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HMRC internal manual

Tax Credits Manual

Renewals - work lists (Unprocessed): Unprocessed S17 work list - Multi-entry

Checklist

Before you follow this guidance, make sure

  • you follow the guidance in TCM0138020
  • you’ve the correct user roles to follow this guidance. 
  • you’re in the correct MU. Use TCM0322460 for the correct MU number
  • you follow the guidance in TCM0262120.

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Background

This guidance will be used to action multi-entry work items on the Unprocessed S17 work list. A multi-entry work item occurs when there’s more than one reason for the Unprocessed S17 work item.

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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.

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Step 1

Check and note the correct award version details. For how to do this, use TCM1000007

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Step 2

Check and make a note of the reasons for the work list item. For how to do this, use TCM1000004.

If you’re dealing with a new work item, go to Step 3.

If you’re dealing with an expired action date, go to Step 9.

If you’re dealing with a reply to an enquiry and all the information has been provided, go to Step 27.

If you’re dealing with a reply to an enquiry and all the information hasn’t been provided, go to Step 21.

If you’re dealing with a second request for information and the customer still hasn’t provided the required information, go to Step 27.

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Step 3

Is ‘Unprocessed Change of Circumstances’ one of the work list item reasons?

If ‘Unprocessed Change of Circumstances’ is one of the reasons for the work list item, go to Step 4.

If ‘Unprocessed Change of Circumstances’ isn’t one of the reasons for the work list item, go to Step 5.

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Step 4

Establish if the work item is also on the Unprocessed Change of Circumstances work list. For how to do this, use TCM1000409.

If the work item is also on the Unprocessed Change of Circumstances work list

If the work item isn’t on the Unprocessed Change of Circumstances work list

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Step 5

Is ‘Verification Failure’ one of the work list item reasons?

If ‘Verification Failure’ is one of the reasons for the work list item

  • follow the guidance in TCM0272440 to gather the information you need from the customer to resolve the failure. For how to do this, use TCM1000150
    then
  • return to this guidance and go to Step 11.

If ‘Verification Failure’ isn’t one of the reasons for the work list item, go to Step 12.

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Step 6

As the claim isn’t finalised or an Unprocessed Change of Circumstances work list item

  • process the declaration. For how to do this, use TCM1000006.

If you are presented with the warning message ‘PY-1 Incompatibility failure exists against this declaration. Do you wish to override the failure’

  • select ‘No’
  • go to Step 7.

If you are presented with any other warning message

  • select ‘Yes’ or ‘OK’
  • go to Step 7.

If you aren’t presented with a warning message, go to Step 7.

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Step 7

Check if the work item is still on the Unprocessed S17 work list.

If the work item isn’t on the work list, go to Step 37.

If the work item is still on the work list, go to Step 8.

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Step 8

Is the work item still a Multi-Entry work item?

If it is still a Multi-Entry work item, go back to Step 4.

If it isn’t a Multi-Entry work item

  • transfer the work item to the appropriate MU for the relevant work list reason. See TCM0322460 for the correct MU number. For how to do this, use TCM1000023
  • go to Step 37.

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Step 9

If there is a new or additional reason for the work list item, go back to Step 4.

If there isn’t a new or additional reason for the work list item, go to Step 10.

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Step 10

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

If the missing information has been recorded in Household Notes, go to Step 25.

If the missing information hasn’t been recorded and the reminder form TC829R hasn’t already been issued

  • issue a reminder form TC829R. For how to do this, use TCM1000478
  • set a further action date of 14 days
  • update Household Notes to record the action you have taken. For how to do this, use TCM1000001
  • take no further action.

If a reminder form TC829R has previously been issued and the action date has expired, go to Step 27.

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Step 11

If you have all the information needed to action the verification failure

  • make a note of the changes you will need to make
  • go to Step 12.

If you don’t have all the information needed to action the verification failure

  • make a note of all the details you will need to ask the customer
  • go to Step 12.

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Step 12

If ‘Incomplete or ‘PY-1 Incomplete’ is one of the reasons noted for the work item, go to Step 13.

If ‘Incomplete or ‘PY-1 Incomplete’ isn’t one of the reasons noted for the work item, go to Step 14.

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Step 13

Do you have all the information needed to action the ‘Incomplete’ or ‘PY-1 Incomplete’ work item? Consider the guidance in TCM0272220.

Note: At this stage you aren’t processing the work item, you’re only establishing the information needed. No customer contact should be made until all reasons have been considered.

If you have all the information needed to action the ‘Incomplete’ or ‘PY-1 Incomplete’

  • make a note of the changes you will need to make
  • go to Step 14.

If you do not have all the information needed to action the ‘Incomplete’ or ‘PY-1 Incomplete’

  • make a note of all the details you will need to ask the customer
  • go to Step 14.

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Step 14

If ‘Incompatible’ is one of the reasons noted for the work item, go to Step 15.

If ‘Incompatible’ isn’t one of the reasons noted for the work item, go to Step 16.

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Step 15

Do you have all the information needed to action the ‘Incompatible’ work item? Consider the guidance in TCM0272200.

Note: At this stage you aren’t processing the work item, you’re only establishing the information needed. No customer contact should be made until all reasons have been considered.

If you have all the information needed to action the ‘Incompatible’ work item

  • make a note of the changes you will need to make
  • go to Step 16.

If you do not have all the information needed to action the ‘Incompatible’ work item

  • make a note of all the details you will need to ask the customer
  • go to Step 16.

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Step 16

If ‘PY-1 Incompatible’ is one of the reasons noted for the work item, go to Step 17.

If ‘PY-1 Incompatible’ isn’t one of the reasons noted for the work item, go to Step 18.

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Step 17

Do you have all the information needed to action the ‘PY-1 Incompatible’ work item? Consider the guidance in TCM0272200.

Note: At this stage you aren’t processing the work item, you’re only establishing the information needed. No customer contact should be made until all reasons have been considered.

If you have all the information needed to action the PY-1 Incompatible work item,

  • make a note of the changes you will need to make
  • go to Step 18.

If you don’t have all the information needed to action the PY-1 Incompatible work item

  • make a note of all the details you will need to ask the customer
  • go to Step 18.

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Step 18

If ‘Unprocessed Change of Circumstances’ is one of the reasons noted for the work item, go to Step 19.

If ‘Unprocessed Change of Circumstances’ isn’t one of the reasons noted for the work item, go to Step 20.

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Step 19

Do you have all the information needed to action the Unprocessed Change of Circumstances work item? Consider the guidance in TCM0272400.

Note: At this stage you aren’t processing the work item, you’re only establishing the information needed. No customer contact should be made until all reasons have been considered.

If you have all the information needed to action the Unprocessed Change of Circumstances work item

  • make a note of the changes you will need to make
  • go to Step 20.

If you don’t have all the information needed to action the Unprocessed Change of Circumstances work item,

  • make a note of all the details you will need to ask the customer
  • go to Step 20.

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Step 20

From the notes you have made, is customer contact required?

If customer contact is required, go to Step 21.

If customer contact isn’t required, go to Step 27.

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Step 21

Phone the customer to obtain the missing information. Follow the guidance in TCM0094080.

If you are able to contact the customer by phone and they provide you with the information required, go to Step 27.

If you are able to contact the customer by phone but they can’t provide you with the information required

  • tell them to call the Tax Credits Helpline as soon as possible with the information
  • tell them that if they’re late replying with the required information we may end their claim, if it’s in payment
  • tell them that you will send a letter to them as a reminder
  • go to Step 22.

If you aren’t able to contact the customer by phone, go to Step 22.

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Step 22

Send form TC664 to the customer for the information you require

Note: Refer to the notes you made to decide what questions you need to ask the customer.

  • update Household Notes to record the action you have taken and questions you have asked. For how to do this, use TCM1000001
  • transfer the work item to the ‘Unprocessed S17 Multi Entry BF’ MU. Use TCM0322460 for the correct MU number. For how to do this, use TCM1000023
  • use function ‘MAINTAIN WORKLIST’ to set an action date of 14 days in the future. For how to do this, use TCM1000008
  • go to Step 23.

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Step 23

Did any questions you have asked relate to an Unprocessed Change of Circumstances work list reason?

If they did relate to an Unprocessed Change of Circumstances work list reason

  • use function ‘Maintain Worklist’ to set an action date on the Unprocessed Change of circumstances work list of 14 days in the future. For how to do this, use TCM1000008
  • transfer the work item to the ‘Unprocessed S17 Multi Entry BF’ MU. Use TCM0322460 for the correct MU number. For how to do this, use TCM1000023
  • go to Step 24.

If they didn’t relate to an Unprocessed Change of Circumstances work list reason, go to Step 24.

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Step 24

Did any questions you have asked relate to the ‘Verification failure’ reason for the work item?

If they did relate to the ‘Verification failure’ reason for the work item

  • use function ‘Maintain Worklist’ to set an action date on the Verification Failure work list of 14 days in the future. For how to do this, use TCM1000008
  • transfer the work item to the ‘Verification Failure BF’ MU. Use TCM0322460 for the correct MU number. For how to do this, use TCM1000023
  • go to Step 25.

If they didn’t relate to the ‘Verification failure’ reason for the work item, go to Step 25.

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Step 25

If you have all the information needed to action any of the work list items

  • process the work list item. For how to do this, use TCM1000015
  • follow the relevant Changes guidance, if necessary
    Note: At this stage you should only attempt to capture the declaration. You shouldn’t Manage Finalise.
  • go to Step 27.

If you don’t have all the information needed to action any of the work list items, go to Step 26.

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Step 26

Update Household Notes to record any action you haven’t previously recorded. For how to do this, use TCM1000001

  • use function ‘Maintain Worklist’ to set an action date on the ‘Unprocessed S17’ work list of 14 days in the future. For how to do this, use TCM1000008
  • take no further action.

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Step 27

If ‘Unprocessed Change of Circumstances’ is one of the reasons you’re processing the work item

  • delete the ‘Unprocessed Change of Circumstances’ work item. For how to do this, use TCM1000160
  • go to Step 28.

If ‘Unprocessed Change of Circumstances’ isn’t one of the reasons you’re processing the work item, go to Step 28.

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Step 28

If ‘Verification Failure’ is one of the reasons you’re processing the work item

If ‘Verification Failure’ isn’t one of the reasons you’re processing the work item, go to Step 29.

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Step 29

Access the ‘Amend Application’ screen. For how to do this, use TCM1000005

Note: Consider the guidance in TCM0272400, TCM0272220 or TCM0272200.

  • using the notes you made earlier update ‘Correction’ with the correct details obtained, following the relevant Changes guidance
  • go to Step 30.

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Step 30

If any of the work items are Incomplete, PY-1 Incomplete, PY-1 Incompatible or Incompatible, go to Step 31.

If none of the work items are Incomplete, PY-1 Incomplete, PY-1 Incompatible or Incompatible, go to Step 37.

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Step 31

If changes are needed to the annual declaration to process the remaining work items

If changes aren’t needed to the annual declaration, go to Step 33.

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Step 32

If you’re presented with the warning message ‘PY-1 Incompatibility failure exists against this declaration. Do you wish to override the failure?’ and you’ve confirmed that the actual income components for PY-1 provided on the annual declaration are correct

If you are presented with the warning message ‘PY-1 Incompatibility failure exists against this declaration. Do you wish to override the failure?’ and you haven’t confirmed that the actual income components for PY-1 provided on the annual declaration are correct

If you’re presented with any other message

  • select ‘Yes’ or ‘OK’
  • go to Step 33.

If you aren’t presented with a message, go to Step 33.

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Step 33

Following the action you have taken, check if the award is finalised.

If the award is already finalised, go to Step 37.

If the award isn’t already finalised and there is an open Appeal, go to Step 34.

If the award isn’t already finalised and there isn’t an open Appeal, go to Step 35.

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Step 34

As the work item is still visible with the reason ‘Appeal’

  • renew CY without finalising PY. For how to do this, use TCM1000018
    Note: Before manage renewing the claim, it’s important that the ‘Correction’ screen is updated with the correct declaration details you’ve obtained.
  • go to Step 37.

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Step 35

Manage finalise and renew the claim. For how to do this, use TCM1000017

Note: Before manage finalising the claim, it’s important that the ‘Correction’ screen is updated with the correct declaration details you’ve obtained

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Step 36

As the reminder cycle has now expired

If PY-1 Incompatible is the only reason for the work list item

  • override the PY-1 Incompatibility failure. For how to do this, use TCM1000019
  • update Household Notes with the message SD40 from TCM0172020. For how to do this, use TCM1000001
  • go to Step 37.

If PY-1 Incompatible isn’t the only reason for the work list item

  • manage finalise and renew the claim. For how to do this, use TCM1000017
    Note: Before manage finalising the claim, it’s important that the ‘Correction’ screen is updated with the correct declaration details.
  • replace any system estimated (S) or inflated (I) income shown for PY with 0.00 (use 1.00 for any income field that won’t accept zero)
  • go to Step 37.

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Step 37

Check if the work item is still visible on the Unprocessed S17 work list.

If the work item isn’t on the work list

  • update Household Notes to record any action taken. For how to do this, use TCM1000001
  • close the document on DMS. For how to do this use TCM1000037
  • take no further action.

If the work item is still on the work list and a new work list reason is now showing

  • transfer the work item to the appropriate MU for the relevant work list reason. Use TCM0322460 for the correct MU number
  • update Household Notes to record any action taken. For how to do this, use TCM1000001
  • close the document on DMS. For how to do this use TCM1000037
  • take no further action.

If the work item is still on the work list and a new work list reason isn’t showing

  • transfer the work item to the ‘Unprocessed S17 phase 2 worked and cleared’ MU. Use TCM0322460 for the correct MU number
  • update Household Notes to record any action taken. For how to do this, use TCM1000001
  • close the document on DMS. For how to do this use TCM1000037
  • take no further action.