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

HMRC internal manual

Tax Credits Manual

NTC listings (Unprocessed S17): NTC listing - Unprocessed S17 - Incomplete or No PY-1 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.

Then, filter the entries again by reason, to identify the ‘Incomplete’ and ‘No PY-1’ entries and the priority cases.

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 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.

If the entry displays with ‘Incomplete’ or ‘No PY-1’ (with or without another reason) but also with the reason ‘Duplicate’, follow the guidance in TCM0196120.

If the entry displays with ‘Incomplete’ or ‘No PY-1’ (with or without another reason) but also with the reason ‘Superseded’ or ‘Ceased Joint Income’, follow the guidance in TCM0196260.

If the entry displays with ‘No PY-1’ and with a ‘Verification Failure’, ‘Unprocessed Change of Circumstances’, ‘Incompatible’ or ‘No PY-1 Incompatible’ reason, follow the guidance in TCM0196220.

If the entry displays with ‘Incomplete’ and with the reason ‘Unsigned’, go to Step 2.

If the entry displays with only the reason ‘Unsigned’, go to Step 2.

If the entry displays with none of the above, go to Step 3.

If you are dealing with a reply to an enquiry, go to Step 3.

Note: If the customer has been asked to confirm actual income for PY-1 as well as confirm their income for PY, the work item may be both Incomplete and PY-1 Incomplete. In those circumstances, the Reason field won’t show ‘PY-1 Incomplete’, it will only show as ‘Incomplete’. When following this guidance, you must always check whether the Annual Declaration is also PY-1 Incomplete and attempt to resolve what is, in fact, two failures at the same time.

Top of page

Step 2

Complete the appropriate signature checkbox field.

Note: You can accept the Annual Declaration as signed, even if the applicant has not signed the form.

Access the relevant declaration details. For how to do this, use TCM1000006.

If the signature box on the ‘Declaration’ screen is ticked, go to Step 3.

If the signature box on the ‘Declaration’ screen is not ticked

  • select the ‘Yes’ signature box (or boxes)
  • go to Step 3.

Top of page

Step 3

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 4.

If you are not dealing with an expired action date,

  • follow the guidance in TCM0196040
    then
  • return to this guidance and go to Step 5.

Top of page

Step 4

Check the current status of the claim, for how to do this use TCM1000025.

Then, use Function ‘View Household Notes’ to check for a note. For how to do this, use TCM1000067.

If the note indicates that we are waiting for the claim to renew before continuing with the finalise action, go to Step 17.

If the note indicates that we are waiting for the claim to terminate before continuing with the finalise action, go to Step 17.

If the note indicates that we are waiting for the claim to finalise before continuing with the final NTC Listing action, go to Step 19.

If the note indicates that we are dealing with an expired action date for any other reason, go to Step 10.

Top of page

Step 5

Note: If you’re 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 and PY-1 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 6.

Top of page

Step 6

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 7.

Top of page

Step 7

Phone the customer to ask for the missing information that you need to process your work item . Follow the guidance in TCM0094080.

If the customer can be contacted,go to Step 8.

Note: If there’s an ongoing appeal and the customer enquires about this whilst you’re on the phone, tell them that the information for their renewal doesn’t affect their appeal and that the original appeal still stands.

Note: If the customer informs you of a change of circumstances you must follow the guidance in TCM0042260. If you’re able to make the changes, capture all the information provided by the customer, including the information obtained and the reported change of circumstances.

Note: If, after contacting the customer, you discover that there is undisclosed employment or additional sources of income, you must follow the guidance in TCM0080120 using the number ‘04’ as the reason for the enquiry.

If the customer cannot be contacted by phone, go to Step 9.

Top of page

Step 8

If the customer provides all the missing information

  • compare the details on the Annual Declaration with the details held on the claim to clarify the Annual Declaration is compatible. For more information, follow the guidance in TCM0196160
    Note: The details held in function ‘View S17 Details’ are the Annual Declaration details and the information held in function ‘View Application’ is the information held on the claim.
    Note: The Annual Declaration must be complete before you can establish if it’s compatible.
  • if the information provided on the Annual Declaration conflicts with the information shown on the claim, follow the guidance in TCM0196160 or TCM0196240 to establish what information you will need to repair the conflicting information, and then ask the customer to confirm these details
    Note: The customer may confirm they weren’t in receipt of any income or benefits for all of PY.
    then
  • go to Step 12.

If the customer cannot provide all of the missing information

  • tell the customer to contact the Tax Credits Helpline as soon as possible with the missing information or their payments may stop, if it is in payment
  • use Function ‘Maintain Household Notes’ and select the ‘Renewals & Reminders’ category to record the message SI05 from TCM0172040. For how to do this, use TCM1000001
  • use function ‘NTC Listing’ to set an action date of 14 days. For how to do this, use TCM1000008
  • take no further action.

Top of page

Step 9

Complete form TC829 from SEES. For how to do this use, TCM1000124.

  • enter a reply date of 14 days in the future in paragraph 4 of the form
  • print off pages 2 and 3 of the form TC603D (or pages 2, 3 and 4 of TC603D2 if you require PY-1 income details) and complete the relevant customer details boxes at the top
  • put an ‘X’ against the appropriate section on the form TC603D or TC603D2
  • send form TC829 with both pages of the form TC603D (or pages 2, 3 and 4 of form TC603D2) to the customer
    then
  • use Function ‘NTC Listing’ to set an action date of 14 days. For how to do this, use TCM1000008
  • use Function ‘Maintain Household Notes’ and select the ‘Renewals & Reminders’ category to record the message SG17 from TCM0172040. For how to do this, use TCM1000001
  • take no further action.

Top of page

Step 10

Use Function ‘Maintain Household Notes’ to check if the missing information has been recorded. For how to do this, use TCM1000067.

If the missing information has been recorded, go to Step 12.

If the missing information has not been recorded, go to Step 11.

Top of page

Step 11

Use Function ‘Maintain Household Notes’ to check if a reminder form, TC829R, has been issued to the customer for the missing information. For how to do this, use TCM1000067.

If a reminder form TC829R has previously been issued and the action date has expired, go to Step 13.

If a reminder form TC829R has not previously been issued and the action date has expired,

  • Send a reminder form TC829R to the customer from SEES. For how to do this use, TCM1000124.
  • use Function ‘NTC Listing’ to set an action date of 14 days. For how to do this, use TCM1000008
  • use Function ‘Maintain Household Notes’ and select the ‘Renewals & Reminders’ category to record the message SI06 from TCM0172040. For how to do this, use TCM1000001
  • take no further action.

Top of page

Step 12

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.

Note: If a self-employed figure of zero or a loss is provided by the customer, then a zero must be entered into the relevant field. A zero shouldn’t be entered in any of the other income fields.

Note: If the customer has indicated they’re in receipt of IS, JSA, ESA or PC, an income figure isn’t required.

Note: If you’re capturing the information from form TC603D2, the PY income that must be entered is on page 3 of the form. It appears after the PY-1 income, which is on page 2 of the form.

If the customer has confirmed they were not in receipt of any income or benefits for all of PY

  • enter £1.00 in the PY Other Income field, ensuring you select ‘A’ or ‘E’ for each entry, as appropriate
  • use Function ‘Maintain Household Notes’ and select the ‘Renewals & Reminders’ category to record the message SL19 from TCM0172060. For how to do this, use TCM1000001

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 14.

If a warning message did not display, go to Step 14.

Top of page

Step 13

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

Note: If an error message displays, select ‘OK’ or ‘Yes’, as appropriate and continue with your action.

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

  • 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 SI07 from TCM0172040, and select the ‘Renewals & Reminders’ category. For how to do this, use TCM1000001
  • take no further action.

Top of page

Step 14

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

If an Appeal marker is shown, go to Step 15.

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

If an Appeal marker is not shown, go to Step 16.

Top of page

Step 15

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,

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

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

Top of page

Step 16

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

If ‘Renew’ is not available, go to Step 18.

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 SI29 from TCM0172040, and select the ‘Renewals & Reminders’ category. For how to do this, use TCM1000001
  • take no further action.

Top of page

Step 17

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

If an Appeal marker is shown,

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
  • go to Step 22.

If an Appeal marker is not shown, go to Step 18.

Top of page

Step 18

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 19.

If ‘Finalise’ is not available, go to Step 20.

Top of page

Step 19

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.

Top of page

Step 20

Check the current status of the claim, for how to do this use TCM1000025.

If the award status is shown as ‘Finalised’, go to Step 21.

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.

Top of page

Step 21

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

  • update Household Notes with one of the messages, SI27, SI28, SI29 or SI30, as appropriate, from TCM0172040,
  • any other action that you have not already recorded
  • select the ‘Renewals & Reminders’ category
  • go to Step 22.

Top of page

Step 22

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
  • close the document on DMS. For how to do this, use TCM1000037.