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HMRC internal manual

Tax Credits Manual

Renewals - work lists (Unprocessed): Unprocessed S17 work list - Unprocessed change of circumstances

Checklist

Before you follow this guidance, make sure

  • you follow the guidance in TCM0138020
  • you have the correct user roles to follow this guidance. 
  • you are in the correct MU. Use TCM0322460 for the correct MU number
  • you follow the guidance in TCM0262120.

Background

Entries will be created on the Unprocessed Change of Circumstances work list when the claim is post award, but a change of circumstances has been recorded on the Free Format screen in Function AMEND APPLICATION because the changes were notified when the claim was pre-award. These are shown as ‘CoC’ on the work list.

The Deceased signal has been set in Function ‘Amend Application’ but a date of death has not been supplied. These are shown as ’Deceased’ or ’Date of Death’ on the work list.

Changes have been notified either electronically, or by other departments and manual intervention is necessary. These are shown as ’Unprocessed CoC’, ’Incompatible Data’ or ’Payment Suspended’ on the work list.

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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 reason for the change and whether the action date has expired.

If you are dealing with a reply to an enquiry, go to Step 5.

If you have applied a change and your two-day action date has now expired, go to Step 10.

If you are dealing with an expired action date, go to Step 3.

If you are dealing with a new work item, go to Step 5.

If you have deleted the ‘Unprocessed Change of Circumstances’ work item and your 24 hour BF has expired, go to Step 10.

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Step 3

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 in Household Notes, go to Step 8.

If the missing information has not been recorded in Household Notes and the reminder form TC609 has not been issued

  • issue a reminder form TC609. For how to do this, use TCM1000478
  • transfer the work item to the ‘Unprocessed Change of Circumstances BF MU unless you have already done so. Use TCM0322460 for the correct MU number
  • set a further action date of 14 days. For how to do this, use TCM1000008
  • update Household Notes to record standardised message SI33 from TCM0172040. For how to do this, use TCM1000001
  • take no further action.

If the missing information has not been recorded in Household Notes, the reminder form TC609 has been issued and the action date has expired, go to Step 4.

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Step 4

As the customer has failed to respond, check DMS to establish if the customer has returned the information requested or has reported a change of circumstances. For how to do this use TCM1000037.

If the change of circumstances is relevant to a family break up

  • capture the change of circumstances. Follow the relevant Changes guidance
  • update Household Notes to record the action you have taken. For how to do this, use TCM1000001
  • transfer the work item to the ‘Unprocessed Change of Circumstances 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 two days, to allow the change to process
  • take no further action.

If the changes of circumstances is not relevant to a family break up

  • update Household Notes to record that the change could not be processed due to information not being returned. For how to do this, use TCM1000001
  • delete the ‘Unprocessed Change of Circumstances’ work item. For how to do this, use TCM1000160
  • BF the case for 24 hours after deleting the ‘Unprocessed Change of Circumstances’ work item.

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Step 5

Check if there is still an Unprocessed Change of Circumstances work item. For how to do this, use TCM1000409.

If there is not an Unprocessed Change of Circumstances work item, go to Step 10.

If there is an Unprocessed Change of Circumstances work item, go to Step 6.

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Step 6

Access the work item. For how to do this, use TCM1000004

Do you have all the information needed to process the work item?

Note: If the changes are electronic change of circumstances (ECOC), use TCM0054120 to enable you to deal with the work item.

If you do not have all the information needed to process the work item, go to Step 7.

If you do have all the information needed to process the work item

  • capture the changes. Follow the relevant Changes guidance
  • delete the Unprocessed Change of Circumstances work item. For how to do this, use TCM1000160
  • update Household Notes to record the standardised message ST01 from TCM0172080. For how to do this, use TCM1000001
  • go to Step 10.

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Step 7

Phone the customer. Follow the guidance in TCM0094080.

If the customer can be contacted

  • ask the customer for the missing information that you need to process your work item
    • Note: If the customer informs you of another change of circumstances during the phone call, you must take the details and action the change by following the guidance in TCM0042260. You must capture both the reported change of circumstances and the Unprocessed Change of Circumstances work item.
  • go to Step 8.

If the customer can not be contacted by phone, go to Step 9.

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Step 8

If the customer provides all the missing information

  • capture the change. Follow the relevant Changes guidance
  • delete the Unprocessed Change of Circumstances work item if you have not already done so. For how to do this, use TCM1000160
  • update Household Notes to record the action you have taken. For how to do this, use TCM1000001
  • transfer the work item to the ‘Unprocessed Change of Circumstances 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 two days, to allow the change to process. For how to do this, use TCM1000008
  • take no further action.

If the customer can not provide all of the missing information

  • tell the customer to contact the Tax Credits Helpline as soon as possible with the missing information or their payments may stop, if it is in payment
  • update Household Notes to record the message SI05 from TCM0172040. For how to do this, use TCM1000001
  • transfer the work item to the ‘Unprocessed Change of Circumstances 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. For how to do this, use TCM1000008
  • take no further action.

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Step 9

Send form TC664 to the customer asking for the information you need

Note: Refer to the notes you made to establish the information you require.

  • update Household Notes with the appropriate message SI20 from TCM0172040. For how to do this, use TCM1000001
  • transfer the work item ‘Unprocessed Change of circumstances 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 for 16 days in the future. For how to do this, use TCM1000008
  • take no further action.

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Step 10

Check if the declaration received status shows ‘reply used for finalisation’.

Note: If the status shows ‘Reply used for Finalisation’, this indicates the claim has been finalised.

If the status does show ‘Reply used for finalisation’, go to Step 17.

If the status does not show ‘Reply used for finalisation’

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Step 11

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

If you are presented with any other message

  • select ‘Yes’ or ‘OK’
  • go to Step 12.

If you are not presented with a message, go to Step 12.

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Step 12

Check if the declaration received status shows ‘Reply used for finalisation’.

Note: If the status shows ‘Reply used for finalisation’, this indicates the claim has been finalised.

If the status does show ‘Reply used for finalisation’, go to Step 17.

If the status does not show ‘Reply used for finalisation’, go to Step 14.

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Step 13

Check and note the information provided on the annual declaration for PY. Also note the PY-1 details if applicable

  • obtain the income/benefit information. For how to do this, use TCM1000011
  • go to Step 14.

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Step 14

If you noted in ‘Renewal Initial Action’ that there was an appeal outstanding, go to Step 15.

If you noted in ‘Renewal initial Action’ that there wasn’t an appeal outstanding, go to Step 16.

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Step 15

Renew the claim without finalising

  • update the Income/Benefit screen using function ‘Correction’ with the relevant renewal details. For how to do this, use TCM1000016
    • Note: If necessary, replace any inappropriate system estimated (S) or inflated (I) income shown for the PY tax year with 0.00 actual (use 1.00 actual for any income field that will not accept zero).
  • renew CY without finalising PY. For how to do this, use TCM1000018
  • update Household Notes with standardised message SN17 from TCM0172060. For how to do this, use TCM1000001
  • go to Step 17.

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Step 16

Manage finalise and renew the claim

  • update the Income/Benefit screen using function ‘Correction’ with any information obtained. For how to do this, use TCM1000016
    • Note: If necessary, replace any inappropriate system estimated (S) or inflated (I) income shown for the PY tax year with 0.00 actual (use 1.00 actual for any income field that will not accept zero).
  • manage finalise the claim. For how to do this, use TCM1000017
  • update Household notes to record the standardised message SM08 from TCM0172060. For how to do this, use TCM1000001
  • close the document on DMS. For how to do this use TCM1000037
  • go to Step 17.

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Step 17

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

If the work item is not on the work list any longer

  • 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

  • follow the relevant guidance for the new work list reason, consider the guidance in TCM0272480
    then
  • transfer the work item to the ‘Unprocessed S17 phase 2 worked and cleared’ MU. Use TCM0322460 for the correct MU number. For how to do this, use TCM1000023
  • 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 not showing

  • transfer the work item to the ‘Unprocessed S17 phase 2 worked and cleared’ MU. Use TCM0322460 for the correct MU number. For how to do this, use TCM1000023
  • 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 with the reason ‘Appeal’ only

  • close the document on DMS. For how to do this use TCM1000037
  • transfer the work item to the ‘Unprocessed S17 phase 2 worked and cleared’ MU. Use TCM0322460 for the correct MU number. For how to do this, use TCM1000023
  • take no further action.