Guidelines for the use of Applicable Legislation seds, Flows and Portable Document A1




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Guidelines for the use of

Applicable Legislation SEDs, Flows and Portable Document A1

February 2011

Version 1.0

CONTENT




1. HOW TO USE THE GUIDELINES 3

2. BUSINESS FLOWS 4

2.1. Business Flow A001 – Exceptions 4

2.2. Business Flow A002 – Determination of legislation applicable 5

2.3. Business Flow A003 – Exchange of information related to determination of applicable legislation 7

2.4 Business Flow A004 Notification of relevant information 8

3. DESCRIPTION OF SEDs 9

3.1. SED A001 Request for exception 9

3.2. SED A002 Reply to request for exception 11

3.3. SED A003 Determination of applicable legislation 12

3.4. SED A004 Reply on decision on Applicable Legislation 14

3.5. SED A005 Request for more information 15

3.6. SED A006 Reply to request for more information 16

3.7. SED A007 Provisional determination of applicable legislation 16

3.8. SED A008 Notification of relevant information 17

4. PORTABLE DOCUMENT A1 – Certificate concerning the legislation which applies to the holder 19

4.1. Completion of the A1 19

4.2. SEDs associated with the issue of the A1 19

5. HORIZONTAL SEDs 21

ANNEX I– Glossary of terms 22

ANNEX II – Correlation table 24

ANNEX III – Flows table 25





1. HOW TO USE THE GUIDELINES


The overall aim of the Guidelines is to provide staff and institutions with general information and guidance concerning the use and completion of the SEDs, in paper or electronic environment, as well as of the Portable Documents (PDs).


While not being exhaustive, the Guidelines form nevertheless a comprehensive foundation on which social security institutions from Member States will be able to base any more detailed instructions they wish to prepare for their staff.
Each SED is accompanied by a corresponding "Explanatory notes" document, where the main terms used in the SED are explained and instructions for the type of information required are provided. Therefore the guidelines are not to be seen as an exhaustive manual for the completion of the SEDs but only as an additional instrument providing guidance and further information on the completion of certain ”tricky points” from the SEDs.
In the Guidelines, the use of each Flow and SED is first explained in general terms. By reading this general description, one will be able to acquire an overall picture of the use of each flow and each SED within each flow.
Following the description of the Flow, there is a short description of each SED.
These guidelines do not provide an official interpretation of the provisions of the social security regulations (Regulation (EC) no 883/2004 and Regulation (EC) no 987/2009) and any examples of business cases included herewith are solely intended to illustrate the use of the SEDs in certain situations.
The PDs and the SEDs likely to be associated with their use are also explained.
The Guidelines also contain a section briefly describing the Horizontal SEDs, which the users of the current guidelines may have to use for obtaining or providing certain types of information. For detailed guidance on the use and completion of the Horizontal SEDs, reference should be made to the "Horizontal SEDs and Flows Guidelines".
A short glossary of generic terms has also been included in these guidelines.


NOTE: The current guidelines refer to the first version of the SEDs and flows, as approved by the Administrative Commission for the Coordination of Social Security Systems. The authorised versions of the paper SEDs to be used during the transitional period are available on the European Commission website in the following location: http://ec.europa.eu/social/main.jsp?langId=en&catId=868.

2. BUSINESS FLOWS




2.1. Business Flow A001 – Exceptions


General description


Flow A001 is the flow for a request for exception based on Article 16 of Regulation 883/2004 and Article 18 of Regulation 987/2009.
It consists of the following SED’s:
A001 – Request for exception (mandatory)
A002 – Reply to request for exception (mandatory)
A005 – Request for more information (optional)
A006 – Reply to request for more information (optional)
Flow A001 starts with SED A001 (request/proposal), it ends with A002 (decision acceptance or (partial) rejection).

If necessary a “request for more information” (SED A005) can be sent.

SCENARIOS:
1) An employed person is seconded by his employer in Member State A for a period of 36 months to Member State B. The employed person requests the competent institution in Member State A for an arrangement to be exempted from the legislation of Member State B.

>>> Member State A sends SED A001 to Member State B


1a) Member State B approves or denies the request

>>> sends SED A002 to Member State A


1b) Member State B requires more information

>>> see the description under Business Flow A003 (this does NOT mean a new flow must be started!)


1c) Member State B does not reply within a certain time

>>> Member State A reiterates the request by sending A001 again



2.2. Business Flow A002 – Determination of legislation applicable

General description


Flow A002 is the flow for:


  • the definitive notification based on the Articles 11 (3)(b)(c)(d), 11(4), 12, 15, 87(8) of Regulation 883/2004 and Articles 15, 17 of the Regulation 987/2009

- the provisional notification based on the Articles 13(1), 13(2), 13(3), 13(4) of Regulation 883/2004 and Article 16 of Regulation 987/2009

It consists of the following SED’s:


A003 - Determination of Applicable Legislation (mandatory)

A003A - Determination of Applicable Legislation (optional)

A004 - Reply to Decision on Applicable Legislation (optional)

A005 - Request for more information (optional)

A006 - Reply to request for more information (optional)

A007 - Provisional determination of legislation applicable (optional)
The purpose of SED A003A is to allow clerks to send a revised SED without overwriting the previous one.

SCENARIOS:


1) Definitive notification
Member State A determines the applicable legislation on the basis of article

11 (3)(b)(c)(d), 11(4), 12, 15, 87(8) of Regulation 883/2004 and Articles 15, 17 of Regulation 987/2009

>>> Member State A sends A003 to the other involved Member State(s).




2) Notification: provisional determination accepted, with reaction (optional)
A (self)employed person lives in Member State A and works in 3 other Member States (B,C, and D). A substantial part of his activities are pursued in Member State A.

>>> Member State A sends a provisional SED A003 to Member States B, C, and D.

So each Member State will receive the same SED containing all information on the activities in each of the Member States involved.
This can be followed by these subscenario’s:
2.1) Member States B, C and D react within 2 months and accept Member State A’s decision

>>> Member States B,C and D can optionally send SED A004 to MS A


2.1) (One of the) Member State B/C/D react(s) within 2 months indicating the need for more information

>>> Member State B/C/D sends SED A005 to Member State A. See Flow A003 (this does NOT mean a new flow must be started!)




3) Notification: provisional determination accepted, with reaction (mandatory)
An employed person lives Member State A and works in 4 other Member States (B, C, D, E). He/she informs the competent authority in MS A. After assessing the situation MS A concludes that no substantial activities are carried out in their state and that the legislation of MS D applies

>>> MS A sends a provisional A003 to all Member States involved.


This can be followed by the following subscenario’s:

3.1) Member State D reacts within 2 months and accepts Member State A’s decision

>>> MS D determines the applicable legislation definitively and sends SED A004 (approval) and SED 003 to all other Member States involved.
3.2) Member States B, C and E react within 2 months and accept Member State D’s

Decision>>> Member States B,C and E send SED A004 to MS D and copies this to all other Member States involved.
3.3) (One of the) Member State B/C/E react(s) within 2 months indicating the need for more information

>>> Member State B/C/E sends SED A005 . See Flow A003(this does NOT mean a new flow must be started!)



4. Notification: provisional determination accepted no reaction
A (self)employed person lives in Member State A and works in 3 other Member States (B,C, and D). A substantial part of his activities are pursued in Member State A.

>>> Member State A sends a provisonal SED A003 to Member States B, C, and D.

So each Member State will receive the same SED containing all information on the activities in each of the Member States involved.

This can be followed by these subscenario’s:


4.1) None of the Member States B, C and D react within 2 months

>>> The flow ends after 2 months. Member State A will not send a new SED A003.


4.2) (One of the) Member State B/C/D react(s) within 2 months indicating the need for more information

>>> send(s) SED A005 . See Flow A003(this does NOT mean a new flow must be started!)



5. Notification: provisional determination is followed by new proposal
A (self)employed person lives in Member State A and works in 3 other Member States (B,C, and D). A substantial part of his activities are pursued in Member State A.

>>> Member State A sends a provisonal SED A003 to Member States B, C, and D.

So each Member State will receive the same SED containing all information on the activities in each of the Member States involved.

This can be followed by these subscenario’s:


5.1) One of the Member States (B, C or D) reacts within 2 months and makes a new proposal regarding the applicable legislation

>>> Member State B, C or D sends SED A004 to Member State A.

>>> Member State A accepts the new proposal and sends SED A003.
5.2) Member State B/C/D does not accept Member State A’s Decision and initiates an Article 6 procedure.

>>> Member State B/C/D sends SED A007 to MS A


5.3) Member State B/C/D reacts within 2 months indicating the need for more information

>>> send(s) SED A005. See Flow A003(this does NOT mean a new flow must be started!)



2.3. Business Flow A003 – Exchange of information related to determination of applicable legislation

General description


Flow A003 is the flow for exchange of information based on Title II of Regulation 883/04.
It consists of the following SED’s:
A005 – Request for more information

A006 – Reply to request for more information

Flow A003 starts with SED A005, it ends with A006


SCENARIOS:

A Member State can initiate flow A003 any time more information is needed in order to determine the applicable legislation.


A person is a resident of Member State A and receives a cash benefit from that state.

At some point this person moves to Member State B and starts up his own business there.

>>> Member State B sends SED A005 to Member State to ask more information about the cash benefit.

When SED A005 is sent after receiving SED A001, A003, A004 or A007, it is part of the other corresponding flow (and not of flow A003).

2.4 Business Flow A004 Notification of relevant information

GENERAL DESCRIPTION


Flow A004 is meant for notifying relevant changes which may have occured after all of the aforementiond flows are closed.
It consists of only one SED:
A008 – Notification of relevant information
Flow A004 starts and ends with SED A008

SCENARIOS:


An article 16-arrangement has been concluded between Member State A and B. Flow A001 is closed and no other flows have been opened.

The competent institution of MS A receives information that the person involved has ended his activities in Member State B before the end date of the arrangement.

>>> Member State A sends SED A008 to Member State B


3. DESCRIPTION OF SEDs


GENERAL REMARK


In all SED’s, to actually identify the person involved either point 2.1.7 or 2.1.8 must be ticked in box ‘2. Person’. The relevant questions must be filled accordingly.



3.1. SED A001 Request for exception


General description


With this SED a MS initiates a procedure under art. 16 Regulation 883/2004.

The article of the Basic Regulation to which the agreement on exception is proposed has to be mentioned in box 9.

CORRESPONDING FLOWS:
F-A001
REMARKS:
If one ore more of the boxes ‘4. Identification of the employer’, ‘5. identification of the self-employed person’, ‘6. Place of work’ or ‘7. Employer in the Host State’ is ticked, the relevant questions must be filled accordingly.

SED A001 can be followed by A002 or A005




3.2. SED A002 Reply to request for exception

GENERAL DESCRIPTION:


With this SED a MS replies to a SED A001.
CORRESPONDING FLOWS:
F-A001
REMARKS:
In box ‘1. Case numbers’ point 1.2 has to be filled.

Box ‘6. Decision’ itself is mandatory, either one or more of the points 6.1, 6.2, 6.3 and 6.4 must be filled accordingly.


SED A002 can only be sent if the flow has started with a SED A001. It can be sent in reply to SED A001 and SED A006.




3.3. SED A003 Determination of applicable legislation

GENERAL DESCRIPTION:


With this SED a MS notifies the other Member State(s) involved about a decision on applicable legislation.

This decision can either be provisonal or definitive. In case of a provisional decision, A003 can only be used if this is based on art.16 Reg. 987/2009 (see also description of SED A007)


CORRESPONDING FLOW:
F-A002
REMARKS:
If one ore more of the boxes ‘5. Employer in the Member State which legislation applies’, ‘6. Employer in the other Member State involved’, ‘7. Self-employment’ or ‘8. Place of work’ is ticked, the relevant questions must be filled accordingly.




Box ‘9. Decision’ has to be filled completely.

One of the Articles mentioned in Box ’11. Article of Regulation (EC) No. 883/04’ must be ticked.


SED A003 can be followed by SED’s A004, A005, A006 and A007


3.4. SED A004 Reply on decision on Applicable Legislation

GENERAL DESCRIPTION:


This SED can be used only to reply on a decision on applicable legislation which was based on art. 13.(1), (2), (3) or (4) of Regulation 883/2004. This reply can either be a (non)acceptance or a new proposal or a notification of a procedure under art.6 Reg. 987/2009.
CORRESPONDING FLOWS:
F-A002
REMARKS:
In box ‘1. Case numbers’ point 1.2 has to be filled.

Box ‘4. Addresses’ has to be ticked and filled accordingly only if the data differ from the information mentioned on the A003.



Box ‘5 Acceptance of decision’ itself is mandatory, either one or more of the points 5.1, 5.2, and 5.3 must be filled accordingly.


SED A004 can be sent in reply to A003, A006.




3.5. SED A005 Request for more information

GENERAL DESCRIPTION:


This SED can be used to request more information in order to facilitate the MS involved to determine the applicable legislation on basis of Title II or article 87(8) of Reg. 883/2004
CORRESPONDING FLOWS:
F-A001, F-A002, F-A003
REMARKS:
One of the Articles mentioned in Box ’3. Article of Regulation (EC) No. 883/04 for which more information is requested’ must be ticked.

SED A005 can be used to initialize flow A003 or either in reply to SED’s A001, A003, A004 and A007.



3.6. SED A006 Reply to request for more information

GENERAL DESCRIPTION:


This SED must (and can only) be used in reply to SED A005.
CORRESPONDING FLOWS:
F-A001, F-A002, F-A003
REMARKS:
In box ‘1. Case numbers’ point 1.2 has to be filled.

SED A006 is sent in reply to SED A005



3.7. SED A007 Provisional determination of applicable legislation

GENERAL DESCRIPTION:


This SED can only be used in case of a dispute between Member States concerning the applicable legislation and one of the MS makes a provisional determination based on art.6 Reg. 987/2009.
CORRESPONDING FLOW:
F-A002
REMARKS:
In box ‘1. Case numbers’ both point 1.1 and 1.2 have to be filled.

In box ‘2. Person’ point 2.1.7 must be ticked and both point 2.1.7.1 and 2.1.7.2 have to be filled.

Tick the according status in Box ‘9. Status of person’.



Box ’10. Provisional decision on applicable legislation’ is mandatory. In point 10.3 one of the mentioned Articles of Regulation (EC) No. 987/09 must be ticked.

SED A007 is used only in cases where there is a dispute between Member States.


3.8. SED A008 Notification of relevant information

GENERAL DESCRIPTION


This SED can only be used for exchanging relevant information after all previous flows have been closed.
CORRESPONDING FLOW:
F-A004
REMARKS:
In box ‘1. Case numbers’ both point 1.1 and 1.2 have to be filled.

Boxes ‘4. Cancellation or Revision of Decision on applicable legislation’ and ‘5. Notification of changes in relevant data’ have to be filled in order to provide the other Member State with all the relevant information regarding the changes.


SED A008 is used in situations where previous flows are closed and relevant information has to be provided to the other involved Member State.



4. PORTABLE DOCUMENT A1 – Certificate concerning the legislation which applies to the holder



4.1. Completion of the A1


The boxes on the A1 are largely self-explanatory but the following should be noted:


Box 2.5 should be completed when the determination is provisional. This is most likely to arise in the situation where a person pursues activities in two or more states.
Box 2.6 should be completed where Regulation 1408/71 continues to apply by virtue of the transitional provisions in Article 87(8) of Regulation 883/2004.
Box 5 – Make sure that details of the employment/self-employment in the other state are given as fully as possible.

4.2. SEDs associated with the issue of the A1

Scenario 1 – A1 issued in “posting case”




SED

Purpose

A003

Showing the determination of Applicable Legislation in the case

Scenario 2 – Provisional A1 issued in case where activities pursued in more than on state




SED

Purpose

A003

Showing that a provisional determination has been made in the case.

A004

Reply to provisional determination showing:

  • Acceptance

  • Non-acceptance (giving justification)

  • Making a new proposal, if appropriate

  • Notifying if the under Article 6 are to be applied.

A007

Notifying date of commencement of the procedures under Article 6.

Scenario 3 – A1 issued in Article 16 case




SED

Case where a derogation is applied

A001

Request for exception to Articles 11 – 15 of Regulation 883/2004

A002

Reply to request for exception

SEDs common to all scenarios




A005

Request for more information

A006

Reply to request

A008

Notification of relevant information.



Please note that after 01.05.2012 PD A1 can never be used to inform another Member State about decisions taken under Title II of Reg. 883/2004. For this purpose only SED’s can be sent.

5. HORIZONTAL SEDs

In addition to the SEDs specific to each sector, the Administrative Commission has also approved a series of Horizontal SEDs which have a generic functionality. These SEDs and their associated Business Flows can be used in any sector, whenever there is a business need to do so.


The Horizontal SEDs and associated Business Flows are described in the Horizontal SEDs Guidelines. A brief description of these SEDs is given below for ease of reference:


SED

Purpose

Comment

H001

Request for information/additional information




H002

Reply to request for information













H003

Proposal/Notification on state of residence




H004

Reply to proposal on state of residence/Disagreement with decision on state of residence




H005

Request for information on residence




H006

Reply to request for information on residence













H020

Claim for reimbursement – Administrative Check/Medical Examination




H021

Reply to Claim for reimbursement – Administrative Check/Medical Examination













H030

Claim for Death Grant













H040

Claim for Pre-retirement Benefit













H061

Send Personal Identity Number (usage not yet finalised)




H062

(Confirm Personal Identity Number)

Not approved at the date of issuing these guidelines

H063

(Request for Additional Information on Identification)

Not approved at the date of issuing these guidelines

H064

(Reply to request for Additional Information on Identification)

Not approved at the date of issuing these guidelines










H065

Transmission of claim/document/information




H066

Reply to transmission of claim/document/information



ANNEX I– Glossary of terms


The short glossary list below is complemented by the EESSI Business Glossary, available on the following location of the European Commission's website: http://ec.europa.eu/social/main.jsp?langId=en&catId=869.

Term

Short explanation


AC

Administrative Commission for the Coordination of Social Security Systems (art.71 Regulation (EC) no 883/2004).

AP (Access Point)

National gateway for multiple institutions to the EESSI network.

Counterparty


The recipient of the query/notification and the sender of the reply within a message exchange.

EESSI

Electronic Exchange of Social Security Information

Flow (or Business Flow)

A flow is composed several SEDs and it was defined to serve a specific communication need.

A flow captures a predefined conversation pattern where the SEDs which are included in the flow are the messages that the conversation partners exchange between each other.

Different SEDs are exchanged in different flows depending on the purpose of the flow.


Flow owner

The institution responsible for the flow and which initiates the flow. The flow owner is the one who can close a flow that it has opened.

Horizontal flows

Flows that are not sector specific: they refer to certain information exchanges that are potentially relevant for all social security sectors.

MD (Master Directory)

An electronic directory (database) of all institutions registered in EESSI for all EESSI Member States.

Member State

EESSI Member State (EU countries and EFTA countries: Iceland, Liechtenstein, Norway and Switzerland )

Originator

The institution which opens a flow by sending a SED to another institution(s). The originator is always the owner institution as well.

PIN

Personal Identification Number is a number or marking that uniquely identifies the person it refers to in the institution.

Recovery flows

Flows that are used to process recovery and offsetting issues.

SED

SED stands for: Structured Electronic Data.

An SED is an electronic message, with predefined data fields, which is exchanged in the EESSI system by the Member States in order to convey information from one to another.

Article 1, point 2 (d) of Regulation (EC) no 987/2009 defines the Structured Electronic Document as "any structured document in a format designed for the electronic exchange of information between Member States".

During the transitional period, paper version of the SEDs can be used.



WEBIC

WEBIC stands for: Web User Interface.

WEBIC is a software developed by the European Commission and installed in the Member States. This application allows clerks to exchange social security information and therefore send and receive EESSI messages. Member States can use WEBIC to process their cases or they can build a national application for this purpose. National applications should include the same functions as WEBIC. When this guideline refers to WEBIC, it applies also to the national applications.




ANNEX II – Correlation table


The correlation table is available on Circa in the following location:


http://circa.europa.eu/Members/irc/empl/electronic_data_exchange/library?l=/business_flows_seds/documentation_corrtables/applicable_legislation&vm=detailed&sb=Title

ANNEX III – Flows table


The flows table is available on Circa in the following location:


http://circa.europa.eu/Members/irc/empl/electronic_data_exchange/library?l=/business_flows_seds/documentation_corrtables/applicable_legislation&vm=detailed&sb=Title





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