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HMRC internal manual

Tax Credits Manual

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HM Revenue & Customs
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NTC listings (Unfinalised S17): NTC listing - Unfinalised S17 - Multi Entry (AG)

To deal with ‘Multi Entry’ work items on NTC Listing for the Unfinalised S17 work list, consider steps 1 to 12.

Step 1

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 the Function Menu

  • select ‘NTC Listing’ from the Worklists drop down menu. You’ll 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

Sort and filter the entries to identify the items with more than one reason for the failure and also the priority cases. To do this

  • select [Sort Filter]. The Sort and Filter Worklist Entries screen will display

Note: A multi-entry work item will have two or more failure reasons from the following

Verification failures (VF) / Unprocessed change of circumstances (UN-COC)

or

Appeal (APP) / Verification failures (VF) / Unprocessed change of circumstances (UN-COC).

Note: If the work item reason is a Verification Failure with or without an Appeal reason, follow the guidance in TCM0194260. If the work item reason is Unprocessed Change Of Circumstances with or without an Appeal reason, follow the guidance in TCM0194240.

  • sort the entries by reason of the Priority Indicator, so that the ‘Multi Entry’ priority cases are identified and worked first
  • filter the entries so that only the ‘VF, UN COC’ or ‘APP, VF, UN COC’ work items 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
  • make a clerical note of the work item you are 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

Note: If the reason doesn’t display, select the work item and then select [Details]. The Listing Entry Details screen will display, which will show the reason for the work item.

  • go to .

Step 3

If you noted 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 .
    • waiting for the claim to finalise before continuing with the final NTC Listing action, go to .
    • dealing with an expired action date for any other reason, go to .
  • aren’t dealing with an expired action date

    then

    • return to this guidance and go to .

Step 4

Follow the appropriate guidance for each reason to establish the information you require to resolve each failure. If you need further information from the customer, you should collate all the information required and make all the enquiries at the same time. If the reason is

then

  • when you’ve all the required information that’s needed to resolve the failures and the reason is

    • ‘VF’. Resolve the failure. Follow the guidance in TCM0194260
    • ‘UN COC’. Resolve the failure. Follow the guidance in TCM0194240
  • go to .

Step 5

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

  • has been recorded, go to .
  • hasn’t been recorded, in Function VIEW HOUSEHOLD NOTES check if a reminder form TC664R has already been issued to the customer for the missing information

    • If a reminder hasn’t previously been issued

    • send a reminder form TC664R to the customer
    • use Function NTC LISTING to set an action date of a further 14 days in the future on the work item
    • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

    ‘SI21 - reminder form TC664R issued to customer’

    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 previously been issued and you’re dealing with

    • an ‘Unprocessed Change Of Circumstances’ reason, either with or without a ‘Verification Failure’ reason, follow the guidance in TCM0054060 and/or the relevant guidance in TCM0076000, TCM0078000 or TCM0080000 for the action to take when there has been no response to the enquiry and the reminder cycle has expired. Then go to .
    • A ‘Verification Failure’ reason only, follow the relevant guidance in TCM0076000, TCM0078000 or TCM0080000 for the action to take when there has been no response to the enquiry and the reminder cycle has been expired. Then go to .

Step 6

Use Function VIEW S17 DETAILS and go to the Issue Details screen

  • establish what term is in the Reason for Issue field. If the reason in the field includes the term

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

Step 7

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 8

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 9

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 10

Check the clerical note you made for the work item

  • If there was an ‘Appeal’ reason shown

    • complete and issue form TC853 (appeal letter), 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 .
  • If there wasn’t an ‘Appeal’ reason shown, go to .

Step 11

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 12

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

then

  • 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.

  • send any casepapers to storage. Follow the guidance in TCM0074140.