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HMRC internal manual

Tax Credits Manual

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HM Revenue & Customs
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NTC listings (Unprocessed S17): NTC listing - Unprocessed S17 - Appeal or Complex only

Checklist

Before you follow this guidance, make sure you have the correct user roles to follow this guidance. Use the B&C Roles and Access Catalogue. You can find this by going to the Benefits & Credits homepage, selecting ‘R’ on the B&C A-Z index, selecting ‘Roles and Access Process’, selecting ‘Roles & Access Catalogue’ from the Related links menu.

Guidance

Note: When sending customer, staff or process data to another individual or team, make sure you follow the latest data security guidelines or contact the Data Guardian or Data Security Team for advice.

Step 1

Access the ‘NTC Listing Unprocessed S17’ work list. For how to do this, use TCM1000155.
Note: This guidance will ask you to select the 20XX-20XX year that is not finalised. The year you need to select depends on when you are working function ‘NTC Listing’ - for example, if you are working after 

  • 6 April 2010, you need to select year 2008-2009
  • 6 April 2011, you need to select year 2009-2010
  • 6 April 2012, you need to select year 2010-2011, and so on.
    Note: If the failure reason is shown with any other reason in addition to ‘Appeal’ (APP) or ‘Complex’ (CPLEX), follow the relevant guidance in TCM0196000 for the other failure reason shown and not this guidance.
    Note: If the reason does not 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.

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 check if an action date has expired.

Then, go to Step 2.

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Step 2

Did you note in Step 1 that you are dealing with an expired action date?

If you are dealing with an expired action date, go to Step 3.

If you are not dealing with an expired action date,

  • follow the guidance in TCM0196040 
    then
  • return to this guidance and go to Step 4.

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Step 3

Use function ‘View Household Notes’ to check for a note that indicates we are waiting for the claim to renew or to finalise. For how to do this, use TCM1000067.

If there is a note that indicates we are waiting for the claim to renew before continuing with the finalise action, go to Step 7.

If there is a note that indicates we are waiting for the claim to finalise before continuing with the final NTC Listing action, go to Step 13.

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Step 4

Note: If you are working function ‘NTC Listing’ after 

  • 6 April 2010, you will be working 2008-2009 as CY, making 2007-2008 PY and 2006-2007 PY-1
  • 6 April 2011, you will be working 2009-2010 as CY, making 2008-2009 PY and 2007-2008 PY-1
  • 6 April 2012, you will be working 2010-2011 as CY, making 2009-2010 PY and 2008-2009 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 for customer 1 and, where applicable, customer 2. For how to do this, use TCM1000011.

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

Then, go to Step 5.

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Step 5

Use function ‘View Household Account’ to check if one or more of the subsequent years’ awards has been finalised. For how to do this, use TCM1000159.

If the award status for any of the subsequent years is ‘finalised’, follow the guidance in TCM0264220 at step 14.

If the award status for any of the subsequent years is ‘unfinalised’, go to Step 6.

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Step 6

Enter the correct income and benefit details information that you noted from ‘View S17 Details’ for customer 1 and, where applicable, customer 2, ensuring you select ‘A’ for each entry. For how to do this, use TCM1000016.

Note: If you did not contact the customer before taking any action, use function ‘View Household Notes’ to check if the customer has provided their Annual Declaration to the Helpline. If the income details have been taken by the Helpline you will not need to amend any details. For how to do this, use TCM1000067.

Note: If the status of the income is ‘S’, the Amount field will not be enabled. Changing the status to ‘A’ will enable the ‘Amount’ field.

Complete the ‘Amend Finish’ screen. For how to do this, use TCM1000032.

Note: None of the changes will be applied until you complete the ‘Amend Finish’ screen.

If a warning message displayed and you had to pass the case to a Level 2 User or your manager, take no further action.

If a warning message displayed and you were able to make the change, go to Step 7.

If a warning message did not display, go to Step 7.

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Step 7

Did you note at Step 1 if an Appeal marker is shown?

If an Appeal marker is shown, go to Step 8.

If an Appeal marker is not shown, go to Step 9.

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Step 8

Renew CY without finalising PY. Is the ‘Renew’ button available in function ‘Manage Finalisation’ for the 20XX-20XX claim that is not finalised? For how to do this, use TCM1000116.

If ‘Renew’ is not available, go to Step 10.

If ‘Renew’ is available,follow the guidance in TCM0270020 at step 3.

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Step 9

Use function ‘Manage Finalisation’ and go to the ‘Manage Finalisation’ screen for the 20XX-20XX claim that is not finalised, to renew the claim. For how to do this, use TCM1000149.

If ‘Renew’ is not available, go to Step 11.

If ‘Renew’ is available

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. For how to do this, use TCM1000008 
  • update Household Notes with the message SI08 from TCM0172040, and select the ‘Renewals & Reminders’ category. For how to do this, use TCM1000001 
  • take no further action.

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Step 10

Note: When the Appeal has been resolved, the Appeals team will ‘Finalise’ the PY award.

Update Household Notes with the message SN19 from TCM0172060, and select the ‘Renewals & Reminders’ category. For how to do this, use TCM1000001 

  • take no further action.

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Step 11

Finalise the PY award. Is the ‘Finalise’ button available in function ‘Manage Finalisation’ for the 20XX-20XX claim that is not finalised? For how to do this, use TCM1000116.

If ‘Finalise’ is available, go to Step 12.

If ‘Finalise’ is not available, go to Step 13.

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Step 12

To finalise the PY award, use function ‘Manage Finalisation’ and go to the ‘Manage Finalisation’ screen for the 20XX-20XX claim that is not finalised. For how to do this, use TCM1000149.

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. For how to do this, use TCM1000008 
  • update Household Notes with the message SI09 from TCM0172040, and select the ‘Renewals & Reminders’ category. For how to do this, use TCM1000001 
  • take no further action.

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Step 13

Use function ‘View Household Account’ to check if the 20XX-20XX award has been finalised. For how to do this, use TCM1000025.

If the award status is shown as ‘Finalised’, go to Step 14.

If the award status is not shown as ‘Finalised’,

  • ask your manager for a specific action date
  • use function ‘NTC Listing’ to set the action date on the work item. For how to do this, use TCM1000008 
  • update Household Notes with the message SI10 from TCM0172040, and select the ‘Renewals & Reminders’ category. For how to do this, use TCM1000001 
  • take no further action.

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Step 14

Use ‘Maintain Household Notes’, for how to do this, use TCM1000001 

  • Update Household Notes with one of the messages, SI27 or SI29, as appropriate, from TCM0172040,
  • any other action that you have not already recorded
  • select the ‘Renewals & Reminders’ category
  • go to Step 15.

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Step 15

Did you note at Step 4 if the status of the CY claim was ‘Terminated’?

If CY was not ‘Terminated’, go to Step 16.

If CY was ‘Terminated’,

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Step 16

Use function ‘NTC Listing’ to delete the work item you have just actioned from the worklist. For how to do this, use TCM1000157.

  • when the message ‘Listing entry will be permanently deleted’ displays, select ‘OK’. The work item will be deleted from ‘NTC Listing’
  • update Household Notes with the message SI15 from TCM0172040, and select the ‘Renewals & Reminders’ category. For how to do this, use TCM1000001 
  • send any casepapers to storage. Follow the guidance in TCM0074140.