RM1256 - RO instructions: Reason for a file: What you see on the screen

A claimant must have a file if there are

  • arrears
  • assessments
  • capital gains
  • instalment claims
  • non-standard reliefs which need a permanent note
  • permanent notes to which you will need to refer.

You must have a file for

  • an investigation case
  • a complaint case
  • an H or Inspector case
  • a sensitive case
  • a case in which

WHAT YOU SEE ON THE SCREEN

Work the claim from the file if you see the following entries

Function CZ CL
Format 1 FILE CASE ? Y FILE
Format 3 - FILE CASE ? Y

WORKING CLAIMS

When working claims for file cases check there is still a reason for a file. If there is no reason, convert the case to SRS.

TRANSFERS IN AND NEW CASES

The FILE CASE ? field will automatically show N. Set up transfers in and other new cases as SRS.

If there is a reason to set up a new case with a file

FILE CASE TO SRS

When you no longer need a file

SRS TO FILE CASE

When there is a reason for a file

    • there is untaxed interest of more than £ 1000 for the year and PY basis may apply
    • a claim form, R37 and/or payable order has to be issued manually
    • an Inspector or RE decides a file is necessary

    • an enquiry is issued to someone other than the claimant.

    • change the field entry to Y. HOW TO CONVERT CASES

    • amend the FILE CASE? field entry to N
    • put this year’s claims papers in a plastic wallet
    • mark the hardcopy `file obsolete’

    • note the current tax year above the reference on the file cover, for example `94-95’.

    • enter Y in FILE CASE?
    • prepare a file
    • note the PN cover with the reason for the file
    • put in the file

    Do not trace previous SRS papers without good reason.

    KEEPING SRS POST

    All SRS post must be retained with the claim, except the following, which should be disposed of as restricted waste

    REMOVING SRS PAPERS FROM RANGES

    NEVER remove papers from either the repaid range or the no repayments range without replacing them with a form SR1.

    FILING

    File SRS papers as follows

    PAPERS FILE RANGE
    Claims cleared by the automatic issue of a payable order. - File in the repaid range. Papers from one release list will be kept in a box file in reference number order. The box will show the release list number and the month and year in which the repayment was made.
    Claims cleared not pursued or no repayment due. - File in the no repayment range. Keep the papers in reference order under the tax year in which the claim is cleared.
    SRS papers for cases awaiting a reply from the claimant. - File in the open claims desk pad in reference number order.

    REMOVING SRS PAPERS FROM RANGES

    Never remove papers from either the repaid range or the no repayments range without replacing them with a form SR1.

    IDENTIFYING FILE CASES

    Identify file cases by /F after the reference.

    AUTOMATICALLY

    If the file signal is set /F will appear automatically on

    payable orders R37s claim forms open claims lists release list. MANUALLY

    Note other post out before issue

    /F? - for file cases

    /DP - for enquiries from the open claims desk pad.

    USING CL TO ANSWER ENQUIRIES

    Try to answer enquiries without reference to the papers.

    Check for entries in the following fields.

    CLAIM CLEARED - Will show the date for a claim cleared without the issue of an automatic payable order. You will need the papers to answer an enquiry.

    Using CL to find SRS papers

    Check for entries in the following fields.

      • all current claim papers and hardcopy for this repayment

        • if this is the second claim for the year, the earlier claim papers for the year.

        • a notice of change of address (if there is no open claim)
        • a request for a claim form

        • any request to set up a new case.

        • CLAIM REGISTERED - Will show the date of registration of the earliest uncleared claim for the year.

        • LATEST PO FOR YEAR - Will show the serial number amount and date of the latest automatic payable order.

        • CLAIM REGISTERED - look in open claims desk pad or claims waiting to be worked.
        • LATEST PO FOR YEAR with release list number - look for the release list box in the repaid range.
        • LATEST PO FOR YEAR without release list number

        TRANSFERS OUT

        The procedure is unchanged for transferring out a file case.

        When you transfer out an SRS case

          • look for an obsolete or live file.

            • CLAIM CLEARED - look in no repayment range. Never remove papers from either the repaid range or the no repayment range without using form SR1 as a record.

            • take a screen print of Format 1 of Function CZ send it to the other District with a covering note of explanation and any current papers.