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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 - Multi Entry (AG)

To deal with ‘Multi Entry’ work items on NTC Listing for the Unprocessed S17 work list, consider steps 1 to 15.

Step 1

Use the Function Menu

  • select ‘NTC Listing’ from the Worklists drop down menu. You’ll be taken to the NTC Listing screen
  • select ‘Unprocessed 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.

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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)

No Previous year (NO PY-1)

Incompatible (INCMPAT)

Previous Year -1 Incompatible (PY-1 INCMPAT).
  • to identify the multi-entry cases that have two or more of these failures

    • individually enter each of the failure reasons in the order that they appear in the list into both the From and To fields
    • select [OK]. You’ll be taken to the NTC Listing screen which will display the sorted and filtered work list entries
    • to identify the entries that contain at least two of the multi-entry combinations shown above, scroll down the list until a multi-entry is shown
    • when you’ve identified a multi-entry item, make a clerical note of the work item you’re going to action - for example, name, NINO, reasons for failure and whether or not an ‘Appeal’ reason is shown and also check if an action date has expired
    • go to Step 3.

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.

Note: If there’s only a single entry failure reason or failure reasons that aren’t classed as multi-entry reasons shown, then continue to enter the next failure reason in the list until you have entered all six reasons.

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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 renew before continuing with the finalise action, go to Step 10.
    • waiting for the claim to finalise before continuing with the final NTC Listing action, go to Step 11.
    • dealing with an expired action date for any other reason, go to Step 6.
  • aren’t 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 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’re 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 Step 5.

    • unfinalised, go to Step 5.

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Step 5

Check the notes you made at Step 2 and check which of the six multi-entry reasons apply.

You must follow the appropriate guidance for each reason to establish the information you require to resolve it. If you need further information from the customer, you should make all the enquiries at the same time. If the reason is

  • ‘VF’, follow the guidance in TCM0196340
  • ‘UN COC’, follow the guidance in TCM0196300
  • ‘NO PY - 1’, follow the guidance in TCM0196180
  • ‘INCMPAT’, follow the guidance in TCM0196160
  • ‘PY - 1 INCMPAT’, follow the guidance in TCM0196240

then, when you’ve all the required information that’s needed to resolve the failures and, if you noted at Step 4 that the award status for any of the subsequent years is,

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

    • for ‘VF’ and ‘UN COC’, follow the guidance below to resolve the failure

    • for ‘VF’, follow the guidance in TCM0196340
    • for ‘UN COC’, follow the guidance in TCM0196300

    then

    • go to Step 7 of this instruction.

    • for ‘NO PY-1’, ‘INCMPAT’ and ‘PY-1 INCMPAT’, go to Step 7 to resolve the failures.

    Note: Whilst in this step, don’t enter any of the details you’ve gathered into Function AMEND APPLICATION.

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Step 6

Use Function VIEW HOUSEHOLD NOTES to check if an enquiry has been issued since the work item was created on NTC Listing, and if a reminder has been issued to the customer. If

  • an enquiry has been sent but no reminder has been issued, send a reminder form TC664R to the customer

    • 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.
  • a reminder has previously been issued and the action date has expired, use Function MAINTAIN HOUSEHOLD NOTES to check for the missing information. If the missing information

    • has been recorded, go to Step 7.
    • hasn’t been recorded

    • follow the 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

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Step 7

Note: If you’re working Function NTC LISTING after

  • 6 April 2007, you’ll be working 2005-2006 as CY, making 2004-2005 PY and 2003-2004 PY-1
  • 6 April 2008, you’ll be working 2006-2007 as CY, making 2005-2006 PY and 2004-2005 PY-1
  • 6 April 2009, you’ll be working 2007-2008 as CY, making 2006-2007 PY 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

  • from the information on the Declaration Details screen, 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

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Step 8

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 have noted from Function VIEW S17 DETAILS into the corresponding PY and/or PY-1 Income fields, ensuring you select ‘A’ for each entry

and

  • also enter all the information that you obtained to resolve the failures that created the multi-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 notification of the change was 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 are 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

    then

    • go to Step 9.

    • 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

    then

    • go to Step 9.

    • 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 will 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 9.

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Step 9

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 Step 10.
    • 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.

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Step 10

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 Step 11.
    • 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.

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Step 11

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 12.
    • 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 12

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

  • If there wasn’t an ‘Appeal’ reason shown, go to Step 13.

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Step 13

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

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Step 14

Use Function VIEW S17 DETAILS and go to the Current position screen for the claim that you are dealing with. Make a note if the status of the CY claim is ‘Terminated’. The status of the renewal will be displayed in the Status field. If the claim

  • is terminated

    then

    • return to this guidance and go to Step 15.
  • isn’t terminated, go to Step 15.

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Step 15

Use Function NTC LISTING to identify the work item you have just actioned. To do this

  • go to the NTC Listing screen
  • select ‘Unprocessed 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.