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HMRC internal manual

Tax Credits Manual

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HM Revenue & Customs
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Claims - work lists (VFs - miscellaneous): Verification Failures - new claim identified as renewals linked (AG)

To enable cases identified as new claims submitted instead of the customer returning the Annual Declaration to be rectified, consider steps 1 to 9.

Step 1

Note: This guidance is to be followed by staff working MU249981.

Use Function MAINTAIN WORKLIST

  • select the Verification Failures work list from the drop down list for the Worklist Type field
  • select the office or unit you want from the drop down list for the Management Unit field, if the one you want is not already displayed in this field. The screen will be redisplayed with the entries currently on the work list for your MU
  • select a case with an action date of 01-04-2007
  • select [Details]
  • does ‘Applica’ or ‘Applic/Child’ show at all in the areas of failure?

    • no, the Rule 3, 4 or 5 verification failure has been resolved, transfer the work item to the appropriate Verification Failures Worked and Cleared MU. Use TCM0322460 for the correct MU number. Take no further action.
    • yes, go back to the Maintain Worklist screen and make a note of the customer’s NINO and then go to .

Step 2

Use Function VIEW HOUSEHOLD NOTES

  • enter the customer’s NINO in the Key Entry Data screen
  • select the ‘All’ checkbox
  • select [OK]
  • is there a note stating ‘Good Cause failed’?

    • yes, raise an EARS to get the case cleared by a script and then go to .
    • no, is there a note stating ‘Restore action already taken place’?

    • yes, go to .
    • no, go to .

Step 3

Use Function VIEW AWARD and go to the Award Summary screen

  • Is there an Initial CY award showing after the SOA issued version?

    • yes, withdraw the new claim as the existing claim has already been restored. Use TCM0139020 and then go to .
    • no, go to .

Step 4

Use Function VIEW APPLICATION

  • enter the customer’s NINO in the Key Entry Data screen
  • select the ‘All’ checkbox
  • select [OK]. You will be taken to the Application Summary screen

Note: If you are taken to the Select Individual screen, check both individuals.

  • select the failed claim
  • select [OK]. You will be taken to the Award Summary screen
  • make a note of the following details for the customer (and, where applicable, both customers)

    • name
    • date of birth
    • NINO
  • select [Cancel]. You will be taken back to the Select Individual screen
  • select the existing claim
  • select [OK]. You will be taken to the Award Summary screen
  • make a note of the following details for the customer (and, where applicable, both customers)

    • name
    • date of birth
    • NINO

Note: If the failed claim is a joint claim, go back to the beginning of this step and repeat using the second customer’s NINO.

  • compare the details noted. Are the details the same?

    • yes, on the Award Summary screen, make a note of the date in the Received Date field for the new claim and then go to .
    • no, continue with the normal verification failure process. Follow the relevant guidance in TCM0076000, TCM0078000 or TCM0080000.

Step 5

Use Function VIEW S17 DETAILS

  • enter the customer’s NINO in the Key Entry Data screen
  • select the ‘All’ checkbox
  • select [OK]. You will be taken to the Select S17 Period screen

Note: If you are taken to the Select Individual or Select Household screens, look for the latest household prior to the new claim. Once established, select the individual or household and then select [OK]. You will then be taken to the Select S17 Period screen

  • select the 2005-2006 claim
  • select [OK]. You will be taken to the Current Position screen

Note: If there is not a 2005-2006 claim present, continue with the normal verification failure process. Follow the relevant guidance in TCM0076000, TCM0078000 or TCM0080000.

  • If the Signals screen displays, make a note of any signals set. Are any of the following signals set?

‘Compliance’

‘Inhibited’

‘SCO’

* yes, these cases are under compliance enquiry and should not be restored. Continue with the normal verification failure process. Follow the relevant guidance in [TCM0076000](https://www.gov.uk/hmrc-internal-manuals/tax-credits-manual/tcm0076000), [TCM0078000](https://www.gov.uk/hmrc-internal-manuals/tax-credits-manual/tcm0078000) or [TCM0080000](https://www.gov.uk/hmrc-internal-manuals/tax-credits-manual/tcm0080000). 
* no, is the status of the renewal 

‘Finalised Actual Full Reply’   


‘Finalised Estimate Full Reply’  


‘Finalised Actual Managed’  


‘Finalised Estimate Managed’  


or  


Is there a date in the Received Date field?  


* yes, and the Terminated signal is set, make a note of the date in the Received Date field and then go to . 
* yes, and the Terminated signal is not set, go to . 
* no, and the Terminated signal is set, go to . 
* no, and the Terminated signal is not set, go to . 
* no, and the case is an auto renewal case, continue with the normal verification failure process. Follow the relevant guidance in [TCM0076000](https://www.gov.uk/hmrc-internal-manuals/tax-credits-manual/tcm0076000), [TCM0078000](https://www.gov.uk/hmrc-internal-manuals/tax-credits-manual/tcm0078000) or [TCM0080000](https://www.gov.uk/hmrc-internal-manuals/tax-credits-manual/tcm0080000).

Step 6

Use Function AMEND APPLICATION, choosing the Correction option

  • enter the customer’s NINO in the Key Entry Data screen
  • select the most recent finalised version
  • select [OK]. You will be taken to the Applicant Details screen
  • select ‘Household’ on the toolbar menu
  • select ‘Details’ from the options available
  • select the latest household
  • select [OK]. You will be taken to the Household Details screen
  • check the reason in the Household End Reason field. If the reason

    • is System Termination, is the return date of the Annual Declaration or the date in the Date Received field for the new claim before or within 30 days of the SOA issue date?

    Note: Use Function VIEW AWARD and go to the Select Award screen to establish the SOA issue date.

Step 7

Use Function VIEW LINKED WORK ITEMS.

Note: If you are taken to the Select Individual or Select Household screens, select the individual or household for the existing claim.

  • Is the renewal on the Unprocessed S17 work list?

    • yes, withdraw the new claim. Follow the guidance in TCM0139020, selecting the IR User Error option and then go to .
    • no, continue with the normal verification failure process. Follow the relevant guidance in TCM0076000, TCM0078000 or TCM0080000.

Step 8

Contact the customer by phone. Follow the guidance in TCM0094080.

Note: If you are unable to contact the customer by phone or you are unable to contact them after two attempts, continue with the normal verification failure process. Follow the relevant guidance in TCM0076000, TCM0078000 or TCM0080000.

  • explain to the customer

    • that they should return their Annual Declaration to you
    • failure to do so will result in the termination of their payments and a recoverable overpayment

then

  • does the customer agree to provide their Annual Declaration details?

    • yes, and they have all the details to hand

    • capture the details. Follow the guidance in TCM0254040 
    • withdraw the new claim. Follow the guidance in TCM0139020, selecting the IR User Error option

    then

    • go to .

    • yes, but they do not have all the details to hand

    • tell them to phone the Tax Credits Helpline as soon as possible with the details and tell them you are withdrawing their new claim as they have said they will provide the details. The phone numbers are 0845 3003900 (Great Britain) or 0845 603 200 (Northern Ireland) or return their Annual Declaration to you

    then

    • withdraw the new claim. Follow the guidance in TCM0139020, selecting the IR User Error option
    • use Function MANAGE FINALISATION and go to the Notice Details screen to extend the 1st Specified Date (1SD) on the renewal by 28 days in the Specified Dates First field

    Note: If the 1SD is extended to within 30 days of 2nd Specified Date (2SD), the 2SD will be automatically extended. For more information, follow the guidance in TCM0264060.

    • go to .

    • no

    • tell the customer that they will have to pay back any money they have received since 06/04/06 when their payments are terminated due to the non-return of their Annual Declaration
    • then
    • go to and continue with the normal verification failure process. Follow the relevant guidance in TCM0076000, TCM0078000 or TCM0080000.

Step 9

Use Function MAINTAIN HOUSEHOLD NOTES to record the actions you have taken. Include

  • whether Good Cause has been accepted or rejected
  • whether the new claim has been withdrawn
  • whether the Annual Declaration details have been provided by the customer or whether they are going to provide them and by what means (that is, through the Helpline or by returning the Annual Declaration)
  • whether the case has been restored.

Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.