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HMRC internal manual

Tax Credits Manual

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HM Revenue & Customs
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Changes - miscellaneous (A-F): establish if a change can be made (AG)

To establish if a change can be made, consider steps 1 to 47.

Note: When sending customer, staff or process data to another individual or team, make sure you follow the latest data security guidelines or contact the Data Guardian/Data Security Team for advice.

Step 1

Before you follow the guidance in this Action Guide, follow the guidance in TCM0138020

then, if you are told to return to this guidance

  • If you are dealing with an In Year Finalisation case for the UY, follow guidance in TCM0342020. For how to do this use, TCM1000603.
  • If you are dealing with a Work Area Mailbox (WAM) referral on a non-complex case, go to Step 3.
  • If you are dealing with a WAM referral on a non-complex case for the previous year (PY)-1 or earlier. Follow the guidance in TCM0044160.
  • If you are dealing with a response to form TC959 or have now established full details of the change, go to Step 3.
  • If you are dealing with an expired action date and you are waiting to establish if the PY change still applies, go to Step 17.
  • If you are dealing with an expired action date and you are waiting to establish full details of the change and/or the year the change relates to, go to Step 8.
  • If you are dealing with the action date for a 2nd specified date (2SD), go to Step 40.
  • If none of the above apply, go to Step 2.

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Step 2

Establish what changes have been reported using the evidence provided and which award period the changes relate to.

Note: Before deciding which award period the change relates to you must apply the normal backdating rules.

  • If you determine what the change is and which award periods it relates to, go to Step 3.
  • If you cannot determine what the change is or which award period the change relates to, go to Step 7.

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Step 3

If the change

  • Is a request to backdate where backdating was auto inhibited and a backdating request has been made out of time (a late request for backdating), these cases can be amended under official error
    • If the change is for PY, go to Step 5.
    • If the change is for PY-1 or earlier. Follow the guidance in TCM0044160.
      Note: Claims are inhibited from backdating on
      • WTC only awards where no job start date has been provided
      • WTC self employed claims, even if a job start date has been provided, the tax credits computer does not pick this up
      • the claim has a benefit marker
      • WTC and CTC claims where a job start date has been provided. The tax credits computer will auto backdate to the job start date but not the full 31 days even if entitlement exists for CTC. For example, if someone starts work one month before making the claim but their child is six months old, the claim will only be backdated to the job start date even though entitlement exists for CTC before this date.
        Note: From 06/04/2012 Backdating rules changed so that claims could only be backdated a maximum of 31 days. Prior to 06/04/2012 backdating of claims was for a maximum of 93 days.
         
  • Is not a request to backdate where backdating was auto inhibited, check to see if the change happened within 5 years of the latest S18 decision for the award period that the change relates to. For example, if a S18 decision was made on 01/11/2010 in respect of the 2009-2010 tax year, you have up to and including 31/10/2015 to amend it. To do this
    • use Function VIEW AWARD, select the period in the Key Entry Data screen and check the date for the latest S18 decision (FIN ACT)
      • If you can identify the latest S18 decision, go to Step 4.
      • If you cannot identify the latest S18 decision, refer the case to your TALLO to refer to TAL.
         
  • Happened five years or more from the date of the latest S18 decision for the award period that the change relates to, you cannot apply the change
    For example: If a S18 decision was made on 01/04/2010 in respect of the 2009-2010 tax year, you have up to and including 31/03/2015 to amend it.
    To check the date
    • use Function VIEW AWARD, select the period in the Key Entry Data screen and check the date for the latest S18 decision (FIN ACT)
    • If you cannot identify the latest S18 decision, refer the case to your TALLO to refer to TAL.
    • If you can identify the latest S18 decision and the change is not within five years of the latest S18 decision, the change cannot be applied
    • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
      ‘NX31 - Clmt provided CoC (state full details of change including date it happened) on DD/MM/YY. Change happened in YY/YY (PY-?) (insert year), Change cannot be applied’
      Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
    • take no further action.

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Step 4

In Function VIEW HOUSEHOLD NOTES, check to see if the change has already been made in all of the affected award periods or the change has previously been considered.

  • If the change has not already been made in all the relevant award periods or the change has not previously been considered, go to Step 5.
  • If the change has been made in all the relevant award periods or the change has previously been considered
    • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
      ‘NZ01 - Change of circumstances [insert details of change] already considered and/or actioned’
      Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
    • use the guidance in TCM1000057 to determine whether the correspondence should be sent to storage or destroyed. Further guidance can be found in TCM0074140
    • take no further action.

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Step 5

Check the status of both PY and current year (CY) claims and make a note of them. To do this

  • use Function VIEW AWARD and go to the Award Summary screen to see if the CY award was renewals terminated by checking if ‘Terminated’ is shown in the Award Type and/or Award Status fields
  • use Function VIEW S17 DETAILS and go to the Current Position screen to see if the status of the PY award was finalised at the 1st specified date (1SD)
    • If the status of the CY award is ‘Terminated’, go to Step 6.
    • If the status of the CY award is not ‘Terminated’ and the customer states they have the following changes only
      • amending the CTC and/or WTC nomination and/or frequency of payments
      • change of address
      • change of bank details
      • correcting or changing the customer’s name
        then
      • make the changes in CY. Follow the appropriate Changes guidance
        Note: The earliest date you can make the change from is 06-04-CY.
      • take no further action.
    • If the status of the CY award is not ‘Terminated, the customer states they have other changes and the information has been provided, go to Step 9.
    • If the status of the CY award is not ‘Terminated’, the customer states they have other changes but has not provided the information, go to Step 7.

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Step 6

If the CY award was

  • renewals terminated and the change happened in PY, go to Step 9.
  • renewals terminated and the change happened in CY, go to Step 10.

If the CY award was terminated or ceased for any other reason, contact your TALLO for advice on what to do.

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Step 7

Use Function VIEW HOUSEHOLD NOTES to check for the missing information.

  • If you find the missing information, go to Step 9.
  • If you cannot find the missing information, contact the customer by telephone to obtain the missing information. Follow the guidance in TCM0094080
    • If you are able to contact the customer and obtain the missing information, go to Step 9.
    • If you are unable to contact the customer or the customer is reluctant to provide any personal information
      • issue form TC664 to the customer asking for the missing information
      • where you are dealing with a work list item, use Function MAINTAIN WORKLIST to
      • set an action date on the computer for 15 days in the future
      • transfer the work item to the ‘Establish if a change can be made BF’ MU. Use TCM0322460 for the correct MU number
        Note: Make sure you select the Retained checkbox after entering the action date.
      • where you are not dealing with a work list item
      • set a clerical BF date for 15 days in the future
      • complete form TC648 with the customer’s details
        then
      • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record either or both of the following, as appropriate
        ‘NX13 - TC664 issued for full CoC details. CoC’s not yet dealt with. (Enter clmt’s name) and (State what details are missing). (Include BF date)’
        ‘NX14 - CoC not yet dealt with. Clmt (insert name) has provided the following details (State the details of change given so far). (Include date notified and the date(s) the change actually occurred if known)’
        Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
      • take no further action.

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Step 8

Use Function VIEW HOUSEHOLD NOTES to check if the missing information has been recorded. If the missing information

  • has been recorded, go to Step 9.
  • has not been recorded, check if a reminder has been issued.
    • If a reminder has not been issued
      • issue form TC664R to the customer
    • If you are dealing with a work list item, use Function MAINTAIN WORKLIST to set an action date for 15 days in the future
      • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
        ‘NX15 - TC664R issued. (Include BF date)’
        Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
      • take no further action.
        Note: Make sure you select the Retained checkbox after entering the action date.
    • If you are not dealing with a work list item
      • set a clerical BF date for 15 days in the future
      • complete form TC648 with the customer’s details
      • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
        ‘NX15 - TC664R issued. (Include BF date)’
        Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
      • take no further action.
    • If a reminder has been issued, follow the guidance in TCM0054060 for the action to take when there has been no response to the enquiry and the reminder cycle has expired.
      Note: If the change is dealing with the death of a customer or child, go to Step 9

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Step 9

Is the change either changing a customer’s or child’s date of birth or the notification of the death of a customer or child

  • no, go to Step 10.
  • yes, and you are
    • amending a child’s date of birth for CY or amending the date in the Include From Date field in CY
      • apply the CY change. Follow the appropriate Changes guidance
        Note: The earliest date you can make the change from is 06-04-CY.
        Note: If the child’s date of birth is not in CY, as long as the date in the Include From Date field is in CY you can make the change because the change will not affect any previous year. You can view the date in the Include From Date field by using Function AMEND APPLICATION, choosing the Correction option and selecting ‘History Details’ on the Child Details screen.
      • take no further action.
    • dealing with changing a customer’s date of birth or dealing with changing a child’s date of birth for PY or earlier
      Note: You must not make the change.
      • If you are not dealing with a work list item, complete an M1 referral form and post it with the attachments to the TCO area detailed on the referral
      • If you are dealing with a work list item, complete an M1 referral form and BF the work list item for 4 months
        Note: Mismatch will then work the case and process it, which will clear the BF from the originators worklist.
        then
        • take no further action.
    • dealing with the death of a customer or child and you do not work on the Priority 1 Team
      • complete a form TC648 and post with any attachments to TCO(This content has been withheld because of exemptions in the Freedom of Information Act 2000) .
      • If you are dealing with a work list item, use Function MAINTAIN WORKLIST to transfer the work item to the ‘DOD INDICATOR IN’ MU. Use TCM0322460 for the correct MU number
        then
      • take no further action.
    • dealing with the death of a customer or child and you do work on the Priority 1 Team, go to Step 10.

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Step 10

From the information you gathered, which is the earliest award period that the change relates to. If it is

  • CY and renewals terminated
    • enter the details of the change on to household notes.
  • CY and was not renewals terminated
    • apply the CY change. Follow the appropriate Changes guidance
      Note: The earliest date you can make the change from is 06-04-CY.
      Note: You must consider the normal backdating rules whenever you make a change to CY.
    • take no further action.
  • PY, go to Step 11.
  • PY-1 or earlier
    • follow the guidance in TCM0044160
    • take no further action.

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Step 11

Use Function VIEW S17 DETAILS and go to the Current Position screen for the relevant PY award to check if the status is finalised. If the status is

  • not finalised, check if the change is an income change. If the change is
    • not an income change
      • make the change. Follow the appropriate Changes guidance
      • take no further action.
    • an income change, check if the Annual Declaration has been issued. To do this
      • use Function MANAGE FINALISATION
      • go to the Notice Details screen
      • in the S17 Notice box, is one or more of the Issued to checkboxes selected?
      • yes, go to Step 12.
      • no, tell the customer we issue renewal packs between April and June. Tell the customer that the actual income details will need to be added to the declaration. To make their Annual Declaration when they get the form they can either phone the Helpline and complete the Annual Declaration over the phone or complete the Annual Declaration and return it in the envelope provided. If they do not get their renewal pack before the end of June, they must contact us
      • if the customer can’t be contacted by phone issue TC1156
      • take no further action.
  • finalised
    • check the date the Annual Declaration was received
      Note: The date the Annual Declaration was received is in the Declarations box. If this box is blank then the Annual Declaration has not been returned by the customer.
      For example: If a customer finalises their claim by phone, the Declarations box will be blank. Where the Declarations box is blank, use Function VIEW HOUSEHOLD NOTES to check for the date the Annual Declaration was provided.
      Note: The Declarations box will also be blank in auto-renewal cases. Where the Declarations box is blank, the renewal status is shown in the Status field on the View S17 Declaration screen.
    • select [Details] under the S17 Notices box and make a note of the following

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Step 12

If one or more of the Issued to checkboxes is selected, is the corresponding Not served checkbox selected?

  • yes, tell the customer we issue renewal packs between April and June. To make their Annual Declaration when they get the form they can either phone the Helpline and complete the Annual Declaration over the phone or complete the Annual Declaration and return it in the pre-paid envelope provided. If they do not get their renewal pack before the end of June, they must contact us.
  • no, go to Step 13.

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Step 13

Check if the Annual Declaration has been received. To do this

  • use Function VIEW S17 DETAILS
  • go to the Current Position screen for the relevant PY year
  • is there a received date in the Declaration box?
    • no, go to Step 14.
    • yes and CY was not renewals terminated
      • make the income change in Function CAPTURE RENEWAL DECLARATION
        Note: If the customer has supplied a type of income on the Annual Declaration which is different from the type of income already held on the computer, you must contact the customer to confirm the correct details. If you are unable to contact the customer, go back to Step 7.
      • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
        ‘NX04 - S17 rec’d and income change made through Capture Renewal Declaration (DD/MM/YY)’
        Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
      • take no further action.
    • yes and CY was renewals terminated. Follow the guidance in TCM0262260.

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Step 14

If the Annual Declaration has been issued but not yet received, check the reason for issue. To do this

  • use Function VIEW S17 DETAILS
  • enter the customer’s NINO in the Key Entry Data screen
  • select the ‘Latest’ checkbox
  • select [OK]
  • go to the Current Position screen
  • select [Details] under the S17 Notices box
  • check the Reason for Issue field
    • If the reason for issue is ‘Reply Required’, today’s date is after 1SD and PY is not finalised
      • make the income change in Function CAPTURE RENEWAL DECLARATION
      • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
        ‘NX04 - S17 rec’d and income change made through Capture Renewal Declaration (DD/MM/YY)’
        Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
      • take no further action.
    • If the reason for issue is ‘Reply Required’ and today’s date is after 1SD, go to Step 15.
    • If the reason for issue is ‘Reply Required’ and today’s date is before 1SD, make the PY change. Follow the appropriate Changes guidance and then go to Step 45.
    • If the reason for issue is ‘Auto Renew’, check the Income Limits PY field to check if the income change is within the income bands
      • If the income change is within the income bands, make the PY change. Follow the appropriate Changes guidance and then go to Step 45.
      • If the income change is not within the income bands, and today’s date is after 1SD, go to Step 15.
      • If the income change is not within the income bands, and today’s date is before 1SD
      • make the income change in Function CAPTURE RENEWAL DECLARATION
      • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
        ‘NX06 - Auto S17 Case - Income change reported. S17 not rec’d’
        Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
      • take no further action.

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Step 15

Is today’s date after the customer’s 1SD?

  • yes, go to Step 19.
  • no, were any of the changes notified after the Annual Declaration was received by TCO?
    Note: To help determine when the change was first notified and depending on how the change was notified, do one of the following - check the received date of the letter or use Function MAINTAIN WORLKIST to check the date the work list entry was created or use Function VIEW HOUSEHOLD NOTES to check for an entry relating to the change being dated prior to 1SD.
    • yes, go to Step 18.
    • no, contact the customer to ensure the changes are still correct. Follow the guidance in TCM0094080
      • If you are unable to contact the customer by phone, go to Step 16.
      • If you are able to contact the customer on or before the customer’s 1SD and you confirm that the change is still correct, apply the PY and CY changes, as appropriate. Follow the appropriate Changes guidance and then go to Step 45.
        Note: You must consider the normal backdating rules whenever you make a change to PY and/or CY.
      • If you are able to contact the customer on or before the customer’s 1SD and you confirm that the change no longer applies, go to Step 47.
      • If you are unable to contact the customer on or before the customer’s 1SD, go to Step 19.

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Step 16

Are there at least fourteen working days between today’s date and the customer’s 1SD?

  • no, go to Step 19.
  • yes, complete form TC664
    • complete the details of the change and ask if the change still applies
      Note: If you need more information to apply the change then also ask for this missing information.
    • enter a reply by date of the customer’s 1SD on form TC664
    • issue form TC664 to the customer
      • if you are
        • not dealing with a work list item, BF the case for 15 days or 1SD, whichever is earlier to await a reply
        • dealing with a work list item, set an action date of either 15 days or 1SD, whichever is earlier to await a reply
        • use Function MAINTAIN WORKLIST to transfer the work item to the ‘Establish if a change can be made BF’ MU. Use TCM0322460 for the correct MU number
          Note: Make sure you select the Retained checkbox after entering the action date.
        • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
          ‘NX16 - *XX/XX (*insert year) change rec’d before S17. TC664 sent to establish if change still applies [insert details of any further questions here]. BF (DD/MM/YY)’
          Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
        • take no further action.

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Step 17

Use Function VIEW HOUSEHOLD NOTES to establish whether or not the information required has been received and whether or not a reminder needs to be issued to the customer.

  • If the required information has been received and entered in Household Notes, go back to Step 15.
  • If the required information has not been received, are there at least four working days between today’s date and the customer’s 1SD?
    • no, go to Step 19.
    • yes, has a reminder been issued?
      • yes, go to Step 19.
      • no
        • issue reminder form TC664R to the customer
        • set another clerical BF date of 15 days or 1SD, whichever is earlier
        • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the action you have taken
          Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
        • take no further action.

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Step 18

For changes notified after the Annual Declaration was received

  • apply the PY and CY changes, as appropriate. Follow the appropriate Changes guidance
    Note: You must consider the normal backdating rules whenever you make a change to PY and/or CY.
    then
  • go to Step 45.

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Step 19

Did TCO receive details of the change after the Annual Declaration was received and on or before 1SD?

Note: Auto-renewal cases do not have a received date. In these cases, you must use Function VIEW S17 DETAILS and go to the Current Position screen to check if the details of the change were received before 1SD.

Note: If the customer is providing information about a change that has already been previously notified to TCO, but TCO have failed to make the change, then this is not a new declaration and you should answer ‘No’.

  • no, go to Step 20.
  • yes
    • apply the PY and/or CY changes. Follow the appropriate Changes guidance
      Note: You must consider the normal backdating rules whenever you make a change to PY and/or CY.
    • go to Step 45 then return to this step
    • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
      ‘NX17 - Clmt provided CoC (state full details of change) on DD/MM/YY. Applied change’
      Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
    • if you are dealing with any correspondence, use the guidance in TCM1000057 to determine whether the correspondence should be sent to storage or destroyed. Further guidance can be found in TCM0074140.
    • take no further action.

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Step 20

Check the status of the PY claim. To do this

  • use Function VIEW S17 DETAILS
  • go to the Current Position screen
  • check the Declaration status. If it is
    • ‘Finalised Estimated DD/MM/YYYY - Full Reply’, go to Step 21.
    • any other status, go to Step 24.

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Step 21

Is the customer now notifying you of their actual PY income?

  • no, go to Step 22.
  • yes
    • use Function MAINTAIN HOUSEHOLD NOTES to check for any PY and CY changes that have not yet been applied
    • apply all the changes to PY and CY that have not yet been applied. Follow the appropriate Changes guidance
      Note: You must consider the normal backdating rules whenever you make a change to PY and/or CY.
      Note: If PY actual income has been reported then all changes to PY can be made at the same time.
      Note: If it is a joint claim you must have actual income for both customers.
    • go to Step 45 then return to this step
    • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
      ‘NX19 - Clmt (insert name) has now provided *XX/XX (*insert year) actual income for Finalised Estimated case. *XX/XX (*insert year) income [and insert details of any other changes made at the same time] applied (Include date notified and the date(s) the change actually occurred if known)’
      Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
    • take no further action.

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Step 22

Phone the customer to ask for their PY actual income. Follow the guidance in TCM0094080.

  • If you can not contact the customer by phone, go to Step 23.
  • If you can contact the customer by phone and obtain the PY actual income
    • use Function MAINTAIN HOUSEHOLD NOTES to check for any PY and CY changes that have not yet been applied
    • apply all the changes to PY and CY that have not yet been applied. Follow the appropriate Changes guidance
      Note: You must consider the normal backdating rules whenever you make a change to PY and/or CY.
      Note: If it is a joint claim you must have actual income for both customers.
      • go to Step 45 then return to this step
      • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
        ‘NX19 - Clmt (insert name) has now provided *XX/XX (*insert year) actual income for Finalised Estimated case. *XX/XX (*insert year) income [and insert details of any other changes made at the same time] applied (Include date notified and the date(s) the change actually occurred if known)’
        Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
      • take no further action
  • If you can contact the customer by phone but can not obtain the actual PY income
    • tell the customer to contact TCO with the PY change once their PY actual income is available
    • confirm with the customer that you will make any relevant changes to the CY award
    • tell the customer that you are unable to make the changes to the PY award without the actual income
      then
    • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to
    • record the action you have taken
      and
    • full details of any PY non-income change of circumstances you are unable to apply
      Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
    • go to Step 23.

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Step 23

Use Function MANAGE FINALISATION

  • go to the Finalisation Details screen for the relevant year
  • in the Finalisation Inhibited checkbox, select the checkbox to set the Inhibit signal
  • select ‘TCO’ from the Actioned By drop down menu
  • select ‘Annual Declaration Review’ from the Reason drop down menu
  • select [OK]
    then
  • apply the CY changes, as appropriate. Follow the appropriate Changes guidance
    Note: The earliest date you can make the change from is 06-04-CY.
  • send form TC959 to the customer
    Note: If today’s date is less than five working days from the customer’s 2SD or after the customer’s 2SD, do not send form TC959, instead after the customer’s 2SD has passed, go to Step 39.
    Note: Where the form TC959 mentions to the customer to return their actual income by DD/MM/YY. This is by the 2SD.
  • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
    ‘NX27 - Inhibit signal set due to Establish if change can be made guidance. Reason ‘Annual Declaration Review’
    ‘NX20 - CoC not dealt with yet. Clmt (insert name) needs to provide actual income. (State full details of change that has been given). (Include date notified and the date(s) the change actually occurred if known)’
    Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
    • If you are not dealing with a work list item, take no further action.
    • If you are dealing with a work list item
      • use Function MAINTAIN WORKLIST to set an action date for the 2SD
      • take no further action.

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Step 24

Was the change received before 2SD?

Note: Check the date stamp on the correspondence from the customer to confirm when the change was received.

  • yes, go to Step 26.
  • no, check if the award was ‘Final Est’ at 1SD. To do this
    • use Function VIEW AWARD and go to the Select Award screen
    • identify the PY award you are dealing with and make a note of the Award Type and the Issue Date for the Final Notices
    • are any of the Final Notices ‘Final Est’?

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Step 25

Was the customer’s ‘Final Act’ notice issued before the customer’s 1SD? To check for this

  • on the Select Award screen, check the Issue Date field for the ‘Final Act’ notice
    • If the issue date is before the customer’s 1SD
      • apply the CY changes. Follow the appropriate Changes guidance
        then
      • go to Step 26.
    • If the issue date is after the customer’s 1SD
      • apply the PY changes. Follow the appropriate Changes guidance
      • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
        ‘NX17 - Clmt provided CoC (state full details of change) on DD/MM/YY. Applied change’
        Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
      • take no further action.

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Step 26

Is the customer reporting a new income figure?

  • no, go to Step 28.
  • yes
    • use Function VIEW APPLICATION
    • enter the customer’s NINO in the Key Entry Data screen
    • select the ‘Latest’ checkbox
    • select [OK]
    • go to the Income screen
    • select ‘PY-1’ from the Income Years drop down menu
    • select ‘PY’ from the Income Years drop down menu
    • make a note of the income figures for customer 1 and/or customer 2, if applicable
    • is the customer now reporting a lower income figure than the PY income figure used to finalise the award?

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Step 27

Is the PY income figure used to finalise the award lower than the PY-1 income figure?

  • yes, go to Step 28.
  • no, is the income figure now being reported for PY an increase of more than £5,000 when compared to the PY-1 income figure?
    • yes, go to Step 28.
    • no, has the customer reported any non-income related changes?
      • yes, go to Step 28.
      • no, go to the ‘If there is no impact on PY entitlement’ bullet in Step 29.

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Step 28

Use the SEES Tax Credits Entitlement Calculator to identify if all the changes would cause an increase, decrease or no impact on the PY award. To do this

  • enter all the changes in the SEES Tax Credits Entitlement Calculator to calculate an adjusted PY award
    Note: You must make sure that you enter the correct income figure.
  • print a copy and retain it with the casepapers
  • use Function VIEW AWARD and go to the Award Summary screen for the latest award version for PY to compare the PY entitlement on the computer with the adjusted PY entitlement on the SEES calculation
    then
  • go to Step 29.

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Step 29

From this comparison, identify if PY entitlement has increased, decreased or whether there is no impact on PY entitlement.

  • If there is an increase in the PY award, do any of the changes result in the disability element or severe disability element for the customer and/or children being backdated and paid in a period covered by the finalised PY award?
    • yes, follow the guidance in TCM0042200.
    • no, consider one of the following options
      • If the cause of the change is not yet clear but the customer indicates an HMRC error or it appears that HMRC has made a mistake and you are not working an auto inhibited backdating case, go to Step 30.
        For example: the change could have been identified from an operator error.
      • If the cause of the change is not yet clear but the customer indicates an HMRC error or it appears that HMRC has made a mistake and you are working an auto inhibited backdating case, go to Step 32.
        Note: Claims are inhibited from backdating on
        • WTC only awards where no job start date has been provided
        • WTC self employed claims even if a job start date has been provided, the tax credits computer does not pick this up
          The claim has a benefit marker
        • WTC and CTC claims where a job start date has been provided. The tax credits computer will auto backdate to the job start date but not the full 31 days even if entitlement exists for CTC. For example, if someone starts work one month before making the claim but their child is six months old, the claim will only backdate to the job start date even though entitlement exists for CTC before this date
          Note: From 06/04/2012 Backdating rules changed so that claims could only be backdated a maximum of 31 days. Prior to 06/04/2012 backdating of claims was for a maximum of 93 days.
          These cases can be amended under official error.
      • If the customer has notified HMRC of the change and is not indicating HMRC error
        • apply all the CY changes. Follow the appropriate Changes guidance
        • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
          ‘NX23 - *XX/XX (*insert year) change not applicable’
          Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
        • send form TC960 to the customer
          Note: If the change was not notified by the customer, do not send form TC960.
          Note: Where reduced PY income is reported after PY has been finalised you must include the option on the form TC960 telling the customer of their mandatory reconsideration rights. The customer has the right to request a mandatory reconsideration against the final decision made when the correct income was reported before 1SD.
          Note: When completing the form TC960 for auto-renewal cases, the issue date of the final decision notice is 1SD. This can be viewed on the Current Position screen in Function VIEW S17 DETAILS.
        • take no further action.
  • If there is a decrease in the PY award, consider one of the following options
    • If the cause of the change is not yet clear but the customer indicates an HMRC error, go to Step 30.
    • If a mistake by HMRC has led to the change, go to Step 35.
      For example: the change could have been identified from an operator error.
    • If the customer has not notified HMRC of the details of the change, go to Step 30.
      For example: the change could have been identified from another computer system.
    • If the customer is not indicating HMRC error
      • apply all the CY changes. Follow the appropriate Changes guidance
        Note: The earliest date you can make the change from is 06-04-CY.
        then
      • go to Step 38.
  • If there is no impact on PY entitlement
    Note: Employment changes only with a nil impact on the PY entitlement can now be made in the CY. Follow the guidance in TCM0048000.
    • use Function AMEND APPLICATION selecting the ‘Correction’ option
    • go to the Applicant Details screen
    • select ‘Household’ on the toolbar menu
    • select ‘Details’ from the options available. You will be taken to the Household Details screen
    • select the Manual Correspondence checkbox
    • select [OK]
    • select [Cancel]. You will be taken back to the Applicant Details screen
    • check if there is a CY change
      • If there is a CY change, apply the CY and PY changes, if appropriate. Follow the appropriate Changes guidance. Take no further action.
      • If there is no CY change, apply any PY changes. Follow the appropriate Changes guidance
      • go to Step 45 then return to this step
      • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
        ‘NX17 - Clmt provided CoC (state full details of change) on DD/MM/YY. Applied change’
        ‘NX18 - Manual correspondence marker added for XX/XX (*insert year) income (DD/MM/YY)’
        Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
      • take no further action.

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Step 30

Has the Annual Declaration been returned?

Note: You will have established this in Step 11 or on the WAM referral.

  • no, go to Step 31.
  • yes, determine whether the Annual Declaration was captured by phone, Rapid Date Capture (RDC), manual capture or interview. To do this
    • use Function VIEW S17 DETAILS
    • go to the Current Position screen for the relevant PY year
    • select [Details] under the Declarations box. You will be taken to the Declarations screen
    • check the Capture Method field to check how the Annual Declaration was captured
      then
    • go to Step 31.

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Step 31

If the Annual Declaration was

  • returned, obtain
    • the original record of the Annual Declaration
      and
    • the records of any PY changes that are recorded in Function VIEW HOUSEHOLD NOTES between the date the Annual Declaration was received and today’s date
  • not returned or it is an auto-renewal case, obtain the records of all PY changes recorded in Function VIEW HOUSEHOLD NOTES.
    To do obtain the above in either case
    • If the Annual Declaration or PY change was captured by phone, this indicates that it was captured by Contact Management Application (CMA)
      • liaise with your area’s CMA representative to access and read the appropriate phone call records
      • listen to the relevant calls to determine if an official error has occurred
        then
      • go to Step 32.
    • If the Annual Declaration or PY change was captured by RDC, paper or interview
      • request the Annual Declaration or correspondence from storage. Follow the guidance in TCM0074060
      • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
        ‘NX30 - *Physical correspondence / RDC / CMA (*delete as appropriate) records requested, case BF’d until doc’s received’
        Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
      • then, when you have received the manually captured documents
      • go to Step 32.

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Step 32

At Step 28 you identified whether there is an increase or a decrease in the PY award.

  • If there is an increase in the PY award, go to Step 33.
  • If there is a decrease in the PY award, go to Step 34.

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Step 33

Based on the information provided on the latest Annual Declaration received from the customer or PY change, has an official error occurred?

Note: An official error is where

  • an officer has made an error which has resulted in an incorrect decision
    and
  • the customer did not materially contribute to the error.
    For example: customer started work on 05/05/2010. The change was notified on 01/09/2011 and today’s date is 01/11/2011. The computer will automatically restrict the date in the Include From Date field to 01/08/2011. You will have to calculate three months before the date the change was reported. In this case, you will have to change the date in the Include From Date field to 01/06/2011.
    Note: From 06/04/2012 Backdating rules have changed so now where a change is reported, backdating is restricted to one calendar month.
     
  • yes, an official error has occurred. Apply the PY and CY changes, as appropriate. Follow the appropriate Changes guidance
    • If the message ‘S18 Refinalisation Rules - Potential inappropriate refinalisation for CCYY-CCYY. If you have the authority to refinalise under S19, S20 or S21 of the Tax Credit Act 2002 or due to an appeal decision. Press OK to process the change or Cancel’ displays
    • the changes you are making will re-finalise the claim, ensure you have followed this guidance correctly before making any changes
      • If you can make the change
        • select [OK] on the message
        • go to Step 45 then return to this step
        • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
          ‘NX21 - OE established *XX/XX (*insert year) Changes applied (state full details of change)’
          Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
        • take no further action.
    • If the message ‘S18 Refinalisation Rules - You do not have the authority to re-finalise CCYY-CCYY. This change will not be accepted. Please refer to the appropriate team’ displays
      • the changes you are making will re-finalise the claim
      • select [Cancel]. You will be taken to the Amend Application Details screen
      • select [Cancel]
      • when the message ‘All changes to the application will be lost for this session, do you wish to proceed?’ displays, select [Yes]
      • pass the case to a Level 2 User or your manager. For more information, use ‘Level 1 and Level 2 users’ on TCM0320260
      • take no further action.
    • If none of the messages display
      • go to Step 45 then return to this step
      • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
        ‘NX21 - OE established *XX/XX (*insert year) Changes applied (state full details of change)’
        Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
      • take no further action.
  • no, an official error has not occurred or there is no evidence to support an official error having occurred
    • apply all the CY changes, as appropriate. Follow the appropriate Changes guidance
      Note: The earliest date you can make the change from is 06-04-CY.
    • go to Step 45 then return to this step
    • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
      ‘NX22 - OE not established *XX/XX (*insert year) change not applied’
      Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
    • send form TC960 to the customer
      Note: If the change was not notified by the customer, do not send form TC960.
      Note: Where reduced PY income is reported after PY has been finalised you must include the option on the form TC960 telling the customer of their mandatory reconsideration rights. The customer has the right to request a mandatory reconsideration against the final decision made when the correct income was reported before 1SD.
      Note: When completing the form TC960 for auto-renewal cases, the issue date of the final decision notice is 1SD. This can be viewed on the Current Position screen in Function VIEW S17 DETAILS.
    • take no further action.

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Step 34

Following your investigations at Steps 31 and 32, you are now able to determine if the change is needed because of a mistake by HMRC. Is the change due to a mistake by HMRC?

  • yes, go to Step 35.
  • no
    • apply all the CY changes. Follow the appropriate Changes guidance
      Note: The earliest date you can make the change from is 06-04-CY.
      then
    • go to Step 38.

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Step 35

Is the change for PY income?

  • no
    • apply all the CY changes, if appropriate. Follow the appropriate Changes guidance
      Note: The earliest date you can make the change from is 06-04-CY.
    • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
      ‘NX23 - *XX/XX (*insert year) change not applicable’
      Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
    • send form TC960 to the customer if you are making the change due to the information the customer has provided
      Note: If the change was not notified by the customer, do not send form TC960.
      Note: When completing the form TC960 for auto-renewal cases, the issue date of the final decision notice is 1SD. This can be viewed on the Current Position screen in Function VIEW S17 DETAILS.
    • take no further action
  • yes
    • use Function AMEND APPLICATION selecting the ‘Correction’ option
    • go to the Applicant Details screen
    • select ‘Household’ on the toolbar menu
    • select ‘Details’ from the options available. You will be taken to the Household Details screen
    • select the Manual Correspondence checkbox
    • select [OK]
    • select [Cancel]. You will be taken back to the Applicant Details screen
    • apply the PY income change. Follow the appropriate Changes guidance
      • If the message ‘S18 Refinalisation Rules - Potential inappropriate refinalisation for CCYY-CCYY. If you have the authority to refinalise under S19, S20 or S21 of the Tax Credit Act 2002 or due to an appeal decision. Press OK to process the change or Cancel’ displays
        • the changes you are making will re-finalise the claim, ensure you have followed this guidance correctly before making any changes
          • If you can make the change
          • select [OK] on the message
          • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
            ‘NX17 - Clmt provided CoC (state full details of change) on DD/MM/YY. Applied change’
            ‘NX18 - Manual correspondence marker added for *XX/XX (*insert year) income (DD/MM/YY)’
            Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
          • go to Step 45 then return to this step and go to Step 36.
      • If the message ‘S18 Refinalisation Rules - Actual Income for CCYY-CCYY is required. This change will not be accepted’ displays
        • you will not be able to make the change because the PY actual income is required, ensure you have followed this guidance correctly before making any changes
          • If you can make the change
          • select [OK] on the message
          • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
            ‘NX17 - Clmt provided CoC (state full details of change) on DD/MM/YY. Applied change’
            ‘NX18 - Manual correspondence marker added for *XX/XX (*insert year) income (DD/MM/YY)’
            Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
          • go to Step 45 then return to this step
          • set a clerical BF for 24 hours then
          • go to Step 36.
      • If the message ‘S18 Refinalisation Rules - You do not have the authority to re-finalise CCYY-CCYY. This change will not be accepted. Please refer to the appropriate team’ displays
        • the changes you are making will re-finalise the claim
        • select [Cancel]. You will be taken to the Amend Application Details screen
        • select [Cancel]
        • when the message ‘All changes to the application will be lost for this session, do you wish to proceed?’ displays, select [Yes]
        • pass the case to a Level 2 User or your manager. For more information, use ‘Level 1 and Level 2 users’ on TCM0320260
        • take no further action.
      • If none of the above messages display
        • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
          ‘NX17 - Clmt provided CoC (state full details of change) on DD/MM/YY. Applied change’
          ‘NX18 - Manual correspondence marker added for *XX/XX (*insert year) income (DD/MM/YY)’
          Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
        • go to Step 45 then return to this step and go to Step 36.

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Step 36

Remit the overpayment arising from the correction in the PY award up to the date HMRC became aware of the error. To do this

  • use Function VIEW AWARD
  • go to the Award Summary screen for the award version you re-finalised in Step 35 to correct the PY income
  • make a note of the total award amount for both WTC (A) and CTC (A1)
  • select [Cancel]
  • select the award immediately prior to the one you have just been looking at
    Note: This will be the incorrect version prior to the one you have re-finalised in Step 35 to correct the PY income.
  • select [OK]. You will be taken to the Award Summary screen
  • make a note of the total award amount for both WTC (B) and CTC (B1)
  • subtract the latest finalised version WTC (A) from the previous version WTC (B). This is the amount of WTC to be remitted
  • subtract the latest finalised version CTC (A1) from the previous version CTC (B1). This is the amount of CTC to be remitted
    then
  • go to Step 37.

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Step 37

Check if there is a suspension marker on the claim. To do this

  • use Function VIEW OVERPAYMENT
  • go to the View Overpayment screen for the relevant year
  • check the Recovery Status field to check if any suspension checkboxes have been selected
    • If any suspension checkboxes have been selected
      • select [Maintain Dispute]. You will be taken to the Maintain Dispute screen
      • select the appropriate dispute resolution reason from the Dispute Resolution drop down menu. This will lift the suspension
      • select [OK]
      • follow the guidance in TCM0230060. Use code 5B Official Error
      • take no further action
    • If no suspension checkboxes have been selected
      • follow the guidance in TCM0230060. Use code 5B Official Error
      • take no further action.

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Step 38

Based on the SEES calculation, has PY entitlement decreased by more than £100.00

  • no, the PY entitlement has not decreased by more than £100.00
    • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
      ‘NX23 - *XX/XX (*insert year) change not applicable’
      Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
    • send form TC960 to the customer
      Note: If the change was not notified by the customer, do not send TC960.
      Note: When completing form TC960 for auto-renewal cases, the issue date of the final decision notice is 1SD. This can be viewed on the Current Position screen in Function VIEW S17 DETAILS.
    • take no further action
  • yes, the PY entitlement has decreased by more than £100.00, ask your TALLO for advice on what to do.

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Step 39

Check if the 2SD has passed. To do this

  • use Function VIEW S17 DETAILS and go to the Current Position screen for the relevant award
  • select [Details] under the S17 Notices box
  • make a note of the 2SD
  • has the claim’s 2SD passed?
    • yes, go to Step 40.
    • no
      • If you are dealing with a work list item, use Function MAINTAIN WORKLIST to set an action date of the 2SD. Take no further action.
      • If you are not dealing with a work list item
        • set a clerical BF date of the 2SD
        • complete form TC648 with the customer’s details
        • take no further action.

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Step 40

Use Function VIEW AWARD and go to the Select Award screen to check if the Latest Award Type is ‘Finalised Estimate’. If the Award Type is

  • ‘Finalised Estimate’, go to Step 41.
  • ‘Finalised Actual’ or ‘Auto Renewed’, use Function VIEW APPLICATION to check if the changes have been applied. If the changes have
    • not been applied, go back to Step 26.
    • been applied
      • if you are dealing with any correspondence, use the guidance in TCM1000057 to determine whether the correspondence should be sent to storage or destroyed. Further guidance can be found in TCM0074140
      • If you are dealing with an ‘Unprocessed Change of Circs’ work list item, delete the entry. Follow the guidance in TCM0042160
        then
      • take no further action.

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Step 41

Use Function VIEW HOUSEHOLD NOTES to check if any other non-income PY changes have been recorded but not applied. If a change

  • has been recorded
    • make a note of the changes
      then
    • go to Step 42.
  • has not been recorded, go to Step 42.

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Step 42

Use Function VIEW LINKED WORK ITEMS to check for a work item on the ‘Unprocessed Change of Circs’ work list.

  • Is there a work item on the ‘Unprocessed Change of Circs’ work list for a change to PY?
    • yes, make a note of the MU number and then go to Step 43.
    • no, go to Step 44.

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Step 43

Use Function MAINTAIN WORKLIST

  • select the ‘Unprocessed Change Of Circs’ work list from the Worklist Type drop down menu
  • select the MU number that you noted at Step 44 from the Management Unit drop down menu. The screen will be redisplayed with the entries currently on the work list for the MU
  • select [Sort Filter] to find the appropriate work list item
  • select [OK]
  • select the work list item
  • select [Details]
  • make a note of the details of the change from the work list. Follow the guidance in TCM0054060
    Note: If a change of address is the reason for the Work List entry, follow the guidance in TCM0054100.
    Note: If the change is in an electronic format use TCM0054120 for the action to take to identify the change, then return to this guidance before processing the changes.
  • delete the ‘Unprocessed Change of Circumstances’ work list entry. Follow the guidance in TCM0140060
    then
  • go to Step 44.

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Step 44

From the information you have gathered, use Function AMEND APPLICATION, choosing the ‘Correction’ option

  • If the PY changes were noted from Household Notes and/or the ‘Unprocessed Change of Circumstances’ work list, apply the PY changes. Follow the appropriate Changes guidance, but before proceeding to the Amend Finish screen return to this guidance.
    Note: If you have a new income figure enter the income, benefit and earnings figures you have noted into the PY Income fields ensuring you select ‘A’ for each entry.
    then
  • for all PY income figures that are ‘E’, select ‘A’ from the drop down menu
  • select [OK]. You will be taken to the Amend Finish screen
  • enter today’s date in the Received Date field
    Note: The Received Date field will always default to today’s date.
  • select the source of the change from the Source drop down menu. For example, ‘telephone’, ‘paper’
  • select ‘Change of Circumstances’ from the Reason drop down menu
  • select [OK]
    then
  • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals and Reminders’ category to record the following
    ‘SN13 - Income was ‘E’ (Estimate) changed to ‘A’ (Actual)’
    Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
  • go to Step 45.

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Step 45

Note: This will not always be appropriate as sometimes the signal will not have been set.

Use Function MANAGE FINALISATION and go to the Finalisation Details screen for the relevant year to check if the Inhibit signal has been set. Has the signal been set?

  • no, either return to the action guide or step that you came from, if you have been told to do so or take no further action.
  • yes, does the Reasons field say ‘Annual Declaration Review’?
    • yes
      • un-check the Finalisation Inhibit checkbox
      • select [OK]
      • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals and Reminders’ category to record the following
        ‘NX28 - Inhibit signal un-set due to Establish if a change can be made guidance’
        Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
      • take no further action.
    • no, do not un-check the Finalisation Inhibit checkbox. Instead, return to the step you came from if you have been told to do so in that step or take no further action.

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Step 46

You have confirmed that the change is a date of death or a date of birth.

  • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
    ‘NX25 - Change not applied. Change to claimant’s or child’s DOB (delete as appropriate) referred to the M1 Mismatch Team’
    or
    ‘NX29 - Change not applied. *XX/XX (*insert year) Change to death of a claimant or child / change of gender (delete as appropriate) referred to TCO Priority 1 team’
    Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
  • take no further action.

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Step 47

You have confirmed with the customer that the change is no longer applicable.

  • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
    ‘NX26 - Change not applied. Confirmed with the clmt it is not correct any more’
    Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
    then
    • If you are not dealing with a work list item and there is any correspondence, use the guidance in TCM1000057 to determine whether the correspondence should be sent to storage or destroyed. Further guidance can be found in TCM0074140
    • If you are dealing with a work list item, return to the work list guidance you were previously following.