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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 - Unprocessed change of circumstances (AG)

To deal with an entry on NTC Listing for the Unfinalised S17 work list with the reason of ‘Unprocessed Change of Circumstances’, consider steps 1 to 19.

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 ‘Unprocessed Change of Circumstances’ (UN COC) 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 ‘UN COC’ priority cases are identified and worked first
  • filter the entries so that only those with a reason of ‘UN COC’ 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, 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

  • 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 .
    • we’re waiting for the claim to finalise before continuing with the final NTC Listing action, go to .
    • we’re dealing with an expired action date for any other reason, go to .
  • are dealing with a reply to an enquiry and

    • all the information is received, go to .
    • all the information isn’t received, go to .
  • aren’t dealing with an expired action date

    then

    • return to this guidance and go to .

Step 4

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 award year that you are dealing with
  • select [OK]. You’ll be taken to the View Award Period Summary screen
  • check the Award Status field. If the award status for any of the subsequent years is

    • finalised

    • make a note of this

    then

    • go to .

    • unfinalised, go to .

Step 5

Use Function VIEW LINKED WORK ITEMS

  • make a note of the MU number in the Unprocessed Change of Circumstances work list for the Unprocessed COC work item

    • If there isn’t a work item in the Unprocessed Change of Circumstances work list and you noted at that the award status for any of the subsequent years is

    • finalised, follow the guidance in TCM0264220 from step 14.
    • unfinalised, go to .

    • If any other circumstances apply, go to .

Step 6

Use Function MAINTAIN WORKLIST and select the Unprocessed Change of Circumstances work list from the drop down menu for the Worklist Type field

  • select the MU number you noted at from the drop down menu for the MU field, if the one you want isn’t already displayed in this field. The screen will be redisplayed with the entries currently on the work list

Note: All the entries for the Unprocessed Change of Circumstances work list are displayed for your MU.

  • filter the items using the NINO to select the work item you want to work. Follow the guidance in TCM0140180

Note: If you can’t find the work list item using the customer’s NINO, check using the partner’s NINO.

* If there is a work item on the Unprocessed Change of Circumstances work list, go to .
* If there isn’t a work item on the Unprocessed Change of Circumstances work list and you noted at that the award status for any of the subsequent years is

* finalised, follow the guidance in [TCM0264220](https://www.gov.uk/hmrc-internal-manuals/tax-credits-manual/tcm0264220) from step 14.
* unfinalised, go to .

Step 7

‘Double click’ on the Worklist Entry Details work list item to show details of previous and updated information. Follow the guidance in TCM0054060

  • check whether you have all the information you need to process the change

    • If you have all the information and you noted at that the award status for any of the subsequent years is

    • finalised, follow the guidance in TCM0264220 from step 14.
    • unfinalised, go to .

    • If you don’t have all the information, go to .

Step 8

Use Function VIEW HOUSEHOLD NOTES to check if any change of circumstances is recorded. Do you have all the information to enable you to deal with the work item?

  • yes, and you noted at that the award status for any of the subsequent years is

    • finalised, follow the guidance in TCM0264220 from step 14.
    • unfinalised, go to .
  • no, and you noted at that the award status for any of the subsequent years is

    • finalised, follow the guidance in TCM0264220 from step 10.
    • unfinalised, go to .

Step 9

Phone the customer to obtain the information you need to resolve the unprocessed change of circumstances work item, which includes asking for the date that the change of circumstances took place. Follow the guidance in TCM0094080.

Note: If the customer tries to give you any Annual Declaration details don’t accept the information. Instead, tell the customer to contact the Tax Credits Helpline with the Annual Declaration details. You’re only repairing the failure reason for the item being on the NTC Listing Unfinalised S17 work list.

  • If you can’t contact the customer by phone, go to .
  • If the customer provides all the missing information, go to .
  • If the customer doesn’t provide all the missing information

    • tell the customer to contact the Tax Credits Helpline as soon as possible with the information
    • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

    ‘SI05 - Missing details asked for - Clmt to call back with missing *income/benefits/SOC information*delete as appropriate’

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

    • use Function NTC LISTING to set an action date of 14 days in the future on the work item
    • take no further action.

Step 10

Send form TC664 (using option 3) to the customer to request the missing information

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

‘SI20 - TC664 issued to customer’

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

  • use Function NTC LISTING to set an action date of 14 days in the future on the work item
  • take no further action.

Step 11

Use Function VIEW HOUSEHOLD NOTES to check if an enquiry or reminder form TC664 has been issued to the customer for the missing information you require

  • If a reminder hasn’t previously been issued

    • send reminder form TC664 (option 4) 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

    ‘SI22 - 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, use Function MAINTAIN HOUSEHOLD NOTES to check for the missing information. If the missing information

    • has been recorded, go to .
    • hasn’t been recorded

    • follow the guidance in TCM0054060 for the action to take when there has been no response to the enquiry and the reminder cycle has expired

    then

    • return to this guidance and go to .

Step 12

Make a note of the change of circumstance

  • delete the Unprocessed Change of Circumstances work list item. Follow the guidance in TCM0140060

Note: You’re deleting the ‘Business As Usual’ Unprocessed Change of Circumstances work list item, not the ‘NTC Listing’ work list item.

  • capture the change of circumstance. Follow the relevant Changes guidance
  • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the changes you have applied

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

then

  • go to .

Step 13

Use Function VIEW S17 DETAILS

  • go to the Issue Details screen. If the reason in the Issue field includes the term

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

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 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 .
* 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](https://www.gov.uk/hmrc-internal-manuals/tax-credits-manual/tcm0152060) when you record the note and also follow the guidance in [TCM0152160](https://www.gov.uk/hmrc-internal-manuals/tax-credits-manual/tcm0152160).

* take no further action.

Step 15

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 .
* 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](https://www.gov.uk/hmrc-internal-manuals/tax-credits-manual/tcm0152060) when you record the note and also follow the guidance in [TCM0152160](https://www.gov.uk/hmrc-internal-manuals/tax-credits-manual/tcm0152160).

* take no further action.

Step 16

Use Function VIEW HOUSEHOLD ACCOUNT and go 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 17

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 18

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 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.