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HMRC internal manual

Tax Credits Manual

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HM Revenue & Customs
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Renewals - work lists (Unfinalised): Unfinalised S17 work list - Multi-entry

Version 1.0

Changes to previous version - amended guidance. Replaces ‘Unfinalised S17 Work List: Multi Entry (AG)’.

Checklist

Before you follow this guidance, make sure

  • you’ve 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
  • you’re in the correct MU. Use TCM0322460 for the correct MU number.

Background

A work list item will populate the Unfinalised S17 work list when the customer hasn’t returned their Annual Declaration by the 1st Specified Date (1SD) and there’s a reason why the tax credits computer can’t finalise PY.

  • For auto-renewal cases, the tax credits computer can’t finalise the case.
  • For reply-required cases, the tax credits computer will terminate the claim but is unable to finalise the PY.

The tax credits computer can’t finalise PY as a combination of two (or all three) of the following failures has occurred

  • Verification failure (VF)
  • Unprocessed change of circumstances (UN-COC)
  • Appeal (APP).

Note: Each work item needs to be considered separately before PY can be finalised.

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

If you’re following this guidance for the first time, go to .

If you’re dealing with an expired action date, go to .

If you’ve come back to this guidance from TCM0270220 after gathering missing information, go to .

If you’ve come back to this guidance from TCM0270200 after gathering missing information, go to .

If you’re dealing with a written reply to a verification failure only enquiry

  • resolve the verification failure. Follow the guidance in TCM0270220 

then, if you’re told to return to this guidance

  • go to .

If you’re dealing with a written reply to an unprocessed change of circumstances only enquiry

  • resolve the failure. Follow the guidance in TCM0270200 

then, if you’re told to return to this guidance

  • go to .

If you’re dealing with a written reply to an unprocessed change of circumstances and a verification failure enquiry

  • resolve the verification failure. Follow the guidance in TCM0270220 
  • resolve the other failure. Follow the guidance in TCM0270200 

then, if you’re told to return to this guidance

  • go to .

Step 2

Check Household Notes to determine if the missing information has been recorded. For how to do this, use TCM1000067.

If the missing information has been recorded, go to .

If the missing information hasn’t been recorded and a reminder has been sent, go to .

If the missing information hasn’t been recorded and reminder hasn’t been sent

  • issue reminder form TC664R
  • set a further action date for 15 days in the future. For how to do this, use TCM1000008 
  • update Household Notes with the message SN30 from TCM0172060. For how to do this, use TCM1000001 
  • take no further action.

Step 3

If the missing information you requested was for an unprocessed change of circumstances 

then

  • return to this guidance and go to .

If the missing information you requested was for a verification failure

then

  • return to this guidance and go to .

Step 4

Access the Unfinalised S17 work list. Follow the guidance in TCM0270100 

then, if applicable

  • return to this guidance and go to .

Step 5

Sort and filter the work list by the ‘P’ indicator so that all the priority cases are identified. For how to do this, use TCM1000208 

  • establish the reason for the work list item. For how to do this, use TCM1000004 
  • go to .

Step 6

If the reason is ‘VF’ and ‘APP’

Note: Don’t contact the customer at this point. Gather the information needed to resolve the VF.

  • go to .

If the reason is ‘UNCOC’ and ‘APP’

Note: Don’t contact the customer at this point. Gather the information needed to resolve the unprocessed change of circumstances

  • go to .

If the reason is ‘VF’ and UNCOC’ or ‘VF’, ‘UNCOC’ and ‘APP’

Note: Don’t contact the customer at this point. Gather the information needed to resolve the unprocessed change of circumstances.

  • go to .

Step 7

Contact the customer and obtain the information to resolve the failures. Follow the guidance in TCM0094080.

Note: If the guidance instructs you to send a written enquiry to the customer, send form TC664 to obtain the information.

If you phoned and the customer was able to provide the information, go to .

If you phoned and the customer will call back with the information

  • transfer the Unfinalised S17 work list item to the ‘Unfinalised S17 BF’ MU and set an action date for 15 days in the future. For how to do this, use TCM1000023 and TCM1000008 
  • go to .

If you sent form TC664

  • transfer the Unfinalised S17 work list item to the ‘Unfinalised S17 BF’ MU and set an action date for 15 days in the future. For how to do this, use TCM1000023 and TCM1000008 
  • go to .

Step 8

If the reason is ‘VF’ and ‘APP’

  • resolve the verification failure, follow the guidance in TCM0270220 
  • go to .

If the reason is ‘UNCOC’ and ‘APP’

  • resolve the unprocessed change of circumstances, follow the guidance in TCM0270200 
  • go to .

If the reason is ‘VF’ and UNCOC’ or ‘VF’, ‘UNCOC’ and ‘APP’

  • resolve the verification failure and the unprocessed change of circumstances. Follow the guidance in TCM0270220and TCM0270200 
  • go to .

Step 9

Check if the work item is on the ‘BAU vantive’ MU. For how to do this, use TCM1000142.

Note: On TCM0322460, the ‘BAU vantive’ MU is listed as ‘Old Cases Inc Vantive & Unproc/vantives (All categories)’ MU.

If the work item is on the ‘BAU vantive’ MU

  • make a note of the action date set on the work list. For how to do this, use TCM1000215 
  • transfer the Unfinalised S17 work item to the ‘S17 Navigation Vantives’ MU. For how to do this, use TCM1000023 
  • set an action date on the work item you’ve transferred to the S17 Navigation Vantives MU. For how to do this, use TCM1000008 
  • go to .

If the work item isn’t on the ‘BAU vantive’ MU, go to .

Step 10

Determine whether the Annual Declaration is Reply Required or Auto Renewal. For how to do this, use TCM1000204.

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

If the Annual Declaration was reply required and you noted an appeal marker was present in TCM0270100, go to .

If the Annual Declaration was reply required and you didn’t note an appeal marker in TCM0270100, go to .

If the Annual Declaration was auto-renewal, go to .

Step 11

Check if there is CY entitlement. For how to do this, use TCM1000229.

If there is any CY entitlement and you didn’t note an appeal marker in TCM0270100, go to .

If there is any CY entitlement and you noted an appeal marker in TCM0270100, go to .

If there isn’t any CY entitlement and you didn’t note an appeal marker in TCM0270100, go to .

If there isn’t any CY entitlement and you noted an appeal marker in TCM0270100, go to .

Step 12

Finalise the PY award on the tax credits computer. For how to do this, use TCM1000205 

  • go to .

Step 13

Renew CY without finalising PY. For how to do this, use TCM1000018 

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

  • go to .

Step 14

Finalise the PY award and renew the CY award on the tax credits computer. For how to do this, use TCM1000017 

  • go to .

Step 15

Check if the work item is still on the Unfinalised S17 work list. For how to do this, use TCM1000142.

If the work item isn’t still on the work list, go to .

If the work item is still on the work list

  • transfer it to the ‘Unfinalised S17 Worked and Cleared’ MU. Use TCM0322460 for the correct MU number. For how to do this, use TCM1000023 
  • go to .

Step 16

Following your action

  • update Household Notes with the appropriate message - SN15, SN16, SN19 or SN29 from TCM0172060. For how to do this, use TCM1000001 

Note: If these Household Notes don’t cover the action you’ve taken, record any additional action using the Renewals & Reminders category.

  • take no further action.