TCM0156020 - Notes: Standardised Messages (A to D): Standardised Messages - A - Appeals and Mandatory Reconsiderations
Appeals correspondence sifting (codes start with AC)
Appeals Direct Lodgement (codes start with AD)
Appeals Manual Payments Team (codes start with AM)
Appeals process - Mandatory Reconsiderations (codes start with AR)
Appeals Settlement Team (codes start with AS)
Appeal submission writers (codes start with AW)
Standardised reference
Please ensure that the relevant standardised reference shown below is added to the end of the message. For more information see TCM0152090
- CP NW & NE - ‘CP Number/Grp Number/Task/Building/Floor or Room/PID’
- Compliance - ‘CxHx/PID/telephone number’
Appeals correspondence sifting
Please ensure that the relevant standardised reference shown below is added to the end of the message.
- CP NW & NE - ‘CP Number/Grp Number/Task/Building/Floor or Room/PID’
- Compliance - ‘CxHx/PID/telephone number’
| Message | Explanation |
|---|---|
| AC01 - Appeal received against decision dated (DD/MM/YY), tax year (YY/YY). Estimated date (DD/MM/YY) | An appeal has been received from the customer. The estimated date is the date that the appeal will be looked at by an officer. This isn’t the date that the appeal will be completed by. |
| This Note no longer used from 1 August 2013 - AC02 - Claimant appealing against non-appealable issue (Insert reason). TC822 issued to customer and corre passed to (name of group) | The customer is appealing against a non-appealable issue. A non-appealable issue includes, for example, missing payments, missing cashcheques or PVE. |
| AC03 - TC623/Appeal letter returned to claimant as it is unsigned | A form TC623 or appeal letter has been received but it hasn’t been signed. It’s therefore been returned. If the customer hasn’t signed a form TC623 or appeal letter, it can’t be accepted. |
| AC04 - Appeal returned. Appealing against an unissued notice. Not appealable | A form TC623 or appeal letter received from a customer has been returned to them because they’re appealing against a notice that hasn’t yet been issued to them. A covering letter is also sent to the customer to explain that, once they receive the notice, they can send their appeal to us. |
| AC05 - Late reply: (restore/good cause) with no points of appeal 04/05. Forwarded to (insert details) | An appeal has been received against the termination of an award because the renewal notice wasn’t received back in time. This isn’t appealable under regulation 38 of the Tax Credit Act. These appeals are forwarded onto another team to check if there are grounds to restore them on the tax credits computer. |
| AC06 - Unsigned Termination 05-06 | A form TC623 or appeal letter has been received regarding the termination of an award because we didn’t receive any signatures within the prescribed time. Restore, or good cause and appeal to be settled with the customer or submitted to the Tribunal, if settlement not agreed. |
| AC07 - (Recorded/Registered) letter (number) redirected to (insert details) (DD/MM/YY) | Self-explanatory. |
| AC08 - Soft termination tax year YY/YY TC620 sent. Appeal acknowledged against d.o.d DD/MM/YY tax year YY/YY. Estimated action date DD/MM/YY. Photocopy forwarded to restores team | Self-explanatory. |
| AC09 - Soft termination tax year YY/YYTC620 sent. Appeal acknowledgement not sent as appeal decision is over 13 months. Tax Year YY/YY Case passed to settlement team. Photocopy forwarded to restores team | Self-explanatory. |
| AC10 - Unsigned termination tax year YY/YY. Acknowledgment not issued as SOA date is over 13 months. Case passed to settlement team | Self-explanatory. |
| AC11 - EU CASE. TC620 sent. Appeal acknowledged against d.o.d. DD/MM/YY tax year YY/YY. Estimated action date DD/MM/YY | Self-explanatory. |
| This Note no longer used from 18 February 2011 - AC12 - BT POSTCODE. TC620 sent. Appeal acknowledged against d.o.d. DD/MM/YY tax year YY/YY. Estimated action date DD/MM/YY | Self-explanatory. |
| AC13 - WTC/AP received DD/MM/YY, third party name, authorised to act ONLY in relation to the mandatory reconsideration/ appeal (delete as appropriate) | User to enter date WTC/AP received, name of third party and whether for mandatory reconsideration or appeal ONLY. |
| AC14 - Appeal form sent to Compliance Appeals | Self-explanatory. |
| AC15 - Explanation/Information Triage letter sent to customer. BF 21 days (DD/MM/YY date for customer). (DD/MM/YY date for admin 28 days). Ref/GRP/Team/PID | Self -explanatory. |
| AC16 - UTC x 3 no reply to the Triage letter. Case sent to the Response team for Appeals Submission Service. Rep/GRP/Team/PID | Self-explanatory. |
| AC17 - Triage letter/Document/Information received DD/MM/YY. Not accepted. Case sent to the Response team for Appeals Submission Service. Rep/GRP/Team/PID | Self-explanatory. |
| AC18 - Triage letter/Document/Information received DD/MM/YY. Accepted. Single claim reinstated TC622(X) sent. Rep/GRP/Team/PID | Self-explanatory. |
| AC19 - Customer replied to Triage letter by telephone DD/MM/YY. Agreed decision and settlement.TC622(X) sent. 30 day BF DD/MM/YY. Pro forma completed Rep/GRP/Team/PID | Self-explanatory. |
| AC20 - Customer replied to Triage letter by telephone DD/MM/YY. Does not agree decision but agreed settlement.. 30 day BF DD/MM/YY. Pro forma completed TC622(X) sent Rep/GRP/Team/PID | Self-explanatory. |
| AC21 - Customer replied to Triage letter by telephone DD/MM/YY Does not agree decision and wishes to continue to Tribunal. Proforma completed. Case sent to the Response team for Appeals Submission Service. Rep/GRP/Team/PID | Self-explanatory. |
| AC22 - Customer replied to Triage letter DD/MM/YY. Agreed decision and settlement. TC622(X) sent. 30 day BF DD/MM/YY. Proforma completed. Rep/GRP/Team/PID | Self-explanatory. |
| AC23 - Customer replied to Triage letter DD/MM/YY. Does not agree the decision but agreed settlement. TC622(X) sent.30 day BF DD/MM/YY. Proforma completed. Rep/GRP/Team/PID | Self-explanatory. |
| AC24 - Customer replied to Triage letter DD/MM/YY. Does not agree the decision and wishes to continue to Tribunal. Proforma completed. Case sent to the Response team for Appeals Submission Service. Rep/GRP/Team/PID | Self-explanatory. |
| AC25 - Appeal closed case transferred to DOP. Closing letter sent DD/MM/YY. 30 day BF DD/MM/YY. Proforma completed. Rep/GRP/Team/PID | Self-explanatory. |
| AC26 - Not a CRA appeal case transferred back to Appeals. Proforma completed. Rep/GRP/Team/PID | Self-explanatory. |
| AC27 - Appeals papers sent to SIC Team in Preston. Rep/GRP/Team/PID | Self-explanatory. |
| AC28 - Copy of letter DD/MM/YY sent to SAR’s Team in Preston. Rep/GRP/Team/PID | Self-explanatory. |
| AC29 - Payments already reinstated due to CRA reconsideration.TC622R sent DD/MM/YY BF 30 days DD/MM/YY Appeals closed. Proforma completed. Rep/GRP/Team/PID | Self-explanatory. |
| AC30 - Invalid appeal received (over 13 months), tax year YY/YY. GRP/Team/PID. DBA Ref xxxxx (insert Keyword) | Self-explanatory. |
| AC31 - Invalid appeal received (Not duly made), tax year YY/YY. GRP/Team/PID. DBA Ref xxxxx (insert Keyword) | Self-explanatory. |
| AC32 - Customer appealing against non-appealable issue tax year YY/YY (Insert reason). TC822 issued to customer and corre passed to Appeals Team/PID | The customer is appealing against a non-appealable issue. A non-appealable issue includes, for example, missing payments, missing cashcheques or PVE. |
| AC33 - Multi-year - Appeal marker set against SOA tax year YY/YY. Group/Team/PID | Self-explanatory. |
| AC34 - Late appeal, reasons for lateness accepted/not accepted* letter issued | Customer has sent in an appeal that has been submitted late, the reasons for the late appeal have/have not been accepted. The customer has been notified. |
| AC35 - Appeal received from HMCTS (insert Tribunal SC Ref no), case papers sent to the Response writer for submission to HMCTS. | The customer has submitted an appeal to HM Courts and Tribunal Service (HMCTS) after receiving a Mandatory Reconsideration decision. The case has been sent to a Response Writer to prepare the submission to HMCTS. |
| AC36 - Late appeal - case reviewed under Official Error, original decision overturned*/partly overturned*/not changed*/*case papers sent to Response team *(delete as appropriate) Gp/team/PID | Customer submitted a late appeal. We have checked the original decision for any official error and have notified the customer of our findings. Case has been sent to Dispute team to consider the overpayment. |
Appeals Direct Lodgement
Please ensure that the relevant standardised reference shown below is added to the end of the message.
- CP NW & NE - ‘CP Number/Grp Number/Task/Building/Floor or Room/PID’
- Compliance - ‘CxHx/PID/telephone number’
| Message | Explanation |
|---|---|
| AD01 - DL response to (venue) tribunal RE: (category) MR decision dated (DD/MM/YY), for tax year (YY/YY) written by (full name of appeal manager). Case in 4 month BF, copy sent to (app/rep). SOLS TCFTT Grp X PI Number. Do not trace on GAL. | DL Response about the subject of the appeal written and now sent to the relevant office of HMCTS. A copy is also sent to relevant parties. If there are two appeals, include Tribunal Reference number. This should be a retained note. |
| AD02 - Documents issued to Presenting Officer (insert details) | Presenting Officers (PO) represent TCO at the appeal tribunal. The message will usually carry the name of the PO. |
| AD03 - Outcome of Tribunal hearing (upheld/struck out/adjourned/reversed/withdrawn) against decision dated (DD/MM/YY), tax year (YY/YY). Case sent to storage. SOLS TCFTT Grp X PI Number. Do not trace on GAL. | This records the decision made by the appeal tribunal. It may also carry a note stating that the computer has been updated. |
| AD04 - (Venue) tribunal have reversed our decision dated (DD/MM/YY), tax year (YY/YY). Request to HMCTS for Statement of Reasons. TCSUSTERM6 letter sent to appellant. SOLS TCFTT Grp X PI Number. Do not trace on GAL. | When TCO loses an appeal at tribunal, the Response writer asks the Tribunal for a statement of the reasons for the decision. ‘TC SUSTERM6’ is a letter sent to the customer to tell them that TCO won’t pay the tax credits while we decide whether to take the case to the Upper Tribunal. (To be used in conjunction with AD13). This should be a retained note, to be removed when appropriate. |
| AD05 - Letter/Fax/TC(XXX) to (insert details) re (insert details) SOLS TCFTT Grp X PI Number. Do not trace on GAL. | Letter, fax or form sent to person or agency regarding particular reason. |
| AD06 – ‘TC SUSTERM6’ letter (HMRC challenging Tribunal decision) sent to appellant SOLS TCFTT Grp X PI Number. Do not trace on GAL. | ‘TC SUSTERM6’ is a letter sent to the customer to tell them that TCO won’t pay the tax credits after their successful appeal tribunal hearing while we decide whether to take the case to the Upper Tribunal. |
| AD07 - Case papers/CMA records/man corre/RDC image (delete as appropriate) requested. (insert reason if required) SOLS TCFTT Grp X PI Number. Do not trace on GAL. | Case papers/CMA records/man corre/RDC image (delete as appropriate) requested. |
| AD08 - DL Supplementary response written by (full name of appeal manager) against decision notice/further evidence dated xx/xx/xx. Case returned to 4 month BF. SOLS TCFTT Grp X PI Number. Do not trace on GAL. | Supplementary response written due to receipt of further information/direction from either Appellant/Rep or Tribunal. (OA team can include Trib ref number if necessary, otherwise not necessary). This should be a Retained note. |
| AD09 - Request to withdraw appeal (DD/MM/YY) from Appellant. Response/Supplementary (delete as appropriate) sent to Tribunal and copy sent to Appellant. Case in 4 MONTH BF.(Initials). SOLS TCFTT Grp X PI Number. Do not trace on GAL. | Customer requests to withdraw their appeal. Response/Supplementary (delete as appropriate) and letter from appellant sent to Tribunal. Case in 4 month BF. This should be a Retained note. |
| AD10 - Tribunal Hearing details received. (Presenting Officer requested). Case returned to 4 month live run BF. Await hearing outcome. SOLS TCFTT Grp X PI Number. Do not trace on GAL. | Hearing details received by the Tribunal Liaison Team from the Tribunal which includes a request for a Presenting Officer to attend the hearing. Case filed in the 4 month live run BF until the outcome of the appeal. |
| AD11 - Direction Notice/further evidence received from Tribunal. Case passed to SOLS/GRPX/TX for consideration). SOLS/GRPX/TX PINO | Further evidence/information received from the Tribunal which requires a supplementary Response. Case passed to Response Team/Writer to complete the relevant action. |
| AD12 - Request to LAT for advice. Case in appeal managers BF drawer. SOLS TCFTT Grp X PI Number. Do not trace on GAL. | Appeal Team/Manager requires further advice from the Legislative Advice Team. Case placed in overnight drawer until further advice has been provided. |
| AD13 - STATEMENT OF REASON. DO NOT WORK ALLOWED DECISION NOTICE. Please contact (Name of appeal manager) on (Ext. No). SOLS TCFTT Grp X PI Number. Do not trace on GAL. | Case allowed at Tribunal, however Response Writer has requested an explanation of Judge’s decision (Known as Statement of Reasons) before the Tribunal decision is implemented or challenged. (To be in conjunction with (AD04). This should be a Retained note, to be removed when appropriate. |
| AD14 - Free Format. Must conform to agreed HH note protocols. SOLS TCFTT Grp X PI Number. Do not trace on GAL. | Use this note to explain in plain English what is happening with a case. Keeping jargon to a minimum. |
| AD15 - S18 decision issued after MRN issued. Full DL Submission includes request for appeal to be lapsed re: (insert appeal reason) for Mandatory Reconsideration (MR): decision dated (DD/MM/YY), tax year (YY/YY) written by (submission writer’s name) sent to (name of tribunal) tribunal (insert Tribunal SC ref no). Appeal in 4 month BF and copy sent to Appellant’s representative SOLS TCFTT Grp X PI Number. Do not trace on GAL. | A Direct Lodgement response has been written and sent to the Tribunal Service asking for the Appeal to be lapsed due to a Section 18 decision being made after the Mandatory Reconsideration decision notice was issued. |
| AD16 – Appeal Documents with (full name of appeal manager). SOLS TCFTT Grp X PI Number. Do not trace on GAL. | Appeal Documents with appeal manager. Do not trace on GAL. |
| AD17 – Statement of Reasons received from Tribunal. Forwarded to LAT to consider Upper Tribunal Referral. SOLS TCFTT Grp X PI Number. Do not trace on GAL. | Statement of Reasons received from Tribunal. Forwarded to LAT to consider Upper Tribunal Referral. Do not trace on GAL. This should be a Retained note, to be removed when appropriate. |
Appeals Manual Payments Team
This team calculates and issues manual payments to cover the entitlement on appeal when the tax credits computer won’t update.
Please ensure that the relevant standardised reference shown below is added to the end of the message.
- CP NW & NE - ‘CP Number/Grp Number/Task/Building/Floor or Room/PID’
- Compliance - ‘CxHx/PID/telephone number’
| Message | Explanation |
|---|---|
| AM01 - Manual backdating calculation done. Sent for checking | On receipt of the case, a calculation is done to find out the amount the customer is owed. It’s then passed to a manager for a 100% check. |
| AM02 - Manual CoC calculation done. Sent for checking | As above. self-explanatory. CoC - Change of Circumstance. |
| This Note no longer used from 1 August 2013 - AM03 - Appeal settled as case backdated to (DD/MM/YY) manually. TC622 sent | Once a case has been checked by the manager, if grounds for appeal have been fulfilled the appeal is settled and a letter of notification is sent to the customer. |
| This Note no longer used from 1 August 2013 - AM04 - Appeal settled as (CoC reason) paid manually TC622 sent | As above. |
| AM05 - TC621 sent (reason for enquiry and BF date) | Form TC621 enquiry form sent. |
| AM06 - TC609 reminder sent as no reply to TC621. (BF date) | If the two-week BF date on form TC621 expires, a TC609 reminder form is sent to the customer. A further two weeks is then allowed. |
| AM07 - Appeal forwarded to (Type) under (TT-number), awaiting further guidance | The appeal has been forwarded for stockpile because the Appeals Team is unable to work them due to EARS or guidance issues. |
| AM08 - Appeal transferred to (insert details) | If a case isn’t for the Appeals Manual Payments Team, it’s transferred to the appropriate team. |
| AM09 - Manual payment written by Manual Payments Team (team number) R92TC (serial no.) for £(XXXX)CTC/WTC. (Backdating/CoCs) for (period payment covers) to (Name) | Payment issued to cover backdating or change of circumstance arrears. |
| AM10 - Manual payment checked | Manual payment checked by manager. |
| AM11 - (Recorded/Registered) letter (number) redirected to (insert details) (DD/MM/YY) | Self-explanatory. |
| AM12 - Appeal settled, tax year YY/YY as case backdated to DD/MM/YY manually. TC622 sent Appeals Team/PID | Once a case has been checked by the manager, if grounds for appeal have been fulfilled the appeal is settled and a letter of notification is sent to the customer. |
| AM13 - Appeal settled, tax year YY/YY as (insert CoC reason) paid manually. TC622 sent Appeals Team/PID | As above |
Appeals process - Mandatory Reconsiderations
From 6 April 2014 customers will have to request a Mandatory Reconsideration prior to making an appeal.
Please ensure that the relevant standardised reference shown below is added to the end of the message.
- CP NW & NE - ‘CP Number/Grp Number/Task/Building/Floor or Room/PID’
- Compliance - ‘CxHx/PID/telephone number’
| Message | Explanation |
|---|---|
| AR01 - Mandatory Reconsideration request received on DD/MM/YY against decision notice dated DD/MM/YY, tax year YY/YY, passed to Compliance*/Mandatory Reconsideration Team (*delete as appropriate). | A request for a Mandatory Reconsideration has been received from the customer. The request will be looked at and the customer will be notified of the outcome in due course |
| AR02 - Mandatory Reconsideration request received on DD/MM/YY against the decision notice dated DD/MM/YY, tax year YY/YY. Request received out of time, TC1130 issued. | A request for a Mandatory Reconsideration has been received from the customer. The request has been received out of the 30 day time limit and the customer has been notified that their request has not been accepted. |
| AR03 - Mandatory Reconsideration request received on DD/MM/YY against decision notice dated DD/MM/YY, tax year YY/YY. Reasons for lateness accepted*/not accepted*, passed to caseworker*/ letter issued* (*delete as appropriate) | A request for a Mandatory Reconsideration has been received from the customer. The request has been received late. The reasons for lateness have been considered and have been accepted/not accepted. |
| AR04 - Mandatory Reconsideration request received on DD/MM/YY about decision notice dated DD/MM/YY, tax year YY/YY. Customer has already had a mandatory reconsideration for this decision, letter to customer. | A request for a Mandatory Reconsideration has been received from the customer. Customer has already had a mandatory reconsideration for this decision; customer will need to submit an appeal to the HM Courts and Tribunal Service. |
| AR05 - Mandatory Reconsideration request received on DD/MM/YY against decision notice dated DD/MM/YY, tax year YY/YY. Mandatory Reconsideration not applicable (insert reason). *Papers to PA/Passed to (insert team) to consider (delete as appropriate) (name of group) | A request for a Mandatory Reconsideration has been received from the customer. The decision does not carry appeal rights therefore a Mandatory Reconsideration is not applicable. Correspondence has been placed in PA/passed to the relevant team to work. |
| AR06 - Mandatory Reconsideration, customer agreed that the decision notice dated DD/MM/YY, tax year YY/YY, is correct, Mandatory Reconsideration notice issued. | Customer requested a Mandatory Reconsideration and has agreed that the original decision was correct. |
| AR07 - Mandatory Reconsideration, contacted customer/unable to contact customer* (*delete as appropriate) customer does not agree with the decision notice dated DD/MM/YY, tax year YY/YY, Mandatory Reconsideration notice issued. | Customer requested a Mandatory Reconsideration, HMRC have looked at the decision again and have not changed it, the customer still disagrees with the decision and can now submit an appeal. |
| AR08 - Mandatory Reconsideration. Decision notice dated DD/MM/YY, tax year YY/YY upheld in favour of HMRC (insert reason). | Customer requested a Mandatory Reconsideration, HMRC have looked at the decision again and have upheld the original decision. |
| AR09 - Mandatory Reconsideration. Customer has sent in further evidence after Mandatory Reconsideration decision was made on DD/MM/YY. Letter and corre to customer. | Customer has sent in further information to support their Mandatory Reconsideration but the information was received after the decision had been made. Information returned to customer, if they are unhappy they will have to appeal. |
| AR10 - Triage letter issued for further information. BF 21 days DD/MM/YY. | Further information has been requested from customer to support their Mandatory Reconsideration. |
| AR11 - Mandatory Reconsideration not appropriate, case reviewed under Official error/additional powers, original decision overturned/partly overturned/ not changed/ case papers sent to dispute team to consider overpayment (delete as appropriate) | Customer has requested a Mandatory Reconsideration but their request was out of time. We have checked the original decision for any official error or additional powers to amend and have notified the customer of our findings. |
| AR12 - Further evidence requested during telephone call with customer to support mandatory reconsideration. BF for 21 days. | We require further evidence to support the customers Mandatory Reconsideration. Requested this over the phone, customer has 21 days to send it in to us. |
| AR13 - Customer called to discuss decision made on dd/mm/yy. Customer advised to submit request for Mandatory Reconsideration/including reasons for lateness/ and submit further evidence. | Customer called and disagrees with our decision. Advised customer to submit request for Mandatory Reconsideration and to provide further evidence plus reasons for lateness, if any. |
| AR14 - Mandatory reconsideration decision notice already issued, evidence not considered/considered, case reviewed under official error/additional powers, original decision changed/not changed | Mandatory reconsideration decision notice already issued, evidence not considered/considered. Case reviewed under official error/additional powers and original decision changed/not changed. |
| AR15 - Soft termination tax year YY/YY TC620 sent. Mandatory Reconsideration acknowledged against d.o.d (decision date) DD/MM/YY tax year YY/YY. Estimated action date DD/MM/YY. Photocopy forwarded to restores team | Soft termination , TC620 sent. Mandatory Reconsideration acknowledged. Photocopy forwarded to restores team |
| AR16 - Mandatory Reconsideration request received on DD/MM/YY against decision notice dated DD/MM/YY, tax year YY/YY. Withdrawn at customer request. TC1303 issued. | Mandatory Reconsideration request received against decision notice, withdrawn at customer request. TC1303 issued. |
| AR17 - Mandatory Reconsideration. Await system update for tax year YY/YY (insert reason) BF DD/MM/YY. | Mandatory Reconsideration. Await system update. |
| AR18 - MR currently being worked. Awaiting (insert documents requested e.g. casepapers/ CMA records/ RDC images etc). BF DD/MM/YY. | Mandatory Reconsideration case in BF. Awaiting documents. |
| AR20 - s18 decision made prior to Mandatory Reconsideration Decision. All MR grounds met. Decision notice dated DD/MM/YY, tax year YY/YY overturned (insert reason). Mandatory Reconsideration notice issued. | A request for a Mandatory Reconsideration has been received from the customer. A Section 18 decision has taken place prior to making a decision on the Mandatory Reconsideration and has met all the grounds the customer is asking for within their Mandatory Reconsideration request. |
| AR21 - Mandatory Reconsideration request received on DD/MM/YY against decision notice dated DD/MM/YY. Mandatory Reconsideration not applicable as a s18 decision has been made prior to the MR decision being made and s18 decision has not met the grounds of the MR. | A request for a Mandatory Reconsideration has been received from the customer. A Section 18 decision has taken place prior to receiving the Mandatory Reconsideration but it does not meet all the grounds of the Mandatory Reconsideration received. Customer will need to submit a request for an MR against the later s18 decision. |
| AR22 - Mandatory Reconsideration. Decision notice dated DD/MM/YY, tax year YY/YY part overturned (insert reason) in HMRC*/customer* (*delete as appropriate) favour. Mandatory Reconsideration notice issued. | Customer requested a Mandatory Reconsideration, HMRC have looked at the decision again and have part overturned the original decision in HMRC/customer favour. |
| AR23 - Mandatory Reconsideration. Decision notice dated DD/MM/YY, tax year YY/YY overturned in favour of the customer (insert reason). Mandatory Reconsideration notice issued. | Customer requested a Mandatory Reconsideration, HMRC have looked at the decision again and have overturned the original decision in the customer favour. |
| AR24 - Letter rec’d on DD/MM/YY, no acceptable reason for lateness provided. No OE or additional powers. MR process now exhausted TC1130a issued. | Customer has written in again after receiving a TC1130 letter not accepting their original MR request due to lateness. A second request has been received from the customer but no reason for lateness provided. |
| AR25 - Letter rec’d on DD/MM/YY, reason for lateness provided but not accepted. No OE or additional powers. MR process now exhausted TC1130a issued. | Customer has written in again after receiving a TC1130 letter not accepting their original MR request due to lateness. A second request has been received from the customer but the reason for lateness provided has not been accepted. |
| AR26 - TC2012 form issued, following 3 x UTC to customer, for the reason(s) for asking for an MR on the decision notice dated DD/MM/YY in the tax year YY/YY. | 3 unsuccessful telephone calls (UTC) have been attempted, in order to maximise the opportunity to contact the customer. The reason for the calls was to ask the customer why they had asked for a Mandatory Recosideration on a decision notice, as they have not given enough information on the letter/i-form they sent to us. |
| AR27 - Not duly made letter issued DD/MM/YY as no reply to TC2012 issued on DD/MM/YY. MR closed. | No reply has been received to the TC2012 letter issued. Therefore, no further action will be taken on the Mandatory Reconsideration request. They have no grounds for Mandatory Reconsideration action to continue. |
| AR28 – Mandatory Reconsideration request received from third party. No authority to act. TC2050 issued. Documents returned* (delete as necessary) | Mandatory Reconsideration request received from third party who has no authority to act. Letter issued to claimant returning documents and requesting customer completes ‘authority to act’ form. |
| AR29 – Mandatory Reconsideration request received on DD/MM/YY against the decision notice dated DD/MM/YY, tax year YY/YY. Request received out of time TC2020 issued for reason | Mandatory Reconsideration request received out of time with no reason for lateness. Letter issued to claimant to obtain reason for lateness. |
| AR30 – MR request received against Final Estimated award for tax year (YY/YY). No MR rights against this decision so MR to be worked against initial award notice for tax year (YY/YY). Letter issued to customer to explain. | Customer has requested an MR against a Final Estimated Award Notice. This notice doesn’t have MR rights therefore caseworker to carry out an MR against the initial award notice for the subsequent tax year. Letter issued to customer to explain this.. |
| AR31 - MR request received against Final Estimated award for tax year (YY/YY). No MR rights against this decision and no CY award. Letter issued to customer to explain this. | Customer has requested an MR against a Final Estimated Award Notice. This notice doesn’t have MR rights and no CY award present. Letter issued to customer to explain this. |
Appeals Settlement Team
Appeals have been registered and are being looked at to check whether the award is correct or needs amending.
Please ensure that the relevant standardised reference shown below is added to the end of the message.
- CP NW & NE - ‘CP Number/Grp Number/Task/Building/Floor or Room/PID’
- Compliance - ‘CxHx/PID/telephone number’
| Message | Explanation |
|---|---|
| This Note no longer used from 1 August 2013 - AS01 - UTC to (insert details) regarding (reason). TC621 sent | Unanswered phone calls to customer. Form TC621 enquiry form sent to customer. |
| This Note no longer used from 1 August 2013 - AS02 - Reply to TC621 not received. TC609 reminder sent | Self-explanatory. |
| AS03 - T/C to (insert details). Agreed to settle appeal against decision dated (DD/MM/YY), tax year (YY/YY) without further amendment. TC622 issued | Phone call to customer. Agreement to settle appeal reached with customer over the phone or from a reply to form TC621. The appeal can now be closed and a notification letter TC622 can be issued. |
| This Note no longer used from 1 August 2013 - AS04 - Settlement of appeal not reached against decision dated (DD/MM/YY), tax year (YY/YY), papers sent for submissions to the Appeal Service (AS) | The customer doesn’t agree to have the appeal closed, either with no action or after a change has been entered. The papers are sent to the Submissions Writing Team. |
| AS05 - CMA records, man corre and RDC image requested | Details of Contact Centre phone calls, correspondence and screen prints of claims made through Rapid Data Capture requested. |
| AS06 - Appeal closed. Clerical Error. (action required). TC822 issued | This happens when an appeal is incorrectly set up. There is no action to be taken by Appeals but there may be action to be taken by another team. |
| AS07 - Child Workaround done. (detail action taken) | Where there’s an incorrect award, nil entitlement or ceased entitlement but the case should still be in payment, system workaround action is taken to correct the details. |
| This Note no longer used from 1 August 2013 - AS08 - Await system update. (BF date) | A change of circumstances or correction has been entered. The member of staff is waiting for the change to be processed. |
| AS09 - Unable to make system payment, papers referred to Appeals manual payment Team | Payments not made, despite computer updates. Case forwarded to Appeals Manual Payments Team for calculation. |
| AS10 - Papers returned from Submissions. Further information needed from claimant | The customer needs to be contacted for further information before the Submissions Writing Team can continue with their action. |
| AS11 - Case stockpiled. Awaiting system fix to correct award details | System workarounds have been made but the decision is still incorrect or can’t be made due to a known error. Await system fix to correct the award details. |
| AS12 - (Recorded/Registered) letter (number) redirected to (insert details) (DD/MM/YY) | Self-explanatory. |
| AS13 - Letter sent from Appeals asking claimant to telephone me on direct line number | Self-explanatory. |
| AS14 - Appeal Documents with (insert details) | Self-explanatory. |
| This Note no longer used from 1 August 2013 - AS15 - All Appeal points addressed. Appeal settled. Claimant notified onTC622 | Self-explanatory. |
| AS16 - Misadvise considered and (accepted/not accepted). Evidence considered (insert details) | Self-explanatory. |
| AS17 - UTC to (insert details) regarding (insert reason). TC621 sent. Appeals Team/PID | Unanswered phone calls to customer. Form TC621 enquiry form sent to customer. |
| AS18 - Reply to TC621 not received. TC609 reminder sent, tax year YY/YY (insert reason). Appeals Team/PID | Self-explanatory. |
| AS19 - Settlement of appeal not reached against decision dated DD/MM/YY, tax year YY/YY (insert reason) (insert Tribunal SC Ref no). Papers to Response Writer to prepare a submission to the Appeal Service. Appeals Team/PID | The customer does not agree to have the appeal closed, either with no action or after a change has been entered. The papers are sent to the Submissions Writing Team. |
| AS20 - Await system update tax year YY/YY (insert reason) BF DD/MM/YY. Appeal Team/PID | A change of circumstances or correction has been entered. The member of staff is waiting for the change to be processed. |
| AS21 - All Appeal points addressed. Appeal settled tax year YY/YY (insert reason). Customer notified on TC622 Appeals Team/PID | Self-explanatory. |
| AS22 - Appeal overturned, referral has been sent to the Penalty team to recalculate or fully remove the penalty | Appeal overturned, referral has been sent to the Penalty team to recalculate or fully remove the penalty. |
| AS23 - s18 decision issued after Submission sent to Tribunal. Official Error identified. Claim re-instated as per Tribunal Direction. All Appeal points addressed. Appeal Settled tax year YY/YY (insert reason Customer notified(Initials). (Group/team number). PI Number | Tribunal outcome decision made prior to Section 18 decision being made. Tribunal decision implemented along with any official error identified in favour of the customer. |
| AS24 - s18 Decision issued after Submission sent to Tribunal. Tax year YY/YY Decision not implemented (Insert Reason) customer notified (Initials). | Section 18 decision made after original submission issued to the Tribunal Service. Tribunal outcome decision made but not implemented as Section 18 decision now supersedes it. |
Appeal submission writers
Appeals Team 32 manages cases where settlement staff are unable to arrive at an agreement with the customer. These cases are prepared for the tribunal by writing a detailed submission, including the law and evidence used for the tax credits decision.
Please ensure that the relevant standardised reference shown below is added to the end of the message.
- CP NW & NE - ‘CP Number/Grp Number/Task/Building/Floor or Room/PID’
- Compliance - ‘CxHx/PID/telephone number’
| Message | Explanation |
|---|---|
| This Note no longer used from 7 October 2014 - AW01 - Vantive BF area G | Case held in appeal submission writer’s EARS BF drawer awaiting resolution of the EARS. |
| This Note no longer used from 7 October 2014 - AW02 - Case on (Name of AA) desk awaiting decision from the tribunal | A member of staff has taken the case out of the four-month tribunal BF. A case was sent to the Appeals Service a long time ago and we haven’t heard from them so an enquiry needs to be made. |
| AW03 - Full DL Submission re (appeal reason; Credit Reference Agency (CRA), Child Responsibility, Income, etc) for Mandatory Reconsideration (MR): decision dated (DD/MM/YY), tax year (YY/YY) written by (submission writer’s name) sent to (name of tribunal) tribunal (insert Tribunal SC ref no). Appeal in 4 month BF and copy sent to Appellant’s representative. (Initials). CSSG (group/team number). PI Number. | Submission regarding the subject of the appeal written by the person who sent to the relevant regional office of the Appeals Service tribunal. A copy is also sent to the representative, if there is one. |
| This Note no longer used from 7 October 2014 - AW04 - Case ready for submission Pro 1 MS word documents prepared | A Pro 1 is a template that the appeal submission writer uses to write the appeal submission. It isn’t a standard form. The case is now ready for the appeal submission writer to draft the submission to the tribunal. |
| This Note no longer used from 7 October 2014 - AW05 - Case returned to ASAT/Section as action required re (insert details) | Case sent by Group 32 either to the Appeals Support Admin Team (ASAT) or to another team for action. ASAT are the direct support for the submission writers |
| AW06 - Documents issued to Presenting Officer (insert details) | Presenting Officers (PO) represent TCO at the appeal tribunal. The message will usually carry the name of the PO. |
| This Note no longer used from 7 October 2014 - AW07 - Case in ASAT’s BF area G awaiting (insert action) | Case in Appeal Support Admin Team BF. This will include what the action is. |
| This Note no longer used from 7 October 2014 - AW08 - TC(XXX) enquiry form issued by ASAT | Enquiry form issued by Appeals Support Admin Team (ASAT). ASAT are the direct support for the submission writers. |
| AW09 - Outcome of Tribunal hearing (upheld/struck out/adjourned/reversed/withdrawn) against decision dated (DD/MM/YY), tax year (YY/YY). Case sent to storage. (Initial) CSSG (group/team number). PI Number. | This records the decision made by the appeal tribunal. It may also carry a note stating that the computer has been updated. |
| AW10 - (Venue) tribunal have reversed our decision dated (DD/MM/YY), tax year (YY/YY). Request to TAS for statement of reasons for decision | When TCO loses an appeal at tribunal, the submission writer asks the Appeals Team for a statement of the reasons for the decision. TCO may appeal to the Social Security Commissioner. |
| AW11 -Letter/Fax/TC(XXX) to (insert details) re (insert details) | Letter, fax or form sent to person or agency regarding particular reason. |
| AW12 - SUSTERM6 sent to appellant | SUSTERM6 is a letter sent to the customer to tell them that TCO won’t pay the tax credits after their successful appeal tribunal hearing while we decide whether to take the case to the Social Security Commissioner. |
| AW13 - Case papers requested from archives to verify (insert reason) | Self-explanatory. Stores - Iron Mountain. |
| This Note no longer used from 7 October 2014 - AW14 - Appeal in (insert area) pending (insert reason) | Case in BF awaiting action. The case may be awaiting advice on whether or not to appeal to the Social Security Commissioner. |
| This Note no longer used from 7 October 2014 - AW15 - (Recorded/Registered) letter (number) redirected to (insert details) (DD/MM/YY) | Self-explanatory. |
| AW16 - Supplementary submission written by (insert details) against MR decision dated (DD/MM/YY), tax year (YY/YY) sent to (insert details) tribunal (insert Tribunal SC ref no). Appeal in 4 month BF | When a submission is sent to the Appeals Service they send a copy to the appellant. Sometimes, when they get their copy the appellants send letters to the Appeals Service. The Appeals Service then sends a copy of the letter they receive to the TCO in case it affects the decision under appeal. If the letter asks a question that needs to be answered or if it tells TCO something that was not known earlier, another (Supplementary) submission is sent to the Appeal Service to respond to these issues. |
| This Note no longer used from 7 October 2014 - AW17 - Request to withdraw appeal made at hearing | Self-explanatory. |
| AW18 - Request to withdraw appeal (DD/MM/YY) from Appellant, withdraw letter issued case sent to storage. (Initials). CSSG (group/team number. PI Number. | Customer requests to withdraw their appeal. Withdrawal letter issued by the caseworker to the customer to confirm their appeal has been withdrawn. |
| AW19 - Tribunal Hearing details received. (Presenting Officer requested). Case returned to 4 month live run BF. Await hearing outcome. (Initials). CSSG (group/team number). PI Number. | Hearing details received by the Tribunal Liaison Team from the Tribunal which includes a request for a Presenting Officer to attend the hearing. Case filed in the 4 month live run BF until the outcome of the appeal. |
| AW20 - Direction Notice/further evidence received from Tribunal Service. Case passed to (Supplementary Submissions Team/ Submissions Writer (initials) for consideration). (Initials). CSSG (group/team number). PI Number. | Further evidence/information received from the Tribunal which requires a supplementary submission. Case passed to Submission Team/Writer to complete the relevant action. |
| AW21 - Request to LAT for advice. Case in (Supplementary Submissions Team/ Submission Writer (initials) overnight draw. (Initials). CSSG (group/team number). PI Number. | Submission Team/Writer requires further advice from the Legislative Advice Team. Case placed in overnight draw until further advice has been provided. |
| AW22 - STATEMENT OF REASON. DO NOT WORK ALLOWED DECISION NOTICE. Please contact (Name of Response writer) on (Ext. No) | Case allowed at Tribunal, however Response Writer has requested an explanation of Judge’s decision (Known as Statement of Reasons) before the Tribunal decision is implemented or challenged. |
| AW23 - s18 decision issued after Submission sent to Tribunal. Supplementary submission written includes request for appeal to be lapsed re: (insert appeal reason) for Mandatory Reconsideration (MR): decision dated (DD/MM/YY), tax year (YY/YY) written by (submission writer’s name) sent to (name of tribunal) tribunal (insert Tribunal SC ref no). Appeal in 4 month BF and copy sent to Appellant’s representative. (Initials). (Group/team number). PI Number | A supplementary submission has been issued to the Tribunal Service asking for the Appeal to be lapsed due to a Section 18 decision being made after the original submission was issued to the Tribunal Service. |
| AW24 – IMPORTANT - LBA/JR/County Court /Appeal to Upper Tribunal - notify any change of circs, intention to make a new decision or to recover an overpayment, affecting tax year XXXX/XXXX to (caseworker’s name) at LIT (B&C) (tele number) immediately. | LBA/JR/County Court /Appeal to Upper Tribunal - notify any change of circumstance, intention to make a new decision or to recover an overpayment, affecting tax year XXXX/XXXX to (caseworker’s name) at LIT (B&C) (tele number) immediately. |
| AW25 – LBA/JR/County Court/Appeal to Upper Tribunal – all action complete. | LBA/JR/County Court/Appeal to Upper Tribunal – all action complete. |