C-57/93
ECLI:EU:C:1994:230
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OPINION OF MR VAN GERVEN — CASE C-57/93
OPINION OF ADVOCATE GENERAL VAN GERVEN delivered on 7 June 1994 *
Mr President, Background to Case C-57/93 Vroege Members of the Court,
1. In these two post-Barber cases the Court is asked to explain the consequences of the 2. Since 1 May 1975 Anna Adriaantje Vroege Barber judgment 1for female members of a has been in part-time employment working supplementary occupational pension scheme 25.9 hours a week for NCIV Instituut voor who work on a part-time basis. The Court Volkshuisvesting BV ('NCIV'). Her terms of also has to consider for the first time the employment are governed by the NCIV col interpretation of the Protocol concerning lective labour agreement. That agreement Article 119 of the Treaty establishing the provides in particular that an employee is European Community ('the Barber Proto entitled, in accordance with the pension col'). The text of the Barber Protocol reads scheme rules stated to be applicable to him as follows: or her, to an invalidity pension, an old-age pension and a widow's and orphan's pen sion. Before 1 January 1991 NCIV's pension scheme rules provided that only men and unmarried women employed for an indeter minate period and working at least 80% of a full day could be members of its pension scheme. Since Anna Vroege never worked more than 80% of the full day after starting 'For the purposes of Article 119 of this her employment, she was unable to acquire Treaty, benefits under occupational social any pension rights before 1 January 1991 security schemes shall not be considered as under the old pension scheme rules. remuneration if and in so far as they are attributable to periods of employment prior to 17 May 1990, except in the case of work ers or those claiming under them who have before that date initiated legal proceedings or introduced an equivalent claim under the applicable national law.'
* Original language: Dutch. 3. On 1 January 1991 new pension scheme 1 — Judgment of 17 May 1990 in Case C-262/88 Barber v rules came into force, providing that Guardian Royal Exchange Assurance Group [1990] ECR I-1889. employees who have reached 25 years of age
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and who work at least 25% of the employ number of points, the Kantongerecht Utre er's normal working hours may be members cht has referred the following questions for a of the scheme. A transitional provision pro preliminary ruling: vides that women who were not covered by the scheme before 1 January 1991 are to be given the opportunity to purchase additional years membership as from that date, pro vided that they were at least 50 years of age on 31 December 1990. The maximum num ber of years of membership which may be purchased in this way is limited to the num ber of years between the date on which the member concerned attained 50 years of age '(1) Does the right to equal pay within the and 1 January 1991. This transitional provi meaning of Article 119 of the EEC sion is not applicable to Anna Vroege who Treaty also include a right to join an was not yet 50 years of age on 31 December occupational pension scheme? 1990. Consequently, she could begin to accrue pension rights only as from 1 January 1991.
4. Miss Vroege argued before the Kanton (2) If Question 1 is answered in the affir gerecht Utrecht that this transitional provi mative, does the temporal limitation sion entailed discrimination contrary to Arti imposed by the Court in the Barber cle 119 of the EEC Treaty. In her view, in case with regard to a pension scheme of accordance with the principle of equal pay the kind at issue in that case laid down in that article she is entitled to a ("contracted-out schemes") also apply pension with retroactive effect going back to a claim to join an occupational pen to 8 April 1976, the date of the judgment in sion scheme of the kind at issue in this Defrenne II. 2 case?
5. Considering that resolution of the case requires clarification of Community law on a (3) Are there grounds for making the pos sible applicability of the principle of equal pay set out in Article 119 of the 2 — Judgment of 8 April 1976 in Case 43/75 Defrenne v Sabina [1976] ECR 455. EEC Treaty subject to a temporal limi-
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tation in respect of claims to participate membership of that occupational pension in an occupational pension scheme of scheme compulsory for the whole retail the kind at issue in this case and, if so, trade, pursuant to Article 3 of the Bedrijf- from which date? spensioenwet (Law on Occupational Pen 3 sions). Prior to 1 January 1991 Mrs Fiss cher did not qualify for membership because the scheme rules excluded married women.
(4) Do the Protocol concerning Article 119 of the Treaty establishing the European Community appended to the Treaty of Maastricht ("the Barber Protocol") and (the draft law amending) transitional Article III of Draft Law 20890, which is 7. On 1 January 1991 the scheme rules were intended to implement the Fourth changed. Mrs Fisscher was admitted to the Directive, affect the assessment of this pension scheme and was granted 'back ser case, which was lodged at the registry of vice' for a period of three years. On 16 the Kantongerecht by application of 11 July 1992 Mrs Fisscher summoned Voorhuis November 1991, having regard in par and the Pension Fund before the Kanton ticular to the date on which the pro gerecht Utrecht. She claims that the old rules ceedings were instituted?' were, inter alia, contrary to Article 119 of the EEC Treaty. In her view, she is entitled retroactively to be a member of Voorhuis' pension scheme or to equivalent arrange ments. Since Article 119 has had horizontal effect from the time of the judgment in Defrenne II, she claims that she has acquired Background to Case C-128/93 Fisscher pension rights as from 1 January 1978, the date on which she entered service.
6. Geertruida Fisscher was employed by Voorhuis Hengelo BV ('Voorhuis') from 1 January 1978 to 10 April 1992 under a con tract providing for employment of 30 hours a week. Her terms of employment included 8. The Kantongerecht Utrecht considers membership of a pension scheme, the Stich that, here again, Community law is not clear. ting Bedrijfspensioenfonds voor de Detail handel ('the Pension Fund'). According to the order for reference, a decision of the Sec 3 — Law of 17 March 1949 on Compulsory Membership of an retary of State of 9 December 1971 has made Occupational Pension Scheme, Staatsblad, J 121.
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It has submitted the following questions for fund directly as if it were the employ a preliminary ruling: er?
'(1) Does the right to equal pay laid down (4) If under Article 119 of the EEC Treaty in Article 119 of the EEC Treaty the plaintiff is entitled to be a member include the right to join an occupational of the occupational pension scheme pension scheme such as that at issue in from a date prior to 1 January 1991, this case which is made compulsory by does that mean that she is not bound to the authorities? pay the premiums which she would have had to pay had she been admitted earlier to the pension scheme?
(2) If the answer to Question 1 is in the affirmative, does the temporal limitation imposed by the Court in Barber for pension schemes such as those consid (5) Is it relevant that the plaintiff did not ered in that case ("contracted-out act earlier to enforce the rights which schemes") apply to the right to join an she now claims to have? occupational pension scheme such as that at issue in this case, from which the plaintiff was excluded because she was a married woman?
(6) Do the Protocol concerning Article 119 of the EEC Treaty appended to the Treaty of Maastricht ("the Barber Pro tocol") and the (draft law amending) (3) Where membership of a pension scheme the transitional Article III of Draft applied in an undertaking is made com Law 20890, which is intended to imple- pulsory by law, are the administrators of the scheme (the occupational pension fund) bound to apply the principle of 4 — The Kantongerecht states with regard to this question that it equal treatment laid down in Article 119 has no jurisdiction to hear a claim based on unlawful con duct because the amount involved exceeds its jurisdictional of the EEC Treaty, and may an limits. The only relevant issue for the purposes of the pro employee who has been prejudiced by ceedings before the Kantongerecht is whether Mrs Fisscher may claim against the Pension Fund on the basis of her con failure to apply that rule sue the pension tract of employment.
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ment the Fourth directive, affect the '... the scheme does not constitute a social assessment of this case which was security scheme governed directly by statute brought before the Cantonal Court by and thus outside the scope of Article 119. writ of summons issued on 16 Benefits paid to employees under the scheme July 1992?' therefore constitute consideration received by the worker from the employer in respect of his employment, as referred to in the sec 6 ond paragraph of Article 119'.
Does the right to be a member of the occu- pational pension schemes in question fall under Article 119 of the EEC Treaty?
10. The answer that the Court gave in the same judgment to the question whether it is compatible with Article 119 for the employer concerned to exclude part-time workers from the scheme shows that not only the right to benefits paid under the occupational pension scheme concerned but 9. The first question in both cases is identi also the right to be a member of it fall within cal: does the right to be a member of the the scope of Article 119. occupational pension scheme concerned fall within the sphere of application of Arti cle 119 of the EEC Treaty? In my view, sub ject to one specific aspect of the Fisscher Case (of which more will be said in para graphs 11 and 12 below), the answer to this question is clear from the judgment given by the Court in the Bilka case. 5That judgment concerned an occupational pension scheme set up by a German department store com pany. Although the scheme had been intro 'Article 119 of the EEC Treaty is infringed duced in accordance with the German legis by a department store company which lation in force, the scheme was the result of excludes part-time employees from its occu an agreement between the employer and the pational pension scheme, where that exclu works council and was an integral part of the sion affects a far greater number of women employment contract. On the basis of those than men, unless the undertaking shows that factors the Court held that
6 — Judgment in Bilka, paragraph 22, confirmed by the Barber 5 — Judgment in Case 170/84 Bilka [1986] ECR 1607. judgment, paragraph 27.
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the exclusion is based on objectively justified scheme concerned is made compulsory for factors unrelated to any discrimination on the entire trade or industry concerned pursu grounds of sex.' ant to the Netherlands Bedrijfspensioenwet, (ii) the pension conditions are the result of negotiation in the trade or industry con cerned and are not directly laid down by law, (iii) the pension scheme is financed exclu sively by employers and/or employees with out any contributions from the State, and 11. In the Vroege case — in which the occu (iv) the scheme does not apply to general pational pension forms part of the terms of categories of workers but only to workers employment laid down in the collective engaged in specific undertakings, in particu labour agreement-none of the intervening lar in the retail trade. There is therefore no parties is in doubt that the pension scheme in reason in the Fisscher case to come to a deci question must be regarded as pay within the sion different from that at which the Court meaning of Article 119 of the EC Treaty. The arrived in the Ten Oever case: Fisscher case, on the other hand, has the spe cific feature that it involves an occupational pension scheme which, as the Kantongerecht mentions in its first question, 'is imposed by the authorities'. The German government in particular takes the view in its written obser vations that Article 119 has no application here. 8 At the hearing its representative stated, however, that following the judgment 9 of 6 October 1993 in the Ten Oever case, 'In the present case, it is apparent from the the German Government also takes the view documents before the Court that the rales of that Article 119 is applicable in this regard. the pension scheme in question were not laid down directly by law but were the result of an agreement between both sides of the industry concerned. All the public authori ties did was, at the request of such employ ers' and trade union organizations as were considered to be representative, to declare Indeed, in so far as some doubt was still pos the scheme compulsory for the whole of the sible in this regard, the judgment in Ten industry concerned. Oever removed it. The occupational pension scheme in the Fisscher case exhibits many similarities with the survivor's pension in question in the Ten Oever case: in both cases (i) membership of the occupational pension
7 — Judgment in Bilka, paragraph 31 and paragraph 1 of the operative part. 8 — Voorhuis and the Pension Fund have also expressed doubt in this regard, but in the end leave this question to the assess ment of the Court. It is also established that this pension scheme 9 — Case C-109/91 [1993] ECR I-4879. is funded wholly by the employees and
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employers in the industry concerned, to the prohibited. 1However, the exclusion in the exclusion of any financial contribution from Vroege case of employees who work less the public purse. than 80% of full working time can be regarded as impermissible indirect discrimi nation only if the abovementioned condi tions laid down in the judgment in the Bilka case are fulfilled. Those conditions are namely that the measure must affect women to a greater extent than men and that there must be no objective justification for the dis It must be inferred from all those factors that crimination. In view, in particular, of the lat the survivor's pension in question falls ter condition, one must not therefore auto within the scope of Article 119 of the Trea 10 matically conclude — as the Commission is ty.' inclined to do in its written submissions — that Article 119 has been infringed. Rather, it is for the national court to determine, in accordance with the judgment in Bilka,
12. Although the Kantongerecht does not ask whether a breach of Article 119 has actu ally occurred in the present cases, I would add the following points to make matters clear. In both cases the pension scheme excluded married women from membership of the pension fund until it was amended on 1 January 1991. In the Vroege case, NCIV's pension scheme also excluded from membership until that date men and unmar ried women who worked less that 80% of a '... whether and to what extent the grounds full day. put forward by an employer to explain the
11 — See, in particular, the judgments in Case 150/85 Drake [1986] ECR 1995, paragraph 34 and paragraph 2 of the operative part (exclusion of married women from receipt of a social security benefit within the meaning of Direc tive 79/7/EEC to which married men in the same circum stances were entitled); Case C-377/89 Cotter and McDer- As far as the exclusion of married women is mott [1991] ECR 1-1155, paragraph 22 and paragraph 1 of the operative part (automatic right for married men to an concerned, it can hardly be denied that this increase of social security benefits whilst married women constitutes direct discrimination on the had to satisfy supplementary conditions); Joined Cases C-87/90, C-88/90 and C-89/90 Verholen [1991] ECR grounds of sex which the Court in equal 1-3757, paragraph 30 and paragraph 4 of the operative part (unlawful maintenance, under Directive 79/7, of national treatment cases has frequently held to be rules which excluded married women from entitlement to an old-age pension). Conversely, the Court has held that rules which granted advantages to married women (who were treated as persons exempt from social security contri butions) when those same advantages were refused to mar ried men in the same circumstances were incompatible with 10 — Judgment in Ten Oever, paragraphs 10 to 12. See also my the principle of equal treatment: see the judgment in Case Opinion of 28 April 1993 in Cases C-109/91, C-110/91, C-373/89 Integrity [1990] ECR 1-4243, paragraph 15 and C-152/91 and C-200/91 Ten Oever and Others [1993] ECR the operative part. I-4926, I-4927, paragraph 50.
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adoption of a pay practice which applies question in the Vroege case, which is independently of a worker's sex but in fact whether there are grounds to limit the appli affects more women than men may be cability of Article 119 in time as regards the regarded as objectively justified economic right to join an occupational pension scheme. grounds. If the national court finds that the measures chosen by Bilka correspond to a real need on the part of the undertaking, are appropriate with a view to achieving the objectives pursued and are necessary to that end, the fact that the measures affect a far greater number of women than men is not sufficient to show that they constitute an 1 infringement of Article 119.' 2
The positions taken before the Court differ sharply. Miss Vroege, Mrs Fisscher and the Commission argue that the temporal limita tion laid down in the Barber judgment bears Does the temporal limitation imposed in the no relation to the issue in these cases and Barber judgment also apply to the right to that the Bilka judgment is fully applicable so that, since no limitation was placed on the join an occupational pension scheme? temporal effect of that judgment, the pension scheme rules in issue contravened Article 119 of the EEC Treaty from 8 April 1976, the date of the judgment in Defrenne II, until 1 January 1991, the date on which the scheme rules were amended. The Commission sub mits in particular that the temporal limita tion laid down in the Barber judgment is exceptional and that such a limitation can only be justified by the requirements of legal certainty and good faith. Since it has been beyond dispute from the time of the Bilka judgment that excluding certain employees from membership of occupational pension 13. The second question, too, is the same in schemes constitutes a breach of Article 119 both cases. It is whether the temporal limita and since Community legislation nowhere tion which the Court laid down in the Bar- allows such an exclusion, employers and ber judgment also applies to the right to join pension funds could not have been under an occupational pension scheme. Given the any misapprehension as to the precise scope close connection between them I shall deal of the principle of equal pay. Miss Vroege with these questions together with the third and Mrs Fisscher also point out that there is a fundamental difference between the Barber case and their cases: the Barber case con 12 — Judgment in Bilka, paragraph 36. cerned discrimination resulting from the set-
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ting of pensionable ages differing according was placed on the effects of the Barber judg to sex whereas the present cases concern dis ment should also apply in the present cases. crimination based on the legal position of The defendants in the main proceedings also married women and on part-time working. submit that, if it were true that the Bilka Since it is an exceptional step to place a tem judgment applies to all occupational pension poral limitation on the effects of a judgment, schemes, the reasoning which the Court fol this must mean, in their view, that the limi lowed in the Barber judgment to justify the tation applies only to factually identical situ temporal limitation of its effects, which it ations. based on legitimate expectations and good faith, would be wrong. Finally, those parties point out that the fact that Mrs Fisscher did not apply to join the occupational pension scheme until 27 April 1992, several years after the judgments in Defrenne II and Bilka, shows how unclear the whole matter was.
14. Voorhuis, the Pension Fund, the Belgian Government and the United Kingdom, on the other hand, consider that the temporal limitation placed on the effects of the Barber judgment must also apply in these cases. Their arguments may be summarized as fol lows. First, Community legislation has developed in parallel with the case-law of the Court and until the Barber judgment it sup ported a presumption that Article 119 was The German Government considers that nei not applicable to occupational pension ther the Barber judgment nor the Ten Oever, schemes. This created a situation of uncer Moroni and Neath judgments, or the judg tainty at the very least. Second, if there were ment still to be delivered in the Coloroll case, no temporal limitation, employers and pen prejudge the question of a possible temporal sion funds would be faced with having to limitation in the present cases. In its view, bear almost unsupportable financial burdens the question whether the principle of legiti since they would then be obliged to allow mate expectation justifies a temporal limita persons hitherto excluded from their occupa tion of the effects of the judgments of the tional pension schemes to join them with Court must be assessed on a case-by-case retroactive effect going back several years basis. Since the orders for reference give no (even to the date of the judgment in indication of the costs which undertakings Defrenne II). Thirdly, the Belgian Govern would incur by allowing part-time workers ment argues that, because it is couched in to join their pension schemes, the German much more general terms, the Barber judg Government does not consider it possible to ment has wider scope than the judgment in decide in the present cases whether the crite Bilka so that the temporal limitation which ria which the Court has laid down for the
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placing of temporal limitations on its judg the same discriminatory effect, the Court ments are fulfilled. held:
'It follows that the scope of the principle stated in the Barber judgment cannot be regarded as being limited to contracted-out occupational schemes and that those princi ples also apply to supplementary schemes of the type in question in the main proceed 16 ings'.
15. Subject to the necessary qualifications, I endorse the position taken by Miss Vroege, Mrs Fisscher and the Commission. My point of departure is the Moroni judgment of 14 13 December 1993. In that judgment the Court made it clear, first, that the Barber In the Moroni judgment the Court then went judgment, including the temporal limitation on to recall what it had said in the Bilka case: laid down therein, also applies to supplemen tary occupational pension schemes, that is to say private pension schemes other than the private contracted-out pension schemes which were at issue in the Barber case. After holding, first, that the criteria which it had applied in the Barber judgment to ascertain 'In its judgment in Case 170/84 Bilka- whether the contracted-out schemes fell Kaufhaus [1986] ECR 1607, which likewise within the scope of Article 119 were the concerned a German occupational scheme, same as those which it had applied in its ear 14 the Court held that the scheme in question, lier case-law (the judgments in Defrenne I although adopted in accordance with the and Bilka) in order to distinguish occupa provisions laid down by German legislation tional schemes from statutory social security 15 for such schemes, was based on an agreement schemes and, second, that pensionable ages between the employer and the representa differing according to sex, at issue in the Bar- tives of its employees, was supplementary to ber case, were not in any way a specific char the statutory social security scheme and did acteristic of contracted-out occupational not receive any public funding. A scheme pension schemes but occurred in other kinds having such characteristics therefore falls of occupational scheme in which they had within the scope of Article 119 of the 1 Treaty.' 7
13 — Case C-110/91 [1993] ECR I-6591. 14 — Judgment in Case C-8O/70 Defrennc v Sabena [1971] ECR 445, paragraphs 7 and 8. 16 — Judgment in Moroni, paragraph 17. 15 — Judgment in Moroni, paragraphs 13 to 15. 17 — Judgment in Moroni, paragraph 15.
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However, in the Barber judgment the Court point the temporal limitation on that judg added that ment applies to all occupational pension schemes, supplementary or contracted out.
'[it] considered for the first time the question how the unequal treatment arising from the setting of different retirement for the two 18 sexes was to be viewed under Article 119'.
The following distinction must therefore be made. The Bilka judgment made it clear that it clear that, in so far as the criteria laid down in Defrenne I are met, benefits paid under an occupational pension scheme are to be regarded as pay within the meaning of Arti 16. From the judgment in Moroni the fol cle 119 of the EC Treaty and that exclusion lowing is to be deduced about the relation of part-time workers from such an occupa ship between the judgments in Bilka and tional pension fund may under certain cir Barber. First, the question whether an occu cumstances be contrary to that provision (see pational pension scheme of the supplemen paragraphs 9 and 10 above). However, the tary type (in the instant case) or of the scope of the judgment stops there. Since contracted-out type (as later appeared) — both on the first point (that benefits are pay) falls in certain circumstances within the and on the second point (that under certain scope of Article 119 had already been circumstances exclusion may constitute answered in the affirmative in the Bilka judg unlawful discrimination) the Bilka judgment ment on the basis of criteria, known since was built on existing case-law, the Court did the judgment in Defrenne I, for defining the not consider it necessary to incorporate a concept of 'pay' in relation to social security temporal limitation of its effects. In the Bar- 19 measures. Second, the question of the ber judgment, however, the Court was ruling compatibility with Article 119 of pension for the first time on the question whether able ages differing according to sex in occu pensionable ages differing according to sex in pational pension schemes was not considered occupational pension schemes constituted until the judgment in Barber and on this unlawful discrimination. When it gave an affirmative answer to that question, a tempo ral limitation on the effects of its ruling 18 — Judgment in Moroni paragraph 16. appeared to be necessary because (i) Com 19 — In paragraphs 16 to 18 of the judgment in Bilka the Court munity legislation allowed derogations con expressly mentions the criteria laid down in Defrenne I as the point of departure for analysing the question whether cerning pensionable age on which the Mem the occupational pension scheme concerned fell within the ber States and the persons concerned could scope of Article 119. The Court also applied the same cri teria in the Barber case: see paragraphs 22 to 28 of the judg reasonably rely in support of their restrictive ment in that case.
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interpretation, and (ii) giving the judgment sion scheme. As far as Community legisla retroactive effect could have upset the finan tion is concerned, neither Direc cial balance of occupational pension tive 79/7/EEC nor Directive 86/378/EEC 21 schemes owing to their particular charac contain anything to suggest that married 22 teristics and operation. women or part-time workers may be excluded from pension schemes. On the con trary, since both directives expressly prohib ited all 'discrimination the basis of sex, either directly or indirectly, by reference in partic ular to marital of family status', especially as regards 'conditions of access' to the 23 schemes, it was clear from the outset that 17. It follows from the foregoing consider excluding married women from pension ations that the temporal limitation on the schemes or excluding part-time workers effects of the Barber judgment does not through indirect discrimination not having apply in relation to the right to be a member any objective justification went beyond the of an occupational pension scheme of the derogations allowed and was therefore supplementary or contracted-out kind unlawful. which, as in the present cases, fulfil the cri teria laid down in Defrenne I and Bilka. The arguments put forward by Voorhuis, the Pension Fund, the Belgian Government and the United Kingdom cannot, in my view, shake that conclusion.
In the first place, I am not convinced that Community law is ambiguous on the central issue in these cases, namely the exclusion of Nor, in my view, can the Court's case-law be married women and/or part-time workers criticised for being unclear on the question from membership of an occupational pen now under consideration. It was possible to deduce from the judgment of 11 March 1981 24 in the Worrhigham and Humphreys case that in certain circumstances occupational 20 — See paragraph 42 of the Barber judgment in which the Court refers to Article 7(1) of Council Directive 79/7/EEC pension schemes could fall within the scope of 19 December 1978 on the progressive implementation of the principle of equal treatment for men and women in of Article 119. In that judgment the Court matters of social security (OJ 1979 L 6 p. 24) and to Arti held that a contribution to a retirement ben cle 9 (a) of Council Directive 86/378/EEC of 24 July 1986 on the implementation of the principle of equal treatment efits scheme paid by the employer on behalf for men and women in occupational social security schemes (OJ 1986 L 225, p. 40). of the employees by means of an addition to 21 — Judgment in Barber, paragraph 44. 22 — As regards those characteristics and financial operation, see the judgments in Ten Oever, cited above in footnote 9, paragraphs 17 and 18, Morom, cited in footnote 13 above, paragraphs 29 and 30, and Case C-152/91 Neath [1993] 23 — Article 4(1) of Directive 79/7 and Article 5(1) of 86/348. ECR I-6935, paragraphs 14 and 15. 24 — The judgment in Case 69/80 [1981] ECR 767.
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their gross salary constitutes 'pay' within the of hours per week, the pay policy of the meaning of Article 119 of the Treaty. undertaking in question cannot be explained Moreover, after the Bilka judgment there by factors other than discrimination based 27 could no longer be any doubt that the crite on sex'. ria laid down in Defrenne I are applicable to occupational pension schemes having a con tractual origin (and in particular to supple mentary schemes).
The Court further elaborated this test in the Bilka judgment (paragraphs 10 and 12 above) and went on to apply it consistently in a line 2 of decisions. 8 That differences in pay between full-time and part-time workers may be problematical when considered with reference to Arti cle 119 of the EEC Treaty had already been made clear by the Court in its judgment 26 of 31 March 1981 in the Jenkins case. Although the Court there held that a lower hourly rate for part-time work did not perse constitute discrimination prohibited by Arti cle 119, it added: I must therefore conclude that, as regards the issue in this case, namely membership of an occupational pension scheme, Community law was not ambiguous and that there is therefore no reason to lay down, with regard to this question, a temporal limitation analo gous to that which the Court applied in Bar- ber in relation to differences in pensionable 29 age. However, this is not to say that the 'By contrast, if it is established that a consid temporal limitation laid down in Barber may erably smaller percentage of women than of men perform the minimum number of weekly working hours required in order to 27 — Judgment in Jenkins, paragraph 13. be able to claim the full-time hourly rate of 28 — See the judgment in Bilka, paragraphs 24 to 31 and 36. For pay, the inequality in pay will be contrary to subsequent applications of this test to cases of unequal pay for part-time workers, see the judgments in Case 171/88 Article 119 of the Treaty where, regard being Rinner-Kühn [1989] ECR 2743, paragraphs 12 to 16, Case C-33/89 Kowalska [1990] ECR 1-2591, paragraphs 13 to 16; had to the difficulties encountered by women Case C-184/89 Nina [1991] ECR 1-297 paragraphs 12 to 15 in arranging to work that minimum number and Case 360/90 Botel [1992] ECR 1-3589, paragraphs 18 and 21 to 27. 29 — C. f. paragraph 33 of the judgment in Worringham and Humphreys, cited above in footnote 24, in which the Court declined to limit the effects of its judgment in time, owing in particular to the 'information available at present to the 25 — Judgment in Woningham and Humphreys, paragraph 17 circles concerned as to the scope of Article 119 of the and paragraph 1 of the operative part. Treaty, in the light in particular of the decisions of the 26 — Judgment in Case 96/80 [1981] ECR 911. Court in the meantime on this subject'.
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not apply to other situations (I will return to ing) transitional Article III of Draft this matter in paragraphs 24 and 25 below). Law 20890 which is intended to implement the Fourth Directive' affect the assessment to be made in these cases.
18. The second argument put forward by Voorhuis, the Pension Fund, the Belgian Government and the United Kingdom can not succeed either. It is contended that As regards the draft Law mentioned by the unsupportable financial burdens would arise national court I can be brief: according to for employers and pension funds if the right firmly settled case-law, it is not for the Court to join a pension scheme were recognized of Justice, in proceedings under Article 177, without any temporal limitation (incidental to interpret national law and assess its 3 ly, it would appear, from the written submis effects. 0 sions that there is no consensus on the extent of those burdens). This argument would be convincing only if the Court were to answer the Kantongerecht's fourth question in the Fisscher case in the affirmative, which I do not propose that the Court should do (see below, paragraph 31), and then only if there were legitimate expectations (which is not the case, as explained above). 20. The position is not the same as regards the Barber Protocol (for the text of which, see paragraph 1 above). Although that Proto col did not become an integral part of the 31 EC Treaty until the Treaty on European Union entered into force on 1 Novem The significance of the Barber Protocol for ber 1993 and did not therefore apply at the the issues in these cases material time, this does not, however, mean that the Court can disregard it in these cas 32 es. Whilst it follows from the case-law of the Court that, in accordance with the prin-
30 — Sec the judgment in Case 52/76 Benedetti [1977] ECR 163, paragraph 25. 31 — See Article 239 of the EEC Treaty. 32 — Such an approach would be in line with the case-law 19. By its fourth question in the Vroege case according to which the Court may not, in proceedings and its sixth question in the Fisscher case the under Article 177 of the EC Treaty, give a ruling on acts which have not yet been adopted by the Community insti Kantongerecht wishes to know whether the tutions: see, in particular, the judgments in Case 93/78 Mat- theus [1978] ECR 2203, paragraph 8, and Case C-343/90 Barber Protocol and the '(draft Law amend Lourenço Dias [1992] ECR I-4673, paragraph 18.
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ciples of legal certainty and protection of background of the Barber judgment and in legitimate expectations, new substantive the light of the issue in that case, namely the rules, unlike procedural rules, do not in prin question whether it is permissable to set pen- ciple apply to proceedings pending at the sionable ages which differ according to sex. 34 time when they enter into force, the posi The Protocol cannot therefore have the tion is different 'in so far as it clearly follows result that the temporal limitation of the from their terms, objectives or general effects of Article 119 of the EC Treaty scheme that such an effect must be given to applies to all kinds of discrimination in the 35 [those substantive rules]'. In my view, this sphere of occupational pensions and, in par is the case with a declaratory rule like the ticular, to those kinds of discrimination con 36 one in the Barber Protocol the purpose of cerning access to such schemes for part-time which is to interpret the content of Arti workers. The Commission adds, however, cle 119 and a judgment of the Court, namely that, like the temporal limitation imposed in the Barber judgment (see paragraph 23 the Barber judgment, the Protocol also below). applies to the cases in which Community legislation misled the Member States or the other parties concerned as to the exact scope of the principle of equal pay for men and women.
21. Let us first examine the various views put to the Court on the question of the sig nificance of the Barber Protocol for these cases. Miss Vroege, Mrs Fisscher, the Ger man Government and the Commission argue essentially that, despite its very broad word ing, the Protocol must be read against the According to Voorhuis, the Pension Fund and the United Kingdom, on the other hand, the broad wording of the Barber Protocol 33 — Judgment in Salumi II, paragraph 10, in which the Court, leaves no doubt that it applies to all occupa with regard to the aforesaid principles as the basis of the tional pension schemes and to all discrimina principle of non-retroactivity of rules of Community law, refers to the judgments in Case 98/78 Racke [1979] ECR 69 tion based sex existing in this field, including and Case 99/78 Decker [1979] ECR 101. See the settled case-law of the Court concerning the Common Customs conditions of access to such schemes. Tariff, according to which the last amendment of a Com munity rule may not have retroactive effect on the interpre tation of the rule which was in force previously: judgments in Case 58/85 Ethicon [1986] ECR 1131, paragraph 13, and in Case C-304/92 Lloyd-Textil [1993] ECR I-7007 para graph 17. 34 — Judgment in Joined Cases 212 to 217/80 Salumi II [1981] ECR 2735, paragraph 9, which was recently confirmed by the judgment in Joined Cases C-121/91 and C-122/91 CT Contivi (Rotterdam) and JCT Benelux [1993] ECR I-3873, paragraph 22. 35 — Judgment in Salumi II, paragraph 9 (words in brackets added by myself); judgment in Case 21/81 Bout [1982] ECR 381, paragraph 13, recently confirmed by the judg ment in Case C-34/92 GruSa Fleisch [1993] ECR I-4147, paragraph 22. 36 — See the Opinion, already referred to in footnote 10, which I 22. My position largely coincides with that delivered in the Ten Oever, Moroni, Neath and Coloroll cases [1993] ECR I-4910 and I-4911 paragraph 23. of the Commission. At all events, it is quite
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clear — from the date set out in the Barber proceedings or raised an equivalent claim Protocol and the similarities between the under the applicable national law'. wording of the Protocol and the wording of 37 the Barber judgment — that the reason for drawing up the Protocol was the application which the Court had made of Article 119 in relation to pensionable ages differing accord ing to sex and, more particularly, the fact 38 that the operative part of the judgment left 23. The aim and intention of the Barber open different interpretations regarding the Protocol is therefore to clarify the effects in judgment's effect in time. This led, in the time of the Barber judgment and not to alter Member States in which occupational pen that judgment. Having regard to the declara sion schemes are widespread, to a number of tory character of the Protocol, the Court references for a preliminary ruling regarding must apply it to legal relations which arose the exact effect of the operative part of the before entry into force of the Treaty on 42 judgment. In reply to the questions referred, European Union. the Court, on 6 October 1993 — just before the entry into force of the Treaty on Euro pean Union — delivered its judgment in the 39 Ten Oever case in which it made the fol 40 lowing 'clarification':
Although the scope of the Protocol must therefore (just like the temporal limitation on the effects of the Barber judgment) be limited in principle to the issue central to the Barber case, namely whether pensionable ages differing according to sex are compati 'By virtue of the judgment of 17 May 1990 ble with Article 119, Ithink that a somewhat in Case C-262/88 Barber v Guardian Royal broader view must nevertheless be taken of Exchange the direct effect of Article 119 of it. the EEC Treaty may be relied upon, for the purpose of claiming equal treatment in the matter of occupational pensions, only in relation to benefits payable in respect of periods of employment subsequent to 17 May 1990, subject to the exception in favour of workers or those claiming under them 24. I deduce this from the Ten Oever judg who have, before that date, initiated legal ment. That case also consisted of a reference
37 — In particular, with regard to the exception made by the Pro 41 — Judgment in Ten Oever, already cited in footnote 9, para tocol for 'workers or those claiming under them who have graph 2 of the operative part; that judgment has since been before that date initiated legal proceedings or raised an confirmed by the judgments in Moroni, already cited in equivalent claim under the applicable national law', which footnote 13, paragraph 3 of the operative part, and Neath, is identical in its wording to that provided for in para already cited in footnote 21, paragraph 1 of the operative graph 5 of the operative part of the Barber judgment. part.
38 — Judgment in Barber, paragraph 5 of the operative part. 42 — Compare the declaratory nature of the interpretative judg ments which the Court gives under Article 177 of the EEC 39 — See the reference to footnote 9. Treaty upon references for preliminary rulings: sec the ref 40 — Judgment in Ten Oever, paragraph 19; see also the judg erences cited in paragraph 13 of my Opinion delivered ments in Moroni, paragraph 31, and Neath, paragraph 16. on 28 April 1993 in the Ten Oever case [1993] I-4903.
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from the Kantongerecht Utrecht, that time posed to consider that the temporal limita on the question whether Article 119 was tion of the effects of the Barber judgment is applicable to a survivor's pension for wid also applicable in the other situations for owers which was provided for by an occupa which Directive 86/378 allows exceptions to tional pension scheme. In the event of an the application of the principle of equal affirmative answer, the Kantongerecht also treatment because in those situations, too, as sought clarification of the effects in time of the Court put it in the Barber judgment, Article 119 in relation to the widower's pen sion in question. The Court answered the first question in the affirmative (see para graph 11) and answered the second question as set out above (at paragraph 22). Contrary 43 to what I had proposed in my Opinion, the Court, owing to the exception expressly laid down by Directive 86/378 for survivors' 44 pensions, therefore imposed, on the appli cation of Article 119 to the widower's pen sion in question, a temporal limitation taking effect not, as I had proposed, from the date '... the Member States and the parties con of the Ten Oever judgment but from the 45 cerned were reasonably entitled to consider date of the Barber judgment. that Article 119 did not apply ... and that derogations from the principle of equality between men and women were still permit 47 ted in that sphere'.
I have only one explanation for the choice of 46 that date, which is that the Court is dis
25. In my view, it follows from the forego ing considerations that the limitation in time 43 — See [1993] ECR 1-4927, paragraph 51. 44 — Article 9(b) of Directive 86/378 allows Member States to as provided for in the Barber judgment, and defer compulsory application of the principle of equal treat therefore in the Barber Protocol as well, ment with regard to these pensions until such equality is required by a directive in statutory social security schemes. must be understood as applying both to the 45 — The choice of this date meant that, contrary to what I had question of pensionable ages differing proposed, Mr Ten Oever, who had commenced proceedings in the Dutch courts on 8 October 1990, could not rely on according to sex and to the matters in rela the application of Article 119 in relation to the period prior to the Barber judgment. tion to which until the Barber judgment the 46 — Subject, of course, to the possibility that the Court under parties concerned were reasonably entitled to stood the Kantongerecht's second question as purely and simply one on the precise scope of the temporal limitation of the effects of the Barber judgment, without regard to the issue in the main proceedings. Such an explanation cannot be ruled out entirely, given the wording of paragraph 15 of the judgment in Ten Oever. 47 — Judgment in Barber, paragraph 43.
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consider, having regard to the exceptions seeks to ascertain whether the Pension Fund provided for in Directive 86/378, that dero as administrator and manager of the occupa gations from the principle of equal treatment tional pension scheme is bound to apply the 48 continued to be permitted. Such a view principle of equal treatment laid down in does not in any way affect the 'acquis com Article 119 and whether in the event of munautaire' contained in the Bilka judg breach of that rule a worker may directly sue 49 ment and consequently does not alter the the Pension Fund as if it were the employer. non-applicability of the temporal limitation on the effects of the Barber judgment con tended for in these cases: as stated above (paragraph 17), Directive 86/378 contains no derogations allowing part-time workers or married women to be excluded from pension schemes.
Mrs Fisscher, the United Kingdom and Commission consider that this question must be answered in the affirmative, on the Are the administrators of an occupational ground that Article 119 would lose much of pension scheme bound to comply with Arti its meaning if it could be relied on only cle 119 of the EC Treaty? against the employer. Voorhuis and the Pen sion Fund leave this question to the Court to decide but nevertheless consider, without providing support for their view, that an affirmative answer would scarcely be com patible with the wording of Article 119 and would entail a fundamental amendment of Netherlands procedural law. 26. The third question submitted by the Kantongerecht Utrecht in the Fisscher case
48 — See, however, paragraph 58 of the Opinion of Mr Advocate General Jacobs, delivered on 27 April 1994 in Case C-7/93 Benne, [1994] ECR I-4471, at p. I-4474, in which he argues in favour of a more general scope for the limitation in time of the effects of the Barber judgment. 49 — In the Treaty on European Union, the High Contracting Parties repeatedly confirm that the 'acquis communautaire' will be fully respected. See Article B, fifth indent, of the Treaty on European Union, according to which the Union 27. Practically the same question has been is to set itself the objectives of, inter tuia, maintaining in full submitted to the Court in the Coloroll case the 'acquis communautaire' and build on it; Article C, according to which the institutional framework of the (the point there is whether Article 119 may Union is to respect and build upon the 'acquis communau taire'; and especially Article M of the Treaty on European be relied on against the trustees an occupa Union — for the interpretation and application of which 50 the Court has jurisdiction by virtue of Article L of the tional pension scheme). In my Opinion Treaty on European Union — which confirms that, subject to the provisions amending the Community Treaties and subject to the final provisions of the Treaty on European Union, nothing in that Treaty is to affect the Treaties estab lishing the European Communities or the subsequent Trea 50 — Question 1(1) in Case C-200/91 Coloroll, [1994] ECR ties and Acts modifying or supplementing them. I-4389.
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of 28 April 1993 I proposed that the Court 29. Let us first examine the fourth question. should answer this question in the affirma Of the parties which have submitted obser tive. Since none of the parties which have vations Mrs Fisscher is the only party to submitted observations has put forward, in argue that she is not obliged to pay contribu opposition to the view I expound in that tions retroactively. According to her, the Opinion, arguments which I have not fundamental right to receive equal pay means already dealt with, I may refer the Court to that women in her position must be able to that Opinion for the reasons justifying such join a pension scheme retroactively without 51 an affirmative reply. being faced with obstacles such as retroactive payment of contributions. In her view, dis pensation from payment is necessary in order for women to be able to overcome the burden of arrears.
Does the existence of a retroactive right to join an occupational pension scheme entail an obligation to pay contributions retroac- tively?
According to Voorhuis, the Pension Fund and the Commission, on the other hand, it would be incompatible with Article 119 to require employers or pension funds to pay contributions for female employees when 28. If it is the case that Mrs Fisscher was male employees have had to pay their contri entitled to join the occupational pension butions themselves since this would create scheme concerned with effect from a date fresh discrimination. The United Kingdom prior to 1 January 1991, does this mean that also considers that Community law does not she is not obliged to pay the contributions require the rights which it confers to be pro which she would have had to pay if she had tected in a manner which gives rise to unjust been admitted to the scheme earlier? And is enrichment. To the extent to which Arti it relevant in this regard that she did not take cle 119 confers rights on Mrs Fisscher with action earlier to enforce the rights which she out any temporal limitation, the United now asserts? Those are the points raised by Kingdom considers that her entitlement as the fourth and fifth questions in the Fisscher regards periods of service in respect of which case. she did not make contributions should be either (i) for a full pension subject to her now paying a sum equal to the full capital ised value of the past contributions which 51 — They are given in paragraphs 55 to 57, [1993] ECR I-4929 at I-4930. she did not make or (ii) for a pension
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reduced by the value of the contributions ination incompatible with the principle of which she did not make. Any other outcome equal pay for men and women. would lead to unjust enrichment for the employee.
Community law does not therefore confer on a worker who has suffered unlawful dis crimination (see paragraph 12 above) the right to receive benefits without paying the corresponding contributions. It is therefore for the national court to achieve appropriate restoration of that worker's rights, having 30. I agree with the second point of view. It due regard for the rule, firmly established in is firmly settled in case-law that Community the Court's case-law, that law does not prevent a national court from ensuring in accordance with domestic law that protection of rights guaranteed by Community law does not lead to unjust 52 enrichment of the person concerned. Occupational pension schemes are clearly based on a quid pro quo consisting of an indissoluble link between the (employee's '... the class of persons placed at a disadvan and/or employer's) obligation periodically to tage by reason of that discrimination must be pay contributions and the right to receive treated in the same way and made subject to benefits upon attainment of a specific age. 53 the same scheme, proportionately to the To allow the rights of persons who have suf number of hours worked, as other workers, fered discrimination to be restored by grant such scheme remaining, for want of correct ing them full entitlement to pension benefits transposition of Article 119 of the EEC without their having to pay the correspond Treaty into national law, the only valid point 54 ing contributions would create new discrim of reference'.
52 — The Court has repeatedly confirmed this in cases concern ing fiscal payments and charges. See, in particular, the judg ments in Case 68/79 Just [1980) ECR 501, paragraphs 26 and 27, Case 61/79 Denkavit Halima [1980] ECR 1205, paragraph 26, and Case 199/82 San Giorgio [1983] ECR 3595, paragraph 13. In the Cotter and McDermott case, which is cited in footnote 11 above, the Court in a dis pute between an individual and a Member State concerning 31. The point of the fifth question in the a failure to implement or implement correctly Article 4(1) of Directive 79/7 held that the national authorities may not Fisscher case is not entirely clear. As Mrs rely on a prohibition of unjust enrichment in national law because this would allow them to use their own unlawful Fisscher herself points out, it may mean two conduct as a ground for depriving Article 4(1) of the direc tive of its full effect (paragraphs 21 and 26 of the judgment). I consider that, like the Emmott judgment (which I shall discuss in paragraph 31 below), that judgment concerns only 'vertical' situations. 54 — Judgment in Casc C-33/89 Kowalska [1990] ECR I-2591, 53 -— See the judgments in Ten Oever, paragraph 17, Moroni, paragraph 20 and paragraph 2 of the operative part (my paragraph 29, and Neath, paragraph 14. emphasis).
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things. First of all, the question may relate to in the absence of Community rules, those the applicability of the limitation periods laid conditions being that the national rules must down in domestic law in relation to individ not be less favourable for actions based on uals who seek to assert rights deriving from Community law than those relating to simi Article 119 of the EC Treaty against their lar domestic actions and they must not make employer and/or the occupational pension the exercise of rights conferred by Commu 57 scheme to which the employer is affiliated. nity law practically impossible. Like the Commission, I take the view that
55 the Emmott judgment relied on here by Mrs Fisscher is not a relevant precedent in the present proceedings. The case-law of the Court according to which limitation periods laid down by national law cannot be relied upon against individuals who invoke provi sions of Community law having direct effect is specifically concerned with Vertical' situa tions, that is to say situations in which a Member State has failed to fulfil its obliga tions under Community law. Since, as the Commission rightly points out, that case-law is based on the principle venire contra fac-
56 tum proprium or nemo auditur, it seems to me that, as the case-law stands at present, it is hardly appropriate, to 'horizontal' situa The second way in which the Kantongere tions such as that under consideration in this cht's fifth question could be understood is case. Such situations are governed only by that it seeks to ascertain whether, having the 'classic' conditions laid down by the regard to the date on which Mrs Fisscher Court in relation to national procedural rules commenced her action (16 July 1992, when she had been in Voorhuis' service since 1 January 1978), she must be regarded as hav ing 'forfeited' her rights. If this is what the Kantongerecht is asking, the Court should, in my view, refer it back to its own national law: in some Member States forfeiture of rights ('rechtsverwerking') is a doctrine which has been developed in relation to 55 — Judgment in Case C-208/90 Emmott [1991] 1-4269.
In para actions in private law and administrative law graph 24 of the judgment the Court held that 'Community law precludes the competent authorities of a Member State and on which Community law, subject to the from relying, in proceedings brought against them by an individual before the national courts in order to protect observance of the conditions mentioned rights directly conferred upon him by Article 4(1) of Direc above, has no impact. tive 79/7, on national procedural rules relating to time- limits for bringing their proceedings so long as that Mem ber State has not properly transposed that directive into its domestic legal system'. The Court clarified (or rather, so it seems, limited) the scope of this judgment in a judgment which it gave on 27 October 1993 in Case C-33/91 57 — As regards those conditions, see the judgments in Steenhorst-Neerings [1993] ECR 1-5475. See, in this regard, Case 33/76 Rewe [1976] ECR 1989 paragraphs 5 and 6, and Pijnacker Hordijk, E. H . 'Emmott, en hoe verder?', Neder- Case 45/76 Comet [1976] ECR 2043, paragraphs 13 and 16 lands Juristenblad, 1994, p . 499. as well as the judgments cited in footnote 52 above - Just, 56 — For the reasons for which a Member State may not rely on paragraph 25, Denkavit Italiana, paragraph 25, Srfn Gior- its failure to fulfil its obligations under the Treaty as against gio, paragraph 12, and the judgment in Emmott cited in individuals (in the instant case, failure to transpose a direc footnote 55, paragraph 16; for a more recent confirmation, tive), see the judgment in Marshall I (Case 152/84 [1986] see the judgment in Joined Cases C-31 to 44/91 Lageder ECR 723, paragraph 47). and Others [1993] ECR 1-1761, paragraph 28.
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Conclusion
32. I propose that the Court should answer the questions submitted by the Kan tongerecht Utrecht as follows:
In both cases:
1. The principle of equal pay laid down in Article 119 of the EC Treaty includes the right to be a member of an occupational scheme such as those concerned in the two cases.
2. The limitation of the effects in time of the judgment of 17 May 1990 in Case C-262/88 Barber does not apply to the right to be a member of an occupational scheme. The Protocol concerning Article 119 of the Treaty establishing the Euro pean Community does not affect the answer.
In Case C-128/93 Fisscber:
1. Article 119 of the EEC Treaty can be relied upon by a worker against the admin istrator of an occupational pension scheme.
2. Community law does not prevent the national court from ensuring, in accor dance with domestic law, that restoration of the rights conferred on workers by Article 119 of the EEC Treaty does not lead to unjust enrichment of the worker concerned. On the other hand, it does preclude new discrimination, incompatible with the principle of equal pay between men and women, from being created in the restoration of such rights.
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3. Community law does not affect the application of national rules on limitation periods or rules on the forfeiture of rights ('rechtsverwerking') in proceedings between individuals, provided that those rules are not less favourable for actions based on Community law than those relating to similar domestic actions and do make the exercise of rights conferred by Community law practically impossible.
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