TCM0066100 - Claims - capture (L-P): manual capture helpcard

Use this helpcard when capturing Mancap, STU claims, Backdate cases and New Nino Self-Employed claims (NNSE). It is laid out in sections mirroring the TC600 claim form.

Note: From 27th January 2021, there are no new claims to tax credits.

Note: Before you attempt to capture a claim, you must follow the guidance in TCM0134480.

Note: From 6 April 2017, customers will only get the Family Element of Child Tax Credit where they are responsible for a child or children born before that date.

Note: To support the expansion of Universal Credit (UC), The Department for Work and Pensions (DWP) and The Department for Communities (DfC) in Northern Ireland, are undertaking a phased rollout approach using postcodes. By 31 December 2018, this rollout will be complete and any new claims for Tax Credits will no longer be accepted and HMRC will signpost the customer(s) towards DWP or DfC to claim Universal Credit instead.

The only exceptions to this are if the customer (or in the case of a joint claim, one of the customers) is recognised as being of Pension Credit Qualifying Age (PCQA) or they have more than two children. Business rules will allow these exceptions to be identified and Tax Credit claims can be accepted on this basis. Full Gateway Closure will take place on 31 January 2019, at which point these exceptions will no longer be accepted.

Initial checks
Part 1: Personal details - customer 1 and customer 2
Part 2: Children
Part 3: Childcare costs
Part 4: Work details
Part 5: Income details
Part 6: Payments details
Summary information screen on the computer
(This content has been withheld because of exemptions in the Freedom of Information Act 2000)

Note: The SEES eligibility check must be completed before you capture a claim. For how to do this, use TCM1000089.

To access the tax credit computer system, open ‘My Services’

• select ‘Corporate Services’
• select ‘Tax Credits’
• select ‘AMBS Maintainer’
  Note: you will need to access MU 249934
• on the toolbar, select ‘Application’
• from the dropdown menu, select ‘Capture New’

Initial checks

TC600 and TC600A

Check that the barcode numbers printed at the bottom of the form TC600 and the form TC600A are the same.

If the barcodes are the same

• continue to capture the claim.

If the barcodes are different

• check whether the customer’s personal details are the same on both forms.

Where it is not clear that the form TC600A belongs with the form TC600, capture the claim and send the form TC600A to the TCO post room.

Claim form stamp date / Date Application Received

Note: If the ‘Date Application Received’ entered is on or after 01 January 2019, the message “The Gateway is closed for Tax Credits unless certain exceptions apply” will be displayed.

Use the earliest date stamped on the claim form.

Where no date stamp is present, you can either

• use the same date stamp that is on the other claim forms in the same bundle
  or
• check the date the claim form was signed and add three days to this date.

Claim form heading / Tax Credit year

The field has two options, select the appropriate tax year which corresponds with the TC600.

TC600 and TC600A / Barcode

Where ‘Paper’ is selected in the Application Source drop down menu, an entry will be required in the Barcode field.

Note: Take care to enter this number exactly as it is shown on the claim form.

Note: If claim form is received in an alternative format (i.e large print) set the special needs indicator to ensure any further correspondence issued to the customer is sent in the correct format.

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Part 1: Personal details - customer 1 and customer 2

1.1

Enter Customer 1 and Customer 2 DOB and NINO. This will populate the applicant details.

• select ‘Continue’ and ‘Yes’

If the details match

• select ‘Accept’

If the details do not match

• do not accept
• attempt to trace by entering Post Code and House ID

If no match found

• enter all address details, including post code
• select ‘Advanced’

If there is still no match

• cancel your action
• select ‘OK’.
  Note: This will use the address that the customer has provided on the claim form.

If telephone numbers have not been accepted

• enter the numbers provided by the customer
  • continue guidance from 1.8

1.1 - Title

Select the appropriate title.

1.1 - Surname

Enter the surname the customer has provided on the form TC600.

Note: If you notice that a claim has been made by someone known to you - for example, a work colleague, relative or friend - you must cancel out of the claim and follow the guidance in TCM0068160.

1.1 - Other

Enter the title the customer has provided if it is not Mr, Mrs, Miss or Ms.

1.2 - First Names

Must be a valid name or initial.

Note: The computer has a separate field ‘Other Forenames’, whereas the claim form only has one box for all first names.

1.4 - Date of Birth

Enter the date provided by the customer.

1.5 - National Insurance No

If there is no NINO

• continue to capture the claim.
  Note: it may be appropriate to return the claim form to the customer with letter TC646 asking them to provide their Nino.

If you can complete the first page on the form without the NINO

• ‘Store’ the claim
• select ‘Application’ then ‘Capture Current’ to input the rest of the details.

1.7 - Sex (M/F)

Select the relevant field.

1.10 - Other Names

Enter any other names provided by the customer.

Note: This could be a maiden name or a former married name.

Continue

Select this to prompt the computer to trace the customer’s address.

Details found

If the address and phone numbers traced match the details provided by the customer

• select [Accept].

If you enter a postcode in the right format but the search fails to provide you with a match, this in most cases is due to the Post Office not verifying the address. If this happens or the address is different, you must enter the address on the computer that the customer has provided on form TC600.

1.3 - Address

If there is no address shown on the claim form, but the Address field on the computer is populated with an address when you enter the customer’s NINO

• store the claim with the populated address
• continue to capture the claim.
• select ‘OK’
• continue to capture the remainder of the claim.

1.6 - Telephone Numbers

Enter all the telephone numbers provided.

Note: Delete telephone numbers that have been populated by the system unless they match the numbers provided on the claim form.

1.8 - UK National

The question on the claim form is ‘Have you been subject to immigration control in the last month?’

If they have ticked ‘Yes’

• select ‘No’ in this field.

If they have ticked ‘No’

• select ‘Yes’ in this field.

Note: The Isle of Man and Channel Islands are not part of the UK.

1.9 - Normally Live / UK or Other

If the customer has ticked ‘No’, they must state the country they normally live in, in the Country field below.

If the country is not stated on the claim form, a warning message will display asking you if you wish to proceed

• select ‘Yes’ to proceed to the next screen.

1.11 - Disabled

If the customer has ticked 1.11 then select this.

1.12 - DLA, Highest Care Component (HCC) or Personal Independence Payment (ER), Armed Forces Independence Payment (ER) or Attendance Allowance, Higher Rate (HR)

Select this field if the customer has stated they are in receipt of DLA HCC/PIP (ER), AFIP (ER) or AA HR.

1.13 - Incapacitated

Note: This box is only on claim forms from April 2012.

Select this field if the customer or their partner has stated they are incapacitated.

Continue

When you have entered all the relevant information in this screen, select ‘Continue’ to go to the Child screen.

Part 2: Children

TC600 part 2 and TC600A part 2 / Children / Details and DOB

Capture the details of any children on the claim form at part 2, and any additional children shown on the form TC600A or any additional pages, if appropriate.

Note: If child details are provided on both the claim form and form TC600A or additional pages, ensure that the details do not relate to the same child. If both the name and date of birth of a child are the same, do not duplicate the details. This is to avoid awarding tax credits twice for the same child.

Note: if you are capturing the claim over the telephone and the above message displays, inform the customer that their claim will be rejected as they live in a closed postcode area and they now need to claim Universal Credit (UC). If the customer insists on their claim being captured, advise them that we cannot do this and instead direct them to make a claim for UC.

If the customer wants to claim UC

• direct them to Gov.uk website to make a UC claim
• do not continue with capture and cancel out of the claim.

ADD

Select this button to enter a child.

Note: Check for an attached form TC600A or additional pages because there may be more than two children to enter on the computer.

Note: From 6 April 2017, customers will only get the child element of Child Tax Credit (CTC) for up to 2 children. If they are already claiming tax credits for more than 2 children born before 6 April 2017, they will continue to get tax credits for each of them.

2.1 - Surname

Enter the surname provided by the customer.

2.2 - First Names

Enter the first name provided by the customer.

2.3 - Date of Birth

Enter the date provided by customer.

2.5 - Responsibility date

Enter the date provided by the customer.

If the date is the same as the date of birth of the child

• leave blank.

2.6 - Full Time Education

If question 2.6 on the claim form has been completed and the child’s date of birth means they are over 16

• select ‘Yes’.

Note: If the child is not over 16, do not select ‘Yes’.

2.7 - Connexion Date

If the child’s date of birth means they are over 16

• enter the date if the customer has provided this on the form.

2.4 - last 3 boxes - Disabled / DLA (HCC)/PIP (ER)

Select if appropriate.

Note: If the customer states the child is certified as severely sight impaired or blind by a consultant Ophthalmologist make a note of this in Application Notes.

2.4 - first box - Childcare

If you want to enter childcare details

• you must select a tick against each child the customer has ticked.

If there are no ticks indicated by the customer

• leave blank.

Next

Select [Next] to enter each additional child.

Note: When entering more than one child, the surname defaults to the surname of the first child entered onto the computer. You must check all subsequent child surnames provided on the claim form.

Finish

Select [Finish] when you have entered all the children.

Part 3: Childcare costs

ADD

Select [ADD] to enter the childcare provider details.

3.1 - Name of Provider

The childcare provider cannot be a relative or living at the customer’s address.

If it is clear this is the case

• do not enter details.

Make a note in household notes and store the claim.

3.2 - Address

Enter the address provided on the claim form.

3.3 - No corresponding field

There is no specific field for the phone number.

If the customer provides a number

• enter this after the childcare provider details in the box directly under the name of the provider.

3.4 - Approving Body

Completed approving body details from the claim form.

Enter the name of the Local Authority or other approving body, for example Ofsted or the childminder agency that registered or approved the childcare provider.

If this information is missing

• leave the field blank
• continue to capture the claim.

3.5 - Registration Number

If question 3.1 on the claim form has been completed, then this must be completed on the computer as well.

Note: The only exception is that some Scottish or Northern Ireland childcare providers may not have a registration number, only an approving body.

3.6

The number of children declared in this field must be the same as those marked with an ‘X’ ’registered / approved childcare’ at question 2.4 on the claim form.

3.7 - Weekly Childcare Costs

If question 3.1 on the claim form has been completed, then this must be completed on the computer as well.

If the customer has not included childcare costs, leave this field blank.

Part 4: Work details

4.1 - Not captured

This question is for navigation purposes only and has no corresponding field on the tax credits computer.

4.2 - Place of work, UK / Other

If the customer has ticked ‘Yes’ they work in the UK on the claim form

• select the UK place of work checkbox

If the customer has ticked ‘No’, they do not work in the UK on the claim form

• they must specify which country they work in. You must always select the ‘Other place of work’ checkbox.
  • If the customer has provided the country of work
    • enter the details.
  • If the customer has not provided the country of work
    • you must leave the Country field blank.

Note: If you have been unable to enter a country, a warning message will display asking you if you wish to proceed, select ’Yes’ to proceed to the next screen.

4.5 - Number of Paid Jobs

If the customer is self-employed but has not stated the number of jobs

• you must enter ‘1’.

Note: For claim forms prior to April 2012 box 4.5 refers to the 50+ start date. The 50+ element was withdrawn from 6 April 2012.

4.3 - Total Hours Worked

If the hours are given in fractions, you must either round up or down the hours before entering the information onto the computer.

If the total hours before rounding is

• below 30, you must round down.
• above 30, you must round up.

4.4 - Start Date

The customer only completes this if they have stopped claiming or will stop claiming IS, JSA(IB), ESA(IR) or PC because, in the last three months, they have started work or changed their hours of work.

Leave the field blank if this information is not provided on the claim form.

4.7 - Employer Reference

If the customer has provided a reference number

• enter the employer details provided on the claim form.

If the customer has provided an invalid reference number

• select ‘Trace employer’ at the bottom of the screen.
  • if an option that has been provided matches the details on the form
    • select the employer. Make sure option available is CURR and not HIST details and select ‘OK’
  • if no option matches the employer on the claim form
    • ‘CANCEL’ and input employer details as provided on claim form
    • remove employer reference.

Note: If accountant name is populated leave accountant name in reference field.

Note: Large companies, for example ASDA use a central payroll department.

4.6 and 4.9 - Name

If box 4.7 is completed, and the reference is correct

• this field will be automatically populated with the employers address
• you must accept this address.

4.8 - Payroll Number

Enter if provided on the claim form.

4.10 - Employer’s pay office phone number

Enter if provided on the claim form.

4.11 - UTR

Enter if provided on the claim form.

Note: If customer is self-employed and has a NINO (SH onwards) check total household income is below £20,000.

4.12 - Start date

Enter if provided on the claim form.

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Part 5: Income details

5.1 - IS JSA, MIG/Pension Credit

Select if appropriate.

Note: MIG is now known as PC (Pension Credit).

If the customer has ticked they are on MIG but the applicant is under 60 at the application date

• a warning message will display, select [No]
  then
• delete the tick.

If the income on the claim form exceeds £100,000, check systems to ensure customer has not transposed figures e.g. £110,000 entered on claim form, systems show £11,000. Consider using system figures.

5.2 - Social Security Benefits

Enter any figure provided on the claim form, including zeros.

If the customer states ‘zero’ or ‘nil’

• enter as 0.00.

If the income on the claim form exceeds £100,000

• check systems to ensure customer has not transposed figures
  For example, £110,000 entered on claim form, systems show £11,000. Consider using system figures.

5.3 - Earnings

Enter any figure provided, including zeros.

If the customer states ‘zero’ or ‘nil’

• enter as 0.00.

If the income on the claim form exceeds £100,000

• check systems to ensure customer has not transposed figures
  For example, £110,000 entered on claim form, systems show £11,000. Consider using system figures.

5.4 - Benefits in Kind

Enter the figure provided, including zeros.

If the customer states ‘zero’ or ‘nil’

• enter as 0.00.

If the income on the claim form exceeds £100,000

• check systems to ensure customer has not transposed figures
  For example, £110,000 entered on claim form, systems show £11,000. Consider using system figures.

5.5 - Self-Employed

Enter the figure provided including zeros.

If the customer states ‘zero’ or ‘nil’

• enter as 0.00.

If the income on the claim form exceeds £100,000

• check systems to ensure customer has not transposed figures
  For example, £110,000 entered on claim form, systems show £11,000. Consider using system figures.

5.6 - Other Household Income

Enter the figure provided including zeros.

If the customer states ‘zero’ or ‘nil’

• enter as 0.00.

If the income on the claim form exceeds £100,000

• check systems to ensure customer has not transposed figures
  For example, £110,000 entered on claim form, systems show £11,000. Consider using system figures.

5.7 - Income Figures, Actual / Estimated

If neither ‘Yes’ or ‘No’ is ticked

• select ‘Estimated’.

If the customer has ticked they are on IS/JSA/MIG, actual or estimate is ticked and there are no job details

• uncheck the actual/estimate checkbox

If the customer has ticked they are on IS/JSA/MIG, social security benefit income declared, actual or estimate is ticked and there are no job details

• uncheck the actual/estimate checkbox

If the income on the claim form exceeds £100,000

• check systems to ensure customer has not transposed figures
  For example, £110,000 entered on claim form, systems show £11,000. Consider using system figures.

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Part 6: Payments details

6.2 - Child Tax Credit Main Carer, Applicant 1 / 2

If the customer is single

• select ‘Applicant 1’.

If the customer has a partner but has not stated who the main carer is

• select the customer with the bank details
  • if neither have bank details
    • select ‘Applicant 1’.

6.1 - Child Tax Credit, Weekly / 4 Weekly

If the customer has not stated weekly or four-weekly payments

• you must select ‘4 Weekly’.

6.3 - Working Tax Credit, Weekly / 4 Weekly

If the customer has not stated weekly or four-weekly payments

• you must select ‘4 Weekly’.

6.4 - Working Tax Credit, WTC Recipient, Applicant 1 / Applicant 2

The recipient must be the working customer.

If the customer is single and has not stated who the recipient is

• select ‘Applicant 1’.

If it is a joint claim and the non-working customer has indicated they wish to receive WTC

• you must select the working customer.
  Note: If both customers are eligible for Working Tax Credit and the checkbox is not selected, select Applicant 1 by default.

6.5 - Account Name

Where joint bank account details are provided on the claim form, both the Applicant 1 and Applicant 2 screen details must be completed on the tax credits computer.

If there are no bank details provided on the claim form, you must contact the customer for them.

If you are unable to contact the customer to obtain bank details, attempt to trace bank details for the customer through the Child Benefit Service

• access Child Benefit Service desktop icon
• enter the customer’s NINO in the upper navigation bar and select ‘search’
• check the customer’s name and address in the top left corner of the screen to ensure you select the correct customer details
• select’Child Benefit - Payment’ from tleft hand navigation bar to view the account details.

Where you are able to trace bank details and the customer currently has benefit paid into their bank account

• enter the bank details onto the system
• issue SEES letter TC2037 to inform the customer that bank details have been used from a departmental system
• update Application notes with message LI60 from TCM0162060. For how to do this, use TCM1000028.

Where you are unable to trace bank details

• populate the bank details with zeros
• set the payment frequency to four weekly.

Note: For fast track claims leave the bank details blank.

If the claim has been made by two customers and the bank details are only held for one customer

• enter the same account details for both customers. You do not need to contact the customer about this and the account does not have to be in joint names.

The account can be in the name of the person acting on their behalf. However we can use any suitable account they nominate. If the account is held by someone not appointed to deal with the customers affairs, that person will not be able to query anything. Follow the guidance in TCM0046020.

If the account name is too long, you can use initials

For Barclays Bank enter

• account name provided by the customer
• account number provided by the customer
• sort code provided by the customer
• branch name as Leicester
• select ‘Address field’
• post code as LE87 2BB
• select ‘Quick’.

For Halifax

• select ‘Advanced’ and use Halifax address that is populated and select ‘OK’.

For Santander

• enter post code as L30 4AA

6.6, 6.7, 6.9 - Account No, Sort Code, Bank/BSoc

For all other banks the computer will try and match the details that you have entered with the correct branch name and address details.

Note: Sometimes the details entered are matched with the head office address of the bank and not the local branch address on the claim form. If this happens and the bank name matches but the bank address or postcode is different you must

• accept the details the computer has matched to
  Note: If the account number and sort code are correct but does not populate the details, leave Applicant name and details out of the field provided. DO NOT under any circumstances changes account number or sort code.

If in any doubt, populate the bank details with zeros.

Note: If the name is different to the ones above, for example a third party, note the name, bank account and sort code in Application Notes.

6.8 - Building Soc Ref

If the number provided by the customer is the same as the account number, leave this field blank.

If a correct reference number has been provided with correct bank and sort code details, input these details.

6.9 - Name of bank or building society

Enter the name of the bank or building society provided on the claim form.

Appointee

Select ‘Ap’ on the toolbar menu and enter the details if they have been provided on the claim form.

Note: If the details provided are the same as the customer’s or are invalid, delete the details.

Continue

Select [Continue] to go to the Summary Information screen.

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Summary information screen on the computer

Claim form stamp date - Date Application Received

Can be amended if a form TC648 advises you to use a different received date for the claim.

Application notes

Use Standardised household note message from ‘Manual capture - new claims (codes start with QN)’ in TCM0170020 via tree of knowledge.

• QN01 - MAN CAP/NETH/TmX/Initials
• QN10 - MAN CAP - STU Claim/NETH/TmX/Initials
  and
• any other relevant notes using the Standardised Messages
  or
• COMPLIANCE - DO NOT PROCESS - LIVERPOOL MU249917 workflow use only do not disclose to the public/NETH/TmX/Initials

(This content has been withheld because of exemptions in the Freedom of Information Act 2000)

Application Effective Date

Can be amended if there is an effective date given on the front of the form in pencil or indicated on a TC648 for Backdating claim forms.

Attachment or note on form - Special Needs

Enter the appropriate note from the Standardised Messages if the customer states they require their notices in Welsh, Braille or large print.

OK

If the appointee details are present

• select ‘Store’

Where the customer has been matched and details provided indicate they are not entitled to any tax credits for example work hours , otherwise

If you have all the information, and the only option is to select ‘Process’,

• select ‘Process’

If you do not have all the information, a message will show ‘This may be rejected’

• select ‘Store’.

Note: Make sure you select the correct option. If you select the wrong option the claim may be rejected in error.

When all details have been captured

• select the ‘OK’ pushbutton

If there are no exceptions present relating to PCQA or more than two children, the following message will be displayed:

‘Gateway closed for Tax Credits. Applications will be rejected unless overridden’

If the claim is not to be overridden

• select the ‘Process’ pushbutton.
  The claim will be rejected and an automated TC601U will be issued to the customer.

If the ‘GSC Override’ box is selected, selecting the ‘Process’ pushbutton will continue to process the claim BAU.

Note: You will need the appropriate access for the ‘GSC Override’ button to be enabled.

Refer to the ‘How to use Geographical Stepped Closure (GSC) Override Function’ – TCM1000629.

Storing TC600/TC600a and additional pages - Storage

To be stored at Iron Mountain, or sent to Backscanning, all claim forms must have the Minimum Data Set (MDS) which is:

• Surname and Date of Birth, or
• NINO.
  Note: If a claim does not have MDS, pass the claim to a manager.

Certain claims need to go to Iron Mountain, and be placed into plastic wallets. These are

• Rejected claims that have had the left hand side sliced and are stapled together
• STU claims without a circle
• claims that have additional children written on pieces on paper smaller than A5
• claims which have been torn or damaged

These claims need the tax year written in pencil on the top right hand corner.

All other claims go to Backscanning.

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(This content has been withheld because of exemptions in the Freedom of Information Act 2000)