Employment, Social Affairs & Inclusion
How do I reopen a case that has been closed but unexpectedly needs further processing?
AD_BUC_02_Subprocess: Reopen Case
Description:The Administrative sub-process 'Reopen Case' is used in a situation where a case has already reached its conclusion, meaning that the tasks have been successfully completed or exceptionally it has been closed before the full completion of the tasks (through the use of sub-process AD_BUC_01 – Close Case). There might be reasons where the closure of the case has been premature or the events have unfolded in a way where one of the participants in the exchange needs to formally reopen the case for a given reason. This BUC is offering an agreed method where all participants are involved in a proposed re-opening of a case negotiation.
Please note! Reopening of a case should be properly reconsidered by each member state independently. Formal and controlled reopening method can be important as when a case is ended institutions will likely take steps to actively manage the closed cases – such examples would include archiving the electronic records/case papers after a certain period of time and eventually deleting/destroying the electronic records/case papers to comply with data protection legislation after an agreed period of time.
With this in mind reopening a case must be properly considered – do you immediately have access to the case and its data (SEDs and information contained?) If not is there a possibility of getting it? Can you move the electronic records/case papers out of archive or alternatively have the electronic records/case papers been deleted or destroyed making it impossible to reopen?
Legal base:
Basic Regulation (883/04)
SED Article 76
X002 Request To Reopen A Closed Case
X003 Reply To Request To Reopen A Closed Case
X004 Decision on Reopening a Case
Glossary of relevant terms used in AD_BUC_01_Subprocess:
Actor name Description Triggering
Participant
The Triggering Participant (you) is an active participant in the main process who triggers this BUC. This will be an Institution where the main BUC process in which this sub-process is used permits their role to do so. E.g. If the main process allows only the Case Owner to close the case, then this rule is inherited also in the sub-process.
Other
Participant(s)
Other Participant(s) represents all other active participants in the main process. This will be one or more Competent Institutions as determined by the main process.
Steps:
To start this process, you have to fill out a ‘Request to Reopen a Closed Case’ SED X002 by entering all the required information about the reasons for wanting to reopen the case and send it to all participants (one or several depending on the case) that were active when the case was closed.
Each other Participant answers with a ‘Reply to Request to Reopen a Closed Case’ SED X003, indicating their decision about the possibility to reopen the case. The X003 forms are sent only to you. In case if there are several other participants besides you, then you have to wait till you have received an X003 from each of the other Participants.
Once you have received all the answers, you have to fill out a ‘Decision on Reopening a Case’ SED X004 indicating the final decision about reopening the case. Note that a reopening is only possible if all of the SEDs X003 indicate that it is possible at the respective institution.
Send the X004 to all participants that were active when the case closed. In general, you will not receive a specific reply to
Guidelines for AD_BUC_02_Subprocess – Reopen Case Based on: AD_BUC_02_Sub version 4.1.0
Common Data Model version 4.1.0 Date: September 2018
Document version: 4.1.0
Employment, Social Affairs & Inclusion
your X004, but all participants will take the necessary internal steps to reopen the case if the X004 indicates a positive reopening decision.
In case if the X004 indicated a negative reopening decision, then all participants should take a note of decision and take no further steps to reopen the case.
The further steps that participants would take to Reopen Case depend on the implementation of the BUC. In RINA:
1 - if the decision X004 is positive, RINA reopens the case automatically 2 - if the decision X004 is negative, the case stays closed.
National Applications that Member States are using might have different solutions.
Special Requirements:
- Active participants in this case are those participants defined in the parent process which invoked this sub-process.
- Decision logic on reopening the case in this sub-process dictates that if one or more SEDs X003 indicate that reopening is not possible, then the final decision SED X004 indicates that it is not possible.
Business Process:
Guidelines for AD_BUC_02_Subprocess – Reopen Case Based on: AD_BUC_02_Sub version 4.1.0
Common Data Model version 4.1.0 Date: September 2018
Document version: 4.1.0
