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HMRC internal manual

Tax Credits Manual

From
HM Revenue & Customs
Updated
, see all updates

Stopping tax credits: work lists (unfinalised): multi-entry

Checklist

Before you follow this guidance, make sure

  • you have 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 are in the correct MU. Use TCM0322460 for the correct MU number.

Background

A work list item will populate the Unfinalised IYS17 work list when the customer has not returned their Award Declaration by the In-Year Specified Date (IYSD) and there is a reason why the tax credits computer cannot finalise UY.

The tax credits computer cannot finalise UY 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 UY 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 are following this guidance for the first time, go to .

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

If you have come back to this guidance from TCM0366440 after gathering missing information, go to .

If you have come back to this guidance from TCM0366400 after gathering missing information, go to .

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

  • resolve the verification failure. Follow the guidance in TCM0366440

then, if you are told to return to this guidance

  • go to .

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

  • resolve the failure. Follow the guidance in TCM0366400

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

  • go to .

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

  • resolve the verification failure. Follow the guidance in TCM0366440
  • resolve the other failure. Follow the guidance in TCM0366400

then, if you are 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 has not been recorded and a reminder has been sent, go to .

If the missing information has not been recorded and reminder has not 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 TI19 from TCM0174020. 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

  • follow the guidance in TCM0366400
  • return to this guidance and go to .

If the missing information you requested was for a verification failure

  • follow the guidance in TCM0366440
  • return to this guidance and go to .

Step 4

  • Access the Unfinalised IYS17 work list. Follow the guidance in TCM0354160 

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’

  • follow the guidance in TCM0366440

Note: Do not contact the customer at this point. Gather the information needed to resolve the VF.

  • go to .

If the reason is ‘UNCOC’ and ‘APP’

  • follow the guidance in TCM0366400

Note: Do not 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’

  • follow the guidance in TCM0366440
  • follow the guidance in TCM0366400

Note: Do not 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 IYS17 work list item to the ‘Unfinalised IYS17 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 IYS17 work list item to the ‘Unfinalised IYS17 BF’ MU and set an action date for 15 days in the future
  • go to .

Step 8

If the reason is ‘VF’ and ‘APP’

  • resolve the verification failure, follow the guidance in TCM0366440
  • go to  

If the reason is ‘UNCOC’ and ‘APP’

  • resolve the unprocessed change of circumstances, follow the guidance in TCM0366400
  • 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 TCM0366440 and TCM0366400
  • 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 IYS17 work item to the ‘IYS17 Navigation Vantives’ MU. For how to do this, use TCM1000023 
  • set an action date on the work item you’ve transferred to the IYS17 Navigation Vantives MU. For how to do this, use TCM1000008 
  • go to  

If the work item is not on the ‘BAU vantive’ MU, go to .

Step 10

Check if there is an appeal marker. For how to do this, use TCM1000117 

If you noted an appeal marker in TCM0354160, go to  

If you did not note an appeal marker in TCM0354160, go to .

Step 11

  • Finalise the UY award on the tax credits computer. For how to do this, use TCM1000573 
  • go to .

Step 12

Check if the work item is still on the Unfinalised IYS17 work list. For how to do this, use TCM1000142 

If the work item is not still on the work list, go to .

If the work item is still on the work list

  • transfer it to the ‘Unfinalised IYS17 Worked and Cleared’ MU. Use TCM0322460 for the correct MU number. For how to do this, use TCM1000023 
  • go to .

Step 13

Following your action

  • update Household Notes with the appropriate message - TI18 or TI20 from TCM0174020. For how to do this, use TCM1000001 

Note: If these Household Notes do not cover the action you have taken, record any additional action using the ‘General’ category.

  • take no further action.