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Last updated: 2025-11-21


Pending Case Download - Working with HO Pending Cases


  • Overview
  • Searching for HO Pending Cases
  • Quick Search
  • Advanced Search
  • Navigating the HO Pending Case List
  • Filtering the List
  • Important Columns
  • Viewing HO Pending Case

Details - Editing HO Pending Case Details

  • Side-by-Side Processing - Other HO Pending Case Features

Overview


Home-office pending cases, labeled "HO pending cases" in SmartOffice, are cases downloaded from the carrier as part of the Pending Case Download feature. HO pending cases are stored in an area of your SmartOffice database separately from your agency's pending case records.

You can view and manage HO pending cases from the HO Pending Case List. When the download is received, SmartOffice automatically tries to link each HO pending case to its matching agency pending case record. If SmartOffice cannot establish a link automatically, the HO pending case is marked as unmatched in SmartOffice. In this case, a SmartOffice user will have to either match the case manually or tell SmartOffice to ignore the downloaded case.


Searching for HO Pending Cases


To display the HO Pending Case List, perform an HO pending case search. SmartOffice provides a quick search and an advanced search.

Note: Searching for HO pending cases requires specific user rights (see Pending Case Download - Setup).


Quick Search


  • In the SmartOffice Search box, select Insurance from the drop-down list, and then select HO Pending Case.
  • Do one of the following:
  • To display all HO pending cases in the system (i.e., to perform a "blank" search), leave the search field blank. This is the most common type of search for HO pending cases.
  • To find a specific HO pending case, enter the policy number in the search field. As you type, SmartOffice displays a list of matching HO pending case records. If the dynamic menu displays the HO pending case, select it to immediately open the record.
  • Select the Search button to display the search results in the HO Pending Case List.

Advanced Search


  • Do one of the following:
  • From the side menu, select Insurance > HO Pending Cases.
  • In the SmartOffice Search box, click the drop-down list, point to Insurance and select HO Pending Case. Then click the Advanced hyperlink.

Either action opens the Search HO Pending Cases dialog box.


  • Enter any search criteria you want to use to narrow the search, such as policy number, case status, or case manager.
  • Select the Search button to display the search results in the HO Pending Case List.

Navigating the HO Pending Case List


When an HO pending case search returns multiple results, those results appear in the HO Pending Case List. This is the main location from which a user manages HO pending cases in the SmartOffice.

Tip: As you become familiar with using the HO Pending Case List, you can customize the buttons at the top


(near the Menu button) to gain quick access to your most frequently used commands. For more information, see Navigation


  • Custom Button Bar.

Filtering the List


Use the Case Process Status drop-down list at the top of the HO Pending Case List to quickly filter the list


(for descriptions of these statuses, see Important Columns). By default, this filter is set to Not Processed, enabling users to get started processing unprocessed pending cases as soon as the list appears.


Important Columns


Case Processed


The processing status of an HO pending case changes automatically based on how you process it. -

Processed: An automatic update or side-by-side processing has been executed on this case.


  • Processing: The case is currently being processed automatically using Direct Download and Replace.
  • Not Processed: The HO pending case's requirements and notes have not yet been processed through an automatic update or side-by-side

processing. - Ignored: The case will not be linked to an agency pending case, even if it appears in future downloads. For more information, see Ignoring a Case.


Matched Case


Note: For details about how SmartOffice matches HO pending cases to agency pending cases, see Record-Matching Algorithms.


  • Matched: The case has been matched (i.e., linked) to an agency pending case. If the match is incorrect, you can unlink the case and either match it manually (during side-by-side processing) or process it in some other way.
  • Unmatched: SmartOffice could not find a matching agency pending case. You can match the case manually (using side-by-side processing) or process it in some other way. Unmatched HO pending cases appear highlighted in light green in the HO Pending Case List to make them easier to spot.

Viewing HO Pending Case Details


Generally, HO pending cases are read-only in SmartOffice, although users with the appropriate rights can change certain fields (see Editing HO Pending Case Details). Select the Basic Information, Requirements and/or Notes content links for any case to view its details. The following sections describe the data located on these content links.

Note: The details of an HO pending case are completely overwritten when an update arrives in a subsequent download. For details, see How Data is Updated in SmartOffice.


Basic Information Content Link


The HO pending case Basic Information content link displays basic details about the policy, including carrier, status and premium data; policy insured and relationship information; and important dates.


Requirements Content Link


The HO pending case Requirements content link lists information such as requirement descriptions, ordered and received dates, status and comments.

Tip: Users who have list layout customization rights can add the Processed column to the list. This column lets you see at a glance whether a requirement has been processed or requires processing into the agency pending case record.

If the HO pending case has been matched to an agency pending case, you can quickly add any requirement from this list to the agency pending case. To do so, select the requirement, and then select Menu > Add to Agency Requirement.


Notes Content Link


The HO pending case Notes content link displays any notes associated with the case record.


Editing HO Pending Case Details


Users who have the Edit HO Case Carrier Data user right (see Pending Case Download - Setup) can edit certain fields on the Basic Information content link of HO pending cases that have failed to process properly and have a status of Not Processed. This capability allows the user to temporarily override any bad values sent by the carrier to allow reprocessing of the downloaded case.

Note: Edits made to an HO pending case are overwritten the next time the case is downloaded from the carrier.

The fields that can be edited are: - Plan Name


  • Plan Code
  • HO rider fields: -

Plan Name


  • Plan Code
  • HO policy insured fields: - Last Name
  • First Name
  • Middle Name
  • Line 1 (street address)
  • City
  • State/ZIP
  • Country -

HO policy relationship fields: - Last Name


  • First Name
  • Middle Name
  • Line 1 (street address)
  • City
  • State/ZIP
  • Country Once you edit the data, save the HO pending case (Menu > Save) and do one of the following: -

To reprocess the case immediately, select Menu > Reprocess Modified Data.


  • To reprocess the case the next time HO pending cases are automatically downloaded and processed, use the reprocessing feature from the HO Pending Case List.

Side-by-Side Processing


Side-by-side processing involves manually reviewing the requirements in a matched HO pending case record and processing them into the associated agency pending case. When you process an HO requirement, you typically match it to an existing agency requirement or create an agency requirement based on it. The goal of side-by-side processing is to advance the HO pending case to a process

status of Processed by processing all of the HO requirements. Side-by-side processing can be used only on matched HO pending cases; if you try to process an unmatched HO pending case, side-by-side processing asks you to match the HO pending case to a new or existing agency pending case before you can proceed. These are the basic steps for manually processing an HO pending case. For additional processing tasks, see Other

HO Pending Case Processing Tasks. - In the HO Pending Case List, select a pending case, and then select Menu > Process.


  • If the case has not been matched to an agency pending case yet, the HO Pending Case Linking Options dialog box opens:

Select one of the following options: - Match with the existing 'Agency PCM' record: After selecting this option, select OK to open the Search Pending Cases dialog box. Search for the appropriate agency pending case, and then select the correct case from the list of results.


  • Create new 'Agency PCM' record: After selecting this option, select OK to open the Pending Case Add dialog box. Create an agency pending case as you normally would (to make this quicker, SmartOffice automatically transfers data from the HO pending case into the new agency case record). Once you finish creating the case record, SmartOffice automatically matches it

to the selected HO pending case. - When the Side-By-Side Processing dialog box opens, note the Home Office Requirements list at the top and the Agency Requirements list at the bottom.


Home Office Requirements: This list displays HO requirement records that have status changes and need to be processed. Note that this list displays only those HO requirements that have a Date Ordered or Date Received that is on or after the Last Activity Date of the HO pending case. The requirements listed here are stored in their own area of the SmartOffice database and remain there until they are processed, which means that they are not overwritten when the HO pending case is updated (this is why this list often differs from the list of requirements on the HO pending case Requirements content link), To view the details of an HO requirement, select the first column hyperlink for the requirement (learn more about viewing HO pending case details). If you need to review the notes for an HO pending case in the list, select the case, and then select the View HO Notes button.


Agency Requirements: This list displays the underwriting and delivery requirements that currently exist in the agency pending case record. To view the details of an agency requirement, select the first column hyperlink for the requirement


(learn more about viewing pending case requirements). From this list, you can also view the details of the agency pending case by selecting the Pending Case Management button, view notes for the agency pending case by selecting the View Policy Notes button, or send correspondence related to the agency pending case by selecting the Correspondence button.


  • If the Home Office Requirements list contains no requirements—and if the Matched Requirement Records section is empty—no further processing is required. Select the Mark Processed button located above the Home Office Requirements list, and then select Close. The pending case's status will change to Processed, and you can skip the remaining steps.
  • Review any items in the Matched Requirement Records section. This section lists HO requirements that SmartOffice automatically matched to agency requirements or that SmartOffice believes should be added as new requirements.

These suggestions have not yet been applied to the agency pending case



(you will apply these changes later in the workflow). If you see any matches that are incorrect and/or that you would like to undo, select an item, and then select the left-arrow button. SmartOffice will remove the entry from the list and move the requirements back to the Home Office Requirements and/or Agency Requirements list.


  • Process any remaining requirements

in the Home Office Requirements List as follows: - Update an existing agency requirement: Select an HO requirement and an agency requirement, and then select the Underwriting or Delivery button (only the button matching the selected agency requirement type will be available for selection). SmartOffice moves the HO and agency requirements to the Matched Requirement Records section. When this change is applied toward the end of this workflow, SmartOffice will update the agency requirement with data from the selected HO requirement. If the agency requirement type is incorrect, you can change it directly from the Agency Requirements List. Select the requirement, select the Options button, and then choose Change Requirement Type. There is also a Change Requirement Sub-Type command in the Options menu, which is useful if you need to assign a new sub-type to an agency requirement, particularly if you just changed its requirement type.


  • Create an agency requirement: Select an HO requirement, and then select the Underwriting or Delivery button above the Matched Requirement Records section, depending on the type of requirement you want to create. This moves the HO requirement to the Matched Requirement Records section, where it will appear with a (new) label. When this change is applied toward the end of this workflow, SmartOffice will create an agency requirement using the data in the selected HO requirement. This is a faster alternative to creating an agency requirement from scratch (which you can still do by selecting the Options button in the Agency Requirements list and selecting New

'Requirement' Record).


  • Delete the HO requirement: If you determine that the selected HO requirement does not need to be processed into the agency pending case, select the Options

button in the Home Office Requirements list, and then select Delete 'HOSBSReqs' Record. - Repeat the previous step until the Home Office Requirements list is empty.


  • Review the Matched Requirement Records

section one more time and correct any issues as described previously. - Select one of the following buttons: -

Update: This button applies the changes listed in the Matched Requirement Records section to the agency pending case and leaves the Side-By-Side Processing dialog box open so you can perform other processing tasks.


  • Update

& Close: This button applies the changes listed in the Matched Requirement Records section to the agency pending case and closes the Side-By-Side Processing dialog box.


  • Close: This button closes the Side-By-Side Processing dialog box. Any changes listed in the Matched Requirement Records section that have not been applied using the Update button will not be applied to the agency pending case and will be lost.

Once all HO requirements are processed for the case, SmartOffice changes the case's process case status to Processed.


Other HO Pending Case Features


This section covers additional features you can access from the HO Pending Case List and/or the Side-By-Side Processing dialog box.


Marking a Case as Processed


You can manually change the case process status of an HO pending case to Processed manually during side-by-side processing, but the Menu > Mark Processed command is also available from the HO Pending Case List and the HO pending case Basic Information content link.


Ignoring a Case


If you encounter an HO pending case that does not need to be tracked or processed, you can change its case process status to Ignored. Selecting the case in the HO Pending Case List, and then selecting Menu > Mark Ignored. Repeat this action to undo the Ignored status.


Closing a Case


Carriers send pending case data until the case is placed or closed. When an HO pending case arrives with a status of Closed, the case files have been closed by the home office. After some time, this data is no longer required. Select the case in the HO Pending Case List, and then selecting Menu > Close Case to change its case process status to Processed. To undo the closure, select Menu > Close Case again. You can quickly delete all closed cases from the HO Pending Case List by selecting Menu > Delete Closed Case(s).


Deleting a Case


To delete a case from the HO Pending Case List for any reason, select the case, and then select Menu > Delete 'HO Pending Case' Record.


Reprocessing a Case


You can reprocess a case that failed to process correctly. This feature is useful if you have edited a failed HO pending case to correct data sent by the carrier. To reprocess a case from the HO Pending Case List, select the case, and then select Menu > Reprocess. The case will be reprocessed the next time HO pending cases are automatically downloaded and processed.


Unlinking a Case


To break the link between an HO pending case and an agency pending case



(e.g., if the HO pending case was matched to the wrong agency pending case), select the record in the HO Pending Case List, and then select Menu > Unlink Case.


Cleaning Up Cases


The HO Pending Case List provides a feature that allows you to quickly delete all HO pending cases with a case process status of Ignored or Processed. Select Menu > Clean-Up HO Cases.


Viewing the Matched Agency Pending Case


To view the agency pending case that is currently matched to an HO pending case, select the case in the HO Pending Case List, and then select Menu > Pending Case Management.


Viewing Raw Case Data


If you are troubleshooting an issue with a specific HO pending case, you can download and examine the raw XML for that case. To do so, select the case in the HO Pending Case List, and then select Menu > View XML Case. Once you have the XML data saved to your device, you can manually


upload it to your DataXchange mailbox to reprocess the case.


Manually Downloading and Uploading Case Data


Note: This feature is available only to users who have the On-Demand HO Pending Case Download license. In addition, DataXchange mailbox credentials must be entered and saved in Policy/Case Setup. For more information, see Pending Case Download - Setup.

SmartOffice downloads HO pending cases from your office's DataXchange mailbox automatically, but you can also download HO pending case data manually if you do not want to wait for the automated download process.

Important: When you manually download pending case data from your mailbox, SmartOffice processes the case data according to the data visibility and other rights associated with the user account you are currently signed into. This contrasts with automatic downloads, which SmartOffice processes based on the data visibility and rights of the user who last saved the DataXchange mailbox registration information for the office. For this reason, manual downloads performed by different users may produce different results than automatic downloads for the same data.

You can also upload raw XML files that you have previously downloaded



(for a single HO pending case or for an entire download session) so that the files can be re-run. This capability is useful when you encounter an issue with a download and want to start the process over again. To manually download data files from the mailbox:


  • From the HO Pending Case List, select Menu > Pending Case Download to open the Pending Case Download dialog box.
  • Make sure DXO

1.0 Mailbox is selected (this is the default selection).


  • Ensure that the mailbox name and password are correct.
  • Select OK.

To upload an XML data file to the mailbox: - From the HO Pending Case List, select Menu > Pending Case Download to open the Pending Case Download dialog box.


  • Select Local File System to display the file upload options.
  • Select Choose File to browse for and select the XML file you saved to your device.
  • Select the correct file format (in most cases, this will be XML).
  • Select OK.

The file is now uploaded. You can now re-run the download manually, as described in the previous set of steps, or wait for SmartOffice to automatically download the file.