Beta This part of GOV.UK is being rebuilt – find out what this means

HMRC internal manual

Tax Credits Manual

From
HM Revenue & Customs
Updated
, see all updates

NTC listings (Unfinalised S17): NTC listing - Unfinalised S17 - Compliance, SCO or Inhibited (AG)

To deal with an entry on NTC Listing for the Unfinalised S17 work list with a reason of ‘Compliance’, ‘SCO’ or ‘Inhibited’, consider steps 1 to 17.

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 surname you require, from the Selection drop down menu - for example, select 14 for surnames 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

Filter the entries to identify those with a reason of either ‘Compliance’ (COMP), ‘SCO’ or ‘Inhibited’ (INHIB). To do this

  • select [Sort Filter]. The Sort and Filter Worklist Entries screen will display
  • filter the entries so that only those with a reason of either ‘COMP’ or ‘INHIB’ are shown. Follow the guidance in TCM0140020 

Note: To make sure you identify all the applicable entries, filter the entries to show those with the reason of ‘COMP’, complete your action and then repeat separately for the reason of ‘INHIB’. You don’t need to filter separately for the reason of ‘SCO’.

  • select [OK]. You’ll be taken to the NTC Listing screen which will display the filtered work list entries.
  • make a clerical note of the work item you’re going to action - for example, name, NINO, reason for the work item, whether or not an ‘Appeal’ reason is shown and also check if an action date has expired
  • go to .

Step 3

Use Function NTC LISTING to identify if the work item you are going to action is also on the NTC Listing Unprocessed S17 work list. To do this

  • go to the NTC Listing screen
  • select ‘Unprocessed 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]

then

* If the work item is on the Unprocessed S17 work list, go to .
* If the work item isn’t on the Unprocessed S17 work list, go to .

Step 4

Use Function NTC LISTING to go back to the work item on the NTC Listing ‘Unfinalised S17’ Work List. 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’re going to action
  • 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

then

  • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘SI04 - NTC Listing Unfinalised work item deleted as also on Unprocessed work list’

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

  • take no further action.

Step 5

If you noted in that you

  • are dealing with an expired action date, use Function VIEW HOUSEHOLD NOTES to check for a note

    • If the note indicates that we’re waiting for the claim to renew before continuing with the finalise action, go to .
    • If the note indicates that we’re waiting for the claim to finalise before continuing with the final NTC Listing action, go to .
    • If the note indicates that the Claim Under Enquiry / Inhibited signal is shown and the case referred to designated officer, go to .
    • If the note indicates that the SCO signal is shown and the case referred to designated officer, go to .
  • aren’t dealing with an expired action date, go to .

Step 6

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 VIEW S17 DETAILS

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

Note: If you’re taken to the Select Household screen, select the household that has the relevant claim that isn’t finalised and then select [OK]. You’ll then be taken to the Select S17 Period screen.

  • select the 20XX-20XX claim that isn’t finalised
  • select [OK]. You’ll be taken to the Current Position screen
  • check if the status is ‘Terminated Compliance’

    • If the status is ‘Terminated Compliance’

    • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

    ‘SI01 - Compliance Termination NTC Listing work item deleted’

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

    then

    • go to .

    • If the status isn’t ‘Terminated Compliance’, select [View Signals], if available. The Current Signals screen will display

    • If the Current Signals screen displays with the signals ‘Claim under Enquiry’ or ‘Inhibited’, go to .
    • If the Current Signals screen displays with the signal ‘SCO’, go to .
    • If [View Signals] isn’t available or none of the signals are present when the Current Signals screen displays, go to .

Step 7

Use Function VIEW HOUSEHOLD NOTES to obtain the contact details of the Claimant Compliance Officer (CCO).

Note: If details of the CCO aren’t held in Function VIEW HOUSEHOLD NOTES, use TCM1000022.

Contact the CCO dealing with the claim to find out what action they’re taking. If they tell you to

  • carry on with your action

    • ask the CCO to remove the Compliance or Inhibited marker

    then

    • go to .
  • stop your action

    • ask the CCO for an action date
    • use Function NTC LISTING to set the action date on the work item
    • send any correspondence to the relevant CCO
    • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

    ‘SI18 - Claim Under Enquiry / Inhibited signal shown case referred to Compliance Officer’

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

    • take no further action.

Step 8

Use Function VIEW HOUSEHOLD NOTES to obtain the contact details of the Criminal Investigations Officer (CIO).

Note: Under no circumstances should you give the customer any details of the CIO.

Contact the CIO dealing with the claim to find out what action they’re taking. If they tell you to

  • carry on with your action, go to .
  • stop your action

    • ask the CIO for an action date
    • use Function NTC LISTING to set the action date on the work item
    • send any correspondence to the relevant CIO
    • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

    ‘SI16 - Refer to SCO signal, case referred to CIO’

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

    • take no further action.

Step 9

Is there a reason for the work list item that isn’t ‘Compliance’, ‘SCO’ or ‘Inhibited’?

  • yes, follow the relevant guidance in TCM0194000 for the other work item reason

Note: When following the relevant guidance, don’t repeat the Compliance steps.

  • no, go to .

Step 10

Use Function VIEW HOUSEHOLD ACCOUNT to check if one or more of the subsequent years awards has been finalised. To do this

  • enter the customer’s NINO in the Key Entry Data screen
  • select the All checkbox
  • select [OK]. You’ll be taken to the Select Award screen
  • select the appropriate year award that you’re dealing with
  • select [OK]. You’ll be taken to the View Award Period Summary screen
  • check the Award Status field. If any of subsequent years award status is

    • finalised, follow the guidance in TCM0264220 at step 13.
    • unfinalised, go to .

Step 11

Use 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 will be taken to the Issue Details screen
  • check the reason for issue. If the reason for issue is

    • ‘Reply required’, go to .
    • ‘Auto’, go to .

Step 12

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 [Renew] isn’t available, go to .
    • If [Renew] is available

    • 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 the 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.

Step 13

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 [Finalise] isn’t available, go to .
    • If [Finalise] is available

    • 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
    • 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.

Step 14

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 .
    • 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.

Step 15

Check the clerical note you made for the work item

  • If there was an ‘Appeal’ reason shown

    Note: This explains that their appeal rights on the original claim still stand.

    then

    • go to .
  • If there wasn’t an ‘Appeal’ reason shown, go to .

Step 16

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 17

Use Function NTC LISTING to identify the work item you’ve 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 have 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

then

  • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘SI15 - Work item actioned from NTC Listing’

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

  • send any case papers to storage. Follow the guidance in TCM0074140.