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Agreement, with Final Protocol, signed at Washington
January 7, 1976, entered into force December 1, 1979; as amended by a
Supplementary Agreement signed at Washington October 2, 1986, entered
into force March 1, 1988, and by a Second Supplementary Agreement signed
at Bonn March 6, 1995, entered into force May 1, 1996.
Administrative Agreement, signed at Washington June 21, 1978, entered
into force October 30, 1979, effective December 1, 1979; as amended by
a Supplementary Administrative Agreement signed at Washington October
2, 1986, entered into force March 1, 1988, and by a Second Supplementary
Administrative Agreement signed at Bonn March 6, 1995, entered into force
May 1, 1996.
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Contents |
United States Benefits
German Benefits
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AGREEMENT
BETWEEN
THE UNITED STATES OF AMERICA
AND
THE FEDERAL REPUBLIC OF GERMANY
ON SOCIAL SECURITY
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The United States of America and the Federal
Republic of Germany,
Being desirous of regulating the relationship between them in the area
of social security,
Have agreed as follows:
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GENERAL PROVISIONS
ARTICLE 1
For the purpose of this Agreement
- "Territory" means, as regards the United States of America, the States,
the District of Columbia, the Commonwealth of Puerto Rico, the Virgin
Islands, Guam, American Samoa and the Commonwealth of the Northern Mariana
Islands, and as regards the Federal Republic of Germany, the area in
which the Basic Law (Grundgesetz) of the Federal Republic of Germany
is in force;
- "Laws" means the laws and regulations concerning the systems of social
security specified in Article 2, paragraph 1;
- "Competent Authority" means, as regards the United States of America,
the Social Security Administration, and as regards the Federal Republic
of Germany, the Federal Ministry of Labor and Social Affairs;
- "Agency" ("Traeger") means the institution or authority responsible
for implementing laws specified in Article 2, paragraph 1;
- "Competent Agency" means the agency responsible for applying the laws
in a specific case;
- "Employment" means employment or self-employment as defined by the
applicable laws;
- "Period of coverage" ("Versicherungszeit") means a period of payment
of contributions or a period of earnings from employment, as defined
or recognized as a period of coverage by the laws under which such period
has been completed, or any similar period insofar as it is recognized
by such laws as equivalent to a period of coverage;
- "Benefit" ("Rente") means an old-age, dependent, survivor, or disability
insurance benefit provided by the applicable laws;
- "Cash benefit" ("Geldleistung") means a benefit ("Rente") and any
other cash payment provided by the applicable laws; and
- "Benefit-in-kind" ("Sachleistung") means a rehabilitation benefit-in-kind
provided by the applicable laws.
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ARTICLE 2
- For the purpose of this Agreement, the applicable laws are:
- as regards the Federal Republic of Germany, laws governing
- Wage
Earners' Pension Insurance
- Salaried Employees' Pension Insurance
- Miners' Pension Insurance
- Steelworkers' Supplementary Pension
Insurance
- Farmers' Old-Age Security; and
- as regards the United States of America, laws governing
- the Federal
Old-Age, Survivors and Disability Insurance Program.
- Laws within the meaning of paragraph 1 of this Article shall not include
laws resulting for one Contracting State from other international treaties
or supranational legislation, or from laws promulgated for their implementation.
ARTICLE 3
Unless otherwise provided, the present Agreement shall apply to
- nationals of a Contracting State within the meaning of Article
XXV, paragraph 6, of the Treaty of Friendship, Commerce and Navigation
between the United States of America and the Federal Republic of Germany
of October 29, 1954 and of paragraph 22 of the Protocol thereto with
the proviso that henceforth the term "Certificate of Residence" (Heimatschein)
shall be replaced by the term "Certificate of Nationality" (Staatsangehoerigkeitsausweis),
- refugees within the meaning of Article 1 of the Convention on the
Status of Refugees dated July 28, 1951 and the Protocol to that Convention
dated January 31, 1967,
- stateless persons within the meaning of Article 1 of the Convention
on the Status of Stateless Persons dated September 28, 1954,
- other persons with respect to the rights they derive from a national
of either Contracting State, from a refugee or a stateless person
within the meaning of this Article, and
- nationals of a State other than a Contracting State who are not
included among the persons referred to in paragraph (d) of this Article.
ARTICLE 4
- Unless otherwise specified in the present Agreement, the persons
designated in Article 3(a), (b), (c) and (d) who ordinarily reside in
the territory of either Contracting State shall in the application of
the laws of one Contracting State receive equal treatment with the nationals
of that Contracting State
- Nationals of one Contracting State who ordinarily reside outside
of the territories of both Contracting States shall be granted the cash
benefits and benefits-in-kind provided by the laws of the other Contracting
State under the same conditions which the other Contracting State applies
to its own nationals who ordinarily reside outside of the territories
of both Contracting States.
ARTICLE 5
Unless otherwise provided in this Agreement, the laws of one Contracting
State which require that entitlement to or payment of cash benefits be
dependent on residence in the territory of that Contracting State, shall
not be applicable to the persons designated in Article 3(a), (b), (c)
and (d) who ordinarily reside in the territory of the other Contracting
State.
ARTICLE 6
- Except as otherwise provided in this Article, persons who have employment
within the territory of one of the Contracting States shall be subject
to the laws on compulsory coverage of only that Contracting State even
when the employer is located in the territory of the other Contracting
State.
- The employment of a person in the territory of one Contracting State
to which he was sent from the territory of the other Contracting State
by his employer in that territory shall continue to be subject to the
laws on compulsory coverage of only the other Contracting State, as
if he were still employed in the territory of the other Contracting
State, even when the employer also has a place of business (Zweigniederlassung)
in the territory of the Contracting State of employment, provided that
the employment in the territory of the first Contracting State is not
expected to exceed 5 years.
- In the case of the employment of a person as an officer or member
of a crew of a sea-going vessel which has been granted the right to
fly the flag of the Federal Republic of Germany, a German aircraft,
an American vessel, an American aircraft, a vessel which has been granted
the right to fly the flag of the Federal Republic of Germany and is
at the same time an American vessel under United States laws, or of
an aircraft which is a German aircraft but which is treated as an American
aircraft under United States laws, the following rules shall apply with
regard to the laws on compulsory coverage:
- If the person is subject to the laws of only one of the Contracting
States, he shall remain subject to those laws.
- If the person is a national of one of the Contracting States and
subject to the laws of both Contracting States, he shall be subject
only to the laws of the Contracting State of which he is a national.
- (1) If the person is a national of both Contracting States or is
a member of a group specified in Article 3(b), (c) or (e) and is subject
to the laws of both Contracting States, he shall be subject only to
the laws of the Contracting State in whose territory he ordinarily
resides.
(2) If he does not ordinarily reside in the territory of either Contracting
State, he and his employer may apply for an exemption from the laws
on compulsory coverage of one of the Contracting States under the
procedure provided in paragraph 5 of this Article.
- A person who is a national of one Contracting State employed on
the vessel or aircraft of the other Contracting State and who is not
otherwise subject to the laws on compulsory coverage of either Contracting
State shall be subject to the laws on compulsory coverage of the other
Contracting State.
- (a) A national of one of the Contracting States employed by that Contracting
State in the territory of the other Contracting State shall be subject
to the laws on compulsory coverage of only the first Contracting State.
(b) A person who is a national of one of the Contracting States employed
in the territory of the other Contracting State, where he does not ordinarily
reside, by an employee of the first Contracting State who is a national
of the first Contracting State shall be subject to the laws on compulsory
coverage of only the first Contracting State.
(c) A person who is a national of one of the Contracting States employed
in the territory of the other Contracting State, where he ordinarily
resides, by an employee of the first Contracting State who is a national
of the first Contracting State shall be subject to the laws on compulsory
coverage of only the other Contracting State.
- Upon application of a person specified in the preceding paragraphs
of this Article, except paragraph 3(c)(2), and his employer, or upon
application of a self-employed person, the Competent Authority (or the
office designated by it) of the Contracting State from whose laws on
compulsory coverage the exemption is desired may grant the exemption,
if the person and his employer, or the self-employed person, will be
subject to the laws on compulsory coverage of the other Contracting
State.
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Benefit Insurance System
ARTICLE 7
- Where periods of coverage have been completed under the laws of both
Contracting States, the Agency which determines the entitlement to cash
benefits and benefits-in-kind under its laws shall take account of periods
of coverage which are creditable under the laws of the other Contracting
State and which do not coincide with periods of coverage credited under
its own laws.
- This Agreement shall not result in entitlement to a benefit under
the laws of a Contracting State unless a minimum period of coverage
has been completed by a person under its laws and the completed period
of coverage alone does not result in entitlement to benefits. In the
application of United States laws, periods of coverage totaling 6 quarters
of coverage shall be the required minimum, and, in the application of
German laws, periods of coverage totaling 18 months shall be the required
minimum.
- Where a person's periods of coverage are less than the minimum period
required by paragraph 2 of this Article under the laws of one Contracting
State, those periods of coverage, whether or not consecutive, shall
nevertheless be considered by the Agency of the other Contracting State
for purposes of the computation of a benefit, as if they were periods
of coverage under its own laws, provided that
- the person has the minimum period required by paragraph 2 under
the laws of the other Contracting State and has entitlement for benefits
with or without the application of paragraph 1, of this Article under
the laws of the other Contracting State, or
- the person is entitled to benefits under the laws of the other Contracting
State with less than the minimum period required by paragraph 2.
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ARTICLE 8
The following provisions shall apply to the Federal Republic of Germany:
- The periods of coverage to be considered in accordance with Article
7 shall be taken into account by the insurance system whose Agency is
competent for determining a person's benefit if only the German laws
were applied. If under this provision the Competent Agency is the Miners'
Pension Insurance system, the periods of coverage completed under United
States laws shall be taken into account by the Miners' Pension Insurance
system if the periods were completed underground in a mine.
- Periods of coverage completed under United States laws which are
to be considered by the Competent Agency for the computation of the
benefit payable by it, in accordance with Article 7, paragraph 3, shall
only increase the number of creditable insurance years under German
laws.
- In determining the benefit computation base (Rentenbemessungsgrundlage),
only periods of coverage considered under German laws shall be taken
into account.
- If the requirements for entitlement to a benefit are met only by
applying the provisions of Article 7, paragraph 1, only half of
the benefit amount which is attributable to deemed periods of coverage
(Zurechnungszeit) shall be payable.
- If the requirements for entitlement to a benefit are met only by
applying the provisions of Article 7, paragraph 1, one- half of
the child's supplement or of the supplement to the orphan's pension
shall be payable.
- For purposes of terminating the right to the Compensatory cash benefit
for a miner who has been separated from his mining occupation (Knappschaftsausgleichsleistung),
a United States mining establishment shall be treated as equivalent
to a German mining establishment.
- In the case of a self-employed craftsman, whose liability status for
compulsory coverage is conditional upon payment of a minimum number
of contributions, periods of coverage completed under United States
laws shall be taken into account to determine whether the craftsman
is liable.
- In the application of Article 7, paragraph 1, of the Agreement, a
period of coverage under United States laws shall also include a period
during which a person employed at an establishment of the United States
Government in the Federal Republic of Germany was covered under the
provisions of the United States civil service retirement system.
ARTICLE 9
The following provisions shall apply to the United States of America:
- Where entitlement to a benefit under United States laws is established
according to the provisions of Article 7, paragraph 1, the Agency of
the United States shall compute a pro rata Primary Insurance Amount
in accordance with United States laws based on
- the person's average earnings credited under United States laws,
and
- the ratio of the duration of the person's periods of coverage
credited under United States laws to the duration of a coverage
lifetime as determined in accordance with United States laws. Benefits
payable under United States laws shall be based on the pro rata
Primary Insurance Amount.
- Periods during which a person was determined by a Competent German
Agency to be totally disabled under German laws shall, when it is to
his advantage, be excluded in determining whether he meets the insured
status requirements under United States laws and in computing a Primary
Insurance Amount under this Agreement.
[Paragraph 3 deleted effective March 1, 1988.]
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Miscellaneous Provisions
Chapter 1
Administrative Cooperation
ARTICLE 10
The Competent Authorities, Agencies and associations of the Agencies
of the Contracting States shall assist each other in applying this Agreement
and in implementing each other's laws as if they were applying their own
laws. This assistance shall be free of charge subject to exceptions to
be agreed upon by the Contracting States.
ARTICLE 11
- A final decision of a Court or a ruling by a Competent Authority or
an Agency of a Contracting State, concerning a matter arising under
its laws, which is enforceable under its laws, shall be recognized by
the other Contracting State. A Contracting State may refuse recognition
if the decision or ruling is contrary to its public policy including
its requirements for due process of law.
- The final decisions and rulings referred to in paragraph 1 shall
be enforced under the laws specified in Article 2, paragraph 1,
in the territory of the Contracting State in which the decisions or
rulings are recognized.
ARTICLE 12
- Where the laws of a Contracting State provide that any document which
is submitted to the Competent Authority or an Agency of that Contracting
State shall be exempted, wholly or partly, from fees or charges, including
consular and administrative fees, the exemption shall also apply to
documents which are submitted to the Competent Authority or an Agency
of the other Contracting State in accordance with its laws.
- A document or a copy of a document certified as authentic which is
accepted as authentic by the Competent Authority or an Agency of one
Contracting State shall be accepted as authentic by the Competent Authority
or an Agency of the other Contracting State without further certification.
ARTICLE 13
- The Competent Authorities and the Agencies of the Contracting States
may correspond directly with each other and with any person wherever
he may reside whenever it is necessary for the administration of this
Agreement. The correspondence may be in the writer's official language.
- An application or document may not be rejected by a Competent Authority
or an Agency because it is in the official language of the other Contracting
State.
ARTICLE 14
- An application in writing or other document presented to the Competent
Authority or an Agency of a Contracting State shall have the same effect
as if it were presented to the Competent Authority or an Agency of the
other Contracting State.
- A person who files an application for cash benefits under the laws
of a Contracting State may request that it not be treated as an application
for cash benefits under the laws of the other Contracting State, or
that it be effective on a different date in the other Contracting State,
within the limitations of and in conformity with the laws of the other
Contracting State.
ARTICLE 15
The consular officers of a Contracting State at diplomatic or consular
posts in the territory of the other Contracting State, at the request
of a person who is a national of the first Contracting State, may take
measures necessary to safeguard and maintain the rights of that person.
The person's authorization need not be proven.
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Chapter 2
Implementation of the Agreement
ARTICLE 16
- The Competent Authorities of the Contracting States shall, by mutual
agreement, establish administrative procedures which are required to
implement this Agreement. They shall inform each other of any amendments
or additions to their laws.
- Liaison agencies designated for the implementation of this Agreement
are:
- In the Federal Republic of Germany -
- for the Wage Earners' Pension Insurance system, the Landesversicherungsanstalt
Freie und Hansestadt Hamburg (Regional Insurance Institution for
Hamburg), Hamburg,
- for the Salaried Employees' Pension Insurance system, the Bundesversicherungsanstalt
fuer Angestellte (Federal Insurance Institution for Salaried Employees),
Berlin,
- for the Miners' Pension Insurance system, the Bundesknappschaft
(Federal Miners' Insurance Institution), Bochum,
- for the Steelworkers' Supplementary Pension Insurance system,
the Landesversicherungsanstalt fuer das Saarland (Regional Insurance
Institution for the Saarland), Saarbruecken,
- to the extent that the German statutory sickness insurance agencies
are involved in administering the Agreement, the Bundesverband der
Ortskrankenkassen (Federal Association of Local Sickness Insurance
Agencies), Bonn;
- In the United States of America -
The Social Security Administration.
ARTICLE 17
An agency of a Contracting State may validly pay cash benefits to a
person in the territory of the other Contracting State in the currency
of its own State or of the other Contracting State. If the cash benefits
are paid in the currency of the other Contracting State, the currency
conversion shall be at the exchange rate in force on the day the remittance
is made.
ARTICLE 18
[Deleted effective March 1, 1988]
ARTICLE 19
- Disagreements between the two Contracting States regarding the interpretation
or implementation of this Agreement shall, as far as possible, be settled
by the Competent Authorities.
- If a disagreement cannot be resolved by the Competent Authorities
it shall, at the request of either Contracting State, be submitted for
arbitration in accordance with the following procedures:
- An arbitration
board shall be established on an ad hoc basis with each Contracting
State appointing one member, and both members agreeing on a citizen
from a third North Atlantic Treaty Organization member state as chairman
who shall be appointed by the Governments of the two Contracting States.
The members shall be appointed within two months, and the chairman within
three months, after one Contracting State has informed the other that
it will refer the dispute to an arbitration board.
- If the deadlines
mentioned in paragraph 2(a) are not met, each Contracting State may,
in the absence of other agreements, ask the Secretary General of the
North Atlantic Treaty Organization to make the necessary appointments.
If the Secretary General is a national of one of the Contracting States
or is prevented from acting for another reason, the Deputy Secretary
General shall make the appointments. In case the Deputy Secretary General
also is a national of one of the two Contracting States or is prevented
from acting for another reason, the next Assistant Secretary General
following in rank by protocol who is not a national of one of the two
Contracting States and who is not prevented from acting for another
reason, shall make the appointments.
- The arbitration board shall
make its decision by majority vote on the basis of the agreements existing
between the parties and general international law. Its decision shall
be binding on both Contracting States. Each Contracting State shall
bear the cost for its member, as well as for its representation in the
proceedings before the arbitration board; the cost for the chairman
as well as other expenses, shall be shared equally between the Contracting
States. The arbitration board can make a different decision concerning
the allocation of expenses. In all other respects the arbitration board
shall establish its own rules of procedure.
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TRANSITIONAL AND FINAL PROVISIONS
ARTICLE 20
- This Agreement shall not establish any claim to payment of cash benefits
for any period before its entry into force.
- In the implementation of this Agreement, consideration shall also
be given to periods of coverage and other events relevant under the
laws occurring before the entry into force of this Agreement.
- Determinations made before the entry into force of this Agreement
shall not affect rights arising under it.
- Cash benefits to which there was entitlement before the entry into
force of this Agreement may be recomputed under its provisions. At least
the amount of the cash benefits previously payable shall continue to
be payable after the recomputation.
ARTICLE 21
The attached Final Protocol shall form an integral part of this Agreement.
ARTICLE 22
This Agreement shall also apply to Land Berlin, provided that the Government
of the Federal Republic of Germany does not make a contrary declaration
to the Government of the United States of America within three months
of the date of entry into force of this Agreement.
ARTICLE 23
- This Agreement shall be ratified, and the instruments of ratification
shall be exchanged as soon as possible in Bonn.
- This Agreement shall enter into force on the first day of the second
month following the month in which the instruments of ratification are
exchanged.
ARTICLE 24
- This Agreement shall remain in force and effect until the expiration
of one calendar year following the year in which written notice of its
denunciation is given by one of the Contracting States to the other
Contracting State.
- If this Agreement is terminated by denunciation, rights regarding
entitlement to or payment of cash benefits acquired under it shall be
retained; rights in the process of being acquired shall be recognized
in conformity with supplementary agreements.
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IN WITNESS WHEREOF, the undersigned, being duly
authorized thereto by their respective Governments, have signed the present
Agreement and affixed thereto their seals.
DONE at Washington on January 7, 1976, in duplicate in the English and
German languages, both texts being equally authentic.
FOR THE UNITED STATES OF AMERICA:
David Mathews
FOR THE FEDERAL REPUBLIC OF GERMANY:
von Staden
Walter Arendt
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FINAL
PROTOCOL TO THE AGREEMENT
BETWEEN THE UNITED STATES OF AMERICA
AND THE FEDERAL REPUBLIC OF GERMANY
ON SOCIAL SECURITY
At the time of signing the Agreement on Social Security concluded this
day between the United States of America and the Federal Republic of Germany,
the plenipotentiaries of both Contracting States stated that they are
in agreement on the following points:
- With reference to Article 1, paragraph 2, of the Agreement: The term
"laws" shall include the regulations adopted by the German Agencies
(Traeger) relating to the systems of social security specified in Article
2, paragraph 1, of the Agreement.
- With reference to Article 2 of the Agreement:
- Regarding Article 2, paragraph 1(b), of the Agreement, with respect
to the United States of America, the laws governing the Federal Old-Age,
Survivors and Disability Insurance Program are title II of the Social
Security Act of 1935, as amended, and regulations promulgated under
the authority provided therein, except sections 226, 226A and 228
of that title and regulations pertaining to those sections, and Chapter
2 and Chapter 21 of the Internal Revenue Code of 1954 as amended.
- Part II of the Agreement shall not apply to the Steelworkers' Supplementary
Pension Insurance system or to the Farmers' Old-Age Security system
of the Federal Republic of Germany.
- If under the laws of one of the Contracting States the requirements
for the application of another Convention or a supranational regulation
are fulfilled in addition to the requirements for the application
of this Agreement, the Agency of this Contracting State shall disregard
the other Convention or supranational regulation when applying this
Agreement.
- Article 2, paragraph 2, of the Agreement and paragraph 2(c) of
this Protocol shall not apply if the social security laws resulting
for the Federal Republic of Germany from international treaties or
supranational law or designed to implement such treaties or law contain
provisions relating to the apportionment of insurance burdens.
- With reference to Article 4 of the Agreement:
- Provisions relating to the apportionment of insurance burdens that
may be contained in international treaties shall not be affected.
- German laws which guarantee participation of the insured and of
the employers in the organs of self- government of the Agencies and
of their associations as well as in the adjudication of social security
matters shall remain unaffected.
- With reference to Article 5 of the Agreement:
- The German laws regarding cash benefits in respect of periods of
coverage accumulated other than under federal law shall remain unaffected.
- German laws concerning the granting of medical, occupational and
supplementary rehabilitation measures by the Agencies of the Pension
Insurance system shall remain unaffected.
- Article 5 of the Agreement shall also apply to United States laws
under which payment of cash benefits is made dependent on physical
presence in the territory of the United States.
- For persons who ordinarily reside in the United States of America,
Article 5 of the Agreement shall not apply with respect to benefits
under German laws on account of occupational invalidity, total invalidity,
or miners' occupational invalidity (verminderte bergmaennische Berufsfaehigkeit)
if the occupational invalidity, total invalidity or miners' occupational
invalidity is also due to labor market conditions
- With reference to Article 6 of the Agreement:
- Article 6 of the Agreement shall also apply to persons who are treated
as employees under the laws specified in Article 2, paragraph 1(a),
of the Agreement.
- Article 6, paragraph 4, of the Agreement shall apply to an employee
of any German public employer.
- With respect to the United States of America, the term "employed
by that Contracting State" in Article 6, paragraph 4(a), of the Agreement
shall mean employed by the Federal Government or one of its instrumentalities,
and the term "employee of the first Contracting State" in Article
6, paragraph 4, (b) and (c), of the Agreement shall mean an employee
of the Federal Government or one of its instrumentalities.
- Article 6, paragraph 5, of the Agreement shall not apply to exemptions
from United States laws of United States nationals who ordinarily
reside in the territory of the United States of America.
- If, according to Article 6, paragraphs 2 to 5, of the Agreement,
a person
- employed in the territory of the Federal Republic of Germany is not
subject to German laws, the German laws on compulsory coverage for sickness
insurance and contributions and benefits according to the Act on Social
Security for the Risk of Long-Term Care shall also not apply to the
person and the person's employer;
- employed in the territory of the United States of America is not subject
to United States laws, the United States laws on Federal hospital insurance
for the Aged and Disabled (Medicare, Part A) shall also not apply to
the person and the person's employer.
- With reference to Article 7 of the Agreement:
- Periods of coverage completed under United States laws shall not
be taken into account for the grant of increments (Leistungszuschlag)
provided under German laws governing the Miners' Pension Insurance
system.
- Under German pension insurance, Article 7, paragraph 1, of the
Agreement shall apply mutatis mutandis to cash benefits and benefits-in-kind
which may be granted at the discretion of the Agency.
- Notwithstanding Article 7, paragraph 3, of the Agreement, the United
States Agency shall not be required to take account of periods of
coverage completed under German laws in the case of any person who
is entitled to transitional benefits on the basis of Section 227 of
the United States Social Security Act.
- With reference to Article 8 of the Agreement:
- If, under German laws, provisions on a new assessment of deemed
periods of coverage (Zurechnungszeit) and on a pro rata payment of
supplements to the orphan's pension enter into force, Article 8, paragraphs
4 and 5, of the Agreement shall not apply to events to which these
provisions are applicable.
- United States nationals who ordinarily reside outside the territory
of the Federal Republic of Germany shall be eligible for voluntary
insurance in the German pension insurance system if they have validly
paid contributions for at least 60 months to this system or were eligible
for voluntary insurance on the basis of transitional laws in force
before October 19, 1972. This rule shall also apply to the persons
specified in Article 3(b) and (c) of the Agreement who ordinarily
reside in the territory of the United States of America.
- Upon application United States nationals may pay voluntary contributions
to the German pension insurance system retroactively, if eligibility
for continued voluntary insurance was abolished by the laws governing
voluntary insurance which entered into force on October 19, 1972 because
they were either ordinarily residing or domiciled outside the territory
of the Federal Republic of Germany. Retroactive voluntary contributions
may be made for periods from October 19, 1972 to the day of the entry
into force of the Agreement provided that these periods are not already
covered by contributions paid to the German pension insurance system.
Events relevant to eligibility for a benefit (Eintritt des Versicherungsfalles)
which arise within one year after the entry into force of the Agreement
shall not preclude payment of retroactive voluntary contributions.
An application can be validly made only during the five-years' period
following the date of entry into force of this Agreement. The Competent
Agency may accept payments by installments for a period of up to three
years.
- United States nationals to whom contributions were refunded between
October 19, 1972 and the date of entry into force of this Agreement,
may repay such contributions upon application. Such repayment may
only be made in the full amount of the contributions refunded; it
shall have the effect of cancelling any entry of refund of contributions
in the insurance record. Paragraph 7(c), the last three sentences
shall apply accordingly.
- In applying German laws concerning the calculation of benefits,
in particular provisions concerning the higher assessment of periods
of contributions in cases where a prescribed minimum number of years
of coverage has been completed, periods of coverage completed under
United States laws shall not be taken into account.
- (a) Persons described in Article 3(a)-(c) of the Agreement who, prior
to the date on which the National Socialist sphere of influence extended
to what was then their homeland,
- belonged to the German language and cultural group,
- had already attained age 16, and
- had not acknowledged themselves to be ethnically German because
they were Jewish,
and who left the areas of expulsion within the meaning of Article
1, paragraph 2, number 3, of the German Federal Law on Displaced Persons,
may, upon application, pay retroactive voluntary contributions to
the German pensions insurance system, provided that periods of contributions
or periods of employment under the Foreign Pensions Law first become
creditable for these persons as a result of Paragraph 17a of the Foreign
Pensions Law. The retroactive voluntary contributions may only be
paid for periods after attainment of age 16 and before attainment
of age 65 and starting with the time the National Socialist sphere
of influence was extended to what was then their homeland. Contributions
shall only be permitted for periods that have not already been credited
as periods of contributions according to German laws. An event that
gives rise to eligibility for benefits shall not preclude the payment
of these retroactive voluntary contributions, provided the event occurs
prior to the expiration of the time limit for payment of the contributions.
- Retroactive voluntary contributions according to subparagraph
(a) may not exceed the amount necessary to permit payment of benefits
based on periods creditable under Paragraph 17a of the Foreign Pensions
Law in accordance with the statutory pension provisions on payment
of benefits to eligible persons abroad that were applicable in the
territory of the Federal Republic of Germany--without the Acceding
Territory (Beitrittsgebiet)--on July 1, 1990.
- Notwithstanding the second sentence of subparagraph (a), persons
who attained age 65 on or before October 31, 1991, and who, on July
1, 1990, do not meet the requirements for payment of benefits abroad
through retroactive voluntary contributions pursuant to this Agreement,
may pay voluntary contributions for the period from July 1, 1990,
to November 30, 1991, but in an amount no greater than that which
is necessary for the payment of the benefit abroad; for this purpose,
the date of eligibility may be deferred to a point in time after attainment
of age 65.
- Contributions shall be paid in an amount of 84.48 Deutsche Mark
for each calendar month; for this purpose, the amount of retroactive
voluntary contributions to be paid may be reduced by the amount of
any resulting benefits that are payable retroactively. For the computation
of the insured person's relevant German Benefit Computation Base,
the values for the year 1994 shall be applied to the retroactively
paid contributions.
- For purposes of computing the benefit amount, the statutory pension
provisions applicable within the territory of the Federal Republic
of Germany--without the Acceding Territory-- on July 1, 1990, including
the provisions on benefit payments to eligible persons abroad, shall
be applied, together with this Agreement. The provisions on revaluation
of pensions based on Personal Remuneration Points (Paragraph 307 of
Volume VI of the Social Law Code) shall be applied as appropriate.
The monthly amount of the benefit that is to be paid abroad shall
be derived from the Pension Category Factor, as well as
(aa) the Personal Remuneration Points for contribution periods
under Paragraph 17a of the Foreign Pensions Law that are to be considered
in accordance with the first sentence of this subparagraph (e);
provided, however, that these shall be multiplied by the Present
Pension Value (East)--but not more than 0.7 times the Present Pension
Value--and a Pension Value of 15.96 Deutsche Mark shall apply for
the period from July 1, 1990, to December 31, 1990, a Pension Value
of 18.36 Deutsche Mark shall apply for the period from January 1,
1991, to June 30, 1991, and a Pension Value of 21.11 Deutsche Mark
shall apply for the period from July 1, 1991, to December 31, 1991;
(bb) the Personal Remuneration Points for contribution periods
to be considered according to subparagraphs (b) and (c) multiplied
by the Present Pension Value that is applicable for the year in
which the pension is to be paid, with the amount of 46.00 Deutsche
Mark being used for periods prior to July 1, 1995; and
(cc) the remaining Personal Remuneration Points multiplied by the
Present Pension Value that is applicable for the year for which
the pension is to be paid, with the amount of 39.58 Deutsche Mark
being used for periods prior to July 1, 1991.
- Subparagraphs (a) through (e) shall only apply with respect
to eligible persons who established ordinary residence in the United
States of America before July 1, 1990.
- For purposes of payment of survivors benefits, subparagraphs (a)
through (f) shall apply as appropriate to survivors of persons described
in subparagraph (a), even if the insured person dies prior to the
expiration of the time limit for retroactive voluntary contributions.
This shall also apply in the case of benefits for former spouses with
pension rights and in the case of reinstated survivors pensions.
- An application to pay retroactive voluntary contributions according
to this paragraph must be filed within 24 calendar months following
the entry into force of this paragraph. The application must be filed
with the social insurance agency to which the last German contribution
was paid or deemed to have been paid, and which is competent for adjudicating
the benefit claim. If the last contribution was paid to an agency
of the miners pensions insurance system, retroactive voluntary contributions
may only be paid to the wage earners or salaried employees insurance
system. The contributions shall be paid to the social insurance agency
that is competent to accept and process the application.
- Applications under subparagraph (h) shall be considered timely filed
applications for benefits. Benefits resulting from this paragraph
shall be paid beginning July 1, 1990, if the event giving rise to
eligibility occurs prior to this date and the benefit eligibility
requirements applicable on July 1, 1990, are met. If the event giving
rise to eligibility occurs after June 30, 1990, benefits resulting
from this paragraph shall be paid beginning with the calendar month
following the month in which the event giving rise to eligibility
occurs and the benefit eligibility requirements applicable on July
1, 1990, are met; a survivors benefit shall be paid from the date
of death if a benefit was not payable to the insured person for the
month of death.
- Subparagraphs (h) and (i) shall also apply with respect to persons
whose pensions were awarded prior to the entry into force of this
paragraph. In this case, the amount of Personal Remuneration Points
shall at least equal the amount previously considered. 9. In the implementation
of the Agreement, German laws to the extent that they contain more
favorable provisions for persons who have suffered damages because
of their political attitude or because of their race, religion or
ideology, shall remain unaffected.
DONE at Washington on January 7, 1976, in duplicate in the English
and German languages, both texts being equally authentic.
FOR THE UNITED STATES OF AMERICA:
David Mathews
FOR THE FEDERAL REPUBLIC OF GERMANY:
B. von Staden
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ADMINISTRATIVE
AGREEMENT
FOR THE IMPLEMENTATION OF THE AGREEMENT
BETWEEN
THE UNITED STATES OF AMERICA
AND THE FEDERAL REPUBLIC OF GERMANY
ON SOCIAL SECURITY | |
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The Government of the United States of America and the Government
of the Federal Republic of Germany,
In application of Article 16.1 of the Agreement between the United States
of America and the Federal Republic of Germany on Social Security of January
7, 1976, hereinafter referred to as the "Agreement",
Have agreed as follows:
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Article 1
For the purposes of the application of this Administrative Agreement,
terms used in the Administrative Agreement shall have the meaning they
have in the Agreement.
Article 2
The liaison agencies established under Article 16.2 of the Agreement
and the Competent Agencies referred to in the second sentence of Article
3 of this Administrative Agreement with the participation of the Competent
Authorities shall agree jointly upon uniform administrative measures,
procedures, and forms for the implementation of the Agreement. The provisions
of Article 16.1 of the Agreement shall not be affected.
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Article 3
Where German laws do not already make provision to this effect, the liaison
agency designated for the Wage Earners' Pension Insurance System shall
be responsible within the scope of that system for the determination and
award of cash benefits, with the exception of medical, occupational, and
supplementary rehabilitation benefits, provided that:
- periods of coverage have been completed or are creditable under German
and United States laws; or
- the person eligible ordinarily resides in the territory of the United
States of America; or
- the person eligible is a United States national ordinarily residing
outside the territories of both Contracting States.
The jurisdiction of the German special institutions ("Sonderanstalten")
shall not be affected.
Article 4
- The Agency of the Contracting State to whose laws on compulsory coverage
a person will remain subject in accordance with Article 6 of the Agreement
shall issue to the person or his employer a certificate to that effect
when requested to do so by the person or his employer.
- In the Federal Republic of Germany that certificate shall be issued
by the sickness insurance agency to which pension insurance contributions
are paid.
- In the United States of America the certificate shall be issued
by the Social Security Administration.
- In order to prove that a person is exempt from the laws on compulsory
coverage of one Contracting State, it shall be necessary for the person
or his employer to present the certificate referred to in paragraph
1 confirming that the person is subject to the laws on compulsory coverage
of the other Contracting State.
- Article 6, paragraph 2, of the Agreement shall apply to a person
if he is transferred from the territory of one Contracting State to
the territory of the other Contracting State within the context of a
preexisting employment relationship. 3a. If a person has been sent from
the territory of a Contracting State to the territory of the other Contracting
State for a specified period of work in accordance with Article 6, paragraph
2, of the Agreement, and the person subsequently begins a new period
of work in the territory of the other Contracting State, Article 6,
paragraph 2, of the Agreement shall not apply to the new period unless
- the new period of work begins at least 12 months after the end of
the initial period of work or
- the new period of work is not expected to last beyond 5 years from
the date on which the initial period of work began.
- (a) In making a determination concerning an exemption from the laws
on compulsory coverage of one Contracting State pursuant to Article
6.3(c)(2) or Article 6.5 of the Agreement, the nature and circumstances
of the employment shall be taken into consideration. Before making the
determination, the Competent Authority (or the office designated by
it) of the other Contracting State shall be given an opportunity to
express an opinion; the opinion shall in particular address the issue
of whether the person concerned and his employer will be made subject
to the laws on compulsory coverage of the other Contracting State.
- With regard to the Federal Republic of Germany, if the
person is not employed in its territory he shall be deemed to be employed
at the place of his last previous employment. If the person was not
employed previously in that territory, he shall be deemed to be employed
at the place where the German Competent Authority has its seat.
- Subparagraphs (a) and (b) shall also apply to self- employed persons.
Article 5
[Paragraph 1 deleted effective March 1, 1988.]
- In applying the Agreement, the United States Agency shall
take account of German periods of coverage occurring before 1937 in
accordance with United States laws.
- (a) In determining eligibility for cash benefits under Article 7.1
of the Agreement, the United States Agency shall credit one quarter
of coverage for every three months of coverage certified as creditable
by the German Competent Agency to the extent that the months do not
coincide with calendar quarters already credited as quarters of coverage
under United States laws. The total number of quarters of coverage to
be credited for a year shall not exceed four.
(b) In determining eligibility for cash benefits and benefits-in-kind
under Article 7.1 of the Agreement, the German Competent Agency shall
credit three months of coverage for each quarter of coverage certified
as creditable by the United States Agency to the extent that the months
in any such quarter of coverage do not coincide with periods of coverage
already credited as periods of coverage under German laws.
- Regarding Article 7.3 of the Agreement, the United States Agency
shall consider German periods of coverage which are less than the minimum
required by Article 7.2 of the Agreement only if the person is not eligible
for a benefit under United States laws without considering such periods
of coverage.
- Article 9.2 of the Agreement shall only apply in cases where eligibility
for a benefit under United States laws exists by applying Article 7.1
of the Agreement.
[Paragraphs 6 and 7 deleted effective March 1, 1988.]
ARTICLE 6
[Paragraph 1 deleted effective March 1, 1988.]
- When an individual is already entitled to a benefit from
the United States Competent Agency under Part II of the Agreement and
subsequently meets the requirements for receipt of a higher benefit
amount from the United States Competent Agency without recourse to Part
II of the Agreement, the higher benefit amount shall become payable
from the date that the requirements are met.
ARTICLE 7
- An application for cash benefits under the laws of one Contracting
State shall also be treated as an application for cash benefits under
the laws of the other Contracting State if the application indicates
that periods of coverage under the laws of the other Contracting State
are also alleged. Article 14.2 of the Agreement shall remain unaffected.
- In the application of Article 15 of the Agreement, additional requirements
under national statutes for the protection of privacy and confidentiality
of personal data shall remain unaffected.
ARTICLE 8
- In the application of Article 14 of the Agreement, applications, appeals,
statements, and documents necessary to establish eligibility shall be
forwarded without delay by the Competent Agency of a Contracting State
to which they have been presented to the liaison agency of the other
Contracting State.
- In the application of Article 7 of the Agreement, the German Competent
Agency shall notify the United States Competent Agency of the periods
of coverage creditable under German laws, together with a list of the
months in the periods of coverage.
- In accordance with procedures to be agreed upon pursuant to Article
2, the agencies referred to in Article 2 shall furnish each other
available information or copies of documents relating to the claim of
any specified individual for the purpose of administering the Agreement
or the laws specified in Article 2.1 of the Agreement.
- Each Agency shall be the final judge of the probative value of documentary
evidence presented to it from whatever source. Article 12.2 of the Agreement
shall not be affected by this provision.
- The liaison agencies of the two Contracting States shall exchange
statistics on the payments made to beneficiaries under the Agreement
for each calendar year in a form to be agreed upon. The date shall include
the number and total amount of benefits and commuted lump-sum payments,
by type of benefit.
ARTICLE 9
The Agency of a Contracting State shall pay any cash benefits due to
beneficiaries in the territory of the other Contracting State without
recourse to a liaison agency of the other Contracting State.
ARTICLE 10
- Where administrative assistance is requested under Article 10 of the
Agreement, expenses, other than postage and regular personnel and operating
costs of the Competent Authorities, Agencies, and associations of the
Agencies providing the assistance, shall be reimbursed.
- Where the Agency of a Contracting State requires that a claimant
or beneficiary submit to a medical examination, such examination, if
requested by that Agency, shall be arranged by the Agency of the other
Contracting State in which the claimant or beneficiary resides at the
expense of the Agency which requests the examination.
- The Agency of either Contracting State shall furnish to the liaison
agency of the other Contracting State at its request and without expense
any medical information and documentation relevant to the disability
of the claimant or beneficiary which may come into its possession.
ARTICLE 11
For the purpose of Article 11.2 of the Agreement, the text of the decision
or ruling must contain a certification by a body competent to issue such
a certification testifying to its enforceability under the laws of the
Contracting State in whose territory the certification was issued.
ARTICLE 12
For the purpose of Article 13.1 of the Agreement, laws governing the
recourse to interpreters shall not be affected. Rulings, official notifications,
or other documents may be transmitted directly to a person resident in
the territory of the other Contracting State by registered letter.
ARTICLE 13
[Deleted effective May 1, 1996]
ARTICLE 14
[Deleted effective March 1, 1988]
ARTICLE 15
The use of information furnished under the Agreement by one Contracting
State to another with regard to an individual shall be governed by the
respective national statutes for the protection of privacy and confidentiality
of personal data.
ARTICLE 16
- a. Pursuant to the provisions of Article 2, paragraph 51a, subparagraphs
2 and 3 of the German Wage Earners' Pension Insurance (Reform) Act (ArVNG)
and of Article 2, paragraph 49a, subparagraphs 2 and 3 of the German
Salaried Employees' Pension Insurance (Reform) Act (AnVNG), all of which
entered into force on October 19, 1972, persons who are persecutees
within the meaning of the German Federal Act concerning Compensation
for Victims of National Socialist Persecution (BEG), who are United
States nationals and who ordinarily reside in the territory of the United
States of America may upon application pay retroactive voluntary contributions
to the German pension insurance system for the period from January 1, 1956,
through December 31, 1973. Such persons shall be deemed to be eligible
for voluntary insurance under the German pension insurance system as
if they were German nationals.
- An application under paragraph (a) of this section may
be validly filed within one year after the date specified in the first
sentence of Article 18 of this Administrative Agreement. Such an application
shall be filed with the German Competent Agency to which the person's
last contribution was paid, or if the last contribution was paid to
the Miners' Pension Insurance system, with the liaison agency of the
Salaried Employees' Pension Insurance system.
- The contributions shall be paid directly to the Agency specified
in paragraph (b) with which the application was filed.
- The contributions may be accepted by the agency concerned in installments
over a period of up to three years. Such contributions may be made
only up to the German contribution assessment ceiling for monthly
earnings of the year 1973. The calculation of the German benefit computation
base applicable to the insured persons shall be based on the figures
for 1973.
- Events relevant to eligibility for a benefit under German laws which
arise in the period between October 18, 1972, and the date specified
in the first sentence of Article 18 of this Administrative Agreement
shall not preclude payment of the contributions.
- The application of the provisions of this section shall in all other
respects be subject to the German transitional laws which entered
into force on October 19, 1972.
- a. Pursuant to the provisions of Section 10 and Section 10a of
the German Act concerning Compensation in Social Insurance for Victims
of National Socialist Injustice (WGSVG), persons who are persecutees
within the meaning of the German Federal Act concerning Compensation
for Victims of National Socialist Persecution (BEG), who are United
States nationals and who ordinarily reside in the territory of the United
States of America may upon application pay retroactive contributions
to the German pension insurance system.
- An application under paragraph (a) of this section may
be validly filed within one year after the date specified in the first
sentence of Article 18 of this Administrative Agreement.
- In applying the provisions specified in paragraph (a) of this
section, periods of coverage under United States laws shall be taken
into account to the same extent as periods of coverage under German
laws for the required period of coverage of 60 calendar months.
- Events relevant to eligibility for a benefit under German laws which
arise before the end of the first twelve months after the date specified
in the first sentence of Article 18 of this Administrative Agreement
shall not preclude payment of the contributions.
- If a person specified in paragraph (a) of this section has died
before the date specified in the first sentence of Article 18 of this
Administrative Agreement, Section 10 subsection 3 and Section 10a
subsection 3 of the German Act concerning Compensation in Social Insurance
for Victims of National Socialist Injustice (WGSVG) shall apply accordingly.
- Paragraph (d) of section (l) of this Article shall also apply to
this section.
ARTICLE 17
This Administrative Agreement shall also apply to Land Berlin, provided
that the Government of the Federal Republic of Germany does not make a
contrary declaration to the Government of the United States of America
within three months after the date of entry into force of this Administrative
Agreement.
ARTICLE 18
This Administrative Agreement shall enter into force on the date on which
both Governments will have informed each other that the steps necessary
under their national statutes to enable the Administrative Agreement to
take effect have been taken. It shall be effective from the date of entry
into force of the Agreement. |
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DONE at Washington on June 21, 1978, in duplicate in the English and
German languages, both texts being equally authentic.
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For the Government of the United States of America:
Joseph A. Califano, Jr.
For the Government of the Federal Republic of Germany:
B. von Staden
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