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HMRC internal manual

Self Assessment Manual

Manage work: work management: managing work lists

A work list brings together all current work items of the same type, which normally require the same action to clear them, and are presented on screen. The lists are continually updated as events within the SA system create further work items or delete items, or the operator deletes items.

The management of work lists falls into two categories

  • Managing reviews, at office level
  • Creating a personal view of a list, at operator level

The remainder of this subject consists of the following

Office level

Local management will need to ensure that responsibility for reviewing lists is allocated within the Organisation Unit, and a strategy for reviews is in place. For example

  • An officer with the user role of Repayment Authoriser must review the ‘W028 Repayments to be Authorised or Cancelled’ list on a daily basis

But it may suffice

  • To ensure that all entries of a certain age on some lists are being actively worked

Or

  • To recommend that certain lists are reviewed only weekly or monthly

Function OFFICE WORK LIST SUMMARY allows you to monitor the number of entries on any work list. Function WORK LIST STATISTICS allows you to view a detailed age profile of any selected work list. (Note: If your office is responsible for more than one area of Revenue activity, to see the full workstate position you will need to access these functions under your user roles for each Revenue activity.)

The Work Management filter facility, described below, will help you to monitor progress in clearing items from work lists. You can filter on any of the specific details held by Work Management. In particular, you can filter on the following aspects

  • B/f cases for a particular operator, by reference to the operator initials in the b/f note
  • Cases where a b/f date has not been set against the work item
  • Cases where the recorded b/f date has passed
  • Cases where the work item was created before a specified date

Operator level

When accessing a work list, you will be presented with a list of all work items

  • Of the same work type
  • For your Organisation Unit
  • Under your user role

You can use function FILTER & SORT WORK LIST to create a personal view of a selected list. For example, if your responsibilities are allocation based, you can filter out all work items not within your allocation. Having done so, by using the save facility, you can ensure that whenever that list is accessed in the future, only work items falling within your allocation are displayed.

Order of presentation

Work lists are initially presented in a set order. The order of presentation varies according to the work list.

Function FILTER & SORT WORK LIST allows you to change the order of presentation. For example

  • In employer reference order and, within that sequence, in alphabetical order

Or

  • In file number order, using the last six characters of the UTR

Again the save facility may be used.

You may change the filter and sort criteria whenever you wish, either for a one-off review, or to save the new criteria. (Note: The set order is lost when a personal order of presentation is saved. It can only be reinstated by selecting the set sort criteria, and saving it if required.)

It is recommended that on occasions you filter and / or sort the list on the age of the work items, for the purpose of reviewing ‘older cases’ that may previously have been overlooked.

You will also find the filter facility useful in identifying cases

  • Where a b/f date has not been set against the work item
  • The recorded b/f date has passed

In the first instance, you will have to sort the list to identify the earliest b/f date. Having done so, you can filter the list on ‘Less than’ the day immediately preceding that date. You may find it more convenient to simply sort the list on descending b/f date order. Those items not holding a b/f date will then be presented at the beginning of the list.

In the second instance, you can filter the list on ‘Less than’ the date that you have chosen.

You may also use the sort facility to identify those items not holding a b/f note. Sort the list on descending b/f note order, and those items not holding a b/f note will then be presented at the beginning of the list.

Processing work lists

The following list shows the work lists that can be allocated to an office with processing responsibility. The lists are presented in alphabetical order within review frequency under the headings Clerical, Compliance and Management.

Clerical

Work list name Review frequency More information
     
W061 Class 2 NICS and Marriage updates As directed SAM71165
W030 Inhibited automatic repayments As directed SAM71110
W041 Manual statement issue As directed SAM71132
W044 Over-Repayments As directed SAM71138
W029 Rejected repayments As directed SAM71108
W018 Review Revenue assessments As directed SAM71098
W049 Short Tax Return Rejection Work List As directed SAM71148
W050 CID Framework Rejection List As directed SAM71150
W051 Daily Returns Review - Ceased Date Set (Decommissioned April 2012) As directed SAM71152
W052 Daily Returns Review - SA/PAYE Auto-coding exceptions As directed SAM71154
W053 Daily Returns Review - Electronic Return Cases As directed SAM71156
W055 Failed Online Amendments As directed SAM71159
W059 Online Return Rejections As directed SAM71163
W037 Reduction of amount coded out As directed SAM71124
W057 Review FSC from return amendment As directed SAM71161
W024 Duplicate return logged - original already logged or captured As directed SAM71102
W016 Manual issue of returns As directed SAM71094
W035 Manual issue of review form 575 As directed SAM71120
W047 Overpayments in Closed Cases As directed SAM71144
W013 Potential transfer cases As directed SAM71088
W042 Returns not captured As directed SAM71134
W054 Weekly Returns Review List As directed SAM71158
W015 Open appeals As directed SAM71092
W039 Potential non-filers    
(Currently not available) As directed SAM71128  
  W019 Review informal standovers As directed SAM71100
  W048 Permanent Notes Review Work list No review needed as work list is not used at present SAM71146

Compliance

Work list name Review frequency More information
     
W036 Informal discharge review Daily SAM71122

 

The other work lists in the Compliance area are held on the CQI Workbench.

Detailed advice on the creation of work items, and the information held on work lists on the CQI Workbench, is available in the section ‘Compliance Work lists’, (SAM33000 onwards).

Management

Work list name Review frequency More information
     
W031 Post repayment check cases Immediate SAM71112
W043 Repayments for Quality Checks Immediate SAM71136
W028 Repayments to be authorised or cancelled Immediate SAM71106
W038 Freestanding credit review Daily SAM71126
W040 Inhibited statements Daily SAM71130
W033 Transfer to COP security review Daily SAM71116
W025 Fully captured / unlogged returns Weekly SAM71104
W034 Sundry charge quality check Monthly SAM71118

Technical work lists

The following three lists show the work lists that can be allocated to an office with technical responsibility. The lists are presented in alphabetical order within review frequency under the headings Clerical, Compliance and Management.

Clerical

Work list name Review frequency More information
     
W051 Daily Returns Review - Ceased Date Set (Decommissioned April 2012) Daily SAM71152
W055 Failed Online Amendments and HMRC Corrections Daily SAM71159
W056 Partnership Online Amendments Daily SAM71160
W013 Potential transfer cases Weekly SAM71088
W015 Open appeals As directed SAM71092
W019 Review informal standovers Monthly SAM71100
W048 Permanent Notes Review Work List No review needed as work list is not used at present SAM71146

Compliance

Work list name Review frequency More information
     
W036 Informal discharge review Daily SAM71122

 

The other work lists in the Compliance area are held on the CQI Workbench.

Detailed advice on the creation of work items, and the information held on work lists on the CQI Workbench, is available in the section ‘Compliance Work lists’, (SAM33000 onwards).

Management

Work list name Review frequency More information
     
W040 Inhibited statements Daily SAM71130

Recovery work lists

The following two lists show the work lists that can be allocated to an office with recovery responsibility. The lists are presented in alphabetical order within review frequency under the headings Clerical and Management.

Clerical

Work list name Review frequency More information
     
W008 Outstanding debt and / or return Daily SAM71080
W011 Review remission for cancellation Daily SAM71084
W032 RLS cases    
  Daily / Weekly SAM71114  
  W013 Potential transfer cases Weekly SAM71088
  W014 Bankruptcy or voluntary arrangement cases Monthly SAM71090
  W019 Review informal standovers Monthly SAM71100
  W010 BF Penalty for Issue No review required SAM71082

Management

Work list name Review frequency More information
     
W040 Inhibited statements Daily SAM71130
W012 Remissions and remission cancellation quality assurance As advised by your Area Office SAM71086