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HMRC internal manual

Compliance Operational Guidance

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HM Revenue & Customs
Updated
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Compliance Operational Guidance: recent changes

Below are details of the amendments that were published on 28 November 2013 (see the update index for all updates)

Page Details of update
   
COG17065 SPOC details for SPT updated
COG19200 New instructions for RIS Users to follow when sending documents to Netherton for scanning
COG19360 Advises that when accepting a document for scanning what to do if you are in the DDA view
COG19440 This explains about the task called Document Retrieval Complete and why it is important to clear the task. Also advises that Superusers should not send requests to delete scanned documents direct to the Caseflow Helpdesk
COG19520 This explains about the importance of clearing the Document Retrieval Complete Task
COG19640 Changes to Paragraph 16 regarding scanning of documents that have 50+ documents
COG22160 Description and explanation of the tasks in Workbaskets and Worklists
COG22650 Amendment to Point 2d (the Type of Interaction field on the Record Interaction screen in Caseflow) to explain that a new dropdown option called ‘Reminder Letter’ has been added which is primarily to support work carried out by Compliance Centres
COG22740 Amendment to Point 2d (the Type of Interaction field on the Request/Record Information screen in Caseflow) to explain that a new dropdown option called ‘Reminder Letter’ has been added which is primarily to support work carried out by Compliance Centres. Point 4 updated to include details relating to this ‘Reminder Letter’. Two new clearer images have replaced the images on this page which are unclear.
COG22750 Amendment to Point 2d (the Type of Interaction field on the Send Computations screen in Caseflow) to explain that a new dropdown option called ‘Reminder Letter’ has been added which is primarily to support work carried out by Compliance Centres
COG22850 Point 5 amended to include what should be recorded in the Update the Emerging Yield box
COG22852 Point 4 amended to include what should be recorded in the Update the Emerging Yield box
COG22854 Point 4 amended to include what should be recorded in the Update the Emerging Yield box
COG22940 Page updated to note that from the dropdown menu at RIS Feedback Reason the options have been increased and that you should comment on quality of RIS referrals. 
COG24072 The second image on this page of Caseflow guidance has been changed as the previous image was slightly distorted.
COG24151 Both the Text version of the Process Map and the attachment which links to the Process Map have been updated to incorporate a change to the process when closing a BF in Caseflow
COG24152 Additional step included when processing a BF. New image added.
COG24161 The Text version of this process map has been updated to make it clear that making an entry in the Next validation date field will not set a BF for the next review.
COG24162 The Text version of this process map has been updated to make it clear that making an entry in the Next validation date field will not set a BF for the next review.
COG24163 The details for Next validation date have been updated to make it clear that using this field will not set a BF for the next review 
COG24355 Details of the case transfer reports available to Managers and the period for which this data is available
COG28030 New paragraph about recording Future Revenue Benefit (FRB)
COG32650 Amendment to Point 2d (the Type of Interaction field on the Record Interaction screen in Caseflow) to explain that a new dropdown option called ‘Reminder Letter’ has been added which is primarily to support work carried out by Compliance Centres
COG32740 Amendment to Point 2d (the Type of Interaction field on the Request/Record Information screen in Caseflow) to explain that a new dropdown option called ‘Reminder Letter’ has been added which is primarily to support work carried out by Compliance Centres. Point 4 updated to include details relating to this ‘Reminder Letter’. Two new clearer images have replaced the images on this page which are unclear.
COG32750 Amendment to Point 2d (the Type of Interaction field on the Send Computations screen in Caseflow) to explain that a new dropdown option called ‘Reminder Letter’ has been added which is primarily to support work carried out by Compliance Centres
COG32810 The process which a VAT caseworker follows in Caseflow where a NPPS penalty is due has changed. The process map at COG32810 has been updated to incorporate these changes.
COG32854 The process which a VAT caseworker follows in Caseflow where a NPPS penalty is due has changed. The guidance at COG32854 has been updated to incorporate these changes.
COG32860 Amendment to make it clear to VAT caseworkers that although they should select ‘Yes’ to the NPPS Applies question on the Record Settlement screen in Caseflow they should not create the new penalty as this is carried out by the Central Support Team (CST).
COG34920 Amendment to Point b - d (the Type of Interaction field on the Record Interaction screen in Caseflow) to explain that a new dropdown option called ‘Reminder Letter’ has been added which is primarily to support work carried out by Compliance Centres
COG35140 Amendment to Point d (the Type of Interaction field on the Request/Record Information screen in Caseflow) to explain that a new dropdown option called ‘Reminder Letter’ has been added which is primarily to support work carried out by Compliance Centres. Further down the page some details have also been updated to include details relating to this ‘Reminder Letter’. Two new clearer images have replaced the images on this page which are unclear.
COG35160 A small change has been made to Point d (the Type of Interaction field on the Send Computations screen in Caseflow) to explain that a new dropdown option called ‘Reminder Letter’ has been added which is primarily to support work carried out by Compliance Centres
COG35340 The process map which VAT Public Bodies tax specialists follow in Caseflow where a NPPS penalty is due has been expanded. The process map at COG35340 has been updated to incorporate these changes.
COG35460 The process which VAT Public Bodies tax specialists follow in Caseflow where a NPPS penalty is due has been amended to align it with the details shown on the Process Map shown at COG35340.
COG90660 Step 2 of the text version of the Process Map has been changed to make it clearer that the field called ‘Will this Penalty form part of a Contract Settlement?’ defaults to the No option and therefore if your penalty is being included in a contract settlement (Direct Taxes only) you must change this to the Yes option.
COG180280 Small amendment to the Large & Complex CRMM Administrator Team subsection of this page of guidance to include an additional duty which the team perform which is: Backdating CRMM risks
COG181910 An Excel spreadsheet has been added which allows you to record in CRMM (Documentum) details which has been recorded in Electronic Folder (EF) only
COG183050 The title of the hyperlink on this page to COG183060 has changed from “What is dashboard” to “Operational reports”.
COG183060 This page has changed from being guidance relating to “What is dashboard” in CRMM to being a contents page which links to further CRMM guidance at COG183070 (introduction to operational reports), COG183080 (Overview of operational reports) and COG183090 (Available reports)
COG183070 This is a new page of guidance which provides introductory details relating to operational reports in CRMM
COG183080 This is a new page of guidance which provides an overview of operational reports in CRMM. There are 6 new images on this page.
COG183090 This is a new page of guidance which provides details relating to the available operational reports in CRMM
COG183110 The guidance on this page has been updated to include CRMM guidance relating to Dashboard Deadline reports focusing on the number of BFs by Customer. There are 9 images on this page
COG183120 The guidance on this page has been updated to include CRMM guidance relating to Dashboard Deadline reports focusing on the number of business risk review BFs due by month. There are 8 images on this page
COG183130 The guidance on this page has been updated to include CRMM guidance relating to Dashboard Deadline reports focusing on the number of entities approaching enquiry deadline. There are 7 images on this page
COG183140 The guidance on this page has been updated to include CRMM guidance relating to Dashboard Deadline reports focusing on the number of risks past or approaching expected closure date by customer. There are 9 images on this page.
COG183150 The title of the hyperlink on this contents page to COG183180 has been amended so that it now reads “number of active risks by regime” instead of “number of risks by regime”.
COG183160 The guidance on this page has been updated to include CRMM guidance relating to Dashboard Risk reports focusing on the number of active risks by customer. There are 9 images on this page.
COG183170 The guidance on this page has been updated to include CRMM guidance relating to Dashboard Risk reports focusing on the number of active risks by status. There are 9 images on this page
COG183180 The guidance on this page has been updated to include CRMM guidance relating to Dashboard Risk reports focusing on the number of active risks by regime. There are 8 images on this page.
COG183200 The hyperlinks on this contents page to COG183210 (Number of active business risk reviews by status), COG183220 (Number of DLMO by customer) and COG183230 (Number of open risk assessments by regime) have all been made active
COG183210 The guidance on this page has been updated to include CRMM guidance relating to Dashboard Work reports focusing on the number of active business risk reviews by status. There are 7 images on this page
COG183220 The guidance on this page has been updated to include CRMM guidance relating to Dashboard Work reports focusing on the number of DLMO by customer. There are 6 images on this page
COG183230 The guidance on this page has been updated to include CRMM guidance relating to Dashboard Work reports focusing on the number of open risk assessments by regime. There are 17 images on this page.
COG183250 Two new hyperlinks have been added to this contents page. These are COG183255 (Actual and emerging amount against effort by customer) and COG183280 (Emerging amount by reporting year)
COG183255 This is a new page of guidance relating to Dashboard reports in CRMM for actual and emerging amount of yield achieved against the effort put in for that customer to achieve that yield. There are 7 images on this page.
COG183260 The guidance on this page has been updated to include CRMM guidance relating to Dashboard Work reports focusing on the actual and emerging amount of yield against the effort by risk to achieve that yield. There are 5 images on this page
COG183270 The guidance on this page has been updated to include CRMM guidance relating to Dashboard Work reports focusing on the emerging amount of yield for a particular customer. There are 9 images on this page.
COG183280 This is a new page of guidance relating to Dashboard reports in CRMM for emerging amount of yield by reporting year. There are 8 images on this page
COG186620 The user editable fields section of this page of CRMM guidance (Maintain Customer screen) has been updated.
COG186900 A small narrative has been added prior to the attachment to make the RIS/CITEX flowchart for CRMM purposes more meaningful. A Text version of this flowchart has also been added.
COG189300 The ‘Rating Definition’ section of this page of CRMM guidance has been expanded to provide further details relating to when Large & Complex and Large Business Service should use the Rating Definition field on the Create Business Risk Rating screen in CRMM.
COG191220 An amendment to this page of guidance under the Potential Amount (latest) sub heading to incorporate details relating to compliance measures such as Cash Collected, Revenue Loss Prevented and Future Revenue Benefit including hyperlinks to the appropriate guidance in the Compliance Operational Guidance. In addition, a hyperlink to the Risk Working helpcard has been added to this page. 
COG191540 An amendment to this page of guidance under the Working Risk sub heading has been made to incorporate details relating to compliance measures such as Cash Collected, Revenue Loss Prevented and Future Revenue Benefit including hyperlinks to the appropriate guidance in the Compliance Operational Guidance. 
COG191560 An amendment to this page of guidance under the Working Risk sub heading has been made to incorporate details relating to compliance measures such as Cash Collected, Revenue Loss Prevented and Future Revenue Benefit including hyperlinks to the appropriate guidance in the Compliance Operational Guidance. The hyperlink on the Ready to settle subheading section has been updated 
COG192560 A small amount of narrative has been added prior to the flowchart to make it more meaningful.
COG192580 A small amount of narrative has been added prior to the flowchart to make it more meaningful.