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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 - Unprocessed change of circumstances

Version 1.0

Changes to previous version - amended guidance. Replaces ‘Unfinalised S17 Work List: Unprocessed Change Of Circumstances (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 process the renewal to finalise PY (Previous Year).

  • 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 because there’s an unprocessed change of circumstance on the BAU work list. The unprocessed change of circumstances work list item must be worked before the case is manually finalised or finalised and renewed.

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’ve come to this guidance from TCM0270140 and you’re gathering information to contact the customer, go to .

If you’ve come to this guidance from TCM0270140 and you’re resolving the unprocessed change of circumstances, go to .

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’re dealing with a written reply to a previous enquiry, 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 a reminder hasn’t been sent

  • issue a reminder form TC664R
  • use function ‘Maintain Worklist’ to 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 change of circumstances refers to a family break up or death

  • follow the relevant Changes guidance

then

  • go to .

If the change of circumstances does not refer to a family break up or death

  • delete the Unfinalised S17 UNCOC work item. For how to do this, use TCM1000160 
  • 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

Access the Unprocessed S17 work list and make a note of the reason for the work list item. For how to do this, use TCM1000004.

If the work item is on the Unprocessed Change of Circs work list, go to .

If the work item isn’t on the Unprocessed Change of Circs work list, go to .

Step 6

Check if the work item is on the ‘Unprocessed Change of Circs with Vantives’ MU. For how to do this, use TCM1000142.

Note: On TCM0322460, the ‘Unprocessed Change of Circs with Vantives’ MU is listed as ‘Old Cases Inc Vantive & Unproc/vantives (All categories)’.

If the work item isn’t on the ‘Unprocessed Change of Circs with Vantive’ MU, go to .

If the work item is on the ‘Unprocessed Change of Circs with Vantive’ MU

  • make a note of the action day 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 transferred work item to the same date as you noted had been set on the ‘Unprocessed Change of Circs with vantive’ MU. For how to do this, use TCM1000008 
  • go to .

Step 7

Sort and filter the Unprocessed Change Of Circs work list so that your ‘Unfinalised S17 UNCOC’ worklist item is displayed. For how to do this, use TCM1000208 

  • establish and make a note of the reason for the work list item. For how to do this, use TCM1000004 
  • go to .

Step 8

Check Household Notes for any information relating to the unprocessed change of circumstances. For how to do this, use TCM1000067.

If you’ve come to this guidance from TCM0270140, return to that guidance.

If you have the information needed to deal with the work item, go to .

If you don’t have the information needed to deal with the work item, go to .

Step 9

Contact the customer and obtain the information to resolve the ‘Unprocessed Change of Circs’ work item. Follow the guidance in TCM0094080.

Note: If TCM0094080 instructs you to send a written enquiry to the customer, send form TC664 to obtain the information needed.

If you contacted the customer by phone and they were able to provide the required information, go to .

If you contacted the customer by phone and they will call back with the required 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 contacted the customer by sending a TC664

  • transfer the Unfinalised S17 worklist 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 10

Resolve the unprocessed change of circumstances. Follow the guidance in TCM0272400 to apply the change.

If you weren’t directed to this guidance from TCM0270140, go to .

If you were directed to this guidance from TCM0270140, return to that guidance.

Step 11

Determine whether the Annual Declaration is reply-required or auto-renewal S17. For how to do this, use TCM1000204.

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 12

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 did note 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 did note an appeal marker in TCM0270100, go to .

Step 13

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

  • go to .

Step 14

Renew CY without finalising PY. For how to do this, use TCM1000149 

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

  • go to .

Step 15

Finalise the PY award and renew the CY award using function ‘Manage Finalisation’. For how to do this, use TCM1000017 

  • go to .

Step 16

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 with the reason ‘Unprocessed COC’

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

If the work item is still on the work list with the reason ‘APP’,go to .

If the work item is still visible with any reason other than ‘Unprocessed COC’ or ‘APP’

  • transfer it to the ‘Rogue’ MU. Use TCM0322460 for the correct MU number. For how to do this, use TCM1000023 
  • go to .

Step 17

Following your action

  • update Household Notes with the appropriate message - SN15, SN16, SN19, SN20 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.