reproduction is authorized, provided that the source is … · design and layout: tuuli sauren,...

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Design and layout: Tuuli Sauren, INSPIRIT International Communications, Brussels, Belgium

Reproduction is authorized, provided that the source is acknowledged.

The recommended mode of citation is as follows: the case number, the names of the

parties in the form used in the side-heading of the pages of this Report, the year

(in square brackets) and title of the Report (EFTA Court Report), the page number.

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Report of the EFTA Court2008

www.eftacourt.int

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The EFTA Court was set up under the Agreement on the European Economic Area (the

EEA Agreement) of 2 May 1992. This was originally a treaty between, on the one hand,

the European Communities and their then twelve Member States and, on the other

hand, the EFTA States Austria, Finland, Iceland, Liechtenstein, Norway, Sweden and

Switzerland. The treaty entered into force on 1 January 1994, except for Liechtenstein

and Switzerland. Accordingly, the EFTA Court took up its functions on 1 January 1994 with

five judges nominated by Austria, Finland, Iceland, Norway and Sweden and appointed

by common accord of the respective Governments. Austria, Finland and Sweden joined

the European Union on 1 January 1995. Liechtenstein became a member of the EEA

on 1 May 1995. The EFTA Court continued its work in its original composition of five

judges until 30 June 1995, under a Transitional Arrangements Agreement. Since that

date, the Court has been composed of three Judges appointed by common accord of the

Governments of Iceland, Liechtenstein and Norway. Since 1 August 2007, the EEA has

consisted of the 27 Member States of the European Union and of the three EFTA States

Iceland, Liechtenstein and Norway.

The present Report of the EFTA Court covers the period from 1 January 2008 to 31

December 2008 and contains the decisions rendered during that period as well as

an overview of other activities of the Court. The reader is referred to the first Report

of the Court 1994–1995 for general information on the establishment of the Court, its

jurisdiction, legal status and procedures.

The working language of the Court is English, and its Judgments, other decisions and

Reports for the Hearing are published in English. Judgments in the form of Advisory

Opinions, as well as the respective Reports for the Hearing, are translated to the language

of the requesting national court. Both language versions are authentic and published in

the Court Reports. When a case is published in two languages, the different language

versions are published with corresponding page numbers to facilitate reference.

A collection of relevant legal texts for the EFTA Court as amended, can be found in the

booklet EFTA Court Texts (latest edition September 2008). The booklet is available in

English, German, Icelandic and Norwegian, and can be obtained from the Registry. All

language versions of the texts can also be accessed on the EFTA Court website www.

eftacourt.int.

The EFTA Court has also published a booklet entitled “Legal framework, case law and

composition – 1994-2003”, which was republished in an updated form in November 2006

Foreword

http://www.eftacourt.inthttp://www.eftacourt.int

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under the shorter title “Legal framework and case law”. The booklet has been updated

and published for the third time in July 2008. As the title indicates, the publication

summarizes the Court’s legal framework and its case law since 1994. In addition, it gives

an account of the Court’s composition, including the former Members and Registrars

of the Court. Its aim is to serve as a tool of information for those who take interest in

European integration. The booklet can be obtained from the Registry, by request through

the Court’s web site www.eftacourt.int.

Decisions of the EFTA Court, which have not yet been published in the Report, may be

obtained from the Registry by mail or e-mail [email protected], or on the EFTA

Court website www.eftacourt.int.

http://www.eftacourt.intmailto:[email protected]://www.eftacourt.int

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CoNTeNTS

Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

A. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

I. History and general . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

II. Jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

III. Language regime . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

IV. Duration of proceedings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

V. Relationship with the Courts of the European Communities . . . . . . . . . . . . . . . . . . . . . 11

B. General Principles of eeA Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

I. Homogeneity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131. Statutory provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132. Case law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

II. Protection and judicial defence of the rights of individuals and economic operators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

III. Effect of EEA law in the legal orders of the EFTA/EEA States . . . . . . . . . . . . . . . . . . . . 20

IV. State liability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

V. Fundamental rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

VI. Duty of the Contracting Parties to loyally cooperate. . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

VII. Other general principles of EEA law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251. Non-discrimination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252. Proportionality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253. Good administration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264. Legal certainty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 265. Protection of legitimate expectations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

C. Legal Nature of eeA Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

d. Competences of the eeA Joint Committee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

e. Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

I. Action for failure of a Contracting Party to fulfil its obligations . . . . . . . . . . . . . . . . . . . . 33

II. Action for nullity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 341. Locus standi to bring an action for nullity of a decision of the

EFTA Surveillance Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 342. Nature and reviewability of a decision of the EFTA Surveillance Authority . . . . . . . . 363. Preclusion with arguments not raised in the administrative proceedings . . . . . . . . . 37

Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i

I DECISIONS OF THE COURT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Case E-4/07, Jón Gunnar Þorkelsson v Gildi lífeyrissjóður

– Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

– Judgment, 1 February 2008 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

– Report for the Hearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

Case E-5/07, Private Barnehagers Landsforbund v EFTA Surveillance Authority

– Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62

– Judgment, 21 February 2008 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64


Case E-6/07, HOB vín ehf. v Faxaflóahafnir sf.

– Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128

– Judgment, 5 March 2008 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130


Case E-7/07, Seabrokers AS v Staten v/Skattedirektoratet

– Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172

– Judgment, 7 May 2008 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174


Case E-8/07, Celina Nguyen v the State, represented by the Ministry of Justice and the Police

– Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224

– Judgment, 20 June 2008 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 226


Joined Cases E-9/07 and E-10/07, L’Oréal Norge AS and L’Oréal SA v Per Aarskog AS, Nille AS and Smart Club AS

– Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259

– Judgment, 8 July 2008 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261


Case E-4/08, Claudia Sebjanic v Christian Peters

– Order of the President of the Court, 7 October 2008 . . . . . . . . . . . . . . . . . . . 299

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Case E-2/08, EFTA Surveillance Authority v The Republic of Iceland

– Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301

– Judgment, 29 October 2008 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302

Case E-3/08, EFTA Surveillance Authority v The Republic of Iceland

– Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 308

– Judgment, 29 October 2008 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309

Case E-5/08, Yannike Bergling v EFTA Surveillance Authority

– Order of the President of the Court, 19 November 2008 . . . . . . . . . . . . . . . . 316

Joined Cases E-11/07 and E-1/08, Olga Rindal and Therese Slinning v Staten v/Dispensasjons- og klagenemnda for behandling i utlandet

– Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 320

– Judgment, 19 December 2008 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 322


II ADMINISTRATION AND ACTIVITIES OF THE COURT . . . . . . . . . . . . . . . . . . 397

III JUDGES AND STAFF . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 401

IV LIST OF COURT DECISIONS PUBLISHED IN THE EFTA COURT REPORTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 407

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III. Action for failure of the EFTA Surveillance Authority to act . . . . . . . . . . . . . . . . . . . . . . 37

IV. Preliminary reference procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

1. Nature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 372. Notion of court or tribunal entitled to refer questions . . . . . . . . . . . . . . . . . . . . . . . . 373. Admissibility of a request and of questions referred by the national

court . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 394. Jurisdiction of the EFTA Court . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 415. Form of Opinion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41

F. Fundamental Freedoms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

I. Free movement of goods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 431. Rules of origin and product coverage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 432. Discriminatory taxation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453. State alcohol monopolies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 464. State licensing scheme for sale and rental of videos . . . . . . . . . . . . . . . . . . . . . . . . 515. Potentially dangerous substances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

II. Free movement of workers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53I. DecIsIons of the court

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Case E-4/07 Jón Gunnar Þorkelsson

v

Gildi-lífeyrissjóður

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CASE E-4/07

Jón Gunnar Þorkelsson

v

Gildi-lífeyrissjóður

(Invalidity pension rights – free movement of workers – Regulation (EEC) No 1408/71 –

Regulation (EEC) No 574/72)

Judgment of the Court, 1 February 2008 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Report for the Hearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

Summary of the Judgment

Pensions based on projected rights, 1. i.e. calculated on the basis of the pension points a person would accrue with a pension fund if a member until the age of retirement, as such fall inside the scope of Regulation 1408/71.

Regulation 1408/71 does not 2. harmonise the material content of the social security benefits which it covers. The Regulation merely coordinates social security benefits. One of the coordination issues regulated by Regulation 1408/71 is whether contributions made to foreign pension funds must be equated to contributions made to the fund offering the benefit when establishing whether the conditions for the acquisition or retention of a benefit are fulfilled. This coordination is the same in nature when applied to the award of benefits based on projected rights as when applied to the award of benefits based on accrued rights.

The Regulation does not contain any 3. general principle of derogation to the effect

that it must under no circumstances lead

to a more favourable result than that which

would have been the result of change of

residence or work within a single State.

The provisions of Regulation 1408/71 4.

pertaining to invalidity benefits distinguish

between two main categories of persons:

on the one hand, persons that are subject

only to legislation under which the amount

of invalidity benefits is independent of the

duration of periods of insurance and, on the

other hand, persons that are either subject

only to legislation under which the length

of insurance is relevant in this respect or

subject to legislations of both types.

The amount of an invalidity pension 5.

based on projected rights is calculated

on the basis of the contributions which

the member would have paid had he or

she remained a member until the age of

retirement. The length of insurance is

therefore relevant when calculating the

amount of the benefit.

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Bætur byggðar á framreikningi, þ.e. 1.

stigafjölda sem einstaklingur myndi ávinna

sér í lífeyrisssjóði ef hann starfaði fram

að eftirlaunaaldri, falla sem slíkar undir

reglugerð 1408/71.

Reglugerð 1408/71 samræmir ekki 2.

efnisinntak þeirra almannatryggingabóta

sem falla undir gildissvið hennar.

Reglugerðin samhæfir einungis almanna-

tryggingabætur. Samhæfingin sem mælt

er fyrir um í reglugerð 1408/71 lýtur

m.a. að því hvort framlögum í erlenda

lífeyrissjóði skuli jafnað við framlög í þann

sjóð sem greiðir bæturnar, þegar metið

er hvort fullnægt sé skilyrðum til þess að

öðlast eða viðhalda bótum. Eðli þessarar

samhæfingar er hið sama hvort heldur

úthlutun bóta byggir á framreiknuðum eða

uppsöfnuðum réttindum.

Reglugerðin verður ekki túlkuð svo 3.

að hún hafi að geyma almennan fyrirvara

þess efnis að beiting hennar geti aldrei leitt

til hagstæðari niðurstöðu heldur en orðið

hefði við flutning á búsetu eða atvinnu í

einu tilteknu landi.

Þau ákvæði reglugerðar 1408/71 4.

sem varða örorkubætur greina á milli

tveggja meginflokka einstaklinga. Annars

vegar eru þeir sem eingöngu heyra undir

löggjöf þar sem fjárhæð örorkubóta er

óháð tryggingatímabili. Hins vegar eru

þeir sem annað hvort heyra einvörðungu

undir löggjöf þar sem tryggingatímabil

skiptir máli, eða undir löggjöf af báðum

tegundum.

Fjárhæð örorkubóta sem byggja á 5.

framreiknuðum réttindum miðast við iðgjöld

sem sjóðfélagi hefði greitt, hefði hann átt

aðild að sjóðnum fram að eftirlaunaaldri.

Lengd tryggingatímabils hefur því áhrif við

útreikning bótafjárhæðar.

MáL E-4/07


gegn

Gildi-lífeyrissjóði

(Réttur til örorkubóta – frjáls för launþega – Reglugerð (EBE) nr . 1408/71 – Reglugerð

(EBE) nr . 574/72)

Dómur EFTA-dómstólsins, 1 . febrúar 2008 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Skýrsla framsögumanns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

Samantekt

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When the competent institution 6.

decides whether it is under an obligation

to provide a pension to a person to whom

the Regulation applies, the institution shall

take account of periods of insurance under

the legislation of any other EEA State

as if these periods had been completed

under its own legislation. Where the

acquisition, retention or recovery of the

right to benefits is 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 in the case of insurance under the

legislation of another EEA State.

In this regard, it is not a condition 7.

that the person concerned be barred from

continuing his membership in the social

security scheme of his previous State of

residence or employment.

Under Regulation 574/72, persons 8.

shall present their claims in the State where

they were resident and where they had

social security entitlements at the time of

their injury. However, the lodging of a claim

with the relevant institution of another EEA

State is without prejudice to the right to

benefits under Regulation 1408/71.

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Þegar þar til bær stofnun ákvarðar 6.

hvort greiða skuli bætur til einstaklings

sem fellur undir reglugerðina, ber henni

að taka tillit til tryggingatímabila sem lokið

er samkvæmt löggjöf annarra EES-ríkja,

eins og þeim hefði verið lokið samkvæmt

þeirri löggjöf sem stofnunin starfar eftir.

Þegar rétturinn til að öðlast, viðhalda eða

endurheimta bótarétt er bundinn því skilyrði

að viðkomandi einstaklingur sé tryggður

á þeim tíma þegar áhættan kemur fram,

skal litið svo á að skilyrðinu sé fullnægt

þegar um er að ræða tryggingu samkvæmt

löggjöf annars EES-ríkis.

Í þessu sambandi er það ekki skilyrði 7.

að viðkomandi einstaklingur geti ekki

áfram átt aðild að almannatryggingakerfi

þess ríkis þar sem hann var áður búsettur

eða stundaði atvinnu.

Samkvæmt reglugerð 574/72 ber 8.

einstaklingum að leggja fram kröfur sínar

í því ríki þar sem þeir voru búsettir og nutu

almannatryggingaréttinda þegar þeir urðu

fyrir slysi. Ef krafa er lögð fram hjá stofnun

í öðru EES-ríki, hefur það þó ekki áhrif á

bótarétt samkvæmt reglugerð 1408/71.

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JUDGMENT OF THE COURT

1 February 20081∗

(Invalidity pension rights – free movement of workers – Regulation (EEC) No 1408/71 –

Regulation (EEC) No 574/72)

In Case E-4/07,

REQUEST to the Court under Article 34 of the Agreement between the EFTA States on

the Establishment of a Surveillance Authority and a Court of Justice by Héraðsdómur

Reykjavíkur (Reykjavík District Court), Iceland, in a case pending before it between


and

Gildi-lífeyrissjóður (Gildi Pension Fund)

concerning rules on the free movement of workers within the EEA,

THE COURT,

composed of: Carl Baudenbacher, President, Thorgeir Örlygsson and Henrik Bull (Judge-

Rapporteur), Judges,

Registrar: Skúli Magnússon,

having considered the written observations submitted on behalf of:

– the Plaintiff, represented by Stefán Geir Þórisson, Supreme Court Attorney;

– the Defendant, represented by Hörður Felix Harðarson, Supreme Court Attorney,

acting as Agent, assisted by Tryggvi Þórhallsson, District Court Attorney;

– the Government of Iceland, represented by Sesselja Sigurðardóttir, First Secretary

and Legal Officer, Ministry for Foreign Affairs, acting as Agent;

– the EFTA Surveillance Authority, represented by Arne Torsten Andersen, Senior

Officer, and Lorna Young, Officer, Department of Legal & Executive Affairs, acting

as Agents, assisted by Ólafur Jóhannes Einarsson, Officer, Internal Market Affairs

Directorate; and

– the Commission of the European Communities, represented by Viktor Kreuschitz,

Legal Adviser, and Nicola Yerrell, a member of its Legal Service, acting as Agents,

∗ Language of the Request: Icelandic.

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DÓMUR DÓMSTÓLSINS

1. febrúar 2008*1*

(Réttur til örorkubóta – frjáls för launþega – Reglugerð (EBE) nr . 1408/71 – Reglugerð

(EBE) nr . 574/72)

Mál E-4/07,

BEIÐNI, samkvæmt 34. gr. samningsins milli EFTA-ríkjanna um stofnun eftirlitsstofnunar

og dómstóls, um ráðgefandi álit EFTA-dómstólsins, frá Héraðsdómi Reykjavíkur, í máli

sem þar er rekið


gegn

Gildi-lífeyrissjóði

varðandi reglur um frjálsa för launþega á Evrópska efnahagssvæðinu,

DÓMSTÓLLINN,

skipaður dómurunum Carl Baudenbacher, forseta, Þorgeiri Örlygssyni og Henrik Bull,

framsögumanni,

dómritari: Skúli Magnússon,

hefur, með tilliti til skriflegra greinargerða frá:

stefnanda, í fyrirsvari sem umboðsmaður er Stefán Geir Þórisson, hrl., Reykjavík;-

stefndu, í fyrirsvari sem umboðsmaður er Hörður Felix Harðarson, hrl., Reykjavík og -

honum til aðstoðar er Tryggvi Þórhallsson, hdl., Reykjavík;

ríkisstjórn Íslands, í fyrirsvari er Sesselja Sigurðardóttir, lögfræðingur og -

sendiráðsritari á skrifstofu Evrópumála í utanríkisráðuneytinu;

eftirlitsstofnun EFTA, í fyrirsvari sem umboðsmenn eru Arne Torsten Andersen -

aðalfulltrúi og Lorna Young, fulltrúi á lögfræði- og framkvæmdasviði og þeim til

aðstoðar er Ólafur Jóhannes Einarsson, fulltrúi á sviði innri markaðar; og

framkvæmdastjórn Evrópubandalaganna, í fyrirsvari sem umboðsmenn eru Viktor -

Kreuschitz, lögfræðilegur ráðgjafi og Nicola Yerrell lögfræðingur hjá lagadeildinni,

* Beiðni um ráðgefandi álit á íslensku.

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having regard to the Report for the Hearing,

having heard oral argument of the Plaintiff, represented by Stefán Geir Þórisson, the

Defendant, represented by Hörður Felix Harðarson, the EFTA Surveillance Authority,

represented by Lorna Young, and the Commission of the European Communities,

represented by Nicola Yerrell, at the hearing on 17 October 2007,

gives the following

JUDGMENT

I FACTS AND PROCEDURE

The Plaintiff is an Icelandic mariner who, having lived and worked in the 1

Republic of Iceland (hereinafter “Iceland”), in September 1995 moved to

Denmark where he still resides. He continued to work as a mariner in Denmark,

and paid contributions to a Danish pension fund. On 16 September 1996 the

Plaintiff, while at work on board a Danish fishing vessel, suffered an accident

causing his invalidity. The Plaintiff has been assessed with an invalidity rating

of 75%.

The Plaintiff had accrued rights to pension payments from several Icelandic 2

pension funds at the time of the accident. Pension premiums had been paid to

Lífeyrissjóður Vestfirðinga (the West Fjords Pension Fund) from 1975 to 1987,

to Lífeyrissjóður Austurlands (the Eastern Iceland Pension Fund) from 1991 to

1995, most recently in August 1995, and to the Defendant, then Lífeyrissjóður

sjómanna (the Mariners’ Pension Fund), now Gildi-lífeyrissjóður (Gildi Pension

Fund), from 1969 to 1995, most recently in September 1995.

For his accident, the Plaintiff was awarded a lump-sum payment of DKK 99 3

653.12 from his Danish pension fund. With this pension fund, it appears that

the Plaintiff had not acquired rights to any other benefits for his accident. He

does, however, receive a monthly pension of DKK 1 620 (approximately EUR

210) from the Danish municipality where he lives. In Iceland, since 1 October

1996, the Plaintiff has received invalidity pensions from the pension funds

named above in accordance with his accrued points and the assessment of

his loss of working capacity.

However, on the grounds of failing to meet a condition of having paid 4

contributions to the Defendant for at least six of the 12 months preceding the

accident, the Plaintiff has not been found to have a right to have his invalidity

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með tilliti til skýrslu framsögumanns,

og munnlegs málflutnings umboðsmanns stefnanda, Stefáns Geirs Þórissonar,

umboðsmanns stefndu, Harðar Felix Harðarsonar, fulltrúa eftirlitsstofnunar EFTA, Lorna

Young, og fulltrúa framkvæmdastjórnar Evrópubandalaganna Nicola Yerrell, sem fram

fór 17. október 2007,

kveðið upp svofelldan

DÓM

I MáLSATVIk OG MEðFERð MáLS

1 Stefnandi er íslenskur sjómaður. Hann bjó og starfaði á Íslandi þar til hann flutti til

Danmerkur í september 1995 þar sem hann er enn búsettur. Stefnandi starfaði

áfram sem sjómaður í Danmörku og greiddi iðgjöld í danskan lífeyrissjóð.

Þann 16. september 1996 slasaðist hann við störf á dönsku fiskiskipi og var í

kjölfarið metinn 75% öryrki.

2 Stefnandi hafði áunnið sér rétt til lífeyrisgreiðslna úr nokkrum íslenskum

lífeyrissjóðum á þeim tíma þegar slysið varð. Iðgjöld höfðu verið greidd af

launum stefnanda til Lífeyrissjóðs Vestfirðinga á tímabilinu 1975 til 1987, til

Lífeyrissjóðs Austurlands á árunum 1991 til 1995, síðast fyrir ágústmánuð

1995, og til stefnda í málinu, þá Lífeyrissjóðs sjómanna, nú Gildi-lífeyrissjóðs,

á tímabilinu 1969 til 1995, síðast fyrir septembermánuð 1995.

3 Stefnandi fékk greidda eingreiðslu 99.653,12 danskar krónur í bætur úr danska

lífeyrissjóðnum vegna slyssins og virðist ekki hafa öðlast rétt til frekari bóta af

því tilefni hjá þeim lífeyrissjóði. Hann fær þó greiddan mánaðarlegan lífeyri

að upphæð 1.620 danskar krónur (um það bil 210 evrur) frá sveitarfélaginu

í Danmörku þar sem hann er búsettur. Stefnandi hefur fengið greiddar

örorkubætur frá þeim lífeyrissjóðum á Íslandi sem að framan eru taldir, í

samræmi við stigaeign hans og metna örorku, allt frá 1. október 1996.

4 Stefnandi hefur hins vegar ekki verið talinn eiga rétt á því að örorkubætur hans

séu ákvarðaðar út frá framreiknuðum stigafjölda, þ.e. stigafjölda sem hann

hefði getað áunnið sér í sjóði stefnda hefði hann áfram átt aðild að sjóðnum

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pension calculated on the basis of projected points, i.e. pension points that

he would have been able to accrue with the Defendant, had he remained a

member of that pension fund and continued working until reaching the age of

retirement. The dispute between the parties concerns this right to projection

of entitlements.

The Plaintiff has brought an action before Héraðsdómur Reykjavíkur and 5

demanded such payment from the Defendant. He bases his claim on the

view that he is entitled to an invalidity pension with account taken of projected

pension points with the Defendant, since the rules of the fund regarding

projection and the relevant provisions of the Agreement on Relations between

the Icelandic Pension Funds infringe provisions of the Agreement on the

European Economic Area (hereinafter the “EEA Agreement” or “EEA”) on the

free movement of workers, in particular Articles 28 and 29 and the rules based

thereon.

By a letter dated 19 March 2007, registered at the EFTA Court on 26 March 6

2007, Héraðsdómur Reykjavíkur put a request to the Court for an Advisory

Opinion on the following three questions:

1 . Does the term ‘social security’ as it is to be understood under the EEA

Agreement, and in particular Article 29 of the main text of the Agreement and

Council Regulation (EEC) No 1408/71 of 14 June 1971 on the application

of social security schemes to employed persons, to self-employed persons

and to members of their families moving within the Community, cover the

entitlement to invalidity benefit that arises in pension fund schemes such

as the Icelandic one?

2. Whether or not the answer to Question 1 is in the affirmative, the District

Court asks whether the provisions of the EEA Agreement on the free

movement of workers, and in particular Articles 28 and 29, can be interpreted

as meaning that a rule in the Articles of Association of Icelandic pension

funds which makes the right to a specific benefit (the right to projection of

entitlements) subject to the condition that the individual involved has paid

premiums to an Icelandic pension fund that is a party to the Agreement

on Relations between the Pension Funds, for at least 6 of the 12 months

preceding the date of an accident, is compatible with the EEA Agreement

when the reason why the individual is unable to meet this condition is that he

has moved to another State within the EEA in order to pursue employment

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og starfað fram að eftirlaunaaldri, þar sem hann uppfyllir ekki það skilyrði að

hafa greitt iðgjöld til stefnda í að minnsta kosti sex mánuði af undanfarandi

tólf mánuðum fyrir slysdag. Ágreiningur málsaðila snýst um umræddan rétt til

framreiknings.

5 Stefnandi höfðaði mál fyrir Héraðsdómi Reykjavíkur og gerði kröfu um greiðslur

úr sjóði stefnda á grundvelli framreiknings. Hann heldur því fram kröfum sínum

til stuðnings, að hann eigi rétt á örorkubótum sem taki mið af framreiknuðum

stigafjölda. Reglur sjóðsins um framreikning og ákvæði í samkomulagi um

samskipti lífeyrissjóða brjóti í bága við ákvæði samningsins um Evrópska

efnahagssvæðið (hér eftir EES-samningur eða EES) um frjálsa för launþega,

einkum ákvæði 28. og 29. gr. EES og reglur sem á þeim byggja.

6 Með bréfi, dagsettu 19. mars 2007, skráðu í málaskrá EFTA-dómstólsins

26. mars 2007, óskaði Héraðsdómur Reykjavíkur eftir ráðgefandi áliti varðandi

eftirfarandi þrjár spurningar:

1 . Nær hugtakið almannatryggingar, eins og það ber að skilja samkvæmt

EES-samningnum, einkum 29 . gr . meginmáls samningsins og reglugerð nr .

1408/71 frá 14 . júní 1971, um beitingu almannatryggingareglna gagnvart

launþegum, sjálfstætt starfandi einstaklingum og aðstandendum þeirra

sem flytjast á milli aðildarríkja, til réttinda til örorkubóta, sem myndast í

lífeyrissjóðakerfi eins og því íslenska?

2 . Hvort heldur svarið við spurningu nr . 1 er játandi eða ekki, þá er spurt hvort

ákvæði EES-samningsins um frjálsa för launþega, einkum 28 . og 29 . gr .,

verði skýrð svo, að regla í samþykktum íslenskra lífeyrissjóða, sem gerir

það að skilyrði fyrir tilteknum bótarétti (svokölluðum framreikningsrétti), að

launþegi greiði iðgjöld til íslensks lífeyrissjóðs, sem er aðili að samkomulagi

um samskipti lífeyrissjóða, í að minnsta kosti 6 af síðustu 12 mánuðum

fyrir slys, fái staðist ákvæði EES-samningsins, þegar ástæða þess að

einstaklingurinn uppfyllir ekki skilyrði er sú, að hann hafði flust til annars

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comparable to that which he pursued previously, and he has paid into a

pension fund in that State?

3 . Is Council Regulation (EEC) No 1408/71 of 14 June 1971, on the application


and to members of their families moving within the Community, to be

interpreted as meaning that workers are to present their compensation

claims in the state in which they were resident and in which they had social

security entitlements at the time of their injury?

II LEGAL BACkGROUND

National Law

According to Icelandic law, workers are obliged to belong to a pension fund 7

which as a main principle shall be the pension fund of their respective occupation

or workers’ group. Icelandic pension funds are in general established on the

basis of agreements between workers’ and employers’ organisations, but

certain funds are governed by special legislation. In the event of loss of working

capacity, fund members are entitled to an invalidity benefit.

The Mariners’ Pension Fund (hereinafter also the “MPF”) was established 8

by special legislation, Act No 78/1970. The Act provided detailed instructions

for the fund including provisions which made invalidity pensions based on

projected rights mandatory. These rules were upheld when the 1970 Act was

replaced by Act No 49/1974 on the MPF (hereinafter “the 1974 Act”).

The 1974 Act was later replaced by Act No 94/1994 on the MPF (hereinafter 9

“the 1994 Act”) which was in force at the time of the Plaintiff’s accident. The Act

laid down general rules on the organisation and the objectives of the fund. It

stipulated that all mariners hired on board Icelandic vessels were in general to

be members of the fund. However, mariners could apply for a permission from

the Minister of Finance to remain outside the fund. In order to qualify for an

exemption they had to fulfil their insurance obligation by paying contributions

to the respective regional fund. The Act left the content of most rights and

entitlements to be laid down in a ‘regulation’ decided upon by the board of

the fund and approved by the workers’ and employers’ organisations and

the Minister of Finance. Thus it was left to the ‘regulation’ to provide rules on

whether invalidity pensions should be awarded on the basis not only of the

contributions already made (accrued rights) but also of contributions which

the member would have paid had he or she continued to be a member until

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ríkis innan Evrópska efnahagssvæðisins til að stunda þar sambærileg störf

og áður og greitt í þarlendan lífeyrissjóð .

3 . Ber að túlka reglugerð nr . 1408/71 frá 14 . júní 1971, um beitingu

almannatryggingareglna gagnvart launþegum, sjálfstætt starfandi

einstaklingum og aðstandendum þeirra sem flytjast á milli aðildarríkja, svo

að launþegum beri að bera fram kröfur sínar um bætur í því landi þar sem

þeir eru búsettir og nutu almannatryggingaréttinda þegar þeir slasast .

II LöGGJöF

Landsréttur

7 Samkvæmt íslenskum lögum er launþegum skylt að eiga aðild að lífeyrissjóði,

sem að meginstefnu til skal vera lífeyrissjóður viðkomandi starfsstéttar eða

launþegasamtaka. Íslenskir lífeyrissjóðir eru almennt stofnaðir á grundvelli

samninga samtaka launafólks og atvinnurekenda en ákveðnir sjóðir starfa

þó á grundvelli sérlaga. Verði sjóðsfélagar fyrir orkutapi, eiga þeir rétt á

örorkubótum.

8 Lífeyrissjóður sjómanna var settur á fót með sérstökum lögum, þ.e. lögum nr.

78/1970. Í lögunum voru ítarleg ákvæði um sjóðinn sem m.a. lögbundu réttinn

til örorkubóta á grundvelli framreiknings. Þessar reglur voru áfram í lögum nr.

49/1974 um Lífeyrissjóð sjómanna (hér eftir lög nr. 49/1974), sem komu í stað

laganna frá 1970.

9 Lögin frá 1974 voru leyst af hólmi með lögum nr. 94/1994 um Lífeyrissjóð

sjómanna sem í gildi voru á þeim tíma þegar stefnandi varð fyrir slysinu (hér

eftir lög nr. 94/1994). Í lögunum voru almennar reglur um skipulag og markmið

sjóðsins. Samkvæmt þeim var meginreglan sú að allir sjómenn sem ráðnir

voru á íslensk skip áttu að vera félagar í sjóðnum. Sjómenn gátu þó sótt um

undanþágu frá aðildarskyldunni til fjármálaráðherra, en slík undanþága var

því aðeins veitt, að tryggingaskyldunni væri fullnægt með greiðslu iðgjalds

til lífeyrissjóðs viðkomandi byggðarlags. Samkvæmt lögunum skyldi inntak

réttinda fara samkvæmt reglugerð sem stjórn sjóðsins semdi og staðfest væri

af samtökum launþega og atvinnurekenda og af fjármálaráðherra. Það þurfti

því að ákveða með reglugerðinni hvort reikna bæri örorkubætur þannig, að

ekki væri aðeins miðað við greidd framlög (uppsöfnuð réttindi) heldur einnig

framlög sem viðkomandi sjóðfélagi hefði greitt ef hann hefði átt aðild að sjóðnum

fram að eftirlaunaaldri (framreiknuð réttindi). Samkvæmt upplýsingum frá

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the age of retirement (projected rights). According to information submitted

by the parties during the oral hearing, most, if not all, Icelandic pension funds

offered invalidity pensions which included pensions based on projected rights.

This included the MPF, to which the Plaintiff belonged immediately before he

moved from Iceland, and which at the time was the only pension fund for

mariners.

According to the ‘regulation’ of the MPF which was in force at the time of the 10

Plaintiff’s accident, a fund member who suffered a loss of working capacity

of 40% or more was entitled to an invalidity pension from the fund based on

projection, provided that he had (a) paid premiums to the fund for at least three

of the preceding four calendar years and accrued not less than one point for

each of the years; (b) paid premiums to the fund for at least 6 months and for

at least 100 days during the preceding 12 months; and (c) suffered a reduction

of income as a result of the loss of working capacity.

The ‘regulation’ of the MPF did not provide for contributions, paid to funds 11

to which a member had belonged previously, to be taken into account when

determining whether the conditions for an invalidity pension based on projected

rights were fulfilled. However, an agreement of 14 December 1983 on the

relations between the pension funds, to which the MPF was a party, provided

for such a right, subject to certain conditions, for persons moving between

funds which were parties to the agreement.

The 1994 Act also left it to the ‘regulation’ to lay down the contributions to be 12

paid by employees and employers who were members of the fund. According

to information offered by the parties during the oral hearing, it seems that

funds which offered invalidity pensions based on projected rights did not give

their members a right to opt for invalidity pensions based on accrued rights

only against lower contributions.

The 1994 Act was replaced by Act No 45/1999 on the MPF. Act No 45/1999 was 13

repealed by Act No 137/2004 which stipulates that as from 1 January 2005, the

Defendant is governed by the Pension Act No 129/1997. The Pension Act lays

down general rules on the operation of pension funds in Iceland. Article 15(2)

of the Act states that invalidity pension rights are to be projected in accordance

with the rules specified in further detail in the Articles of Association of the

pension funds, provided that the member in question has paid into a fund for

at least three of the preceding four years, including at least six months of the

preceding twelve-month period.

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málsaðilum við munnlega meðferð málsins greiddu flestir, ef ekki allir, íslenskir

lífeyrissjóðir örorkubætur á grundvelli framreiknaðra réttinda á þeim tíma sem

slys stefnanda varð. Það átti einnig við um Lífeyrissjóð sjómanna, sem þá

var eini lífeyrissjóður sjómanna og stefnandi var félagi í þegar hann flutti frá

Íslandi.

10 Samkvæmt reglugerð Lífeyrissjóðs sjómanna, sem var í gildi þegar stefnandi

varð fyrir slysinu, átti sjóðfélagi sem varð fyrir orkutapi sem svaraði til 40%

örorku eða meira rétt á örorkubótum úr sjóðnum á grundvelli framreiknings

að tilteknum skilyrðum uppfylltum. Þau voru að hann hefði: a) greitt iðgjöld

til sjóðsins a.m.k. þrjú af undanfarandi fjórum almanaksárum og áunnið sér

ekki minna en eitt stig hvert þessara ára; b) greitt iðgjöld til sjóðsins í a.m.k. 6

mánuði og að lágmarki 100 daga á undanfarandi 12 mánuðum; og c) orðið fyrir

tekjuskerðingu af völdum orkutapsins.

11 Í reglugerðinni var ekki mælt fyrir um að taka bæri tillit til framlaga sem sjóðfélagi

hafði greitt í lífeyrissjóði sem hann hafði áður verið aðili að, við mat á því hvort

skilyrði til örorkubóta á grundvelli á framreiknings væru uppfyllt. Samkomulag

um samskipti lífeyrissjóða frá 14. desember 1983, sem stefnandi var aðili að,

veitti hins vegar einstaklingum sem fluttu sig milli sjóða sem voru aðilar að

samkomulaginu slíkan rétt að ákveðnum skilyrðum uppfylltum.

12 Lög nr. 94/1994 mæltu ekki fyrir um framlög til sjóðsins en í reglugerð um

sjóðinn voru ákvæði um þau framlög sem launþegum og atvinnurekendum bar

að greiða. Samkvæmt upplýsingum sem fram komu við munnlega meðferð

málsins virðast sjóðir sem greiddu örorkubætur á grundvelli framreiknings ekki

hafa gefið sjóðfélögum kost á að velja bætur byggðar á áunnum réttindum

eingöngu, gegn því að greiða lægri iðgjöld.

13 Lög nr. 94/1994 voru leyst af hólmi með lögum nr. 45/1999 um Lífeyrissjóð

sjómanna. Þau lög voru numin úr gildi með lögum nr. 137/2004 sem kveða

á um, að frá og með 1. janúar 2005 skuli stefndi starfa á grundvelli laga um

skyldutryggingu lífeyrisréttinda og starfsemi lífeyrissjóða nr. 129/1997. Í þeim

lögum eru almennar reglur um starfsemi lífeyrissjóða á Íslandi. Samkvæmt 2.

mgr. 15. gr. laganna skulu örorkubætur framreiknaður samkvæmt reglum sem

nánar er kveðið á um í samþykktum lífeyrissjóða, enda hafi sjóðfélagi greitt

til lífeyrissjóðs í a.m.k. þrjú ár á undanfarandi fjórum árum, þar af a.m.k. sex

mánuði á síðasta tólf mánaða tímabili.

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It is undisputed among the parties that the Plaintiff’s case falls to be assessed 14

under the 1994 Act.

EEA Law

15 Article 28(1) EEA reads:

Freedom of movement for workers shall be secured among EC Member States

and EFTA States .

16 Article 29 EEA reads:

In order to provide freedom of movement for workers and self-employed

persons, the Contracting Parties shall, in the field of social security, secure,

as provided for in Annex VI, for workers and self-employed persons and their

dependants, in particular:

(a) aggregation, for the purpose of acquiring and retaining the right to benefit

and of calculating the amount of benefit, of all periods taken into account

under the laws of the several countries;

(b) payment of benefits to persons resident in the territories of Contracting

Parties .

17 Council Regulation (EEC) No 1408/71 of 14 June 1971 on the application


and to members of their families moving within the Community (hereinafter

“Regulation 1408/71”) is referred to at point 1 of Annex VI to the EEA

Agreement. Unless otherwise indicated, the following provisions are quoted

with the wording applicable, subject to Protocol 1 of the EEA Agreement and

the adaptations contained in Annex VI, at the time of the Plaintiff’s accident.

18 Under Title I General provisions, Article 1 Definitions, item (j):

legislation means in respect of each Member State statutes, regulations and

other provisions and all other implementing measures, present or future,

relating to the branches and schemes of social security covered by Article 4 (1)

and (2) or those special non-contributory benefits covered by Article 4 (2a).

The term excludes provisions of existing or future industrial agreements,

whether or not they have been the subject of a decision by the authorities

rendering them compulsory or extending their scope . However, in so far as

such provisions:

(i) serve to put into effect compulsory insurance imposed by the laws and

regulations referred to in the preceding subparagraph; or

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14 Ágreiningslaust er með málsaðilum, að um rétt stefnanda fer samkvæmt lögum

nr. 94/1994.

EES-réttur

15 Ákvæði 1. mgr. 28. gr. EES er svohljóðandi:

Frelsi launþega til flutninga skal vera tryggt í aðildarríkjum EB og EFTA-

ríkjum .

16 Ákvæði 29. gr. EES er svohljóðandi:

Til að veita launþegum og sjálfstætt starfandi einstaklingum frelsi til flutninga

skulu samningsaðilar á sviði almannatrygginga, í samræmi við VI . viðauka,

einkum tryggja launþegum og sjálfstætt starfandi einstaklingum og þeim sem

þeir framfæra að:

a) lögð verði saman öll tímabil sem taka ber til greina samkvæmt lögum hinna

ýmsu landa til að öðlast og viðhalda bótarétti, svo og reikna fjárhæð bóta;

b) bætur séu greiddar fólki sem er búsett á yfirráðasvæðum samningsaðila.

17 Í 1. lið VI. viðauka við EES-samninginn er vísað í reglugerð ráðsins (EBE)

nr. 1408/71 frá 14. júní 1971 um beitingu almannatryggingareglna gagnvart

launþegum, sjálfstætt starfandi einstaklingum og aðstandendum þeirra sem

flytjast milli aðildarríkja (hér eftir reglugerð 1408/71). Tilvísanir í ákvæði hér

á eftir, með fyrirvara um bókun 1 við EES-samninginn og aðlögunarliði í

VI. viðauka, eru byggðar á ákvæðunum eins og þau voru á þeim tíma sem

stefnandi varð fyrir slysinu, nema annað sé tekið fram.

18 I. bálkur, Almenn ákvæði,1. gr., Skilgreiningar, j-liður:

löggjöf: að því er varðar sérhvert aðildarríki, gildandi lög, reglugerðir

og önnur ákvæði ásamt síðari breytingum aðildarríkis um framkvæmd

almannatryggingareglna sem 1 . og 2 . mgr . 4 . gr . ná til eða sérstakar bætur

sem eru ekki iðgjaldsskyldar og fjallað er um í 2 . mgr . a í 4 . gr .;

Undir þetta falla ekki ákvæði gildandi eða komandi kjarasamninga, óháð því

hvort yfirvöld hafa ákveðið að gera þau skyldubundin eða víkka gildissvið

þeirra . Ef slík ákvæði:

i) hafa verið notuð til að koma á skyldutryggingu þeirri sem kveðið er á um í

þeim lögum og reglugerðum sem um getur í undanfarandi undirgrein, eða

- 19 -- 10 -

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(ii) set up a scheme administered by the same institution as that which

administers the schemes set up by the laws and regulations referred to in

the preceding subparagraph,

the limitation on the term may at any time be lifted by a declaration of the

Member State concerned specifying the schemes of such a kind to which

this Regulation applies. Such a declaration shall be notified and published in

accordance with the provisions of Article 97 .

[…]

19 Under Title I General provisions, Article 1 Definitions, item (r):

periods of insurance means periods of contribution or period of employment

or self-employment as defined or recognized 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 the said legislation as

equivalent to periods of insurance;

20 Under Title I General provisions, Article 4 Matters covered, paragraph 1(b) and

(e):

This regulation shall apply to all legislation concerning the following branches

of social security:

[…]

(b) invalidity benefits, including those intended for the maintenance

improvement of earning capacity;

[…]

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

21 Under Title I General provisions, Article 5 Declarations by the Member States

on the scope of this Regulation:

The Member States shall specify the legislation and schemes referred to

in Article 4 (1) and (2) […] in declarations to be notified and published in

accordance with Article 97 .

22 Point I(b) of Iceland’s original Declaration pursuant to Article 5 (OJ C 398 of

31.12.1994 p. 10):

Invalidity benefits:

[…]

Act on the Seamen’s Pension Fund (49/1974 with later amendments)

[…]

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ii) hafa falið í sér fyrirmæli um að komið sé á fót kerfi undir stjórn sömu

stofnunar og kveðið er á um í þeim lögum og reglugerðum sem um getur í

undanfarandi undirgrein,

má hins vegar afnema þessa takmörkun hvenær sem er með yfirlýsingu

hlutaðeigandi aðildarríkis, þar sem fram kemur hvaða tryggingakerfi

reglugerðinni er ætlað að ná til. Gefa skal út tilkynningu um slíka yfirlýsingu og

hún birt samkvæmt ákvæðum 97 . gr .

[ . . .]

19 I. bálkur, Almenn ákvæði, 1. gr., Skilgreiningar, r-liður:

tryggingatímabil: iðgjaldatímabil eða starfstímabil launþega eða sjálfstætt

starfandi einstaklings eins og það er skilgreint eða viðurkennt sem

tryggingatímabil, samkvæmt þeirri löggjöf sem í gildi var þegar þeim var lokið

eða var talið lokið, og að auki öll tímabil sem farið er með sem slík þar sem þau

í téðri löggjöf eru talin jafngilda tryggingatímabilum;

20 I. bálkur, Almenn ákvæði, 4. gr., Tryggingaflokkar, 1. mgr., b- og e-liður:

Reglugerð þessi nær til löggjafar um eftirfarandi flokka almannatrygginga:

[ . . .]

b) örorkubætur að meðtöldum bótum sem ætlaðar eru til að viðhalda eða

auka möguleika á tekjuöflun;

[ . . .]

e) bætur vegna vinnuslysa og atvinnusjúkdóma;

21 I. bálkur, Almenn ákvæði, 5. gr., Yfirlýsingar aðildarríkjanna um gildissvið

þessarar reglugerðar:

Aðildarríkin skulu, í opinberum auglýsingum sem ber að tilkynna og birta í

samræmi við 97. gr., tilgreina löggjöf og kerfi sem um getur í 1. og 2. mgr. 4.

gr . [ . . .] .

22 Liður I b í upprunalegri yfirlýsingu Íslands á grundvelli 5. gr. (Stjtíð. EB C 398,

31.12.1994, bls. 10):

b) Bætur vegna örorku:

[ . . .]

Lög um lífeyrissjóð sjómanna (49/1974 með síðari breytingum)

[ . . .]

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23 Point I(b) in the later Declaration made by Iceland pursuant to Article 5 (OJ

C 135 of 2.6.2005 p. 11):

Invalidity benefits:

[…]

The Pension Act No 129/1997 with later amendments

[…]

The Act on the Seamen Pension Fund No 45/1999 with later amendments

[…]

24 Under Title I General provisions, Article 10 Waiving of residence clauses –

Effect of compulsory insurance on reimbursement of contributions, paragraph 1:

Save as otherwise provided in this Regulation invalidity, old-age or survivors’

cash benefits, pension for accidents at work or occupational diseases and

death grants acquired under the legislation of one or more Member States

shall not be subject to any reduction, modification, suspension, withdrawal or

confiscation by reason of the fact that the recipient resides in the territory of a

Member State other than that in which the institution responsible for payment

is situated .

[…]

25 Under Title III Special provisions relating to the various categories of benefits,

Chapter 2 Invalidity, Section 2 Employed persons or self-employed persons

subject either only to legislation under which the amount of invalidity benefit

depends on the duration of periods of insurance or residence or the legislation

of this type and of the type referred to in Section 1:

Article 40 General provisions, paragraph 1:

An employed person or a self-employed person who has been successively or

alternately subject to the legislation of two or more Member States, of which

at least on is not of the type referred to in Article 37 (1), shall receive benefits

under the provisions of Chapter 3, which shall apply mutatis mutandis […] .

26 Under Title III Special provisions relating to the various categories of benefits,

Chapter 3 Old age and death (pensions):

Article 44 General provisions for the award of benefits where an employed

or self-employed person has been subject to the legislation of two or more

Member States, paragraph 1:

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23 Liður I b í síðari yfirlýsingu Íslands á grundvelli 5. gr. (Stjtíð. EB C 135, 2.6.2005,

bls. 11):

b) Örorkubætur:

[ . . .]

Lög um skyldutryggingu lífeyrisréttinda og starfsemi lífeyrissjóða nr . 129/1997,

með áorðnum breytingum

[ . . .]

Lög um Lífeyrissjóð sjómanna nr . 45/1999, með áorðnum breytingum

24 I. bálkur, Almenn ákvæði, 10. gr., Eftirgjöf á skilyrðum um búsetu – Áhrif

skyldutryggingar á endurgreiðslu iðgjalda, 1. mgr.:

Hafi réttur til peningagreiðslna vegna örorku-, elli- eða eftirlifendabóta eða til

lífeyris vegna vinnuslysa eða atvinnusjúkdóma og styrkja vegna andláts verið

áunninn samkvæmt löggjöf eins eða fleiri aðildarríkja, skulu þessar greiðslur

ekki lækka, breytast, stöðvast tímabundið, falla niður eða vera gerðar upptækar

af þeirri ástæðu að viðtakandi hafi búsetu í öðru aðildarríki en því þar sem

stofnun sú sem ber ábyrgð á greiðslum er staðsett, nema kveðið sé á um

annað í þessari reglugerð .

[ . . .]

25 III. bálkur, Sérákvæði um ýmsa bótaflokka, 2. kafli, Örorka, 2. þáttur, Launþegar

eða sjálfstætt starfandi einstaklingar sem heyra annað hvort eingöngu undir

löggjöf sem gerir ráð fyrir því að fjárhæð örorkubóta fari eftir lengd trygginga-

eða búsetutímabila eða sem heyra bæði undir slíka löggjöf og þá sem getið er

um í 1 . þætti:

40. gr., Almenn ákvæði, 1. mgr.:

Launþegi eða sjálfstætt starfandi einstaklingur sem hefur samfellt eða sitt á

hvað heyrt undir löggjöf tveggja eða fleiri aðildarríkja, og minnst ein þeirra er

annars eðlis en sú sem um getur í 1 . mgr . 37 . gr ., skal fá bætur samkvæmt

ákvæðum 3. kafla, sem skal gilda að breyttu breytanda [...].

26 III. bálkur, Sérákvæði um ýmsa bótaflokka, 3. kafli, Elli og andlát (lífeyrir):

44. gr., Almenn ákvæði um greiðslu bóta þegar launþegi eða sjálfstætt starfandi

einstaklingur hefur heyrt undir löggjöf tveggja eða fleiri aðildarríkja, 1. mgr.:

- 23 -- 12 -

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The rights to benefits of an employed or self-employed person who has been

subject to the legislation of two or more Member States […] shall be determined

in accordance with this Chapter .

Article 45 Consideration of periods of insurance or of residence completed

under the legislations to which an employed person or self-employed person

was subject, for the acquisition, retention or recovery of the right to benefits,

paragraphs 1 and 5:

1 . Where the legislation of a Member State makes the acquisition, retention

or recovery of the right to benefits, under a scheme which is not a special

scheme within the meaning of paragraph 2 or 3, subject to the completion

of periods of insurance or of residence, the competent institution of that

Member State shall take account, where necessary, of the periods of

insurance or of residence completed under the legislation of any other

Member State, be it under a general scheme or under a special scheme

and either as an employed person or a self-employed person . For that

purpose, it shall take account of these periods as if they had completed

under its own legislation .

[…]

5 . Where the legislation of a Member State makes the acquisition, retention

or recovery of the right to benefits conditional upon the person concerned

being insured at the time of the materialization of the risk, this condition

shall be regarded as having been satisfied in the case of insurance under

the legislation of another Member State, in accordance with the procedures

provided in Annex VI for each Member State concerned .

Article 46 Award of benefits, paragraph 2:

Where the conditions required by the legislation of a Member State for

entitlement to benefits are satisfied only after application of Article 45 and or

Article 40 (3), the following rules shall apply:

(a) the competent institution shall calculate the theoretical amount of the

benefit to which the person concerned could lay claim provided all periods

of insurance and/or of residence, which have been completed under the

legislation of the Member States to which the employed person or self-

employed person was subject, have been completed in the State in question

under the legislation which it administers on the date of the award of the

benefit. If, under this legislation, the amount of the benefit is independent

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Hafi launþegi eða sjálfstætt starfandi einstaklingur heyrt undir löggjöf tveggja

eða fleiri aðildarríkja skal ákvarða bótarétt hans [...] samkvæmt ákvæðum

þessa kafla.

45. gr., Mat á trygginga- eða búsetutímabilum sem launþegi eða sjálfstætt

starfandi einstaklingur hefur lokið til að öðlast, viðhalda eða endurheimta

bótarétt samkvæmt löggjöf sem hann hefur heyrt undir, 1. og 5. mgr.:

1 . Þegar löggjöf aðildarríkis setur það skilyrði fyrir rétti einstaklings til að

öðlast, viðhalda eða endurheimta bætur eftir kerfi, sem er ekki sérstakt

bótakerfi í skilningi 2. eða 3. mgr., að trygginga- eða búsetutímabilum sé

lokið, skal þar til bær stofnun þess aðildarríkis taka til greina, að því marki

sem nauðsynlegt er, trygginga- eða búsetutímabil sem lokið er samkvæmt

löggjöf annars aðildarríkis, hvort heldur sem það er gert eftir almennu

kerfi eða sérstöku bótakerfi og hvort heldur um er að ræða launþega eða

sjálfstætt starfandi einstakling . Með það í huga skal hún taka tillit til þessara

tímabila eins og þeim hefði verið lokið samkvæmt þeirri löggjöf sem hún

starfar eftir .

[ . . .]

5 . Þegar löggjöf aðildarríkis setur það skilyrði fyrir rétti einstaklings til að

öðlast, viðhalda eða endurheimta bætur að hlutaðeigandi einstaklingur sé

tryggður á þeim tíma er áhættan kemur fram skal litið svo á að því skilyrði

hafi verið fullnægt, enda sé viðkomandi tryggður samkvæmt löggjöf annars

aðildarríkis, í samræmi við reglur sem eru settar fyrir hvert aðildarríki í VI .

viðauka .

46. gr., Úthlutun bóta, 2. mgr.:

Verði skilyrðum sem eru sett í löggjöf aðildarríkis vegna bótaréttar einungis

fullnægt með því að beita ákvæðum 45 . gr . og/eða 3 . mgr . 40 . gr . gilda

eftirfarandi reglur:

a) þar til bær stofnun skal reikna út þá viðmiðunarfjárhæð bóta sem

viðkomandi gæti krafist ef öllum trygginga og/eða búsetutímabilum, sem

hefur verið lokið samkvæmt löggjöf þeirra aðildarríkja sem launþegi eða

sjálfstætt starfandi einstaklingur heyrði undir, hefði verið lokið í umræddu

ríki og samkvæmt þeirri löggjöf er stofnunin starfar eftir á þeim degi þegar

bótum er úthlutað . Ef bótafjárhæðin er samkvæmt þeirri löggjöf óháð lengd

- 25 -- 13 -

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of the duration of the periods completed, the amount shall be regarded as

being the theoretical amount referred to in this paragraph;

(b) the competent institution shall subsequently determine the actual amount

of the benefit on the basis of the theoretical amount referred to in the

preceding paragraph in accordance with the ratio of the duration of the

periods of insurance or of residence completed before the materialization of

the risk under the legislation which it administers to the total duration of the

periods of insurance and of residence completed before the materialization

of the risk under the legislations of all the Member States concerned .

27 Under Title VI Miscellaneous provisions:

Article 86 Claims, declarations or appeals submitted to an authority, institution

or tribunal of a Member State other than the competent State, paragraph 1:

Any claim, declaration or appeal which should have been submitted, in order

to comply with the legislation of one Member State, within a specified period

to an authority, institution or tribunal of that State shall be admissible if it is

submitted within the same period to a corresponding authority, institution or

tribunal of another Member State . In such a case the authority, institution, or

tribunal receiving the claim, declaration or appeal shall forward it without delay

to the competent authority, institution or tribunal of the former State either

directly or through the competent authorities of the Member State concerned .

The date on which such claims, declarations or appeals were submitted to the

authority, institution or tribunal of the Second State shall be considered as the

date of their submission to the competent authority, institution or tribunal .

28 As referred to at point 1, adaptation (t), cf. originally adaptation (n), of Annex

VI to the EEA Agreement, the following has been added to Annex VI Special

procedures for applying the legislations of certain Member States to Regulation

1408/71 (cf. Article 89 of the Regulation), as regards Iceland, under point ZA,

cf. previously point P, originally point O:

Where employment or self-employment in Iceland has terminated and the

contingency occurs during employment or self-employment in another State

to which this Regulation applies and where the disability pension of both the

social security and the supplementary pension schemes (pension funds)

in Iceland no longer includes the period between the contingency and the

pensionable age (future periods), periods of insurance under the legislation of

another State to which this Regulation applies shall be taken into consideration

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lokinna tímabila skal litið svo á að hún sé viðmiðunarfjárhæðin sem um

getur í þessum staflið;

b) þar til bær stofnun skal síðan ákvarða raunverulegu bótafjárhæðina á

grundvelli þeirrar viðmiðunarfjárhæðar sem um getur í undanfarandi

staflið eftir hlutfallinu á milli lengdar trygginga- eða búsetutímabila, sem

var lokið samkvæmt löggjöf stofnunarinnar áður en áhættan kom fram, og

heildarlengdar trygginga- eða búsetutímabila sem var lokið samkvæmt

löggjöf allra hlutaðeigandi aðildarríkja áður en áhættan kom fram .

27 VI. bálkur, Ýmis ákvæði:

86. gr., Kröfur, yfirlýsingar eða áfrýjanir sem lagðar eru fyrir yfirvöld, stofnun

eða dómstól í aðildarríki öðru en hinu lögbæra ríki, 1. mgr.:

Allar kröfur, yfirlýsingar eða áfrýjanir sem samkvæmt löggjöf aðildarríkis hefði

átt að leggja fram við yfirvöld, stofnun eða dómstól í því aðildarríki innan tiltekins

tíma skulu taldar gildar ef gögnin eru lögð fram innan sama tíma við yfirvöld,

stofnun eða dómstól í öðru aðildarríki. Í slíku tilviki skulu yfirvöld, stofnun eða

dómstóll, sem veita viðtöku kröfu, yfirlýsingu eða áfrýjun, framsenda þar til

bæru yfirvaldi, stofnun eða dómstól fyrra ríkisins þessi gögn tafarlaust, ýmist

beint eða fyrir milligöngu lögbærra yfirvalda í hlutaðeigandi aðildarríki. Sá dagur

þegar slíkar kröfur, yfirlýsingar eða áfrýjanir eru lagðar fyrir yfirvöld, stofnun

eða dómstól í síðara aðildarríkinu telst vera eiginlegur skiladagur gagnanna til

lögbærra yfirvalda, stofnunar eða dómstóls.

28 Eins og vísað er til í 1. lið í aðlögunarlið (t), upphaflega undir aðlögunarlið (n)

í VI. viðauka við EES-samninginn, hefur eftirfarandi verið bætt við VI. viðauka,

Sérstök tilhögun við framkvæmd á löggjöf tiltekinna aðildarríkja, við reglugerð

1408/71 (sbr. 89. gr. reglugerðarinnar) í aðlögunarlið ZA, hvað Ísland varðar,

sbr. fyrri aðlögunarlið (P), upphaflega aðlögunarlið (O):

Hafi launaðri vinnu eða sjálfstæðri atvinnustarfsemi verið lokið á Íslandi, og

tilvikið verður þegar launuð vinna eða sjálfstæð atvinnustarfsemi er stunduð í

öðru ríki sem reglugerðin tekur til og þar sem örorkulífeyrir, bæði samkvæmt

almannatryggingakerfinu og viðbótarlífeyriskerfinu (lífeyrissjóðir), á Íslandi

felur ekki lengur í sér tímabilið frá því að tilvik kemur fram og fram að því að

lífeyrisaldri er náð (tímabil sem ekki er liðið), skal tekið tillit til tryggingatímabila

sem falla undir löggjöf annars ríkis sem reglugerðin tekur til að því er varðar

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for the requirement of the future periods as if they were periods of insurance in

Iceland .

29 Council Regulation (EEC) No 574/72 of 21 March 1972 laying down the

procedure for implementing Regulation (EEC) No 1408/71 on the application


and to their families moving within the Community (hereinafter “Regulation

574/72”) is referred to at point 2 of Annex VI to the EEA Agreement. Unless

otherwise indicated, the following provisions are quoted with the wording

applicable, subject to Protocol 1 of the EEA Agreement and the adaptations

contained in Annex VI, at the time of the Plaintiff’s accident.

30 Under Title IV Implementation of the special provisions of the Regulation

relating to the various categories of benefits, Chapter 3 Invalidity, old-age and

death (pensions), the Section on Submission and investigation of claims for

benefits:

Article 36 Claims for old-age and survivors’ benefits (excluding orphans’

benefits) and invalidity benefits in cases not referred to in Article 35 of the

implementing Regulation:

1. In order to receive benefits under Articles 40 to 51 of the Regulation, except

in the cases referred to in Article 35 of the implementing Regulation, the

person concerned shall submit a claim to the institution of the place of

residence in accordance with the procedure provided for by the legislation

administered by that institution . If the employed or self-employed person

has not been subject to that legislation, the institution of the place of

residence shall forward the claim to the institution of the Member State

to whose legislation he was last subject, indicating the date on which the

claim was submitted . That date shall be regarded as the date on which the

claim was submitted to the latter institution .

2 . Where a claimant resides in the territory of a Member State to whose

legislation the employed or self-employed person has not been subject,

he may submit his claim to the institution of the Member State to whose

legislation the employed or self-employed person was last subject .

[…]

4. A claim for benefits sent to the institution of one Member State shall

automatically involve the concurrent award of benefits under the legislation

of all the Member States in question whose conditions the claimant satisfies

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kröfuna um tímabil sem ekki er liðið eins og um væri að ræða tryggingatímabil

á Íslandi .

29 Vísað er til reglugerðar ráðsins (EBE) nr. 574/72 frá 21. mars 1972 sem

kveður á um framkvæmd reglugerðar (EBE) nr. 1408/71 um beitingu

almannatryggingareglna gagnvart launþegum, sjálfstætt starfandi einstaklingum

og aðstandendum þeirra sem flytjast á milli aðildarríkja (hér eftir reglugerð

574/72) í 2. lið VI. viðauka við EES-samninginn. Tilvísanir í ákvæði hér á eftir,

með fyrirvara um bókun 1 við EES-samninginn og aðlögunarliði í VI. viðauka,

eru byggðar á ákvæðunum eins og þau voru á þeim tíma sem stefnandi varð

fyrir slysinu, nema annað sé tekið fram.

30 IV. bálkur, Framkvæmd sérákvæða reglugerðarinnar um hina ýmsu bótaflokka,

3. kafli, Örorka, elli og andlát (lífeyrir), undir þættinum Kröfur um bætur og

umfjöllun þeirra:

36. gr. Kröfur um elli- og eftirlifendabætur (að undanskildum

munaðarleysingjabótum) og örorkubætur sem falla ekki undir 35 . gr .

framkvæmdarreglugerðarinnar:

1 . Hlutaðeigandi einstaklingur skal leggja fram kröfu hjá stofnun á búsetustað,

eins og ráð er fyrir gert í löggjöfinni sem hún starfar eftir, til þess að fá

bætur samkvæmt 40 .–51 . gr . í reglugerðinni, að undanskildum þeim

tilvikum sem vísað er til í 35. gr. framkvæmdarreglugerðarinnar. Hafi

launþegi eða sjálfstætt starfandi einstaklingur ekki heyrt undir þá löggjöf,

skal stofnun á búsetustað senda kröfuna áfram til stofnunar sem starfar

samkvæmt löggjöf þess aðildarríkis sem krefjandi heyrði síðast undir og

tilgreina dagsetningu kröfunnar . Gildir dagsetningin sem skiladagur kröfu

hjá síðarnefndu stofnuninni .

2. Hafi krefjandi ekki heyrt undir löggjöf, sem launþegi eða sjálfstætt starfandi

einstaklingur, þess aðildarríkis þar sem hann er búsettur, getur hann sent

kröfu sína til stofnunar sem starfar samkvæmt löggjöf þess aðildarríkis sem

hann heyrði síðast undir .

[ . . .]

4 . Krafa um bætur sem send er til stofnunar í einu aðildarríki felur í sér að

bótum er sjálfkrafa úthlutað samtímis samkvæmt löggjöf allra hlutaðeigandi

aðildarríkja, þar sem krefjandi hefur fullnægt skilyrðum fyrir bótarétti, nema

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except where, under Article 44 (2) of the Regulation, the claimant asks for

postponement of any old-age benefits to which he would be entitled under

the legislation of one or more Member States .

31 Under the following Section on Investigation of claims for benefits in respect

of invalidity, old age and survivors in the cases referred to in Article 36 of the

implementing Regulation:

Article 41 Determination of the investigating institutions:

1. Claims for benefit shall be investigated by the institution to which they have

been sent or forwarded in accordance with the provisions of Article 36 of

the implementing Regulation . This institution is hereinafter referred to as

the ‘investigating institution’ .

2. The investigating institution shall forthwith notify claims for benefits to all

the institutions concerned on a special form, so that the claims may be

investigated simultaneously and without delay by all these institutions .

Article 48 Notification to the claimant of the decisions of the institutions,

paragraph 1:

The final decision taken by each of the institutions concerned shall be notified

to the investigating institution . Each of these decisions must specify the

grounds and time-limits for appeal provided for by the legislation in question .

When all these decisions have been received, the investigation institution

shall communicate them to the claimant in his own language by means of a

summarized statement to which the aforesaid decisions shall be appended.

Periods allowed for appeals shall commence only on the date of receipt of the

summarized statement by the claimant.

32 Reference is made to the Report for the Hearing for a fuller account of the legal

framework, the facts, the procedure and the written observations submitted to

the Court, which are mentioned or discussed hereinafter only in so far as is

necessary for the reasoning of the Court.

III FINDINGS OF THE COURT

The first question

33 By its first question, Héraðsdómur Reykjavíkur essentially asks whether

invalidity pensions based on projected rights fall under Regulation 1408/71

when the entitlement to such pensions is based on a scheme such as that

described in paragraphs 7−12 above.

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krefjandi, samkvæmt 2 . mgr . 44 . gr . reglugerðarinnar, fari fram á að greiðslu

ellilífeyris, sem hann á rétt á samkvæmt löggjöf eins eða fleiri aðildarríkis,

sé frestað .

31 Þátturinn Athugun á kröfum vegna örorku-, elli-, og eftirlifendabóta í þeim

tilvikum sem um getur í 36 . gr . framkvæmdarreglugerðarinnar:

41. gr., Úrskurður um hvaða stofnun beri að fjalla um kröfur:

1 . Sú stofnun sem fengið hefur bótakröfur sendar samkvæmt ákvæðum

36 . gr . framkvæmdarreglugerðarinnar, skal taka þær til athugunar . Þessi

stofnun er hér eftir kölluð „umsagnarstofnun“ .

2 . Umsagnarstofnun skal tilkynna öllum hlutaðeigandi stofnunum um

bótakröfur á þar til gerðum eyðublöðum, þannig að þær geti allar tekið

kröfurnar til athugunar tafarlaust .

48. gr., Ákvarðanir stofnana tilkynntar krefjanda, 1 . mgr .:

Lokaákvörðun allra hlutaðeigandi stofnana skal tilkynnt umsagnaraðila . Í

hverri ákvörðun um sig skal koma fram hvaða forsendur og áfrýjunarfrestur

er tilgreindur í viðkomandi löggjöf . Eftir að umsagnaraðili fær ákvarðanirnar í

hendur skal hann senda krefjanda samantekt um þær á hans eigin tungumáli

ásamt fylgiriti með fyrrgreindum ákvörðunum . Krefjandi hefur tiltekinn frest til

áfrýjunar frá þeim degi er hann fær samantektina í hendur .

32 Vísað er til skýrslu framsögumanns um frekari lýsingu löggjafar, málsatvika og

meðferðar málsins, svo og um greinargerðir sem dómstólnum bárust. Þessi

atriði verða ekki rakin frekar eða rædd hér á eftir nema forsendur dómsins

krefji.

III áLIT DÓMSTÓLSINS

Fyrsta spurning

33 Með fyrstu spurningu sinni leitar Héraðsdómur Reykjavíkur í aðalatriðum svara

við því hvort örorkubætur byggðar á framreikningi falli undir reglugerð 1408/71,

þegar rétturinn til bóta byggir á kerfi eins og því sem lýst er í málsgreinum 7-12

hér að framan.

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- 32 -

34 The Plaintiff argues that this is the case. He emphasises that Icelandic law

obliges persons working in Iceland to pay premiums to an Icelandic pension

fund. Further reference is made to Article 4(1) of Regulation 1408/71 whereby

the Regulation applies to legislation concerning inter alia invalidity benefits.

Moreover, the Plaintiff quotes Article 5, obliging the EEA States to specify such

legislation, and points out that the 1974 Act on the MPF with later amendments

was accordingly specified under the heading “Invalidity benefits” in Iceland’s

declaration pursuant to this Article. Both the EFTA Surveillance Authority

(hereinafter “ESA”) and the Commission of the European Communities

(hereinafter “the Commission”) also base their respective submissions on the

view that Regulation 1408/71 covers entitlement to invalidity benefits that arise

in pension fund schemes such as the Icelandic one, including pensions based

on projected rights.

35 The Defendant submits that benefits based on projection do not constitute

“social security” and thus fall outside the scope of Regulation 1408/71. If the

Regulation were to apply to such benefits, it is contended that they constitute

special non-contributory benefits subject to Artic

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