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HMRC internal manual

Tax Credits Manual

NTC listings (Unfinalised S17): NTC listing - Unfinalised S17 - Appeal only (AG)

To deal with an entry on NTC Listing for the Unfinalised S17 work list with a reason of ‘Appeal’, consider steps 1 to 10.

Step 1

Use the Function Menu

  • select ‘NTC Listing’ from the Worklists drop down menu. You will be taken to the NTC Listing screen
  • select ‘Unfinalised S17’ from the Listing Type drop down menu
  • select the number that corresponds to the initial letter of the name you require from the Selection drop down menu - for example, select 14 for names beginning with the letter ‘N’, a full list of the selected items will display
    Note: The message ‘No Listing Entries for the Selection / Listing Type’ will display if there aren’t any entries for your chosen number.
  • go to Step 2.

Step 2

Sort and filter the entries to identify the ‘Appeal’ (APP) entries and also the priority cases. To do this

  • select [Sort Filter]. The Sort and Filter Worklist Entries screen will display
  • sort the entries by reason of the Priority Indicator so that the ‘APP’ priority cases are identified and worked first
  • filter the entries so that only those with a reason of ‘APP’ are shown
    Note: Follow the guidance in TCM0140020.
  • select [OK]. You’ll be taken to the NTC Listing screen which will display the sorted and filtered work list entries
    Note: If the failure reason is shown with any other reason in addition to ‘Appeal’, follow the relevant guidance in TCM0194000 for the other failure reason shown and not this guidance.
  • make a clerical note of the work item you are going to action - for example, name, NINO, whether or not an ‘Appeal’ reason is shown and also check if an action date has expired
  • go to Step 3.

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Step 3

If you noted in Step 2 that you

  • are dealing with an expired action date, use Function VIEW HOUSEHOLD NOTES to check for a note that indicates we’re waiting for the claim to
    • renew before continuing with the finalise action
      • If this reason is shown, go to Step 6.
        • finalise before continuing with the final NTC Listing action
      • If this reason is shown, go to Step 7.
  • aren’t dealing with an expired action date
    • follow the guidance in TCM0194040
      then
    • return to this guidance and go to Step 4.

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Step 4

In Function VIEW S17 DETAILS, go to the Current Position screen

  • in the S17 Notices box, select the latest notice
  • select [Details] under the S17 Notices box. You’ll be taken to the Issue Details screen
  • check the reason for issue. If the reason for issue is
    • ‘Reply required’, go to Step 6.
    • ‘Auto’, go to Step 5.

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Step 5

Note: This guidance will ask you to select the 20XX-20XX year that isn’t finalised. The year you need to select depends on when you’re working Function NTC LISTING - for example, if you’re working Function NTC LISTING after

  • 6 April 2007, you need to select year 2005-2006
  • 6 April 2008, you need to select year 2006-2007
  • 6 April 2009, you need to select year 2007-2008, and so on.

Use Function MANAGE FINALISATION and go to the Manage Finalisation screen for the 20XX-20XX claim that isn’t finalised

  • select [Process]. You’ll be taken to the Process screen
  • select ‘TCO’ from the Action Authority drop down menu
    • If the [Renew] button isn’t enabled, go to Step 6.
    • If any other circumstances apply
      • select ‘As Agreed’ from the Renew drop down menu
      • select [Renew]
        Note: If an error message displays, select [OK] or [Yes], as appropriate and continue with your action.
      • use Function NTC LISTING to set an action date of three days in the future on the work item
      • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
        ‘SI08 - Wait for claim to renew before continuing with finalise action’
        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 6

Use Function MANAGE FINALISATION and go to the Manage Finalisation screen for the 20XX-20XX claim that isn’t finalised

  • select [Process]. You’ll be taken to the Process screen
  • select ‘TCO’ from the Action Authority drop down menu
  • select ‘As Agreed’ from the Finalise drop down menu
  • select [Finalise]
    Note: If an error message displays, select [OK] or [Yes], as appropriate and continue with your action.
    • If [Finalise] isn’t enabled, go to Step 7.
    • If any other circumstances apply
      • use Function NTC LISTING to set an action date of three days in the future on the work item
      • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
        ‘SI09 - Wait for claim to finalise before continuing with the final NTC Listings action’
        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 7

Use Function VIEW HOUSEHOLD ACCOUNT and go to the View Award Period Summary screen to check if the 20XX-20XX award has been finalised

  • check the Award Status field. If the award status
    • is shown as ‘Finalised’, go to Step 8.
    • isn’t shown as ‘Finalised’
      • ask your manager for a specific action date
      • use Function NTC LISTING to set the action date on the work item
      • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
        ‘SI10 - Claim has not finalised cannot continue with the NTC Listings action’
        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

Check the clerical note you made for the work item

  • If there was an ‘Appeal’ reason shown
    • complete and issue form TC853 (appeal letter) to the customer, selecting the TC853(GB) (Word 126KB) or TC853(NI) (Word 126KB) version as appropriate
      Note: This explains to the customer that their appeal rights on the original claim still stand.
    • then
    • go to Step 9.
      • If there wasn’t an ‘Appeal’ reason shown, go to Step 9.

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Step 9

Use Function MAINTAIN HOUSEHOLD NOTES

  • select the ‘Renewals & Reminders’ category to record the following, where appropriate
    ‘SI11 - Form TC853 issued’
    ‘SI27 - 20XX/20XX Claim Finalised’
    ‘SI28 - 20XX/20XX Claim Finalised and 20XX/20XX claim Renewed’
    and
    any other action that you haven’t already recorded.
    Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
    then
  • go to Step 10.

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Step 10

Use Function NTC LISTING to identify the work item you have just actioned. To do this

  • go to the NTC Listing screen
  • select ‘Unfinalised S17’ from the Listing Type drop down menu
  • select the number that corresponds to the initial letter of the name you require from the Selection drop down menu - for example, select 14 for names beginning with the letter ‘N’, a full list of the selected items will display
  • select [Sort Filter]. The Sort and Filter Worklist Entries screen will display
  • filter the entries with the reason of ‘Reference’, entering the NINO you made a clerical note of in the From Value and To Value fields
  • select [OK]. You’ll be taken to the NTC Listing screen which will display the work item you’ve just actioned
  • select the work item
  • select [Delete]
  • when the message ‘Listing entry will be permanently deleted’ displays, select [OK]. The work item will be deleted from NTC Listing
  • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
    ‘SI15 - Work item deleted from NTC Listing’
    Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
  • close the document on DMS. For how to do this, use TCM1000037.