This document summarizes the scope and general principles of coordination under EU Regulations 883/2004 and 987/2009. It discusses the personal scope, which broadly includes EU citizens and their family members who are subject to social security legislation in one or more EU countries. It also examines the material scope, which primarily covers social security benefits but excludes social assistance. Key coordination principles are then outlined, including determining applicable legislation, equal treatment, assimilation of facts, aggregation of periods, export of benefits, and administrative cooperation between member state institutions.

1. trESS seminar Oporto, 20 May 2011
Scope of the Regulations
and
General Principles of Coordination
Filip Van Overmeiren
Ghent University

2. Overview
Overview of the presentation
• Scope of the Regulations
• Personal scope
• Material scope
• General principles of coordination
• Determination of the applicable legislation (cf. Mr. J.
Tägger)
• Equal treatment (+ Assimilation of facts)
• Aggregation of periods
• Export of benefits
• Administrative cooperation (cf. Mr. A. Soares)

3. Personal scope
Scope of the Regulations
• “Nationals of a Member State” (+ stateless persons and refugees
residing in a Member State) “who are or have been subject to the
legislation of one or more Member States” AND their “family
members and survivors” (Article 2 Reg. 883/2004)
• “MS nationals”: EU citizenship / Result of the continuous
extension of the personal scope / Substantial simplification
• “Subject to the legislation”: insurance for one risk suffices
• “Family members”, irrespective of their nationality: national
legislation under which the benefits are provided or Reg.
definition (spouse, minor /dependent children)
• “Third country nationals”
• Regulation 1231/2010: Reg. 883/2004 applicable to TCN
(since 1/1/11)
• 2 conditions: legally residing in the EU + cross-border element
• OUT: UK (still Regulation 1408/71 via Reg. 859/2003) and
Denmark
• EFTA (ISL, LIE, NO, CH): still Reg. 1408/71 and Reg. 574/72
until concerned Agreements are adapted

4. Material scope Scope of the Regulations
Only in cross-border situations, not in “purely internal situations”
•Only for schemes based on “legislation”, not for contractual
schemes
•IN:
sickness benefits, maternity and equivalent paternity
benefits, invalidity benefits, old-age benefits, survivors’ benefits,
benefits in respect of accidents at work and occupational
diseases, death grants, unemployment benefits, pre-retirement
benefits and family benefits (Article 3 Reg. 883/2004)
• Classical social security risks (cf. ILO Convention No 102) >< “Open
material scope” in EC proposal for Reg. 883/2004
• New: paternity benefits (><family benefits) and pre-retirement benefits
(marginal)

5. Material scope Scope of the Regulations
OUT: “social and medical assistance”, “benefits in relation to
which a MS assumes the liability for damages and provides for
compensation”
• No definition of “social assistance”; National qualification irrelevant;
Difficult distinction
• Social security (no individual assessment, legally defined position of
beneficiary, related to social risk defined in the Regulation) vs. Social
assistance (minimum means of subsistence, based on need)
• “Benefits in relation to which a MS assumes the liability for damages
and provides for compensation”: Benefits for victims of war, crime,
assassination or terrorist acts, …
• Also out: Advances of maintenance payments (>< ECJ) and special
childbirth/adoption allowances can be excluded from “family
benefits” concept by insertion in Annex I
• BUT only excluded from 883/2004, not entirely excluded from EU
law: Reg. 1612/68, TFEU.

6. Scope of the Regulations
Material scope
•IN (BETWEEN): Special Non-Contributory Benefits (SNCB)
• Tax-financed benefits between social security (legally
defined position, social security risk) and social
assistance (non-contributory, minimum means of
subsistence)
• If “special” AND “non-contributory” AND in “Annex X”:
under 883/2004, but excluded from the export rule
• Continuous SNCB-saga: “real SNCB” or “(fully
coordinated) social security benefit”

7. Principles of Coordination
Goal of EU Social Security
Coordination
What : preventing the loss of social
security rights due to movement
within the EU
How : General principles of
coordination + detailed coordination
rules

8. Equal treatment
Principles of Coordination
General and fundamental principle of EU law - cf. Articles 18, 21,
45, 49 and 56 TFEU
•Article 4 Reg. 883/2004: “enjoy the same benefits” and “subject
to the same obligations” as nationals: equal treatment under the
national social security legislation [irrespective of their place of
residence (EU or not)]
•Broad scope: direct discrimination / indirect discrimination / non-
discriminatory restriction of free movement

9. Principles of Coordination
Assimilation of facts (events, benefits and
income)
FROM several ECJ cases TO “general principle” (Article 5 Reg.
883/2004) - reinforcement of the equal treatment provision
•Give the same legal effects to:
• facts or events occurred in another MS as if they had taken place on its
own territory
• receipt of benefits and other income as if they were received according to
the legislation of the competent MS
• E.g.: child-raising periods, accidents at work, receipt of a pension for SNCB
•(1) No influence on “determination of applicable legislation” or
“aggregration of periods” (2) no overlapping of benefits of the same
kind for the same period and (3) proportionality principle governs
assimilation

10. Principles of Coordination
Aggregation of periods
•From several provisions in Reg. 1408/71 to “general principle”
under Reg. 883/2004 (Article 6 Reg. 883/2004)
•Aggregation = competent institution shall, to the extent necessary,
take into account periods completed in another MS
•Periods of: insurance / employment or self-employment /
residence
•For: right to benefits / coverage by legislation / access to or the
exemption from compulsory, optional continued or voluntary
insurance
•Excluded: Pre-retirement benefits

11. Principles of Coordination
Export of benefits
Waiving of residence clauses for all cash benefits (Article 7 Reg.
883/2004)
•No withdrawal, reduction, amendment or suspension because
the beneficiary or his family resides in another MS than the MS in
which the providing institution is situated: unrestricted payment in
the MS to which the person has moved
•Excluded: SNCB (no export) / Unemployment benefits (limited
exportability)

12. Information and administrative
Principles of Coordination
cooperation
No coordination without information and cooperation: “Clear and
more effective cooperation between social security institutions is a
key factor in allowing the persons concerned by Reg. 883/2004 to
access their rights as quickly as possible and under optimum
conditions” (Recital 2 Impl. Reg. 987/2009)
•Duty of mutual information and cooperation for institutions and
citizens – Enhanced cooperation
•Better dialogue between the institutions and competent
authorities in case of disagreement (cf. dialogue and reconciliation
procedure)
•EESSI: social security coordination entered the 21st Century;
towards exclusively electronic exchange

13. Scope and Principles of Coordination
Conclusion
• Very broad personal scope: socially insured persons on
the move in the EU
• Rather static material scope: “social security benefits”
• Ingenious mix of coordination principles to preserve
social security rights

14. trESS
Thank you!
Filip.VanOvermeiren@UGent.be