TCM0134240 - Miscellaneous: C to D: incorrect details - identifying (AG)

To identify details that need correcting on the computer, consider Steps 1 to 18.

Step 1

If you have identified that a claim has been incorrectly ended and

  • are working on the Incorrectly Ended Claims Team, continue with this guidance.
  • aren’t working on the Incorrectly Ended Claims Team, complete the M1 referral form (Word 101KB) and send it to the address detailed on the referral.

Note: Don’t send or attach any documents with the referral and make sure you note in the additional information box the tax year where the problem has been identified for.

Step 2

Follow the guidance in TCM0138020 before continuing

then, if you have been told to return to this guidance and have been advised or discovered that a claim may be incorrect

  • check if the award is Nil and establish why

or

  • if you have already established that the award is not Nil, but you need to identify the version where an error occurred, for example, missing children or another element

or

  • if you have found that there is an error in history or details relating to other elements of entitlement

then

Step 3

Use Function VIEW AWARD

  • enter the NINO in the Key Entry Data screen
  • select the ‘All’ checkbox
  • select [OK]. You will be taken to the Select Award screen
  • select the latest award type of provisional or the amended claim and then select [OK]. You will be taken to the Award Summary screen

or

  • if the latest claim award type is Statement of Account (SOA), select the next latest claim that is an award type of provisional or is the amended claim and then select [OK]. You will be taken to the Award Summary screen

Note: If the latest award version is SOA you will need to establish if a claim for a previous year is correct by checking the previous year award type of provisional or the amended claim.

  • If the award is Nil, go to Step 5.
  • If the award isn’t Nil but is terminated, go to Step 6.
  • If the award isn’t Nil, not terminated and not in payment - for example, the award is ceased, go to Step 13.
  • If a missing element has been reported in the latest award, go to Step 13.
  • If the latest award isn’t Nil, not terminated, in payment and there are no missing elements, and if the referral or query isn’t clear as to where the fault lies, check if there has previously been a household breakdown, go to Step 4.

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Step 4

Use Function AMEND APPLICATION, selecting the Change of Circumstances or Correction option, as appropriate

  • enter the NINO in the Key Entry Data screen
  • select the ‘All’ checkbox
  • select [OK]. You will be taken to the Applicant Details - Applicant 1 screen

Note: If you are taken to the Select Application screen, there is more than one claim for this customer - for example, cases where a household breakdown has occurred and the customer has re-applied. Select the appropriate claims and then select [OK]. You will then be taken to the Applicant Details - Applicant 1 screen.

Note: If a message displays, select [OK] to clear.

  • select ‘Household’ on the toolbar menu
  • select ‘Details’ from the options available. You will be taken to the Household Details screen
  • If there is evidence of a household breakdown
  • note the date and the household end reason

then

  • go back to Step 3 and in the Select Award screen in Function VIEW AWARD, select the latest amended version before the household end date.
  • If there is no evidence of a household breakdown, go to Step 13.

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Step 5

In the Award Summary screen, check the award status.

  • If the award is Terminated or Ceased, go to Step 6.
  • If the award isn’t Terminated or Ceased, go to Step 9.

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Step 6

Check if the claim

  • is a PY end of year finalised claim that has been terminated by Compliance

Note: Provisional claims won’t be an end of year finalised claim.

  • has been System Terminated

or

  • has a household end date recorded.

To do this

  • use Function AMEND APPLICATION, selecting the Change of Circumstances or Correction option, as appropriate
  • enter the NINO in the Key Entry Data screen
  • select the ‘All’ checkbox
  • select [OK]. You will be taken to the Applicant Details - Applicant 1 screen

Note: If you are taken to the Select Application screen, there is more than one claim for this customer - for example, cases where a household breakdown has occurred and the customer has re-applied. Select the claims prior to the latest claim and then select [OK]. You will then be taken to the Applicant Details - Applicant 1 screen.

Note: If a message displays, select [OK] to clear.

  • select ‘Household’ on the toolbar menu
  • select ‘Details’ from the options available. You will be taken to the Household Details screen
  • If the Household End Reason field displays the reason ‘Compliance Terminated’, follow the guidance in TCM0134420.
  • If the Household End Reason field displays the reason ‘System Terminated’, go to Step 7.
  • If the date 05/04/04 is in the Household End Date field only with no reason populated, go to Step 7.
  • If the claim is Nil and there isn’t an entry in the Household End Reason field or Household End Date field, go to Step 9.

Note: A genuine household end date of 05/04/04 or 06/04/04 with the reason of ‘Household End’ may be shown in the Household Details screen. If this is the case, go to Step 9.

  • If the date 06/04/2003 is in the Household End Date field only with no reason populated, go to Step 17.
  • If the claim isn’t Nil and there isn’t an entry in the Household End Reason field or Household End Date field, go to Step 12.
  • If the Household End Reason field displays the reason ‘Household Breakdown’ and there is an end date in the Household End Date field and the household end date is reported as incorrect, go to Step 15.
  • If the Household End Reason field displays the reason ‘Household Breakdown’ and there is an end date in the Household End Date field and you have determined that this is correct from the information already provided, take no further action.

Note: Where a date is entered in the Household End Date field for a PY claim, any subsequent provisional awards will be terminated as no entitlement exists.

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Step 7

If

  • the date in the Household End Date field is 05/04/04 and there is no reason in the Household End Reason field, give the details to the nominated person in your area. The nominated person should then email the details to the Business Help Desk, go to Step 16.
  • the Household End Reason field displays the reason ‘System Terminated’ and the date in the Household End Date field is 05/04/04 or later
  • make a note of this date and reason

then

  • check if it has been correctly System Terminated, go to Step 8.
  • the Household End Reason field displays the reason ‘System Terminated’ and the date in the Household End Date field is 06/04/03
  • make a note of this date and reason

then

  • check if it has been correctly System Terminated, go to Step 8.

Note: The computer will terminate payment of the award where the signature is required on an award notice that hasn’t been returned - for example, a reply required Annual Declaration hasn’t been responded to and the reminder cycle has expired or is a mismatch case that has been re-captured.

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Step 8

To check if the System Terminated claim has been correctly done

  • use Function VIEW S17 DETAILS
  • enter the NINO in the Key Entry Data screen
  • select the ‘All’ checkbox
  • select [OK]. You will be taken to the Select S17 Period screen

Note: If you are taken to the Select Application screen, there is more than one claim for this customer - for example, cases where a household breakdown has occurred and the customer has re-applied. Select the appropriate claims and then select [OK]. You will then be taken to the Select S17 Period screen.

  • select the S17 period that relates to the termination - for example, if the household end date is 05/04/04, select the 06/04/03 to 05/04/04 period
  • select [OK]. The Current Signals screen will display with the ‘Terminated’ checkbox selected. The Household Ended checkbox may also be selected
  • select [Cancel]. You will be taken back to the Select S17 Period screen
  • check the status in the S17 Notices Current Position field

then

  • If the status isn’t ‘Terminated’, go to Step 12.
  • If the status is ‘Terminated’, the Applicant 1 field will indicate that the household has ended. However, this may relate to the termination. Use Function VIEW HOUSEHOLD NOTES to check if there is any reference to the household ending prior to termination

Note: If there is an indication that the household ended prior to 06/04/03, this can be disregarded as this date will be prior to the start of tax credits being awarded.

then

  • If a household end date has been recorded, compare this date with the date recorded at Step 7
  • If the actual household end date is the same as or later than the date recorded in the Household End Date field in Step 7, ‘System Terminated’ has been correctly implemented. Go to Step 12 to confirm that all of the details on the PY claim are correct.
  • If the actual household end date is prior to the date recorded in the Household End Date field in Step 7, ‘System Terminated’ has been incorrectly implemented. Go to Step 12 to confirm that all the details on the PY claim are correct.
  • If there is no household end date recorded, you can assume that the System Termination is correct. However,
  • If there is further reason to believe that the System Termination is incorrect, follow the guidance in TCM0262260.
  • If the Annual Declaration has never been issued and the status in the S17 Notices Current Position field is ‘Terminated, not signed’, a subsequent claim should be held on the computer to cover this period.
  • If a subsequent claim is held on the computer to cover this period, take no further action.
  • If a subsequent claim isn’t held on the computer to cover this period, stockpile the case until further notice.
  • If any other circumstances apply, go to Step 16.

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Step 9

Use Function VIEW AWARD

  • enter the NINO in the Key Entry Data screen
  • select the ‘All’ checkbox
  • select [OK]. You will be taken to the Select Award screen

Note: From the information provided, select the earliest award version that is at Nil. Alternatively, identify the earliest Nil award by checking each version until you have identified the earliest Nil award that hasn’t been amended to an award in a later or finalised version.

  • select
  • the earliest award version that is Nil and then select [OK]. You will be taken to the Award Summary screen

or

  • the earliest Nil award version that hasn’t been amended to an award in a later or finalised version and then select [OK]. You will be taken to the Award Summary screen

Note: You may need to check previous years if there is no initial CY version set up for CY. If there is no Nil award version in PY, use the earliest Nil award version in CY.

  • select the earliest Nil award version
  • select [View Calculation]. You will be taken to the View Calculation screen
  • make a note of the date in the Version Dated field
  • select [Cancel]. You will be taken back to the Award Summary screen
  • If the claim relates to a previous tax year, go to Step 10.
  • If the claim relates to the CY tax year, go to Step 12.

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Step 10

If the claim relates to a previous tax year, check whether the Annual Declaration has been finalised. To do this

  • use Function VIEW S17 DETAILS
  • enter the NINO in the Key Entry Data screen
  • select the ‘All’ checkbox
  • select [OK]. You will be taken to the Select S17 Period screen

Note: If you are taken to the Select Household screen, select the appropriate household and then select [OK]. You will be taken to the Select S17 Period screen.

  • select the Annual Declaration period that relates to the termination - for example, if the household end date is 05/04/04, you would select the 06/04/03 to 05/04/04 period
  • select [OK]. You will be taken to the Renewals View S17 Current Position screen
  • check the Status field
  • If the claim relates to a previous tax year, the Annual Declaration has been finalised and there is a subsequent award, go to Step 11.
  • If the claim relates to a previous tax year and the Annual Declaration hasn’t been finalised, go to Step 11.
  • If the claim relates to a previous tax year, the Annual Declaration has been finalised and there is no subsequent award, go to Step 12.

Note: A subsequent award is a totally new claim that has been captured and awarded since the incorrect Nil award problem occurred. A subsequent award isn’t a renewal.

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Step 11

If

  • there is a subsequent award as this will create an overlapping award verification failure that can’t be rectified or the customer has been sent an Annual Declaration but the award hasn’t been finalised
  • don’t attempt to correct the PY Nil award as any award you generate will immediately be terminated
  • stockpile these cases until further notice and then go to Step 17.
  • the PY is Nil and the Annual Declaration hasn’t been issued, go to Step 12.

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Step 12

To identify the claim version that the error may have occurred in and to determine what amendment was made previously that caused the problem - for example, a gap in work history or children that haven’t been included in the award

  • use Function VIEW APPLICATION
  • enter the NINO in the Key Entry Data screen
  • select the ‘All’ checkbox
  • select [OK]. You will be taken to the Select Application Version screen

Note: If you are taken to the Select Application screen, there is more than one claim for this customer - for example, cases where a household breakdown has occurred and the customer has re-applied. Select the claims affected by this correction and then select [OK]. You will then be taken to the Select Application Version screen.

  • select the latest version
  • select [OK]. You will be taken to the Application Summary screen

Note: If a message displays, select [OK] to clear.

  • check the signals history and compare this to the next versions and record all relevant details

Note: You must ensure that all signals are checked as there may be more than one error

  • select [VH]. You will be taken to the View Application History screen
  • select [Versions]. You will be taken to the Select Application Version screen

Note: If you have arrived at this Step from Step 9, you will have already recorded the version dated date. This tells you when the error occurred. You may need to check a few dates before this.

  • select the appropriate version
  • select [OK]. You will be taken to the View Application History screen
  • select ‘Ap1’, ‘Ap2’ or ‘Ch’, as appropriate from the toolbar menu. You will be taken to the appropriate View Application History screen
  • select ‘History’ on the toolbar menu
  • select the appropriate history record you want to view from the options available. The history record for that signal will display
  • check the history records
  • select [Cancel]. You will be taken back to the View Application History screen
  • check all of the signals history and note all the details for customer 1 and customer 2 and any children, if appropriate for that version
  • repeat the actions in this Step until you identify any errors or until you reach the latest version

Note: If you haven’t identified an error and you have established that there has been a previous household, go back to Step 3 and follow the guidance to check that previous household.

then

  • when you have recorded all the necessary details from the History screens, go to Step 14.

Note: Some dates may have been populated by the computer - for example, the date in the Include From field could have been populated three months before the date the change was actually made on the computer. You can check this by looking at the version date.

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Step 13

Check the award to ensure that the correct details have been updated. To do this

  • use Function VIEW AWARD
  • enter the NINO in the Key Entry Data screen
  • select the ‘Latest’ checkbox
  • select [OK]
  • go to the Award Summary screen
  • select [View Calculation]. You will be taken to the View Calculation screen
  • select [View Elements]. You will be taken to the View Elements screen
  • using the information you have been provided with, check that the details are now correct. For example, if the information you have been provided with states that the customer has three qualifying children and only two have been included in the award, you will need to check the details recorded in Function VIEW AWARD to ensure that the correct details have been included
  • If the details aren’t correct - for example, the claim has incorrectly ceased, go to Step 15.
  • If the details are correct
  • use Function AMEND APPLICATION selecting the Correction option
  • enter the NINO in the Key Entry Data screen
  • select the ‘Latest’ checkbox
  • select [OK]. You will be taken to the Applicant Details - Applicant 1 screen

Note: If a message displays, select [OK] to clear.

  • select the relevant signal in relation to the change on the toolbar menu - for example, if you have received correspondence where a child’s details have been reported as incorrect, select [CH] on the toolbar menu
  • using the information that has been provided, check that the details are now correct
  • If the details are correct, go to Step 17.
  • If the details aren’t correct, go to Step 15.

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Step 14

Use Function VIEW HOUSEHOLD NOTES to confirm the details that you have established when checking the History screens

  • note any relevant information - for example, changes to jobs, hours or child details, adding or removing a household end date

Note: You must check if there are any Compliance Notes and, if there are, you must follow the guidance in TCM0134420.

then

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Step 15

From the information recorded, establish why the claim is incorrect

then

follow the appropriate guidance to apply the necessary corrections - for example, where a change of circumstances wasn’t applied correctly.

  • To correct child details - for example, there is a duplicate or fictitious child or to correct a child’s date of birth, follow the guidance in TCM0032160.
  • To correct a child start and/or end date on the claim or if the child details held on the claim are incorrect - for example, you have identified an incorrect child responsibility start date, follow the guidance in TCM0034320.
  • To correct a child effective date on the claim - for example, where you have established that the start date of a signal is correct but the date in the Include From field is incorrect, follow the guidance in TCM0034280.
  • To correct other start and/or end dates in history other than child signals that are incorrect - for example, you have identified an incorrect Income Support signal start date, follow the guidance in TCM0044260.
  • To correct other history effective dates on the claim - for example, where you have established that the start date of a signal is correct but the date in the Include From field is incorrect, follow the guidance in TCM0044220.
  • To correct details that shouldn’t have been on the computer in the first place - for example, the customer has never been registered as disabled but there are dates in the Start Date and Include From fields in the disabled signal, follow the guidance in TCM0042160.
  • To correct work history details that have been incorrectly actioned when the change of circumstances was first applied - for example, you have identified an incorrect gap in work history, follow the relevant guidance in TCM0050000.

Note: These examples aren’t exhaustive. If you’ve identified other required action - for example, PVE corrective action, follow the appropriate guidance in the Payment sections.

Note: You must attempt to correct every case where

  • an incorrect household end date is identified and you have confirmed that all the details on the PY claim are now correct, go to Step 16 to apply the correct household end date
  • (This content has been withheld because of exemptions in the Freedom of Information Act 2000) Step 17
  • no corrective action has been identified, refer the claim to Technical Advice Line (TAL) and then go to Step 17
  • the claim is incorrectly at SOA, corrective action has been taken, but the amended claim is still at status SOA, refer the claim to TAL and then go to Step 17
  • the claim is incorrectly at SOA and no previous year corrective action has been identified, refer the claim to TAL and then go to Step 17.

Note: You mustn’t recapture a claim that is incorrectly at SOA as this will potentially cause an overlapping award.

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Step 16

Where a household end date has been overwritten by a system termination date of 05/04/2004 or later and the original household end date would have ended the household entitlement before the system termination date, the customer would have received an incorrect entitlement between the household end date and the system termination date.

To ensure that the correct entitlement is received, all signals history for customer 1, customer 2 and any children must be ended using the household end date.

Note: Where a History screen already displays an existing end date and it’s earlier than the household end date, don’t amend the date. Any existing end dates must be equal to or earlier than the household end date.

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Step 17

Use Function MAINTAIN HOUSEHOLD NOTES to record the action you have taken.

Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.

The message you record will be dependent on which course of action you have taken. For example, if you followed the action in Step 6, record the message for the relevant Step

  • Step 6 - ‘TCMZ There is an End Date of 06/04/2003 in the End Date field only and no reason, case referred to BHD’
  • Step 7 - ‘TCMZ There is an End Date of 05/04/2004 in the End Date field only and no reason, case referred to BHD. (This content has been withheld because of exemptions in the Freedom of Information Act 2000) ’
  • Step 11 - ‘TCMZ Claim is PY (enter tax year) and S17 Finalised and subsequent award. Cannot correct as will cause overlap. Case sent to TAL to stockpile until further notice’ or ‘TCMZ Claim is PY (enter tax year) and S17 not Finalised. Cannot correct as any award generated will immediately be Terminated. Case sent to TAL to stockpile until further notice’
  • Step 13 - ‘TCMZ Correspondence received from customer stating that their claim is incorrect. Information checked and claim is now correct. Correspondence sent to storage’
  • Step 15 - ‘TCMZ Claim referred to TAL for further action’
  • Step 16 - ‘TCMZ Household end date has been overwritten by a system termination date of 05/04/2004 or later, therefore all signals history has been ended using the correct household end date’

then

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Step 18

Complete form TC648 and send it with any relevant correspondence to storage. Follow the guidance in TCM0074140.