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HMRC internal manual

Tax Credits Manual

From
HM Revenue & Customs
Updated
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Renewals: miscellaneous (G-R): renewals - initial action

Checklist

Before you follow this guidance, make sure

  • you have the correct user roles to follow this guidance
  • you are in the correct MU. Use TCM0322460 for the correct MU number.

Background

This guidance

  • provides you with the initial processes that must be followed before you work an Unfinalised S17 work list item or Unprocessed S17 work list item or restoring.
  • must be followed, when you are told to do so, prior to following other Renewals guidance.

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

Check for the following household notes, for how to do this, use TCM1000067.

  • UA37 - only if it contains reference to CRA and the message UA33 or UA97 are not present
    or
  • UA41
    or
  • UA44 - only if it contains reference to HRR and the message UA45 or UA50 are not present
    or
  • UA58
    or
  • UA59 - only if it contains reference to CRA and the message UA33 or UA97 are not present
    or
  • UA67
    or
  • UA72
    or
  • UA95 - only if it contains reference to CRA and the message UA33 or UA97 are not present.

If any of these notes are present, go to Step 2.

If none of these notes are present, go to Step 3.

Step 2

Check the status of the claim. For how to do this, use TCM1000153.

If the claim is terminated and within 60 days of the SOA being issued and there are household notes for UA44

  • write the customer’s name, NINO, full income details and any change of circumstances, on an email (This content has been withheld because of exemptions in the Freedom of Information Act 2000)
  • update Household Notes with the message SK07 from TCM0172060. For how to do this, use TCM1000001
  • take no further action.

If the claim is terminated and within 60 days of the SOA being issued and there are household notes for UA37, UA41, UA58, UA59 or UA95

  • write the customer’s name, NINO and income details, if present, on an email (This content has been withheld because of exemptions in the Freedom of Information Act 2000)
  • update Household Notes with the message SK07 from TCM0172060. For how to do this, use TCM1000001
  • take no further action.

If the claim is terminated and within 60 days of the SOA being issued and there are household notes for UA67 or UA72

  • write the customer’s name, NINO, full income details and any change of circumstances, on an e-mail (This content has been withheld because of exemptions in the Freedom of Information Act 2000)
  • update Household Notes with the message SK07 from TCM0172060. For how to do this, use TCM1000001

If the claim is terminated and is after 60 days of the SOA being issued, go to Step 3.

If the claim is not terminated, go to Step 3.

Step 3

If you are dealing with a work list item

  • access the relevant Unprocessed S17 work list or Unfinalised S17 work list and make a note of the reason for the work list item. For how to do this, use TCM1000004
  • make a note of the work list reasons
  • check whether you can work the work list item. Follow the guidance in TCM0138020
    then, if you are told to return to this guidance
  • using your work list item reason notes, consider the information in TCM0270240 or TCM0272480. This is to establish which guidance you will need to follow after completing your action in this guidance
  • go to Step 6.

If you are dealing with correspondence or you have been told to follow this guidance from another piece of Renewals guidance, go to Step 8.

If you are dealing with an expired action date because the ‘Claim under Enquiry’ or ‘Inhibited’ signal was shown, go to Step 4.

If you are dealing with an expired action date because the ‘SCO Enquiry’ signal was shown, go to Step 5.

Step 4

Contact the designated Compliance Officer to check for progress. For how to do this, use TCM1000022.

If the designated Compliance Officer tells you to continue with your action

If the designated Compliance Officer tells you not to continue with your action

  • ask the Compliance Officer for a new specific action date
  • set the action date. For how to do this, use TCM1000008
  • update Household Notes with the message SD57 from TCM0172020. For how to do this, use TCM1000001
  • transfer the work item to the ‘Compliance - Renewals Related’ MU if you have not already done so. Use TCM0322460 for the correct MU number. For how to do this, use TCM1000023
    then
  • BF any documents on DMS. For how to do this use TCM1000037
  • take no further action.

Step 5

Contact the CIO to establish if you can continue with your action. For how to do this, use TCM0322160 to obtain the contact details.

Note: Under no circumstances should you give the customer the CIO details.

If the CIO tells you to continue with your action, go to Step 8.

If the CIO tells you not to continue with your action

  • ask the CIO for a new specific action date
  • set the action date. For how to do this, use TCM1000008
  • update Household Notes with the message SD59 from TCM0172020. For how to do this, use TCM1000001
  • transfer the work item to the ‘Compliance - Renewals Related’ MU if you have not already done so. Use TCM0322460 for the correct MU number. For how to do this, use TCM1000023
    then
  • BF any documents on DMS. For how to do this use TCM1000037
  • take no further action.

Step 6

If there was more than one reason noted in Step 3 for the work list item, go to Step 7.

If there was only one reason noted in Step 1 for the work list item, go to Step 8.

Step 7

Check if it is a multi-entry work list item. A multi-entry work list item will have two or more of the following reasons for the work item (as noted at Step 1)

  • verification failures - this reason will have been shown as ‘VF’
  • unprocessed change of circumstances - this reason will have been shown as ‘Un-Coc’
  • no previous year (PY) - this reason will have been shown as ‘No PY-1’
  • incompatible - this reason will have been shown as ‘Incmpat’
  • PY-1 incompatible - this reason will have been shown as ‘PY-1 Incmpat’.

If it is not a multi-entry work list item, go to Step 8.

If it is a multi-entry work list item and you are working multi-entry cases, go to Step 8.

If it is a multi entry work list item and you are not working multi-entry cases

  • transfer the work list item to the relevant ‘Unprocessed S17 All Others’ MU or ‘Unfinalised S17 All Others’ MU. Use TCM0322460 for the correct MU number. For how to do this, use TCM1000023
  • take no further action.

Step 8

Check if the status ‘Terminated Compliance’ is shown on the tax credits computer. For how to do this, use TCM1000153.

If ‘Terminated Compliance’ is not shown, go to Step 10.

If ‘Terminated Compliance’ is shown and you are dealing with a work list item, go to Step 9.

If ‘Terminated Compliance’ is shown and you are dealing with a Work Area Mailbox (WAM) referral, go to Step 9.

If ‘Terminated Compliance’ is shown and you are dealing with correspondence, go to Step 9.

Step 9

Check the award status. For how to do this, use TCM1000025.

If the award is not finalised

  • contact the designated compliance officer. For how to do this, use TCM1000022
  • ask them to finalise the PY award
  • update Household Notes with the message SK01 from TCM0172060. For how to do this, use TCM1000001
  • transfer the work item to the miscellaneous - ‘Worked and Cleared’ MU. Use TCM0322460 for the correct MU number. For how to do this, use TCM1000023
    then
  • place the WAM referral in confidential waste if required
    or
  • close the document on DMS. For how to do this use TCM1000037
  • take no further action.

If the award is finalised

  • update Household Notes with the message SK01 from TCM0172060. For how to do this, use TCM1000001
  • transfer the work item to the miscellaneous - ‘Worked and Cleared’ MU. Use TCM0322460 for the correct MU number. For how to do this, use TCM1000001
    then
  • place the WAM referral in confidential waste if required
    or
  • close the document on DMS. For how to do this use TCM1000037
  • take no further action.

Step 10

On the ‘View Section 17 - Current Position’ screen

  • select ‘Signals’. The ‘View Section 17 - Current Signals’ screen will display
  • check whether any of the following signals have been set.

If any of the following signals have been set

  • ‘Appeal’, make a note and go to Step 19.
  • ‘Refer to SCO’, ‘Claim Under Enquiry’ or ‘Inhibited’, go to Step 12.
  • ‘Complex Case’, go to Step 15.
  • ‘Applicant 1 Deceased’ or ‘Applicant 2 Deceased’, go to Step 16.
  • ‘Household End’ for a joint claim, go to Step 17.
  • ‘Household End’ for a single claim and
    • the reason was system terminated, go to Step 18.
    • any other reason, go to Step 19.
  • ‘RLS’ (Returned Letter Service), follow the guidance in TCM0184200.

If a signal has not been set, go to Step 11.

Step 11

Check Household Notes for any messages relating to the signals below. For how to do this, use TCM1000067.

If there are any messages about the following signals and it is clear the action is ongoing

Note: If there are messages relating to more than one signal, go to the relevant steps in turn for each signal.

  • ‘Under Appeal’
    • make a note that the case is under appeal
    • go to Step 19.
  • ‘Refer to SCO’, ‘Claim Under Enquiry’ or ‘Inhibited’, go to Step 12.
  • ‘Complex Case’, go to Step 15.
  • ‘Applicant 1 Deceased’ or ‘Applicant 2 Deceased’, go to Step 16.
  • ‘Household End’ for a joint claim, go to Step 17.
  • ‘Household End’ for a single claim and
    • the reason was system terminated, go to Step 18.
    • any other reason, go to Step 19.
  • ‘RLS’, follow the guidance in TCM0184200.

If there are any messages about the signals and it is clear the action has been completed, the action is not relevant or the action is not ongoing

For example: There may be a ‘Complex Case’ signal set but Household Notes state that it is not a genuine complex case.

If there are not any messages relating to the signals, go to Step 20.

Step 12

Check whether the ‘Finalisation Inhibited’ signal has been set, and the reason why it has been set. For how to do this, use TCM1000173.

If the ‘Finalisation Inhibited’ signal has been set with a reason of ‘Compliance’, go to Step 13.

If the ‘Finalisation Inhibited’ signal was set with a reason of ‘SCO’, go to Step 14.

If the ‘Finalisation Inhibited’ signal has been set with a reason of ‘TCO’, follow the guidance in TCM0270080.

If the ‘Finalisation Inhibited’ signal has not been set or it is been set for any other reason, go to Step 20.

Step 13

Contact the designated Compliance Officer to establish if you can continue with your action. For how to do this, use TCM1000022.

If the designated Compliance Officer tells you to continue with your action, go back to Step 10 to consider any other signals.

If the designated Compliance Officer tells you not to continue with your action

  • ask the Compliance Officer for a specific action date
  • set the action date. For How to do this, use TCM1000008
  • update Household Notes with the message SK03 from TCM0172060. For how to do this, use TCM1000001
  • transfer the work item to the ‘Compliance - Renewals Related’ MU. Use TCM0322460 for the correct MU number. For how to do this, use TCM1000023
    then
  • close the document on DMS. For how to do this use TCM1000037
  • take no further action.

Step 14

Contact the CIO to establish if you can continue with your action. For how to do this, use TCM0322160 to obtain the contact details.

Note: Under no circumstances should you give the customer the CIO details.

If the CIO tells you to continue with your action, go back to Step 10 to consider any other signals.

If the CIO tells you not to continue with your action

  • ask the CIO for a specific action date
  • set the action date. For How to do this, use TCM1000008
  • update Household Notes with the message SK02 from TCM0172060. For how to do this, use TCM1000001
  • transfer the work item to the ‘Compliance - Renewals Related’ MU. Use TCM0322460 for the correct MU number. For how to do this, use TCM1000023
    then
  • close the document on DMS. For how to do this use TCM1000037
  • take no further action.

Step 15

Check Household Notes to determine if the case is a genuine complex case. For how to do this, use TCM1000067.

If the case is not a genuine complex case, go to Step 16.

If the case is a genuine complex case

  • redirect the document on DMS to the relevant work queue. For how to do this use TCM1000037
    then
  • update Household Notes with the message SK04 from TCM0172060. For how to do this, use TCM1000001
  • take no further action.

Step 16

If you are dealing with a work list item

  • transfer the work list item to the appropriate MU. Use TCM0322460 for the correct MU number. For how to do this, use TCM1000023
  • update Household Notes with the message SK05 from TCM0172060. For how to do this, use TCM1000001
  • take no further action.

If you are dealing with correspondence

  • send the correspondence to the Priority 1 Team(This content has been withheld because of exemptions in the Freedom of Information Act 2000)  (This content has been withheld because of exemptions in the Freedom of Information Act 2000)
  • update Household Notes with the message SK05 from TCM0172060. For how to do this, use TCM1000001
  • take no further action.

Step 17

Check on the tax credits computer for the reason the household was ended. For how to do this, use TCM1000013.

If the household was ended because of the reason ‘System termination’, go to Step 18.

If the household was ended because of the reason ‘Household Breakdown’ and you are dealing with a joint claim

  • make a note of the date the household was ended
  • follow the guidance in TCM0258080
    then, if you are told to return to this guidance
  • go to Step 19.

If there is any other reason for the household ending, go to Step 19.

Step 18

Check Household Notes to establish if there is a message relating to a household breakdown in CY or PY. For how to do this, use TCM1000067.

If there is a message relating to a household breakdown in CY and you are dealing with a single claim, go to Step 19.

If there is a message relating to a household breakdown in CY and you are dealing with a joint claim, follow the guidance in TCM0262060.

If there is a message relating to a household breakdown in PY, follow the guidance in TCM0262060.

If there is no message relating to a household breakdown, go to Step 19.

Step 19

Check Household Notes for the following message with the prefix of SX, SY or SZ. For how to do this, use TCM1000067

‘20XX/20XX Award finalised ‘off system’ on information held, [some other information may be recorded here]. Claim will still show as Unfinalised on system’.

If the message has been recorded

Note: If the message has been recorded, the claim will still show as ‘Unfinalised’ on the ‘View Section 17 - Current Position’ screen in function ‘View S17 Details’.

If the message has not been recorded

  • check and make a note of any other relevant renewals messages in Household Notes as these may impact on your work item. For how to do this, use TCM1000067
    Note: If there is a note that states the renewal was ‘Finalised in Error’, treat the claim as finalised.
  • check if the CY status is ‘Terminated’. For how to do this, use TCM1000153
  • go to Step 20.

Step 20

If you are capturing a renewal, go to Step 21.

If the CY is ‘Renewals Terminated’

  • follow the guidance in TCM0262080
    then
  • follow the guidance in TCM0262260.

If the status of the renewal is ‘Refer to Declaration’, go to Step 21.

If the status of PY is ‘Finalised’ and CY is not ‘Terminated’ or there is not any CY entitlement

  • check whether you can make the change. Follow the guidance in TCM0042260
    then, if you can make the change
  • go to Step 21.

Step 21

If you were told to follow this guidance from another piece of guidance and the status is CY is not terminated

  • follow the guidance in TCM0262080
    then
  • return to the guidance you were previously following.

If you were told to follow this guidance from another piece of guidance and the status of the renewal is anything else, go to Step 22.

If you have not been told to follow this guidance from another piece of guidance, using your work list item reason notes at Step 1, consider the information in TCM0270240 or TCM0272480.

Step 22

If you are dealing with DMS correspondence, close the document on DMS. For how to do this use TCM1000037.

If you are dealing with a work list item

  • refer the claim to your TALLO
  • transfer the work list item to the ‘Worked and Cleared’ MU. Use TCM0322460 for the correct MU number. For how to do this, use TCM1000023.