SAM31021 - Compliance: enquiry work: opening an enquiry: using ITSA discovery records (Action Guide)

This Action Guide tells you how to use CQI Workbench function CREATE ITSA DISCOVERY to set up a record on the CQI Workbench where exceptionally

  • An enquiry has been opened, but it was not possible to register the case on the CQI Workbench before the last date for enquiry

Or

  • The need to open an enquiry is discovered after the last date for enquiry has passed

It also highlights the updates you must make to the SA record when an ITSA Discovery record has been set up.

When you are creating a CQI record for an enquiry using function CREATE ITSA DISCOVERY follow steps 1 - 6 below.

For details of how to access any of the SA functions, select ‘Index of Functions’ on the left of the screen.

Setting up the ITSA Discovery record

1. Use CQI Workbench function CREATE ITSA DISCOVERY to create the appropriate record. This function is only available to users with the appropriate permissions on the CQI Workbench. The following points are of particular importance when using this function

  • All fields must be completed except for the following. Note: If you are unsure about the entries to make, system help is available
  • NINO
  • The second line of the Taxpayer Name
  • TCN - mandatory for business cases, optional for non-business cases
  • Turnover - mandatory for business cases (use TCN 6616 for all cases unless within CIS then use TCN 3001) or optional for non-business cases

Notes:

Once the details of the ITSA Discovery record have been confirmed in this function, they will be sent overnight to be checked against the SA record. Until they have been checked, the record does not appear on the Open Enquiries List, and cannot be viewed or updated. This type of record will have an entry ‘Other’ in the Direct Entry field in CQI Workbench function ENQUIRY DETAILS

The take-up ‘credit’ (where the Enquiry Start Date is in the current reporting year) will be given to the user, whose identity is entered in the Case Owner field, and to the OU, when the record has been successfully checked against the SA system. If the case owner is a member of a team, credit will also be given to that team

2. Use SA function AMEND TAXPAYER SIGNALS to enter ‘Y’ in the No Repayment field. If the ITSA Discovery record is for a partnership, you should set the No Repayment signal on each partners’ record

3. Use SA function MAINTAIN RESPONSIBLE OFFICE to enter ‘N’ in the Automatic Move field. If the ITSA Discovery record is for a partnership, you should also set the Automatic Move signal on each partners’ record

4. Use SA function MAINTAIN SA NOTES to indicate the year(s) for which an ITSA Discovery record has been created, giving a brief reason. Note: The ‘Enquiry Case’ message will not be displayed in the common SA functions

5. Enter the name of the case owner, a contact telephone number and location in function AMEND TAXPAYER SIGNALS (sufficient to allow post to be directed to the appropriate Enquiry Officer). This information should be updated when necessary

Recording the actual Enquiry Start Date on the ITSA Discovery record

After you have set up the ITSA Discovery record on the CQI Workbench, you can only view or update that record when it has been successfully checked (overnight) against the SA record

6. When available, use CQI Workbench function DIARY to record the actual Enquiry Start Date, as it will be different to the date entered in function CREATE ITSA DISCOVERY