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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 - Not Past 1SD (AG)

To deal with an entry on NTC Listing for the Unfinalised S17 work list with a reason of ‘Not Past 1SD’, consider steps 1 to 19.

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.
    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
  • go to Step 2.

Step 2

Sort and filter the entries to identify the ‘Not Past 1SD’ (NOT PAST 1SD) 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 ‘NOT PAST 1SD’ priority cases are identified and worked first
  • filter the entries so that only those with a reason of ‘NOT PAST 1SD’ are shown, selecting the Descending checkbox
    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.

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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 terminate before continuing with the finalise action, go to Step 14.
    • we’re waiting for the claim to Renew before continuing with the finalise action, go to Step 14.
    • we’re waiting for the claim to finalise before continuing with the final NTC Listing action, go to Step 15.
    • the 1s t Specified Date (1SD) has been reached, continue with the NTC Listing action. Go to Step 5.
  • 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, on 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
  • make a note of the date in the 1SD field
    Note: The 1SD should be 35 days after the date on which the Annual Declaration was issued.
    Note: If the 1SD is later than the 2SD, only consider the 1SD.
    • If the 1SD hasn’t yet been reached
      • use Function NTC LISTING to set an action date one day after the 1SD on the work item
      • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
        ‘SI24 - When 1SD has been reached 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.
    • If the 1SD has been reached, go to Step 5.

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Step 5

In Function VIEW S17 DETAILS, on the Issue Details screen, check the reason for issue. If the reason for issue is

  • ‘Reply required’, go back to the Current Position screen to check the Declarations box to determine if the Annual Declaration has been returned
    • If the Annual Declaration has been returned, go to Step 7.
    • If the Annual Declaration hasn’t been returned, go to Step 6.
  • ‘Auto’, go to Step 13.

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Step 6

Use Function VIEW HOUSEHOLD NOTES to check for a note that indicates the Annual Declaration has been returned

  • If the Annual Declaration has been returned, go to Step 7.
  • If the Annual Declaration hasn’t been returned, go to Step 12.

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Step 7

Use Function VIEW S17 DETAILS

  • go to the Select S17 Period screen
  • select the 20XX-20XX claim that you’re dealing with
  • select [OK]. You’ll be taken to the Current Position screen
    then
    • If the Current Signals screen displays with the ‘Household Ended’ signal, go to Step 8.
    • If the Current Signals screen doesn’t display or doesn’t display with the ‘Household Ended’ signal, go to Step 10.

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Step 8

Use Function AMEND APPLICATION, choosing the Correction option

  • go to the Applicant Details screen
    Note: If you’re taken to the Select Application screen, select the claim you’re dealing with and then select [OK]. You’ll then be taken to the Applicant Details screen.
  • select ‘Household’ from the toolbar menu
  • select ‘Details’ from the options available. You’ll be taken to the Household Details screen
  • check the reason in the Household End Reason field. If
    • the reason is ‘Household Breakdown’ and the household is made up of two customers
      • make a note of the date in the Household End Date field, go to Step 10.
    • the reason is ‘Household Breakdown’ and the household is made up of only one customer, go to Step 10.
    • the reason is ‘System Termination’, go to Step 9.
    • there isn’t a reason or any other reason is shown, go to Step 10.

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Step 9

Use Function MAINTAIN HOUSEHOLD NOTES to check for an entry indicating that there’s been a household breakdown

  • If there is an entry and
    • the household is made up of two customers
      • make a note of the household end date, go to Step 10.
    • the household is made up of only one customer, go to Step 10.
  • If there isn’t an entry, go to Step 10.

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Step 10

Note: If you’re working Function NTC LISTING after

6 April 2007, you’ll be working 2005-2006 as CY, making PY 2004-2005 and 2003-2004 PY-1

6 April 2008, you’ll be working 2006-2007 as CY, making PY 2005-2006 and 2004-2005 PY-1

6 April 2009, you’ll be working 2007-2008 as CY, making PY 2006-2007 and 2005-2006 PY-1, and so on.

Use Function VIEW S17 DETAILS and go to the Declaration Details screen to note the information that has been provided for PY

Note: Make a note if the status of the CY claim is ‘Terminated’. The status of the renewal will be displayed in the Status field.

  • make a note of the following for customer 1 (and, where applicable, customer 2)
    • whether Pension Credit (PC), Income Support (IS), Jobseeker’s Allowance (JSA) or Employment and Support Allowance (ESA) was in payment for the award period
    • any figures in the Income Totals box, including
      taxable Social Security benefits
      earnings as an employee
      company car and fuel, vouchers and payments in kind
      income from self-employment
      other income
  • select [View PY-1 Details] if it’s available and make a note of the same details for PY-1 that you’ve just made for the PY claim
    then
  • go to Step 11.

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Step 11

Use Function AMEND APPLICATION, choosing the Correction option and go to the Income screen for customer 1 and/or customer 2

  • enter the income, benefit and earnings figures that you’ve noted from Function VIEW S17 DETAILS into the corresponding PY and/or PY-1 Income fields, ensuring you select ‘A’ for each entry
    Note: If the status of the income is ‘S’, the Amount field won’t be enabled. Changing the status to ‘A’ will enable the Amount field.
  • select [OK]. You’ll be taken to the Amend Finish screen
  • enter the date the Annual Declaration details were received in the Received Date field
  • select the source of the information from the Source drop down menu - for example, telephone
  • select ‘Change of circumstances’ from the Reason drop down menu
  • select [OK]
    • If the message ‘S18 Refinalisation Rules - Potential inappropriate refinalisation for CCYY-CCYY. If you have the authority to re-finalise under S19, S20 or S21 of the Tax Credit Act 2002 or due to an appeal decision. Press OK to process the change or Cancel’ displays
      • the changes you’re making will re-finalise the claim, follow the guidance in TCM0042260 before making any changes
        then, if you can make the change
      • select [OK] on the message
      • go to Step 12.
    • If the message ‘S18 Refinalisation Rules - Actual Income for CCYY-CCYY is required. This change will not be accepted’ displays
      • you won’t be able to make the change because the PY actual income is required, follow the guidance in TCM0042260 before making any changes
        then, if you can make the change
      • select [OK] on the message
      • go to Step 12.
    • If the message ‘S18 Refinalisation Rules - You do not have the authority to re-finalise CCYY-CCYY. This change will not be accepted. Please refer to the appropriate team’ displays
      • the changes you are making will re-finalise the claim
      • select [Cancel]. You’ll be taken to the Amend Application Details screen
      • select [Cancel]
      • when the message ‘All changes to the application will be lost for this session, do you wish to proceed?’ displays, select [Yes]
      • pass the case to a Level 2 User or your manager. For more information, use ‘Level 1 and Level 2 users’ on TCM0320260
      • take no further action.
    • If none of the messages display, go to Step 12.

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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
  • select ‘As Agreed’ from the Terminate drop down menu
  • select [Terminate]
    Note: If an error message displays, select [OK] or [Yes], as appropriate and continue with your action.
    • If [Terminate] isn’t available, go to Step 14.
    • If [Terminate] is available
      • 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
        ‘SI07 - Wait for claim to terminate 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.

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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
  • 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.
    • If [Renew] isn’t available, go to Step 14.
    • If [Renew] is available
      • 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.

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Step 14

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 available, go to Step 15.
    • If [Finalise] is available
      • 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 15

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 16.
    • 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 16

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 heir appeal rights on the original claim still stand.
      then
    • go to Step 17.
  • If there wasn’t an ‘Appeal’ reason shown, go to Step 17.

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Step 17

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’
    ‘SI30 - 20XX/20XX Claim Finalised and 20XX/20XX claim Terminated’
    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 18.

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Step 18

If you noted in Step 10 that

  • the CY claim is terminated
  • the CY claim isn’t terminated, go to Step 19.

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Step 19

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’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.