Annex Nr.16 to the note AC 370/16

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EESSI

UB_BUC_02_Mainproc_Specification_v4.1.0

Annex Nr.16 to the note AC 370/16

APPROVED

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Employment, Social Affairs & Inclusion EESSI Business Use Case UB_BUC_02 – Export of UB

- Branch 37: rephrased text "(provided that they did not act on the SED they are trying to reject i.e.: did not reply to the SED)" to prevent misunderstandings to the following text: "(provided that they did not act on the SED U007 they are trying to reject via invoking U008 or provided that they did not act on the SED U009 they are trying to reject via invoking U011, U012, U014, U015 or U016), respectively to the above

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Revision Date Created by Short Description of Changes boundaries";

- Clarify branch 3, 3a, 5, 6, 7 and 8: these are possible to invoke also for branch 1;

- Clarify branch 4: replace 'send' with 'invoke'.

- Clarify branch 5: replace 'after step x' to 'between step x and x' to align with branch 6.

Updated Section 4.5 SED and Sub-process Versioning to include H_BUC_04 and H_BUC_10 as not used in this BUC.

Updated Section 5 Business Processes:

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Added new version of the BPMN diagram.

Removed Use Case diagram.

Removed 'Petitioner' from section 3 Actors &

Roles & from section 4.1 – Actors section as the petitioner does not take part as an actor in the BUC.

v4.1.0 03/08/2018 Heidi Warson

- Section 4.4: merged 2 tables (for SED & for Subprocesses) into 1 Artefact table.

- Version adaptations to release 4.1.0.

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1. Introduction

1.1. Purpose

The purpose of this document is to construct an external view of, part of, the 'EESSI business system' as described in EC Regulations 883/2004 and 987/2009. The ‘EESSI Business System’ describes the business and expected business processes without consideration as to which part(s) may be realised by an IT System (i.e. the proposed EESSI IT System).

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The external view comprises of models and descriptions of business use cases, the services of a business system offered to business actors: customers, business partners, or other business systems.

A business use case is described from an actor's perspective; it describes the interaction between an actor and the business system, meaning it describes the behaviours of the business system that the actor utilises. The Business Use Case includes Use Case Diagrams and Business Process Models.

Use case diagrams show actors, business use cases, and their relationships.

Use case diagrams do not describe procedures. Alternative scenarios also remain hidden. These diagrams give a good overview of the behaviours of the

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EESSI business system which will direct and govern part of the expected behaviours and functionality delivered by the EESSI IT System.

1.2. Scope

This document is limited to the external view on the Unemployment Benefit sector process of Export of unemployment benefits. The different elements like use case description, business actors, and business process as well as supporting UML diagrams and BPMN models pertaining to the Export of unemployment benefits.

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1.3. Definitions, Acronyms and Abbreviations Please see the EESSI Project Glossaryhere.

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1.4. References

# Description

1 EC Regulation 883/2004 Regulation EC No 883- 2004.pdf 2 EC Regulation 987/2009 Regulation EC No 987-2009.pdf

3 UML 2.x http://www.omg.org/spec/UML/

4 BPMN 2.0 http://www.omg.org/spec/BPMN/index.htm

5 UML 2.0 In Action Henriette Baumann, Patrick Grassle & Philippe Baumann, 2005, ISBN 1904811558

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6 RUP@EC standard 5.0 http://www.cc.cec/RUPatEC_Standard/

7 RUP op maat http://www.rupopmaat.nl/

1.5. Overview

Chapter1 introduces the external view on the business system under review and lists the elements of this specification.

Chapter 2 introduces the Export of unemployment benefits business processes.

The chapter gives a short and detailed description as well as a reference to business process legal base.

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Chapter 3 lists the actors involved in the Export of unemployment benefits business process.

Chapter 4 describes in detail the Export of unemployment benefits business process based on the RUP use case template, as well as the relationship to other use cases.

Chapter 5 describes the Export of unemployment business process using business process modelling notation (BPMN).

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2. Description

2.1. Business Scenario

The Export of unemployment benefits business use case covers the export of unemployment benefits for unemployed persons who go to another Member State in order to seek work.

The following scenario's can be distinguished:

 The cases where the jobseeker presents document PD U2,

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 The cases where the jobseeker cannot present document PD U2.

Both scenarios are applicable also to special situation of non cross-borders workers as described in Art. 65 (5)(b) Reg. 883/2004.

2.2. Legal Base

This Business Use Case document's legal base is described in the following Regulations

1. basic Regulation (EC) No 883/2004

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2. implementing Regulation (EC) No 987/2009

The following matrix specifies the SEDs that are used in this Business Use Case and documents the articles that provide the legal basis for each SED.

 SED

Basic Reg (883/04) Implementing Reg (987/09) 64 65(5)b 65a(3) 55(1) 55(2) 55(4) 55(5

) 56(3

) 55

U00

7      

U00     

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 SED

)

56(3

) 55

8 U00 9

   

U01

0     

U01

1    

U01 2

   

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 SED

)

56(3

) 55

U01 3

   

U01

4    

U01 5

   

U01 6

   

Table 2: SED – Legal base relationship matrix

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3. Actors & Roles

This chapter captures details of the actors which are important to understand the different types of system users. An actor is anyone or anything that exchanges data with the business system. An actor can be a user, external hardware, or another system.

The overarching description of each actor described in this Business Use Case can be found in the Glossary. Below you will find a short description which provides further clarity of this actor within the context of this Business Use Case.

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Actor name Description

Case Owner Institution of a Member State to which an unemployed person goes and where he/she registers with the unemployment services, and for which an export of the UB should occur.

Counterparty Institution of a Member State which granted and pays unemployment benefits.

Table 3: Actors & Roles

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4. Use Case

4.1. RUP Table Representation Use Case ID: UB _BUC_02

Use Case Name: Export of unemployment benefits

Created By: Eric Briffoz Last Updated By: Heidi Warson Date Created: 13/10/2014 Last Revision Date: 03/10/2017

Actors: Case Owner Counterparty

Description: The export of unemployment benefits business use case covers

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the export of UB for unemployed persons who go to another Member State in order to seek work.

 The cases where the jobseeker presents document PD U2.

The following SED's may be exchanged between the Case Owner and the Counterparty

o U009 o U010 / U011 o U012 / U013

o U014, U015 and U016.

 The cases where the jobseeker cannot present the document PD U2. The following SED's may be exchanged

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between the Case Owner and the Counterparty o U007 / U008

o U010 / U011 o U012 / U013

o U014, U015 and U016.

Trigger: When the unemployed person registers at the unemployment services in the MS where he/she is seeking work (with or without PD U2 document) and he/she receives unemployment benefits from another Member State.

Preconditions: - The petitioner is unemployed and is granted unemployment

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benefit by the competent Member State (entitled to UB);

and

- The person has informed the unemployment services of the competent Member State that he/she goes to seek work in another Member State and fulfils conditions laid down in Article 64(1) of Regulation 883/2004.

Post conditions: - The entitlement to UB terminates;

or

- The export period runs out;

or

- The person concerned returns to the competent state before the granted export period ends;

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or

- Circumstance affecting entitlement occurred which caused entitlement to terminate.

Main Scenario: Identify Participants

1. The Case Owner identifies the EU Member State

responsible for the payment of unemployment benefits (i.e.

The competent Member state);

2. The Case Owner then identifies the correct institution (the Counterparty) in the respective Member State (in the vast majority of the cases, it will be the institution which issued PD U2).

There will be only one Counterparty.

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The Case Owner and the Counterparty are herein collectively referred to as the Participants.

Initiation of communication with the Counterparty

3. The Case Owner checks if a Portable Document (PD) U2 form has been supplied by the petitioner;

4. The Case Owner identifies PD-U2 (provided by the petitioner);

5. The Case Owner fills out a notification of registration U009 by entering the registration date and other required information;

6. The Case Owner sends the U009 SED to the Counterparty;

7. The Counterparty receives the U009 SED;

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8. The Export period comes to an end;

9. The use case ends here.

Alternative Scenarios:

Branch 1: (at Step 4) the petitioner cannot present a PD U2; in this case

1. The Case Owner fills out a request for entitlement to export (U007) SED by entering the required information; (U007 at the same time replaces SED U009);

4. The Counterparty replies to the U007 SED by filling out a Document on Export (U008) SED by providing the

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information on entitlement and export;

5. The Counterparty sends the U008 SED to the Case Owner.

6. The Case Owner receives the U008 SED;

7. [This branch] Ends and the Process resumes at [Step 8].

Branch 2: - Removed -

Branch 3: between [Step 6] and [Step 8] or between [Branch 1 Step 6] and [Step 8] the Case Owner finds circumstances likely to affect the entitlement to UB and requests information on the effects of Entitlement

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1. The Case Owner fills out a notification that a circumstance likely to affect entitlement occurred (U010 SED) and indicates that it wishes to be informed about the effects on entitlement by marking Yes in section 4;

2. The Case Owner sends the U010 SED to the Counterparty.

4. If in U010, the information about the effect on entitlement was requested by the Case Owner, the Counterparty fills out an Effect on Entitlement – Export (U011 SED); providing the information about the petitioner's entitlement to benefits;

5. The Counterparty sends the U011 SED;

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7. [This branch] Ends and resumes at [Step 8].

Branch 3a : between [Step 6] and [Step 8] or between [Branch 1 Step 6] and [Step 8] the Case Owner finds circumstances likely to affect entitlement to UB but does not requests information on the effects of entitlement

1. The Case Owner fills out information that a circumstance likely to affect entitlement occurred and indicates that no follow up is requested (U010 SED);

4. [This branch] Ends and resumes at [Step 8].

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Branch 4: from [Step 4] the Case Owner finds out that a Monthly Follow-up is requested in the respective field of PD U2. After [Step 7] has been executed, Monthly Follow- up documents can be invoked.

1. The Case Owner fills out a Monthly Follow-up document (U013) SED;

2. The Case Owner sends the U013 SED;

4. This repeats each month until the export comes to an end (creation of U013 again possible);

5. [This branch] Ends.

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Branch 5: between [Step 7] and [Step 8] or between [Branch 1 Step 6] and [Step 8] the Counterparty requests a monthly follow-up from the Case Owner (in case it was not already requested in the PD-U2)

1. The Counterparty fills out a request for Monthly Follow-up – Export (U012) SED;

2. The Counterparty sends the U012 SED to the Case Owner;

4. The Case Owner fills out a Monthly Follow-Up document (U013) SED;

5. The Case Owner sends the U013 SED;

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7. This repeats (as from step 4 of this branch) each month until the export comes to an end. (Creation of U013 again possible);

Branch 6: between [Step 7] and [Step 8] or between [Branch 1 Step 6] and [Step 8] the Counterparty notifies the Case Owner about the return of the unemployed person

1. The Counterparty fills out a U014 SED;

2. The Counterparty sends the U014 SED;

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4. [This Use Case] Ends.

Branch 7: between [Step 7] and [Step 8] or between [Branch 1 Step 6] and [Step 8] the Counterparty notifies the Case Owner about the unforeseen end of entitlement

1. The Counterparty fills out a U016 SED by entering the relevant information;

4. [This Use Case] Ends.

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Branch 8: between [Step 7] and [Step 8] or between

[Branch 1 Step 6] and [Step 8] the Counterparty may send an extension period of export SED document

1. The Counterparty fills out a U015 SED;

The Following Branches determine the use of Horizontally Defined Processes within this Business Process

Branch 9: as from [Step 6], and as from [Branch 1 Step 2]

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the Case Owner may optionally choose to request AdHoc Information from another participant

1. The Case Owner executes business use case H_BUC_01 – AdHoc Exchange of Info;

2. [This Branch] Ends.

Branch 9a: as from [Step 7], and as from [Branch 1 Step 3]

the Counterparty may optionally choose to request AdHoc Information from another participant

1. The Counterparty executes business use case H_BUC_01 – AdHoc Exchange of Info;

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Branch 9b: as from [step 6], and as from [Branch 1 Step 2]

the Case Owner may optionally choose to notify another Participant of a Death of Person

1. The Case Owner executes business use case H_BUC_07 – Notification of Death;

Branch 9c: as from [Step 7], and as from [Branch 1 Step 3]

the Counterparty may optionally choose to notify another

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Participant of a Death of Person

1. The Counterparty executes business use case H_BUC_07 – Notification of Death;

The Following Branches Determine the use of

Administrative Processes within this Business Process Branch 10: at any Step between [Step 6] and [Step 9], and at any step between [Branch 1 Step 2 and Step 7] the Case Owner may choose to Forward this Business Process to another assisting Institution within their MS who

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assumes responsibility for handling it

1. The Case Owner executes business use case AD_BUC_05_Subprocess – Forward Case;

Branch 11: at any Step between [Step 7] and [Step 9] , and at any step between [Branch 1 Step 3 and Step 6] the Counterparty may choose to Forward this Business Process to another competent Institution within their MS who assumes responsibility for handling it

1. The Counterparty executes business use case

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AD_BUC_05_Subprocess – Forward Case;

Branch 12: at any Step after [Branch 1 step 2] the Case Owner may choose to advise the recipient of their U007 that it is Invalid under Art 5 of 987/09

1. The Case Owner executes business use case AD_BUC_06_Subprocess- Invalidate_SED;

2. Optionally, the Case Owner fills in a new U007 SED;

3. Optionally, the Case Owner sends the U007 SED to the Counterparty;

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Branch 13: at any Step after [Branch 1 Step 5] the

Counterparty may choose to advise the recipient of their U008 that it is Invalid under Art 5 of 987/09

1. The Counterparty executes business use case AD_BUC_06_Subprocess - Invalidate_SED;

2. Optionally, the Counterparty fills in a new U008 SED;

3. Optionally, the Counterparty sends the U008 SED to the Case Owner;

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Branch 14: between [Step 6] and [Step 8], the Case Owner may choose to advise the recipient of their U009 that it is Invalid under Art 5 of 987/09

1. The Case Owner executes business use case AD_BUC_06 _Subprocess- Invalidate_SED;

Branch 15: at any Step after [Branch 3 Step 2], or at any step after [Branch 3a Step 2] , the Case owner may choose

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to advise the recipient of their U010 that it is Invalid under Art 5 of 987/09

1. The Case Owner executes business use case AD_BUC_06_

Subprocess - Invalidate_SED;

Branch 16: between [Branch 3 Step 5] and [Branch 3 Step 7] the Counterparty may choose to advise the recipient of their U011 that it is Invalid under Art 5 of 987/09

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1. The Counterparty executes business use case AD_BUC_06_ Subprocess - Invalidate_SED;

Branch 17: at any Step between [Branch 5 Step 2] and [Branch 5 step 8] the Counterparty may choose to advise the recipient of their U012 that it is Invalid under Art 5 of 987/09

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Branch 18: at any Step after [Branch 4 Step 2],or at any step after [Branch 5 Step 5], the Case Owner may choose to advise the recipient of their U013 that it is Invalid under Art 5 of 987/09

1. The Case Owner executes business use case AD_BUC_06_

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Subprocess - Invalidate_SED;

Branch 19: at any Step between [Branch 6 Step 2] and [Branch 6 Step 4] the Counterparty may choose to advise the recipient of their U014 that it is Invalid under Art 5 of 987/09

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1. The Counterparty executes business use case AD_BUC_06 _ Subprocess - Invalidate_SED;

3. Optionally, the Counterparty sends the U016 SED to the

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Case Owner;

Branch 23: when the BUC has ended, any participant may choose to exchange Information despite the formal

finishing of the Process

1. The Case Owner or Counterparty executes business use case AD_BUC_02 _ Subprocess - ReOpen_Process;

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Branch 24: at any Step between [Branch 1 step 2] and [Branch 1 step 7] the Case Owner may choose to send an updated version of U007, provided U007 has not been invalidated

1. The Case Owner executes business use case AD_BUC_010_ Subprocess - Update_SED;

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Branch 25: between [Branch 1 Step 5] and [Branch 1 Step 7] the Counterparty may choose to send an updated version of U008, provided U008 has not been invalidated

1. The Counterparty executes business use case AD_BUC_010_Subprocess - Update_SED;

Branch 26: between [Step 6] and [Step 8], the Case Owner may choose to send an updated version of U009, provided U009 has not been invalidated

1. The Case Owner executes business use case

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AD_BUC_010_Subprocess - Update_SED;

Branch 27: at any Step between [Branch 3 Step 2] and [Branch 3 Step 7] the Case Owner may choose to send an updated version of U010, provided U010 has not been invalidated

1. The Case Owner executes business use case AD_BUC_010_ Subprocess - Update_SED;

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Branch 28: between [Branch 3 Step 5] and [Branch 3 Step 7], the Counterparty may choose to send an updated version of U011, provided U011 has not been invalidated

1. The Counterparty executes business use case AD_BUC_010 _ Subprocess - Update_SED;

Branch 29: at any Step between [Branch 5 Step 2] and [Branch 5 Step 8] the Counterparty may choose to send an updated version of U012, provided U012 has not been invalidated

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1. The Counterparty executes business use case AD_BUC_010_ Subprocess - Update_SED;

Branch 30: at any Step between [Branch 4 Step 2] and [Branch 4 Step 5], and at any step between [Branch 5 Step 5] and [Branch 5 Step 8], the Case Owner may choose to send an updated version of U013, provided U013 has not been invalidated

1. The Case Owner executes business use case AD_BUC_010 _ Subprocess - Update_SED;

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Branch 31: at any Step between [Branch 6 Step 2] and [Branch 6 Step 4], the Counterparty may choose to send an updated version of U014, provided U014 has not been invalidated

Branch 32: at any Step between [Branch 8 Step 2] and [Branch 8 Step 4], the Counterparty may choose to send

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an updated version of U015, provided U015 has not been invalidated

Branch 33: at any Step between [Branch 7 Step 2] and [Branch 7 Step 4] , the Counterparty may choose to send an updated version of U016, provided U016 has not been invalidated

1. The Counterparty executes business use case

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AD_BUC_010_ Subprocess - Update_SED;

Branch 35: as soon as any SED has been sent within the business use case and until the end of the business use case, any Participant may optionally choose to send a Reminder to another Participant for the return of

information they were expecting from that participant but did not receive

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1. The participant who invokes this branch executes business use case AD_BUC_07 _ Subprocess-Reminder;

Branch 36: as soon as any SED has been sent within the business use case and until the end of the business use case, any Participant may optionally choose to Request another participant who previously sent them Information, to provide clarification of the data that they have sent

1. The participant executes business use case AD_BUC_08_

Subprocess - Clarify Content;

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Branch 37: at any Step between [Branch 1 Step 3 and Step 7], or at any Step between [Step 7 and Step 9] the

Counterparty may optionally choose to notify the Case Owner that they Reject SED U007 or SED U009 they have received from them (provided that they did not act on the SED U007 they are trying to reject via invoking U008 or provided that they did not act on the SED U009 they are trying to reject via invoking U011, U012, U014, U015 or U016), respectively to the above boundaries

1. The participant who invokes this branch executes business use case AD_BUC_09_ Subprocess-Reject_SED;

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Exceptions: Exception 1: at any point in the business process where the first SED has already been exchanged successfully in the case, the Case Owner may optionally choose to end the process due to unexpected information becoming known to them during the course of the BUC

1. The Case Owner executes the business use case AD_BUC_01 _Subprocess– Close Case;

2. This BUC Ends.

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Includes: See figure 4.4.

Special Requirements:

SR1: Rules about the invoking of Branches:

- [Branch 1] may be invoked only once - [Branch 2] - Removed

- [Branch 3] may be invoked more than once - [Branch 3a] may be invoked more than once - [Branch 4] may be invoked more than once - [Branch 5] may be invoked more than once.

- [Branch 6] may be invoked only once - [Branch 7] may be invoked only once - [Branch 8] may be invoked more than once -[Branch 9] may be invoked more than once

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-[Branch 9a] may be invoked more than once -[Branch 9b] may be invoked more than once -[Branch 9c] may be invoked more than once - [Branch 10] may be invoked more than once - [Branch 11] may be invoked more than once

- [Branches 12-21] may be invoked more than once (provided a new SED was created following the invalidate)

- [Branch 22] - Removed

- [Branch 23] may be invoked more than once (provided a new close was requested following the re-open)

- [Branches 24-33] may be invoked more than once - [Branch 34] - Removed

- [Branches 35-37] may be invoked more than once

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- [Exception 1] may be invoked more than once (provided a Re- open has been requested after the close request).

Assumptions:

Notes and Issues:

4.2. Request – Reply SEDs

The following table specifies any SED that have a logical pairing to one another, usually this is known as a request-reply pair.

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REQUEST SED REPLY SED(s)

U007 U008

U010 U011

U012 U013

4.3. Attachments Allowed

The following table specifies whether attachments are permitted to be included when sending a SED type.

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SED Attachments

U007 Allowed

U008 Allowed

U009 Allowed

U010 Allowed

U011 Allowed

U012 Allowed

U013 Allowed

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SED Attachments

U014 Allowed

U015 Allowed

U016 Allowed

4.4. Artefacts used

The following table specifies the artefacts that are used in this Business Use Case.

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Artefact name Artefact type

U007 SED

U008 SED

U009 SED

U010 SED

U011 SED

U012 SED

U013 SED

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U014 SED

U015 SED

U016 SED

H_BUC_01_Subprocess BUC

H_BUC_07_Subprocess BUC

AD_BUC_01_Subprocess – Close Case BUC AD_BUC_02_Subprocess – Reopen Case BUC

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AD_BUC_05_Subprocess – Forward Case BUC AD_BUC_06_Subprocess – Invalidate SED BUC

AD_BUC_07_Subprocess – Reminder BUC

AD_BUC_08_Subprocess – Clarify Content BUC AD_BUC_09_Subprocess – Reject SED BUC AD_BUC_10_Subprocess – Update SED BUC AD_BUC_11_Subprocess – Business Exception BUC

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AD_BUC_12_Subprocess – Change of Participant BUC

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5. Business Processes

This chapter describes the Business Use Case Export of unemployment benefits using BPMN 2.0.

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5.1. Case Owner

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Figure 1: depicts the use case end-to-end of the Case Owner, from a high level, using the BPMN 2.0 collaboration diagram

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5.2. Counterparty

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Figure 2: depicts the use case end-to-end of the Counterparty, from a high level, using the BPMN 2.0 collaboration diagram 5.3. Sub Processes

Not Applicable.

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Employment, Social Affairs & Inclusion EESSI Business Use Case – UB_BUC_02 – Export of UB

6. Appendices

6.1. Issues

# Issue date Description Replies Action/Resolution Close date 1 12/07/2016 Update of BPMN

pictures to remove U028 + only allow U013 after U009

NA Task assigned to

responsible.

29/06/2017

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Employment, Social Affairs & Inclusion EESSI Business Use Case – UB_BUC_02 – Export of UB

has been sent.

2 3 4

Annex Nr.16 to the note AC 370/16

EESSI

UB_BUC_02_Mainproc_Specification_v4.1.0