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HMRC internal manual

Tax Credits Manual

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HM Revenue & Customs
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Stopping tax credits: work lists (unprocessed): unprocessed IYS17 worklist (Info)

The Unprocessed IYS17 work list will be populated when the award declaration reply has been received but finalisation can not be achieved.

The worklist provides the following information for each work item

  • creation date
  • reference - for example, NINO
  • name
  • action date
  • a ‘P’ indicator which indicates the priority cases. For the Unprocessed IYS17 worklist, this is where the award declaration has an IS, JSA / ESA or PC signal set against it. These must be worked first.

The manual deletion on this worklist is not permitted.

The reasons why entries will be created on this work list are as follows:

Appeals

The Appeals signal has been set against the award period stated on the IYS17 notice.

Compliance

There is a compliance signal set against the award period stated on the IYS17 notice.

Complex

The claim is a complex case.

Duplicate

An award declaration has been received when we already have a previously returned award declaration.

Finalised

This could be because of one of the following:

  • the award declaration has been received after the award was In Year Finalised
  • a full reply to the IYS17 notice has not been received at IYSD
  • the IYS17 notice has not been served due to an RLS signal.

Note: If the claim is post award, you will not be able to withdraw the claim.

Incompatible

The information received is not compatible with the details held for the customer and/or partner on the tax credits computer. An unprocessed worklist item will fall where any of the conditions below aren’t met.

  • Earnings or BIK should be greater than or equal to zero where we hold UY Employment/Self Employment and No RTI information or hours worked signal has been present in UY award period
  • TSSB should be greater than or equal to zero where we hold a TSSB figure greater than or equal to zero on the claim
  • Qualifying benefits details on NTC must match those supplied on the IYS17

Incomplete

An unprocessed worklist item will fall where any of the conditions below aren’t met.

  • At least one of the income/benefits fields must be completed for the household with an amount of zero or greater or the customer must have told us they were in receipt of a qualifying benefit for the whole UY period
  • Both SOC boxes must not be checked

Inhibited

An inhibit marker has been set by Compliance for the customer and/or partner for the award period stated on the IYS17 notice.

Invalid

Where the full Award Declaration is captured via RDC, an income field validation check will be carried out by NTC in the background before future processing can continue.

The income field validation test will comprise of:

  • acceptable format i.e. numeric, space or a single zero
  • a comparison of daily UY income with daily UY-1 income to identify situations where the UY daily rate is conspicuously higher than UY-1
  • a validation check on Statement of Circumstances field (SOC boxes) this will create an invalid reason if this contains an ‘N’ only.

Late

The date the award declaration was received is after than the IYSD.

Logged

The award declaration has been logged only and not fully captured.

RTI Incompatible

An unprocessed worklist item will fall with the following reason where any of the conditions below aren’t met.

IYRTIINCMPT NTC earned income should be greater than zero where RTI earnings greater than zero obtained
   
IYRTIDISINCMPT If RTI earnings are obtained Income should not be more than 7% lower than the RTI figure
IYRTIOINCMPT If UY RTI Occ Pension is obtained then Other Actual Household income should be greater than zero
IYRTIOINCMPTHB If UY RTI Occ Pension is obtained then Other Actual claimant income should be greater than zero (HHBD)
IYRTIODISINCMPT HH other income should not be more than 14% lower than RTI UY RTI Occ Pension obtained for household
IYRTIODINCMPTHB Clmnt Other income should not be more than 14% lower than RTI UY RTI Occ Pension obtained for claimant (HHBD)

SCO

Special Compliance Office have set a signal against the award period stated on the IYS17 notice.

Superseded

An award declaration has been received which has been superseded by a later award declaration.

Terminated

The award declaration has been received after the UY award was terminated during the finalisation process.

Uncoc

A work item is present on the Unprocessed Change of Circumstances worklist.

Unsigned

The award declaration has been captured but not signed.

Verification Failure

An outstanding verification failure is present on the Verification Failures worklist for the claim that the award declaration relates to.

 

Note: If a SCO, Inhibited or Complex signal appears on any of the above statuses, the worklist item must be forwarded to the Unprocessed IYS17 Compliance Management Unit (MU). Use TCM0322460 for the correct MU number.

Any of the following statuses can appear with more than one status

  • Appeals
  • Compliance
  • Complex
  • Duplicate
  • Finalise
  • Finalised and terminated
  • Incompatible
  • Inhibited
  • Late
  • UY-2 Incompatible
  • UY-2 Incomplete (abbreviated to ‘No UY-2)
  • SCO
  • Superseded
  • Terminated
  • Uncoc
  • Verification Failure

For example: Uncoc, VF and Incompatible. Where more than one of the above statuses appear together on a worklist entry, they are classed as multi entry cases.

For more information on multi entry work items, follow the guidance in TCM0370400.

All of the other reasons that appear on the Unprocessed IYS17 worklist must be worked to enable the UY award to be finalised.

Note: You must delete any UY figures from the tax credits computer that are not shown on the award declaration. This will ensure that only the income details provided by the customer on their award declaration are held on the computer and the award will therefore be correctly finalised.

Note: If you are working a multi entry case, you must consider and resolve all of the failures at the same time, and as far as possible, only contact the customer once. You must also take the appropriate action to resolve each failure as soon as sufficient information has been obtained to do so.

Note: Where a date of death is held for the customer in a two customer household, you must still obtain all of the details for both customers when you contact them. If you need to contact the customer, you must ensure that you deal sensitively with them.

A separate Action Guide is provided for each reason for an entry being created on the Unprocessed IYS17 worklist.