How do I forward a case to another institution in my Member State that is competent to treat it? AD_BUC_05_Sub: Forward Case

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Employment, Social Affairs & Inclusion

How do I forward a case to another institution in my Member State that is competent to treat it?

AD_BUC_05_Sub: Forward Case Description:

The Administrative sub-process 'Forward Case' is used in situations where a case has already been started between two or more institutions and a single or several SEDs have already been exchanged. In the situation where the case has just begun, it is possible that the sender of the first SED (the Case Owner) has made an error when choosing the destination for the SED. Alternatively, the case may be already progressing between the institutions, however, due to change of circumstances the member state and the institution currently handling the case may no longer be competent to do so (e.g. if an institution is closing or their competences change due to a merger). In these situations it is necessary for the institution that is handling the case to pass control of the case to another institution within their Member State, who will then assume responsibility for it.

It is not possible to use sub-process 'Forward Case' if a 'Starter' SED has been declared invalid (via Invalidate SED sub- process) and a new instance has not yet been exchanged.

Legal Base:

Basic Regulation (883/04)

SED Article 76

X007 Forward Case 

Glossary of relevant terms used in AD_BUC_05_Subprocess:

Term Description

Triggering Participant

The Triggering Participant (either the Case owner or one of the Counterparties) is an active participant in the main process who triggers this BUC as a sub-process. This will be an Institution where the main process permits their role to do so

Other Participant(s )

Other Participant(s) (either the Case owner or one of the Counterparties) represents all the other active participants in the main process, other than the Triggering Participant.

This will be one or more Institutions as determined by the main process.

New Participant

The institution to which the Triggering Participant forwarded the case to. The New Participant is going to actively participate in the main process, replacing the Triggering Participant. It is assumed the New Participant was not previously a Participant in the case before the execution of this Business Use Case.

Case

I.e. a Business case - the execution of a business process, which consists of a main process and optionally of sub-processes.

Main process

The process calling this sub-process.

Starter SED

The first SED sent in a business process, as described in its BUC's specification. There may be multiple defined SEDs for starting a business process, but only one must be sent when executing a case. Sub-processes share the same starter SED of the main process.

If you are the Triggering Participant:

First, you have to identify the institution within your Member State that is competent for the case and that you wish to forward the case to (case can be forwarded only within the same Member State).

With this information, you have to fill out a ‘Forward Case’ SED X007 detailing the reasons for forwarding the case, and send it to the Other (existing) Participant(s) and to the New Participant.

In addition, you send to the New Participant all the valid, delivered SED(s), originated by you, that you previously sent in the case so far (including the starter SED, in case you are the Case Owner). Note that in this case you send the SED(s) only to the New Participant, even if some SEDs would usually be sent to all Participants (the reason being that the Other

Guidelines for AD_BUC_05_Subprocess – Forward Case Based on: AD_BUC_05_Sub version 4.1.0

Common Data Model version 4.1.0 Date: September 2018

Document version: 4.1.0

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Participant(s) already have the SEDs available from the earlier exchanges). You provide valid and up-to-date information to the New Participant; therefore, if you have updated any of your SEDs during the course of the case, you send only the latest versions. See "Special requirements" section further on.

The SEDs that you have sent are received in an undefined time / order. So, after you have sent the SED X007, any of the Other Participants, which may not have yet received the SED X007 that triggers the sub-process at its side, may still send you SEDs of the main process. You cannot reply to these SEDs, as you are no longer executing the main process, and you should generate an exception X050 and send it to this Other Participant.

When you have finished sending all the forehead-mentioned SEDs, this case ends here for you (both main and sub process).

If you are one of the Other Participant(s):

You receive the SED X007, you thus take note of the New Participant and you include it (and exclude the Triggering Participant) in any further exchanges of SED(s) in accordance to the business rules of main process BUC's specifications.

You update the list of participants in your case (replacing the Triggering Participant with the New participant), adding information (taken from SED X007) about which institutions have been involved for each SED exchange.

You also send to the New Participant all the valid, delivered SED(s), originated by you, that you have sent so far in the case to the Triggering Participant (this could include the starter SED if you are the Case Owner). See "Special requirements" section further on.

You receive the above-mentioned SED(s) in an undefined time / order. So, it is possible that, after the Triggering Participant has sent to you the SED X007, you may not yet have received the SED X007 that triggers this sub-process at your side, so you may have sent e.g. a request SED of the main process to the Triggering Participant, which can no longer reply because is no longer executing the main process. In this case you should receive an exception SED X050.

In the situation where an X050 SED has been exchanged, it is the responsibility of the sender of the request SED to send this request to the right recipient (New Participant instead of Triggering Participant).

This way, a reply to the request SED in this example will not get missed.

This sub-process ends for you after you have finished sending all the forehead-mentioned SEDs and you will resume the main process.

If you are the New Participant:

You receive the SED X007 (documenting your addition as a New Participant in place of the Triggering Participant) and all the other SED(s) of the forwarded case that are sent to you (including the starter SED). You get all SEDs in an undefined order and it is up to you to reconstruct the business process, based on the forwarded case BUC's specifications, only after receiving the starter SED. At this point a new case is opened for you to participate. It is possible that you will still continue to receive (after this sub-process ended) more of the above-mentioned SEDs of the forwarded case.

All the received SEDs will be part of the new case just as if you had been participating since the beginning (only, not in an active way).

You "inherit" a role in the case by the Triggering Participant (if it used to be a case owner, you assume this role). Along with the role, you inherit the "ownership" (act as the owner) of the SEDs received by the Triggering Participant.

You'll be able to start actively participating, based on which SEDs you are allowed to send/reply at the current point of the main process and you will never include the Triggering Participant in the new case.

This sub-process ends here and you will start participating to the main process of the new case.

Special requirements:

- Active participants in this case are those participants identified in the main process which invoked this sub-process.

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- You, as the Triggering or an Other Participant, should not send to the New Participant any of the following previously exchanged SEDs:

1.

Previously exchanged Administrative SEDs,

2.

Invalidated SEDs,

3.

Previously sent 'Reply' SEDs to which the request was subsequently invalidated,

4.

SEDs for which you have received a business exception X050 (There an exception here: if you previously sent a SED to a wrong destination and thus you received the business exception X050 for this, then you need to determine the correct destination and resend the SED there. This could happen during the Forward sub-process),

5.

Draft SEDs.

- In case you are the New Participant, you shall consider all SEDs that are sent to you by the Triggering Participant as though you yourself had sent them (i.e. you can update or invalidate the SEDs as necessary when it's possible)

- In case you are the Triggering Participant, you can only forward to another Institution within the same MS Business Process: