International Process Guidelines

Legislation Applicable Sector

LA_BUC_03 - Notification of relevant information

Date: 31/08/2021

Version of guidelines document: 4.3.0

Based on: LA_BUC_03 version 4.3.0

Common Data Model version 4.3.0

TABLE OF CONTENTS

LA_BUC_03 – Notification of Relevant Information 4

How to start this BUC? 5

What is my role in the social security exchange of information I have to complete? 5

CO.1 Who do I need to notify? 5

CO.2 How do I identify the correct institution(s) to exchange information with? 5

CO.3 How do I proceed after having identified the Counterparty(ies)? 5

CO.4 How do I send Portable Document PD A1 (formal attestation) to a citizen? 6

CP.1 What should I do if I have received the SED A008? 6

BPMN diagram for LA_BUC_03 7

Structured Electronic Documents (SEDs) used in the process 7

Portable Documents 7

Document history:

Revision

Date

Created by

Short Description of Changes

V0.1

07/08/2017

Secretariat

First draft of the document submitted for review to the Legislation Applicable Ad Hoc group

V0.2

19/09/2017

Secretariat

Applied changes from the Legislation Applicable Ad Hoc group.

V0.99

04/12/2017

Secretariat

Implemented changes and updates following the AC review. Version submitted for AC approval.

V1.0

19/12/2017

Secretariat

AC approved version.

V4.1.0

01/10/2018

Secretariat

Performed patch changes to reference the new CDM version 4.1.0.

V4.2.0

01/09/2019

Secretariat

Performed patch changes to reference the new CDM version 4.2.0

v4.3.0

31/08/2021

Secretariat

Changes regarding version 4.3.0

LA_BUC_03 – Notification of Relevant Information

Description: The 'Notification of relevant information' business process in the Legislation Applicable sector describes how situations involving a need to revise a previous decision are notified according to Title II of Regulation (EC) No 883/2004. The situations are:

Notification of relevant changes: If one of the institutions that participated in determining the legislation applicable notices that relevant changes have occurred (affecting the situation that lead to the mentioned decision), it can notify the other institution concerned about the changes. This may lead to issuing a new PD A1. Please note that issuing the PD A1 is out of the scope of EESSI, therefore it is not a mandatory activity of this BUC. For details of issuing a PD A1 you should act in accordance with provisions in Regulations 883/2004 and 987/2009 and consult the national processes.

Notification of activity in several Member States: The LA_BUC_03 also covers the situations when there is a need to inform the institution in the state of residence of an employee or self-employed person pursuing an activity in two or more Member States. This will allow the institution in the state of residence to make a provisional determination as described in Article 16 Reg. 987/2009.

Legal base: LA_BUC_03 is based on Regulation No 883/2004 and Implementing Regulation No 987/2009. The following table specifies SEDs used in this BUC and documents the articles that provide the legal basis for each SED:

SED

Basic Regulation (883/04)

Implementing Regulation (987/09)

Title II

Title II

A008 - Notification of Relevant Information

Glossary of relevant terms used in LA_BUC_03:

Term used

Description

Case Owner

In this BUC, it is the Institution that notices the relevant changes or Institution that wants to inform other Member States about the activities of one of their residents in two or more Member States.

Counterparty

In this BUC, it is the Institution that is being notified about the relevant changes or the activities of one of their residents in two or more Member States.

Citizen

In this BUC, it is the beneficiary of the PD A1.

How to start this BUC?

In order to help you understand the LA_BUC_03 we have created a set of questions that will guide you through the main scenario of the process as well as possible sub-scenarios or options available at each step along the way. Ask yourself each question and click on one of the hyperlinks that will guide you to the answer in the next step within this document or to another separate file. You will notice that in some of the steps it is allowed to use the additional horizontal and administrative sub- processes. They will be listed under the step description.

What is my role in the social security exchange of information I have to complete?

If you are the Institution of a Member State that notifies about relevant changes or the Institution that wants to inform other Member States about the activities of one of their residents in two or more Member States, your role will be defined as the Case Owner.

I am the Case Owner. (step CO.1)

If you are the Competent Institution that is being notified about relevant changes or about the activities of one of their residents in two or more Member States, your role will be defined as the Counterparty.

I am the Counterparty. (step CP.1)

CO.1 Who do I need to notify?

As the Case Owner, your first step will be to identify the responsible Member State(s) that you need to notify about relevant changes or about activities of one of their residents in two or more Member States. The second step is to identify the relevant institutions in these Member States to be notified. In this Business Use Case, the institution can be chosen only among the institutions responsible for the applicable legislation. This activity will define the Counterparty(ies) you will be working with.

In this specific case your Counterparty(ies) should most likely be institution(s) with whom you are already in communication for a related case.

I need to identify the Counterparty or Counterparties. (step CO.2)

I have identified the Counterparty or Counterparties I need to contact. (step CO.3)

CO.2 How do I identify the correct institution(s) to exchange information with?

In order to determine the relevant Competent Institution(s) from other Member State(s) you will need to consult the Institution Repository (IR). The IR provides an electronic record of all current and previous Competent Institutions and Liaison Bodies that have been responsible for the cross border coordination of social security information for each of the relevant Member States.

Please note that the Liaison Body should be chosen only if it is impossible to identify the correct Competent Institution in the respective Member State or if the case is handled by the Liaison Body.

To access the IR please use the following link.

I have now identified the Competent Institution(s) from the Member State(s) I need to contact. (step CO.3)

CO.3 How do I proceed after having identified the Counterparty(ies)?

Fill out the SED A008 – Notification of Relevant Information by entering all the required information. Afterwards, you send the SED A008 to the identified Counterparty(ies), optionally including relevant attachments.

The Counterparty will receive SED A008 and will take note about this information.

You then wait 30 days and afterwards you close the business use case.

I decide to (not) send the Portable Document PD A1 (step CO.4)

Sub-process steps available to the Case Owner at this stage:

I want to add another participant to this case (AD_BUC_03).

I want to forward the case to another Institution in my Member State (AD_BUC_05).

I want to invalidate the sent SED (AD_BUC_06).

I want to update the information contained in the sent SED (AD_BUC_10).

CO.4 How do I send Portable Document PD A1 (formal attestation) to a citizen?

In order to issue a formal attestation to the citizen on the applicable social security legislation that shows the legislation of a certain state is applicable to the citizen, you need to issue a Portable Document PD A1 to the citizen. The step of issuing PD A1 can be repeated. Remember that SED A008 is sent to the Counterparty and the PD A1 is only issued to the citizen. Please note that issuing the PD A1 is out of the scope of EESSI, therefore it is not a mandatory activity of this BUC. For details of issuing a PD A1 you should act in accordance with provisions in Regulations 883/2004 and 987/2009 and consult the national processes.

You have to wait for 30 days after you have sent SED A008 and afterwards close the case.

You (as Case Owner) may reopen the business use case.

Sub-process steps available to the Case Owner at this stage:

I want to add another participant to this case (AD_BUC_03).

I want to forward the case to another Institution in my Member State (AD_BUC_05).

I want to invalidate the sent SED (AD_BUC_06).

I want to update the information contained in the sent SED (AD_BUC_10).

I want to reopen this case after it has been closed (AD_BUC_02).

CP.1 What should I do if I have received the SED A008?

If you have received a ‘Notification of Relevant Information’ SED A008 from the Case Owner, you may take note about the relevant information that you received. Afterwards, the business use case ends here, closed by the Case Owner.

You (as Counterparty) may reopen the business use case.

Sub-process steps available to the Counterparty before the case has been closed by the Case Owner:

I want to add another participant to this case (AD_BUC_03).

I want to forward the case to another Institution in my Member State (AD_BUC_05).

I want to reopen this case after it has been closed (AD_BUC_02).

BPMN diagram for LA_BUC_03

Click here to open the BPMN diagram(s) for LA_BUC_03.

Structured Electronic Documents (SEDs) used in the process

The following SED is used in LA_BUC_03:

SED A008 – Notification of Relevant Information

Portable Documents

The following Portable Document is used in LA_BUC_03:

PD A1

Administrative sub-processes

The following administrative sub-processes are used in LA_BUC_03:

AD_BUC_01_Subprocess – Close Case

AD_BUC_02_Sub-process – Reopen Case

AD_BUC_03_Sub-process – Add Participant

AD_BUC_05_Sub-process – Forward Case

AD_BUC_06_Sub-process – Invalidate SED

AD_BUC_10_Sub-process – Update SED

The following technical administrative sub-processes can be used at any point in the process:

AD_BUC_11_Sub-process – Business Exception

AD_BUC_12_Subprocess – Change of Participant