

NOTING that the United Kingdom withdrew from the European Union on 31 January 2020 and ceased applying the Agreement on the European Economic Area with effect from 1 January 2021;

RECOGNISING the importance of the coordination of social security rights enjoyed by persons moving between the States to work, to stay or to reside, as well as the rights enjoyed by their family members and survivors;

Have agreed as follows:

TITLE I GENERAL PROVISIONS

ARTICLE 1 Definitions

For the purposes of this Convention, the following definitions apply:

• (a) “the 1983 Convention” means the 1983 Convention on Social Security between the Government of the United Kingdom of Great Britain and Northern Ireland and the Government of Iceland, signed in Reykjavik on 25 August 1983;

• (b) “the 1990 Convention” means the Convention on Social Security between the Government of the United Kingdom of Great Britain and Northern Ireland and the Government of the Kingdom of Norway, signed in Oslo on 19 June 1990;

• (c) “activity as an employed person” means any activity or equivalent situation treated as such for the purposes of the social security legislation of the State in which such activity or equivalent situation exists;

• (d) “activity as a self-employed person” means any activity or equivalent situation treated as such for the purposes of the social security legislation of the State in which such activity or equivalent situation exists;

• (e) “activity in the continental shelf area” means an activity which occurs in the continental shelf area in connection with the exploration of the seabed or subsoil or the exploitation of the natural resources of the continental shelf area;

• (f) “assisted reproduction services” means any medical, surgical or obstetric services provided for the purpose of assisting a person to carry a child;

• (g) “benefits in kind” means:

• (i) for the purposes of Chapter1 of TitleIII, benefits in kind provided for under the legislation of a State which are intended to supply, make available, pay directly or reimburse the cost of medical care and products and services ancillary to that care;

• (ii) for the purposes of Chapter2 of TitleIII, all benefits in kind relating to accidents at work and occupational diseases as defined in sub-paragraph (i) of this definition and provided for under the States’ accidents at work and occupational diseases schemes;

• (h) “civil servant” means a person considered to be such or treated as such by the State to which the administration employing them is subject;

• (i) “competent authority” means, in respect of each State, the Minister, Ministers or other equivalent authority responsible for social security schemes throughout or in any part of the State in question;

• (j) “competent institution” means:

• (i) the institution with which the person concerned is insured at the time of the application for benefit; or

• (ii) the institution from which the person concerned is or would be entitled to benefits if that person or a member or members of their family resided in the State in which the institution is situated; or

• (iii) the institution designated by the competent authority of the State concerned; or

• (iv) in the case of a scheme relating to an employer’s obligations in respect of the benefits set out in Article6, either the employer or the insurer involved or, in default thereof, the body or authority designated by the competent authority of the State concerned;

• (k) “competent State” means the State in which the competent institution is situated;

• (l) “continental shelf area” means, in relation to the United Kingdom, any area outside the territorial sea of the United Kingdom which in accordance with international law has been designated, under the laws of the United Kingdom concerning the continental shelf, as an area within which the rights of the United Kingdom with respect to the seabed and subsoil and their natural resources may be exercised; and, in relation to Norway, the seabed and subsoil of the submarine areas that extend beyond the territorial sea of the Kingdom of Norway which, in accordance with international law, are subject to Norwegian sovereign rights in respect of the exploration and exploitation of natural resources;

• (m) “death grant” means any one-off payment in the event of death, excluding the lump-sum benefits referred to in sub-paragraph(ff);

• (n) “EEA EFTA Separation Agreement” means the Agreement on arrangements between Iceland, the Principality of Liechtenstein, the Kingdom of Norway and the United Kingdom of Great Britain and Northern Ireland following the withdrawal of the United Kingdom from the European Union, the European Economic Area Agreement and other agreements applicable between the United Kingdom and the EEA EFTA States by virtue of the United Kingdom’s membership of the European Union, signed in London on 28 January 2020;

• (o) “EEA EFTA State” means each of Iceland, the Principality of Liechtenstein (“Liechtenstein”) and/or the Kingdom of Norway (“Norway”), collectively the “EEA EFTA States”;

• (p) “electronic exchange” means a system for the exchange of social security information using transmission by electronic means;

• (q) “family benefit” means all benefits in kind or in cash intended to meet family expenses;

• (r) “frontier worker” means any person pursuing an activity as an employed or self-employed person in a State and who resides in another State to which that person returns as a rule daily or at least once a week;

• (s) “home base” means the place from where the crew member normally starts and ends a duty period or a series of duty periods, and where, under normal conditions, the operator/airline is not responsible for the accommodation of the crew member concerned;

• (t) “institution” means, in respect of each State, the body or authority responsible for applying all or part of the legislation;

• (u) “institution of the place of residence” and “institution of the place of stay” mean, respectively, the institution which is competent to provide benefits in the place where the person concerned resides and the institution which is competent to provide benefits in the place where the person concerned is staying, in accordance with the legislation administered by that institution or, where no such institution exists, the institution designated by the competent authority of the State concerned;

• (v) “insured person”, in relation to the social security branches covered by Chapters1 and3 of TitleIII, means any person satisfying the conditions required under the legislation of the State competent under TitleII in order to have the right to benefits, taking into account the provisions of this Convention;

• (w) “Joint Administrative Committee” means the committee established under Article 70 of this Convention.

• (x) “legal residence” means residence or stay in accordance with the relevant State’s immigration laws;

• (y) “legislation” means, in respect of each State, laws, regulations and other statutory provisions and all other implementing measures relating to the social security branches covered by Article6(1), but excludes contractual provisions other than those which serve to implement an insurance obligation arising from the laws and regulations referred to in this sub-paragraph or which have been the subject of a decision by the public authorities which makes them obligatory or extends their scope, provided that the State concerned makes a declaration to that effect, notified to the other States and to the Joint Administrative Committee;

• (z) “long-term care benefit” means a benefit in kind or in cash the purpose of which is to address the care needs of a person who, on account of impairment, requires considerable assistance, including but not limited to assistance from another person or persons to carry out essential activities of daily living for an extended period of time in order to support their personal autonomy; this includes benefits granted for the same purpose to a person providing such assistance;

• (aa) “member of the family” means:

• (i) (A) any person defined or recognised as a member of the family or designated as a member of the household by the legislation under which benefits are provided;

(B) with regard to benefits in kind pursuant to Chapter1 of TitleIII, any person defined or recognised as a member of the family or designated as a member of the household by the legislation of the State in which that person resides;

• (ii) if the legislation of a State which is applicable under sub-paragraph (i) does not make a distinction between the members of the family and other persons to whom it is applicable, the spouse, minor children, and dependent children who have reached the age of majority shall be considered members of the family;

• (iii) if, under the legislation which is applicable under sub-paragraphs(i) and(ii), a person is considered a member of the family or member of the household only if that person lives in the same household as the insured person or pensioner, this condition shall be considered satisfied if the person in question is mainly dependent on the insured person or pensioner;

• (bb) “obligation of professional secrecy” means an obligation to protect information subject to such an obligation effectively through appropriate security, technical and organisational measures and prevent unauthorised access, unauthorised modification and unauthorised disclosure of such information;

• (cc) “period of employment” or “period of self-employment” mean periods so defined or recognised by the legislation under which they were completed, and all periods treated as such, where they are regarded by that legislation as equivalent to periods of employment or to periods of self-employment;

• (dd) “period of insurance” means periods of contribution, employment or self-employment as defined or recognised as periods of insurance by the legislation under which they were completed or considered as completed, and all periods treated as such, where they are regarded by that legislation as equivalent to periods of insurance;

• (ee) “period of residence” means periods so defined or recognised by the legislation under which they were completed or considered as completed;

• (ff) “pension” covers not only pensions but also lump-sum benefits which can be substituted for them and payments in the form of reimbursement of contributions and, subject to the provisions of TitleIII, revaluation increases or supplementary allowances;

• (gg) “personal data” means any data concerning or relating to an identified or identifiable natural person;

• (hh) “refugee” has the meaning assigned to it in Article1 of the Convention relating to the Status of Refugees, signed in Geneva on28July1951;

• (ii) “registered office or place of business” means the registered office or place of business where the essential decisions of the undertaking are adopted and where the functions of its central administration are carried out;

• (jj) “residence”, except in Article 3, means the place where a person habitually resides;

• (kk) “special non-contributory cash benefits” means those non-contributory cash benefits which:

• (i) are intended to provide either:

(A) supplementary, substitute or ancillary cover against the risks covered by the branches of social security referred to in Article 6(1), and which guarantee the persons concerned a minimum subsistence income having regard to the economic and social situation in the State concerned; or

(B) solely specific protection for the disabled, closely linked to the said person’s social environment in the State concerned, and

• (ii) where the financing exclusively derives from compulsory taxation intended to cover general public expenditure and the conditions for providing and for calculating the benefits are not dependent on any contribution in respect of the beneficiary. However, benefits provided to supplement a contributory benefit shall not be considered to be contributory benefits for this reason alone;

• (ll) “special scheme for civil servants”, means any social security scheme which is different from the general social security scheme applicable to employed persons in the State concerned and to which all, or certain categories of, civil servants are directly subject;

• (mm) “State” means each of the United Kingdom, Iceland, Liechtenstein and Norway, collectively “States”;

• (nn) “stateless person” has the meaning assigned to it in Article1 of the Convention relating to the Status of Stateless Persons, signed in New York on28September1954;

• (oo) “stay” means temporary residence.

ARTICLE 2 Persons Covered

This Convention applies to persons, including stateless persons and refugees, who are or have been subject to the legislation of one or more States, as well as to the members of their families and their survivors.

ARTICLE 3 Legally Residing

• (1) This Convention applies to persons legally residing in an EEA EFTA State or the United Kingdom.

• (2) Paragraph (1) shall not affect entitlements to cash benefits which relate to previous periods of legal residence of persons covered by Article 2.

ARTICLE 4 Cross border situations

• (1) This Convention shall only apply to situations arising between one or more of the EEA EFTA States and the United Kingdom.

• (2) Subject to paragraph (3), this Convention shall not apply to persons whose situations are confined in all respects either to the United Kingdom, or one or more of the EEA EFTA States.

• (3) This Convention shall not apply to persons whose situations are confined in all respects either to the United Kingdom and the continental shelf area of the United Kingdom, or Norway and the continental shelf area of Norway.

ARTICLE 5 Territorial Scope

• (1) This Convention applies, on the one hand, to the individual EEA EFTA States and, on the other hand, to the United Kingdom.

• (2) The provisions of this Convention shall not apply to the Norwegian territories of Svalbard and Jan Mayen.

ARTICLE 6 Matters Covered

• (1) This Convention applies to the following branches of social security:

• (a) sickness benefits;

• (b) maternity and equivalent paternity benefits;

• (c) invalidity benefits;

• (d) old-age benefits;

• (e) survivors’ benefits;

• (f) benefits in respect of accidents at work and occupational diseases;

• (g) death grants; and

• (h) unemployment benefits.

• (2) In accordance with Article 70(3)(d), the Joint Administrative Committee may prepare and maintain a list of cash benefits which the competent authorities confirm fall within the branches of social security listed at paragraph (1).

• (3) Unless otherwise provided for in Annex 7, this Convention applies to general and special social security schemes, whether contributory or non-contributory, and to schemes relating to the obligations of an employer or ship-owner.

• (4) The provisions of TitleIII do not, however, affect the legislative provisions of any State concerning a ship-owner’s obligations.

• (5) This Convention does not apply to:

• (a) special non-contributory cash benefits which are listed in Part 1 of Annex 2;

• (b) social and medical assistance;

• (c) benefits in relation to which a State assumes the liability for damages to persons and provides for compensation, such as those for victims of war and military action or their consequences; victims of crime, assassination, or terrorist acts; victims of damage occasioned by agents of the State in the course of their duties; or victims who have suffered a disadvantage for political or religious reasons or for reasons of descent;

• (d) long-term care benefits which are listed in Part 2 of Annex 2;

• (e) assisted reproduction services;

• (f) payments which are connected to a branch of social security listed in paragraph(1) and which are:

• (i) paid to meet expenses for heating in cold weather; and

• (ii) listed in Part 3 of Annex 2;

• (g) family benefits;

• (h) pre-retirement benefits;

• (i) Liechtenstein old-age, survivors’ and invalidity benefits under the statutory occupational benefit plans;

• (j) any special scheme for civil servants; or

• (k) Norway pension schemes under the Act on Mandatory Occupational Pensions.

ARTICLE 7 Relationship with other agreements

• (1) This Convention applies without prejudice to the EEA EFTA Separation Agreement.

• (2) Nothing in this Convention shall be construed as requiring a State to act in a manner inconsistent with its obligations under agreements with third countries.

ARTICLE 8 Equality of treatment

• (1) Unless otherwise provided for in this Convention, as regards the branches of social security and benefits covered by Article6(1), persons to whom this Convention applies shall enjoy the same benefits and be subject to the same obligations under the legislation of any State as the nationals thereof.

• (2) This provision does not apply to the matters referred to in Article6(5).

ARTICLE 9 Equal treatment of benefits, income, facts or events

Unless otherwise provided for in this Convention, the States shall ensure the application of the principle of equal treatment of benefits, income, facts or events in the following manner:

• (a) where, under the legislation of the competent State, the receipt of social security benefits and other income has certain legal effects, the relevant provisions of that legislation shall also apply to the receipt of equivalent benefits acquired under the legislation of another State or to income acquired in another State;

• (b) where, under the legislation of the competent State, legal effects are attributed to the occurrence of certain facts or events, that State shall take account of like facts or events that have occurred in any other State as though they had taken place in its own territory.

ARTICLE 10 Aggregation of periods

Unless otherwise provided for in this Convention, the competent institution of a State shall, to the extent necessary, take into account periods of insurance, employment, self-employment or residence completed under the legislation of any other State as though they were periods completed under the legislation which it applies, where its legislation makes conditional upon the completion of periods of insurance, employment, self-employment or residence:

• (a) the acquisition, retention, duration or recovery of the right to benefits;

• (b) the coverage by legislation; or

• (c) the access to or the exemption from compulsory, optional continued or voluntary insurance.

ARTICLE 11 Waiving of residence rules

The States shall ensure the application of the principle of exportability of cash benefits in accordance with sub-paragraphs(a) and(b):

• (a) Cash benefits payable under the legislation of a State or under this Convention shall not be subject to any reduction, amendment, suspension, withdrawal or confiscation on account of the fact that the beneficiary or the members of their family reside in a State other than that in which the institution responsible for providing benefits is situated.

• (b) Sub-paragraph(a) does not apply to the cash benefits covered by Article 6(1)(c) and (h).

ARTICLE 12 Preventing of overlapping of benefits

Unless otherwise provided, this Convention shall neither confer nor maintain the right to several benefits of the same kind for one and the same period of compulsory insurance.

TITLE II DETERMINATION OF THE LEGISLATION APPLICABLE

ARTICLE 13 General rules

• (1) Persons to whom this Convention applies shall be subject to the legislation of a single State only. Such legislation shall be determined in accordance with this Title.

• (2) For the purposes of this Title, persons receiving cash benefits because or as a consequence of their activity as an employed or self-employed person shall be considered to be pursuing the said activity. This shall not apply to invalidity, old-age, or survivors’ pensions or to pensions in respect of accidents at work or occupational diseases or to sickness benefits in cash covering treatment for an unlimited period.

• (3) Subject to Articles 14 to 18:

• (a) a person pursuing an activity as an employed or self-employed person in a State shall be subject to the legislation of that State;

• (b) a civil servant shall be subject to the legislation of the State to which the administration employing them is subject;

• (c) a person called up or recalled for service in the armed forces or for civilian service in a State shall be subject to the legislation of that State;

• (d) any other person to whom sub-paragraphs(a) to(c) do not apply shall be subject to the legislation of the State of residence, without prejudice to other provisions of this Convention guaranteeing them benefits under the legislation of one or more other States.

• (4) For the purposes of this Title, an activity as an employed or self-employed person normally pursued on board a vessel at sea flying the flag of a State shall be deemed to be an activity pursued in the territory of said State. However, a person employed on board a vessel flying the flag of a State and remunerated for such activity by an undertaking or a person whose registered office or place of business is in the territory of another State shall be subject to the legislation of the latter State if that person resides in the territory of that State. The undertaking or person paying the remuneration shall be considered as the employer for the purposes of the said legislation.

• (5) An activity as a flight crew or cabin crew member performing air passenger or freight services shall be deemed to be an activity pursued in the territory of the State where the home base is located.

ARTICLE 14 Detached workers

• (1) A person who pursues an activity as an employed person in the territory of a State for an employer which normally carries out its activities there and who is sent by that employer to the territory of another State to perform work on that employer’s behalf shall continue to be subject to the legislation of the first State, provided that:

• (a) the anticipated duration of such work does not exceed 24months; and

• (b) that person is not sent to replace another detached worker.

• (2) A person who normally pursues an activity as a self-employed person in the territory of a State who goes to pursue a similar activity in the territory of another State shall continue to be subject to the legislation of the first State, provided that the anticipated duration of such activity does not exceed 24months.

• (3) This Article shall not apply to any person to whom Article 16 applies.

ARTICLE 15 Pursuit of activities in two or more States

• (1) A person who normally pursues an activity as an employed person in one or more EEA EFTA States as well as in the United Kingdom shall be subject to:

• (a) the legislation of the State of residence if that person pursues a substantial part of their activity in that State; or

• (b) if that person does not pursue a substantial part of their activity in the State of residence:

• (i) the legislation of the State in which the registered office or place of business of the undertaking or employer is situated if that person is employed by one undertaking or employer; or

• (ii) the legislation of the State in which the registered office or place of business of the undertakings or employers is situated if that person is employed by two or more undertakings or employers which have their registered office or place of business in only one State; or

• (iii) the legislation of the State in which the registered office or place of business of the undertaking or employer is situated other than the State of residence if that person is employed by two or more undertakings or employers, which have their registered office or place of business in an EEA EFTA State and the United Kingdom, one of which is the State of residence; or

• (iv) the legislation of the State of residence if that person is employed by two or more undertakings or employers, at least two of which have their registered office or place of business in different States other than the State of residence.

• (2) A person who normally pursues an activity as a self-employed person in one or more EEA EFTA States as well as in the United Kingdom shall be subject to:

• (a) the legislation of the State of residence if that person pursues a substantial part of their activity in that State; or

• (b) the legislation of the State in which the centre of interest of their activities is situated, if that person does not reside in one of the States in which that person pursues a substantial part of their activity.

• (3) A person who normally pursues an activity as an employed person and an activity as a self-employed person in two or more States shall be subject to the legislation of the State in which that person pursues an activity as an employed person or, if that person pursues such an activity in two or more States, to the legislation determined in accordance with paragraph(1).

• (4) A person who is employed as a civil servant by a State and who pursues an activity as an employed person or as a self-employed person in one or more other States shall be subject to the legislation of the State to which the administration employing that person is subject.

• (5) A person who normally pursues an activity as an employed person in two or more EEA EFTAStates (and not in the United Kingdom) shall be subject to the legislation of the United Kingdom if that person does not pursue a substantial part of that activity in the State of residence and that person:

• (a) is employed by one or more undertakings or employers, all of which have their registered office or place of business in the United Kingdom;

• (b) resides in an EEA EFTA State and is employed by two or more undertakings or employers, all of which have their registered office or place of business in the United Kingdom and the EEA EFTA State of residence;

• (c) resides in the United Kingdom and is employed by two or more undertakings or employers, at least two of which have their registered office or place of business in different EEA EFTA States; or

• (d) resides in the United Kingdom and is employed by one or more undertakings or employers, none of which have a registered office or place of business in another State.

• (6) A person who normally pursues an activity as a self-employed person in two or more EEA EFTA States (and not in the United Kingdom), without pursuing a substantial part of that activity in the State of residence, shall be subject to the legislation of the United Kingdom if the centre of interest of their activity is situated in the United Kingdom.

• (7) Paragraph(6) shall not apply in the case of a person who normally pursues an activity as an employed person and as a self-employed person in two or more EEA EFTA States.

• (8) Persons referred to in paragraphs(1) to(6) shall be treated, for the purposes of the legislation determined in accordance with these provisions, as though they were pursuing all their activities as employed or self-employed persons and were receiving all their income in the State concerned.

• (9) This Article shall not apply to any person to whom Article 16 applies.

ARTICLE 16 Continental shelf area

• (1) An employed person who is resident in and subject to the legislation of either Norway or the United Kingdom immediately before they are sent by their employer, who has a registered office or place of business in either Norway or the United Kingdom, to pursue an activity in the continental shelf area of the other State, shall continue to be subject to the legislation of their State of residence.

• (2) Paragraph (1) shall not apply in the case of a person who is sent from Norway to the United Kingdom to pursue an activity in the continental shelf area, unless the person is on a Norwegian payroll as determined by the legislation of Norway.

• (3) A self-employed person who is resident in and subject to the legislation of either Norway or the United Kingdom immediately before they pursue an activity in the continental shelf area of the other State, shall continue to be subject to the legislation of their State of residence.

• (4) A person travelling in the course of their employment or self-employment, in connection with undertaking an activity in the continental shelf area, between the territory of the United Kingdom or Norway and either State’s continental shelf area in either direction or travelling between different parts of the continental shelf area of either State, shall be treated as if they were employed in the territory of the State whose legislation applies in accordance with this Article.

• (5) This Article shall not apply to any person to whom Article 13(4) and (5) applies.

ARTICLE 17 Voluntary insurance or optional continued insurance

• (1) Articles13 to 16 do not apply to voluntary insurance or to optional continued insurance unless, in respect of one of the branches or benefits referred to in Article6, only a voluntary scheme of insurance exists in a State.

• (2) Where, by virtue of the legislation of a State, the person concerned is subject to compulsory insurance in that State, that person may not be subject to a voluntary insurance scheme or an optional continued insurance scheme in another State. In all other cases in which, for a given branch, there is a choice between several voluntary insurance schemes or optional continued insurance schemes, the person concerned shall join only the scheme of their choice.

• (3) However, in respect of invalidity, old-age and survivors’ benefits, the person concerned may join the voluntary or optional continued insurance scheme of a State, even if that person is compulsorily subject to the legislation of another State, provided that that person has been subject, at some stage in their career, to the legislation of the first State because or as a consequence of an activity as an employed or self-employed person and if such overlapping is explicitly or implicitly allowed under the legislation of the first State.

• (4) Where the legislation of a State makes admission to voluntary insurance or optional continued insurance conditional upon residence in that State or upon previous activity as an employed or self-employed person, Article9(b) applies only to persons who have been subject, at some earlier stage, to the legislation of that State on the basis of an activity as an employed or self-employed person.

ARTICLE 18 Exceptions to the general rules

• (1) Two or more States, the competent authorities of these States, or the bodies designated by these authorities, may by common agreement provide for exceptions to Articles 13 to 17 in the interest of certain persons or categories of persons.

• (2) A person who receives a pension or pensions under the legislation of one or more States and who resides in another State may at that person’s request be exempted from application of the legislation of the latter State, provided that they are not subject to that legislation on account of pursuing an activity as an employed or self- employed person.

ARTICLE 19 Obligations of the employer

• (1) An employer who has its registered office or place of business outside the competent State shall fulfil all the obligations laid down by the legislation applicable to its employees, notably the obligation to pay the contributions provided for by that legislation, as if it had its registered office or place of business in the competent State.

• (2) An employer who does not have a place of business in the State whose legislation is applicable and the employee may agree that the latter may fulfil the employer’s obligations on its behalf as regards the payment of contributions without prejudice to the employer’s underlying obligations. The employer shall send notice of such an arrangement to the competent institution of that State.

TITLE III SPECIAL PROVISIONS CONCERNING THE VARIOUS CATEGORIES OF BENEFITS

CHAPTER 1 SICKNESS, MATERNITY AND EQUIVALENT PATERNITY BENEFITS

ARTICLE 20 Immigration applications

This Convention applies without prejudice to the right of a State to charge a health fee under national legislation in connection with an application for a permit to enter, to stay, to work, or to reside in that State.

SECTION 1 INSURED PERSONS AND MEMBERS OF THEIR FAMILIES EXCEPT PENSIONERS AND MEMBERS OF THEIR FAMILIES

ARTICLE 21 Residence in a State other than the competent State

An insured person or members of their family who reside in a State other than the competent State shall receive in the State of residence benefits in kind provided, on behalf of the competent institution, by the institution of the place of residence, in accordance with the legislation it applies, as though the persons concerned were insured under the said legislation.

ARTICLE 22 Stay in the competent State when residence is in another State – special rules for the members of the families of frontier workers

• (1) Unless otherwise provided for by paragraph(2), the insured person and the members of their family referred to in Article21 shall also be entitled to benefits in kind while staying in the competent State. The benefits in kind shall be provided by the competent institution and at its own expense, in accordance with the legislation it applies, as though the persons concerned resided in that State.

• (2) The members of the family of a frontier worker shall be entitled to benefits in kind during their stay in the competent State.

Where the competent State is listed in Annex 3 however, the members of the family of a frontier worker who reside in the same State as the frontier worker shall be entitled to benefits in kind in the competent State only under the conditions laid down in Article23.

ARTICLE 23 Stay outside the competent State

• (1) Unless otherwise provided for by paragraph(2), an insured person and the members of their family staying in a State other than the competent State shall be entitled to benefits in kind, provided on behalf of the competent institution by the institution of the place of stay in accordance with the legislation it applies, as though the persons concerned were insured under that legislation, where:

• (a) the benefits in kind become necessary on medical grounds during their stay, in the opinion of the provider of the benefits in kind, taking into account the nature of the benefits and the expected length of the stay;

• (b) the person did not travel to that State with the purpose of receiving the benefits in kind, unless:

• (i) the person is a passenger or member of the crew on a vessel or aircraft travelling to that State and the benefits in kind became necessary on medical grounds during the voyage or flight; or

• (ii) the person is employed or self-employed in the continental shelf area and the benefits in kind became necessary on medical grounds while they were carrying out their activity as an employed or self-employed person in the continental shelf area; and

• (c) a valid entitlement document is presented in accordance with Article 22(1) of Annex 1.

• (2) The Joint Administrative Committee shall list benefits in kind which, in order to be provided during a stay in another State, require for practical reasons a prior agreement between the person concerned and the institution providing the care.

ARTICLE 24 Travel with the purpose of receiving benefits in kind – authorisation to receive appropriate treatment outside the State of residence

• (1) Unless otherwise provided for in this Convention, an insured person travelling to another State with the purpose of receiving benefits in kind during the stay shall seek authorisation from the competent institution.

• (2) An insured person who is authorised by the competent institution to go to another State with the purpose of receiving the treatment appropriate to their condition shall receive the benefits in kind provided, on behalf of the competent institution, by the institution of the place of stay, in accordance with the legislation it applies, as though that person were insured under the said legislation. The authorisation shall be accorded where the treatment in question is among the benefits provided for by the legislation in the State where the person concerned resides and where that person cannot be given such treatment within a time limit which is medically justifiable, taking into account their current state of health and the probable course of their illness.

• (3) Paragraphs(1) and(2) apply mutatis mutandis to the members of the family of an insured person.

• (4) If the members of the family of an insured person reside in a State other than the State in which the insured person resides, and this State has opted for reimbursement on the basis of fixed amounts, the cost of the benefits in kind referred to in paragraph(2) shall be borne by the institution of the place of residence of the members of the family. In this case, for the purposes of paragraph(1), the institution of the place of residence of the members of the family shall be considered to be the competent institution.

ARTICLE 25 Cash benefits

• (1) An insured person and members of their family residing or staying in a State other than the competent State shall be entitled to cash benefits provided by the competent institution in accordance with the legislation it applies. By agreement between the competent institution and the institution of the place of residence or stay, such benefits may, however, be provided by the institution of the place of residence or stay at the expense of the competent institution in accordance with the legislation of the competent State.

• (2) The competent institution of a State whose legislation stipulates that the calculation of cash benefits shall be based on average income or on an average contribution basis shall determine such average income or average contribution basis exclusively by reference to the incomes confirmed as having been paid, or contribution bases applied, during the periods completed under the said legislation.

• (3) The competent institution of a State whose legislation provides that the calculation of cash benefits shall be based on standard income shall take into account exclusively the standard income or, where appropriate, the average of standard incomes for the periods completed under the said legislation.

• (4) Paragraphs(2) and(3) apply mutatis mutandis to cases where the legislation applied by the competent institution lays down a specific reference period which corresponds in the case in question either wholly or partly to the periods which the person concerned has completed under the legislation of one or more other States.

ARTICLE 26 Pension claimants

• (1) An insured person who, on making a claim for a pension, or during the investigation thereof, ceases to be entitled to benefits in kind under the legislation of the State last competent, shall remain entitled to benefits in kind under the legislation of the State in which that person resides, provided that the pension claimant satisfies the insurance conditions of the legislation of the State referred to in paragraph(2). The right to benefits in kind in the State of residence also applies to the members of the family of the pension claimant.

• (2) The benefits in kind shall be chargeable to the institution of the State which, in the event of a pension being awarded, would become competent under Articles 27 to 29.

SECTION 2 SPECIAL PROVISIONS FOR PENSIONERS AND MEMBERS OF THEIR FAMILIES

ARTICLE 27 Right to benefits in kind under the legislation of the State of residence

A person who receives a pension or pensions under the legislation of two or more States, of which one is the State of residence, and who is entitled to benefits in kind under the legislation of that State, shall, with the members of their family, receive such benefits in kind from and at the expense of the institution of the place of residence, as though that person were a pensioner whose pension was payable solely under the legislation of that State.

ARTICLE 28 No right to benefits in kind under the legislation of the State of residence

• (1) A person who:

• (a) resides in a State;

• (b) receives a pension or pensions under the legislation of one or more States; and

• (c) is not entitled to benefits in kind under the legislation of the State of residence,

shall nevertheless receive such benefits for themselves and the members of their family, insofar as the pensioner would be entitled to them under the legislation of the State competent in respect of their pension or at least one of the States competent, if that person resided in that State. The benefits in kind shall be provided at the expense of the institution referred to in paragraph(2) by the institution of the place of residence, as though the person concerned were entitled to a pension and entitled to benefits in kind under the legislation of that State.

• (2) In the cases covered by paragraph(1), the cost of the benefits in kind shall be borne by the institution as determined in accordance with the following rules:

• (a) where the pensioner is treated as if they were entitled to benefits in kind under the legislation of one State, the cost of those benefits shall be borne by the competent institution of that State;

• (b) where the pensioner is treated as if they were entitled to benefits in kind under the legislation of two or more States, the cost of those benefits shall be borne by the competent institution of the State to whose legislation the person has been subject for the longest period of time;

• (c) if the application of the rule in sub-paragraph(b) would result in several institutions being responsible for the cost of those benefits, the cost shall be borne by the competent institution of the State to whose legislation the pensioner was last subject.

ARTICLE 29 Pensions under the legislation of one or more States other than the State of residence, where there is a right to benefits in kind in the latter State

Where a person receiving a pension or pensions under the legislation of one or more States resides in a State under whose legislation the right to receive benefits in kind is not subject to conditions of insurance, or conditions of activity as an employed or self-employed person, and that person does not receive a pension from the State of residence, the cost of benefits in kind provided to them and to members of their family shall be borne by the institution of one of the States competent in respect of the person’s pensions determined in accordance with Article28(2) to the extent that the person and the members of their family would be entitled to such benefits if they resided in that State.

ARTICLE 30 Residence of members of the family in a State other than the one in which the pensioner resides

Where a person:

• (a) receives a pension or pensions under the legislation of one or more States; and

• (b) resides in a State other than the one in which members of their family reside,

those members of that person’s family shall be entitled to receive benefits in kind from the institution of the place of their residence in accordance with the legislation it applies insofar as the pensioner is entitled to benefits in kind under the legislation of a State. The costs shall be borne by the competent institution responsible for the costs of the benefits in kind provided to the pensioner in their State of residence.

ARTICLE 31 Stay of the pensioner or the members of their family in a State other than the State of residence – stay in the competent State – authorisation for appropriate treatment outside the State of residence

• (1) Article23 applies mutatis mutandis to:

• (a) a person receiving a pension or pensions under the legislation of one or more States and who is entitled to benefits in kind under the legislation of one of the States which provide their pension(s);

• (b) the members of their family,

who are staying in a State other than the one in which they reside.

• (2) Article22(1) applies mutatis mutandis to the persons described in paragraph(1) when they stay in the State in which is situated the competent institution responsible for the cost of the benefits in kind provided to the pensioner in their State of residence and that State has opted for this and is listed in Annex 4.

• (3) Article24 applies mutatis mutandis to a pensioner or members of their family who are staying in a State other than the one in which they reside with the purpose of receiving in that State the treatment appropriate to their condition.

• (4) Unless otherwise provided for by paragraph(5), the cost of the benefits in kind referred to in paragraphs(1) to(3) shall be borne by the competent institution responsible for the cost of benefits in kind provided to the pensioner in their State of residence.

• (5) The cost of the benefits in kind referred to in paragraph(3) shall be borne by the institution of the place of residence of the pensioner or of the members of their family, if these persons reside in a State which has opted for reimbursement on the basis of fixed amounts. In these cases, for the purposes of paragraph(3), the institution of the place of residence of the pensioner or of the members of their family shall be considered to be the competent institution.

ARTICLE 32 Cash benefits for pensioners

• (1) Cash benefits shall be paid to a person receiving a pension or pensions under the legislation of one or more States by the competent institution of the State in which is situated the competent institution responsible for the cost of benefits in kind provided to the pensioner in their State of residence. Article 25 applies mutatis mutandis.

• (2) Paragraph(1) also applies to the members of a pensioner’s family.

ARTICLE 33 Contributions by pensioners

• (1) The institution of a State which is responsible under the legislation it applies for making deductions in respect of contributions for sickness, maternity and equivalent paternity benefits, may request and recover such deductions, calculated in accordance with the legislation it applies, only to the extent that the cost of the benefits pursuant to Articles27 to 30 is to be borne by an institution of that State.

• (2) Where, in the cases referred to in Article29, the acquisition of sickness, maternity and equivalent paternity benefits is subject to the payment of contributions or similar payments under the legislation of a State in which the pensioner concerned resides, these contributions shall not be payable by virtue of such residence.

SECTION 3 COMMON PROVISIONS

ARTICLE 34 General Provisions

Articles 27 to 33 do not apply to a pensioner or the members of the pensioner’s family who are entitled to benefits under the legislation of a State on the basis of an activity as an employed or self-employed person. In such cases, the person concerned shall be subject, for the purposes of this Chapter, to Articles 21 to 25.

ARTICLE 35 Prioritising of the right to benefits in kind – special rule for the right of members of the family to benefits in the State of residence

• (1) Unless otherwise provided for by paragraphs(2) and(3), where a member of the family has an independent right to benefits in kind based on the legislation of a State or on this Chapter such right shall take priority over a derivative right to benefits in kind for members of the family.

• (2) Unless otherwise provided for by paragraph(3), where the independent right in the State of residence exists directly and solely on the basis of the residence of the person concerned in that State, a derivative right to benefits in kind shall take priority over the independent right.

• (3) Notwithstanding paragraphs(1) and(2), benefits in kind shall be provided to the members of the family of an insured person at the expense of the competent institution in the State in which they reside, where:

• (a) those members of the family reside in a State under whose legislation the right to benefits in kind is not subject to conditions of insurance or activity as an employed or self-employed person; and

• (b) the spouse or the person caring for the children of the insured person pursues an activity as an employed or self-employed person in that State, or receives a pension from that State on the basis of an activity as an employed or self-employed person.

ARTICLE 36 Reimbursement between institutions

• (1) The benefits in kind provided by the institution of a State on behalf of the institution of another State under this Chapter shall give rise to full reimbursement.

• (2) The reimbursements referred to in paragraph(1) shall be determined and effected in accordance with the arrangements set out in Appendix 2 of Annex 1, either on production of proof of actual expenditure, or on the basis of fixed amounts for States whose legal or administrative structures are such that the use of reimbursement on the basis of actual expenditure is not appropriate.

• (3) The States, and their competent authorities, may provide for other methods of reimbursement or waive all reimbursement between the institutions coming under their jurisdiction.

CHAPTER 2 BENEFITS IN RESPECT OF ACCIDENTS AT WORK AND OCCUPATIONAL DISEASES

ARTICLE 37 Rights to benefits in kind and in cash

• (1) Without prejudice to any more favourable provisions in paragraphs(2) and(3) of this Article, Articles 21, 22(1), 23(1) and 24(1) also apply to benefits relating to accidents at work or occupational diseases.

• (2) A person who has sustained an accident at work or has contracted an occupational disease and who resides or stays in a State other than the competent State shall be entitled to the special benefits in kind of the scheme covering accidents at work and occupational diseases provided, on behalf of the competent institution, by the institution of the place of residence or stay in accordance with the legislation which it applies, as though that person were insured under that legislation.

• (3) The competent institution may not refuse to grant the authorisation provided for in Article24(1) to a person who has sustained an accident at work or who has contracted an occupational disease and is entitled to benefits chargeable to that institution, where the treatment appropriate to their condition cannot be given in the State in which that person resides within a time limit which is medically justifiable, taking into account that person’s current state of health and the probable course of the illness.

• (4) Article25 also applies to benefits falling within this Chapter.

ARTICLE 38 Costs of transport

• (1) The competent institution of a State whose legislation provides for meeting the costs of transporting a person who has sustained an accident at work or is suffering from an occupational disease, either to their place of residence or to a hospital, shall meet such costs to the corresponding place in the State where the person resides, provided that that institution gives prior authorisation for such transport, duly taking into account the reasons justifying it. Such authorisation shall not be required in the case of a frontier worker.

• (2) The competent institution of a State whose legislation provides for meeting the costs of transporting the body of a person killed in an accident at work to the place of burial shall, in accordance with the legislation it applies, meet such costs to the corresponding place in the State where the person was residing at the time of the accident.

ARTICLE 39 Benefits for an occupational disease where the person suffering from such a disease has been exposed to the same risk in several States

When a person who has contracted an occupational disease has, under the legislation of two or more States, pursued an activity which by its nature is likely to cause the said disease, the benefits that that person or their survivors may claim shall be provided exclusively under the legislation of the last of those States whose conditions are satisfied.

ARTICLE 40 Aggravation of an occupational disease

In the event of aggravation of an occupational disease for which a person suffering from such a disease has received or is receiving benefits under the legislation of a State, the following rules apply:

• (a) if the person concerned, while in receipt of benefits, has not pursued, under the legislation of another State, an activity as an employed or self-employed person likely to cause or aggravate the disease in question, the competent institution of the first State shall bear the cost of the benefits under the provisions of the legislation which it applies, taking into account the aggravation;

• (b) if the person concerned, while in receipt of benefits, has pursued such an activity under the legislation of another State, the competent institution of the first State shall bear the cost of the benefits under the legislation it applies without taking the aggravation into account. The competent institution of the second State shall grant a supplement to the person concerned, the amount of which shall be equal to the difference between the amount of benefits due after the aggravation and the amount which would have been due prior to the aggravation under the legislation it applies, if the disease in question had occurred under the legislation of that State;

• (c) the rules concerning reduction, suspension or withdrawal laid down by the legislation of a State shall not be invoked against persons receiving benefits provided by institutions of two States in accordance with sub-paragraph(b).

ARTICLE 41 Rules for taking into account the special features of certain legislation

• (1) If there is no insurance against accidents at work or occupational diseases in the State in which the person concerned resides or stays, or if such insurance exists but there is no institution responsible for providing benefits in kind, those benefits shall be provided by the institution of the place of residence or stay responsible for providing benefits in kind in the event of sickness.

• (2) If there is no insurance against accidents at work or occupational diseases in the competent State, the provisions of this Chapter concerning benefits in kind shall nevertheless be applied to a person who is entitled to those benefits in the event of sickness, maternity or equivalent paternity under the legislation of that State if that person sustains an accident at work or suffers from an occupational disease during a residence or stay in another State. Costs shall be borne by the institution that is competent for the benefits in kind under the legislation of the competent State.

• (3) Article9 applies to the competent institution in a State as regards the equivalence of accidents at work and occupational diseases which either have occurred or have been confirmed subsequently under the legislation of another State when assessing the degree of incapacity, the right to benefits or the amount thereof, on condition that:

• (a) no compensation is due in respect of an accident at work or an occupational disease which had occurred or had been confirmed previously under the legislation it applies; and

• (b) no compensation is due in respect of an accident at work or an occupational disease which had occurred or had been confirmed subsequently, under the legislation of the other State under which the accident at work or the occupational disease had occurred or been confirmed.

ARTICLE 42 Reimbursements between institutions

• (1) Article36 also applies to benefits falling within this Chapter, and reimbursement shall be made on the basis of actual costs.

• (2) The States, or their competent authorities, may provide for other methods of reimbursement or waive all reimbursement between the institutions under their jurisdiction.

CHAPTER 3 DEATH GRANTS

ARTICLE 43 Right to grants where death occurs in, or where the person entitled resides in, a State other than the competent one

• (1) When an insured person or a member of their family dies in a State other than the competent State, the death shall be deemed to have occurred in the competent State.

• (2) The competent institution shall be obliged to provide death grants payable under the legislation it applies, even if the person entitled resides in a State other than the competent State.

• (3) Paragraphs(1) and(2) also apply when the death is the result of an accident at work or an occupational disease.

ARTICLE 44 Provision of benefits in the event of the death of a pensioner

• (1) In the event of the death of a pensioner who was entitled to a pension under the legislation of one State, or to pensions under the legislations of two or more States, when that pensioner was residing in a State other than that of the institution responsible for the cost of benefits in kind provided under Articles28 and 29, the death grants payable under the legislation administered by that institution shall be provided at its own expense as though the pensioner had been residing at the time of their death in the State in which that institution is situated.

• (2) Paragraph(1) applies mutatis mutandis to the members of the family of a pensioner.

CHAPTER 4 INVALIDITY BENEFITS

ARTICLE 45 Calculation of invalidity benefits

Without prejudice to Article 10 where, under the legislation of the State competent under Title II of this Convention, the amount of invalidity benefits is dependent on the duration of the periods of insurance, employment, self-employment or residence, the competent State is not required to take into account any such periods completed under the legislation of another State for the purposes of calculating the amount of invalidity benefit payable.

ARTICLE 46 Special provisions on aggregation of periods

The competent institution of a State whose legislation makes the acquisition, retention or recovery of the right to benefits conditional upon the completion of periods of insurance or residence shall, where necessary, apply Article50 mutatismutandis.

ARTICLE 47 Aggravation of invalidity

In the case of aggravation of an invalidity for which a person is receiving benefits under the legislation of a State in accordance with this Convention, the benefit shall continue to be provided in accordance with this Chapter, taking the aggravation into account.

ARTICLE 48 Conversion of invalidity benefits into old-age benefits

• (1) Where provided for in the legislation of the State paying invalidity benefit in accordance with this Convention, invalidity benefits shall be converted into old-age benefits under the conditions laid down by the legislation under which they are provided and in accordance with Chapter 5 of Title III.

• (2) Where a person receiving invalidity benefits can establish a claim to old-age benefits under the legislation of one or more other States, in accordance with Article 49, any institution which is responsible for providing invalidity benefits under the legislation of a State shall continue to provide such a person with the invalidity benefits to which that person is entitled under the legislation it applies until paragraph(1) becomes applicable in respect of that institution, or otherwise for as long as the person concerned satisfies the conditions for such benefits.

CHAPTER 5 OLD-AGE AND SURVIVORS’ PENSIONS

ARTICLE 49 General Provisions

• (1) All the competent institutions shall determine entitlement to benefit, under all the legislations of the States to which the person concerned has been subject, when a request for award has been submitted, unless the person concerned expressly requests deferment of the award of old-age benefits under the legislation of one or more States.

• (2) If at a given moment the person concerned does not satisfy, or no longer satisfies, the conditions laid down by all the legislations of the States to which that person has been subject, the institutions applying legislation the conditions of which have been satisfied shall not take into account, when performing the calculation in accordance with Article51(1)(a) or (b), the periods completed under the legislations the conditions of which have not been satisfied, or are no longer satisfied, where this gives rise to a lower amount of benefit.

• (3) Paragraph(2) applies mutatis mutandis when the person concerned has expressly requested deferment of the award of old-age benefits.

• (4) A new calculation shall be performed automatically as and when the conditions to be fulfilled under the other legislations are satisfied or when a person requests the award of an old-age benefit deferred in accordance with paragraph(1), unless the periods completed under the other legislations have already been taken into account by virtue of paragraphs(2) or(3).

ARTICLE 50 Special provisions on aggregation of periods

• (1) Where the legislation of a State makes the granting of certain benefits conditional upon the periods of insurance having been completed only in a specific activity as an employed or self-employed person or in an occupation which is subject to a special scheme for employed or self-employed persons, the competent institution of that State shall take into account periods completed under the legislation of other States only if completed under a corresponding scheme or, failing that, in the same occupation, or where appropriate, in the same activity as an employed or self-employed person.

• (2) If, account having been taken of the periods thus completed, the person concerned does not satisfy the conditions for receipt of the benefits of a special scheme, these periods shall be taken into account for the purposes of providing the benefits of the general scheme or, failing that, of the scheme applicable to manual or clerical workers, as the case may be, provided that the person concerned had been affiliated to one or other of those schemes.

• (3) The periods of insurance completed under a special scheme of a State shall be taken into account for the purposes of providing the benefits of the general scheme or, failing that, of the scheme applicable to manual or clerical workers, as the case may be, of another State, provided that the person concerned had been affiliated to one or other of those schemes, even if those periods have already been taken into account in the latter State under a special scheme.

• (4) Where the legislation or specific scheme of a State makes the acquisition, retention or recovery of the right to benefits conditional upon the person concerned being insured at the time of the materialisation of the risk, this condition shall be regarded as having been satisfied if that person has been previously insured under the legislation or specific scheme of that State and is, at the time of the materialisation of the risk, insured under the legislation of another State for the same risk or, failing that, if a benefit is due under the legislation of another State for the same risk. The latter condition shall, however, be deemed to be fulfilled in the cases referred to in Article56.

ARTICLE 51 Award of benefits

• (1) The competent institution shall calculate the amount of the benefit that would be due:

• (a) under the legislation it applies, only where the conditions for entitlement to benefits have been satisfied exclusively under national law (independent benefit);

• (b) by calculating a theoretical amount and subsequently an actual amount (pro rata benefit), as follows:

• (i) the theoretical amount of the benefit is equal to the benefit which the person concerned could claim if all the periods of insurance and/or of residence which have been completed under the legislations of the other States had been completed under the legislation it applies on the date of the award of the benefit. If, under this legislation, the amount does not depend on the duration of the periods completed, that amount shall be regarded as being the theoretical amount;

• (ii) the competent institution shall then establish the actual amount of the pro rata benefit by applying to the theoretical amount the ratio between the duration of the periods completed before materialisation of the risk under the legislation it applies and the total duration of the periods completed before materialisation of the risk under the legislations of all the States concerned.

• (2) Where appropriate, the competent institution shall apply, to the amount calculated in accordance with sub-paragraphs (a) and (b) of paragraph (1), all the rules relating to reduction, suspension or withdrawal, under the legislation it applies, within the limits provided for by Articles52 to 54.

• (3) The person concerned shall be entitled to receive from the competent institution of each State the higher of the amounts calculated in accordance with sub-paragraphs (a) and(b) of paragraph(1).

• (4) Where the calculation pursuant to paragraph(1)(a) in one State invariably results in the independent benefit being equal to or higher than the pro rata benefit, calculated in accordance with paragraph(1)(b), the competent institution shall waive the pro rata calculation, provided that:

• (a) such a situation is set out in Part1 of Annex5;

• (b) no legislation containing rules against overlapping, as referred to in Articles53 to 54, is applicable unless the conditions laid down in Article54(2) are fulfilled; and

• (c) Article56 is not applicable in relation to periods completed under the legislation of another State in the specific circumstances of the case.

• (5) Notwithstanding paragraphs(1), (2) and(3), the pro rata calculation shall not apply to schemes providing benefits in respect of which periods of time are of no relevance to the calculation, subject to such schemes being listed in Part 2 of Annex 5. In such cases, the person concerned shall be entitled to the benefit calculated in accordance with the legislation of the State concerned.

ARTICLE 52 Rules to prevent overlapping

• (1) Any overlapping of old-age and survivors’ benefits calculated or provided on the basis of periods of insurance or residence completed by the same person shall be considered to be overlapping of benefits of the same kind.

• (2) Overlapping of benefits which cannot be considered to be of the same kind within the meaning of paragraph(1) shall be considered to be overlapping of benefits of a different kind.

• (3) The following provisions shall be applicable for the purposes of rules to prevent overlapping laid down by the legislation of a State in the case of overlapping of a benefit in respect of old-age or survivors with a benefit of the same kind or a benefit of a different kind or with other income:

• (a) the competent institution shall take into account the benefits or incomes acquired in another State only where the legislation it applies provides for benefits or income acquired abroad to be taken into account;

• (b) the competent institution shall take into account the amount of benefits to be paid by another State before deduction of tax, social security contributions and other individual levies or deductions, unless the legislation it applies provides for the application of rules to prevent overlapping after such deductions, under the conditions and the procedures laid down in Annex1;

• (c) the competent institution shall not take into account the amount of benefits acquired under the legislation of another State on the basis of voluntary insurance or continued optional insurance;

• (d) if a single State applies rules to prevent overlapping because the person concerned receives benefits of the same or of a different kind under the legislation of other States or income acquired in other States, the benefit due may be reduced solely by the amount of such benefits or such income.

ARTICLE 53 Overlapping of benefits of the same kind

• (1) Where benefits of the same kind due under the legislation of two or more States overlap, the rules to prevent overlapping laid down by the legislation of a State shall not be applicable to a pro rata benefit.

• (2) The rules to prevent overlapping apply to an independent benefit only if the benefit concerned is:

• (a) a benefit the amount of which does not depend on the duration of periods of insurance or residence; or

• (b) a benefit the amount of which is determined on the basis of a credited period deemed to have been completed between the date on which the risk materialised and a later date, overlapping with:

• (i) a benefit of the same type, except where an agreement has been concluded between two or more States to avoid the same credited period being taken into account more than once; or

• (ii) a benefit referred to in sub-paragraph (a).

The benefits and agreements referred to in sub-paragraphs (a) and(b) are listed in Annex6.

ARTICLE 54 Overlapping of benefits of a different kind

• (1) If the receipt of benefits of a different kind or other income requires the application of the rules to prevent overlapping provided for by the legislation of the States concerned regarding:

• (a) two or more independent benefits, the competent institutions shall divide the amounts of the benefit or benefits or other income, as they have been taken into account, by the number of benefits subject to the said rules; however, the application of this sub-paragraph cannot deprive the person concerned of their status as a pensioner for the purposes of the other chapters of this Title under the conditions and the procedures laid down in Annex1;

• (b) one or more pro rata benefits, the competent institutions shall take into account the benefit or benefits or other income and all the elements stipulated for applying the rules to prevent overlapping as a function of the ratio between the periods of insurance and/or residence established for the calculation referred to in Article 51(1)(b)(ii);

• (c) one or more independent benefits and one or more pro rata benefits, the competent institutions shall apply mutatis mutandis sub-paragraph (a) as regards independent benefits and sub-paragraph (b) as regards pro rata benefits.

• (2) The competent institution shall not apply the division stipulated in respect of independent benefits, if the legislation it applies provides for account to be taken of benefits of a different kind or other income and all other elements for calculating part of their amount determined as a function of the ratio between periods of insurance and/or residence referred to in Article 51(1)(b)(ii).

• (3) Paragraphs(1) and(2) apply mutatis mutandis where the legislation of one or more States provides that a right to a benefit cannot be acquired in the case where the person concerned is in receipt of a benefit of a different kind, payable under the legislation of another State, or of other income.

ARTICLE 55 Additional provisions for the calculation of benefits

• (1) For the calculation of the theoretical and pro rata amounts referred to in Article 51(1)(b), the following rules apply:

• (a) where the total length of the periods of insurance and/or residence completed before the risk materialised under the legislations of all the States concerned is longer than the maximum period required by the legislation of one of these States for receipt of full benefit, the competent institution of that State shall take into account this maximum period instead of the total length of the periods completed; this method of calculation shall not result in the imposition on that institution of the cost of a benefit greater than the full benefit provided for by the legislation it applies. This provision shall not apply to benefits the amount of which does not depend on the length of insurance;

• (b) the procedure for taking into account overlapping periods is laid down in Annex 1;

• (c) if the legislation of a State provides that the benefits are to be calculated on the basis of incomes, contributions, bases of contributions, increases, earnings, other amounts or a combination of more than one of them (average, proportional, fixed or credited), the competent institution shall:

• (i) determine the basis for calculation of the benefits in accordance only with periods of insurance completed under the legislation it applies;

• (ii) use, in order to determine the amount to be calculated in accordance with the periods of insurance and/or residence completed under the legislation of the other States, the same elements determined or recorded for the periods of insurance completed under the legislation it applies;

where necessary in accordance with the procedures laid down in Annex7 for the State concerned;

• (d) in the event that sub-paragraph (c) is not applicable because the legislation of a State provides for the benefit to be calculated on the basis of elements other than periods of insurance or residence which are not linked to time, the competent institution shall take into account, in respect of each period of insurance or residence completed under the legislation of any other State, the amount of the capital accrued, the capital which is considered as having been accrued or any other element for the calculation under the legislation it administers divided by the corresponding units of periods in the pension scheme concerned.

• (2) The provisions of the legislation of a State concerning the revalorisation of the elements taken into account for the calculation of benefits apply, as appropriate, to the elements to be taken into account by the competent institution of that State, in accordance with paragraph(1), in respect of the periods of insurance or residence completed under the legislation of other States.

ARTICLE 56 Periods of insurance or residence of less than one year

• (1) Notwithstanding Article 51(1)(b), the institution of a State shall not be required to provide benefits in respect of periods completed under the legislation it applies which are taken into account when the risk materialises, if:

• (a) the duration of the said periods is less than one year; and

• (b) taking only these periods into account no right to benefit is acquired under that legislation.

For the purposes of this Article, “periods” shall mean all periods of insurance, employment, self-employment or residence which either qualify for, or directly increase, the benefit concerned.

• (2) The competent institution of each of the States concerned shall take into account the periods referred to in paragraph(1), for the purposes of Article 51(1)(b)(i).

• (3) If the effect of applying paragraph(1) would be to relieve all the institutions of the States concerned of their obligations, benefits shall be provided exclusively under the legislation of the last of those States whose conditions are satisfied, as if all the periods of insurance and residence completed and taken into account in accordance with Article10 and Article 50(1) to (3) had been completed under the legislation of that State.

• (4) This Article does not apply to schemes listed in Part 2 of Annex 5.

ARTICLE 57 Recalculation and revaluation of benefits

• (1) If the method for determining benefits or the rules for calculating benefits are altered under the legislation of a State, or if the personal situation of the person concerned undergoes a relevant change which, under that legislation, would lead to an adjustment of the amount of the benefit, a recalculation shall be carried out in accordance with Article 51.

• (2) On the other hand, if, by reason of an increase in the cost of living or changes in the level of income or other grounds for adjustment, the benefits of the State concerned are altered by a percentage or fixed amount, such percentage or fixed amount shall be applied directly to the benefits determined in accordance with Article 51, without the need for a recalculation.

CHAPTER 6 UNEMPLOYMENT BENEFITS

ARTICLE 58 Special provisions on aggregation of periods of insurance, employment or self-employment

• (1) The competent institution of a State whose legislation makes the acquisition, retention, recovery or duration of the right to benefits conditional upon the completion of either periods of insurance, employment or self-employment shall, to the extent necessary, take into account periods of insurance, employment or self-employment completed under the legislation of any other State as though they were completed under the legislation it applies.

However, when the applicable legislation makes the right to benefits conditional on the completion of periods of insurance, the periods of employment or self-employment completed under the legislation of another State shall not be taken into account unless such periods would have been considered to be periods of insurance had they been completed in accordance with the applicable legislation.

• (2) The application of paragraph(1) of this Article shall be conditional on the person concerned having the most recently completed, in accordance with the legislation under which the benefits are claimed:

• (a) periods of insurance, if that legislation requires periods of insurance;

• (b) periods of employment, if that legislation requires periods of employment; or

• (c) periods of self-employment, if that legislation requires periods of self-employment.

ARTICLE 59 Calculation of unemployment benefits

• (1) Where the calculation of unemployment benefits is based on the amount of the previous salary or professional income of the person concerned, the competent State shall take into account the salary or professional income received by the person concerned based exclusively on their last activity as an employed or self-employed person under the legislation of the competent State.

• (2) Where the legislation applied by the competent State provides for a specific reference period for the determination of the salary or professional income used to calculate the amount of benefit, and the person concerned was subject to the legislation of another State for all or part of that reference period, the competent State shall only take into account the salary or professional income received during their last activity as an employed or self-employed person under that legislation.

TITLE IV MISCELLANEOUS PROVISIONS

ARTICLE 60 Cooperation

• (1) The competent authorities of the States shall notify the Joint Administrative Committee of any changes to their legislation as regards the branches of social security covered by Article 6 which are relevant to or may affect the implementation of this Convention.

• (2) The competent authorities of the States shall communicate to each other measures taken to implement this Convention that are not notified under paragraph (1) and that are relevant for the implementation of the Convention.

• (3) For the purposes of this Convention, the competent authorities and institutions of the States shall lend one another their good offices and act as though implementing their own legislation. The administrative assistance given by the said competent authorities and institutions shall, as a rule, be free of charge. However, the Joint Administrative Committee shall establish the nature of reimbursable expenses and the limits above which their reimbursement is due.

• (4) The competent authorities and institutions of the States may, for the purposes of this Convention, communicate directly with one another and with the persons involved or their representatives.

• (5) The competent authorities, institutions and persons covered by this Convention shall have a duty of mutual information and cooperation to ensure the correct implementation of this Convention.

• (6) The competent authorities and institutions, in accordance with the principle of good administration, shall respond to all queries within a reasonable period of time and shall in this connection provide the persons concerned with any information required for exercising the rights conferred on them by this Convention.

• (7) The persons concerned must inform the institutions of the competent State and of the State of residence as soon as possible of any change in their personal or family situation which affects their right to benefits under this Convention.

• (8) Failure to respect the requirement referred to in paragraph (7) may result in the application of proportionate measures in accordance with national law. Nevertheless, these measures shall be equivalent to those applicable to similar situations under domestic law and shall not make it impossible or excessively difficult in practice for claimants to exercise the rights conferred on them by this Convention.

• (9) The competent authorities, institutions and tribunals of one State may not reject applications or other documents submitted to them on the grounds that they are written in an official language of another State.

ARTICLE 61 Protection of personal data

• (1) Any personal data received under this Convention shall be protected as such in accordance with the receiving State’s domestic law.