TCM0194100 - NTC listings (Unfinalised S17): NTC listing - Unfinalised S17 - Awaiting change of circumstances (AG)

To deal with an entry on NTC Listing for ‘Unfinalised S17 - Awaiting change of circumstances’, consider steps 1 to 23.

Step 1

Use the Function Menu

• select ‘NTC Listing’ from the Worklists drop down menu. You’ll be taken to the NTC Listing screen
• select ‘Unfinalised S17’ from the Listing Type drop down menu
• select the number that corresponds to the initial letter of the name you require from the Selection drop down menu - for example, select 14 for names beginning with the letter ‘N’, a full list of the selected items will display
  Note: The message ‘No Listing Entries for the Selection / Listing Type’ will display if there aren’t any entries for your chosen number.
• go to Step 2.

Step 2

Sort and filter the entries to identify the ‘Awaiting Change of Circumstance’ entries and also the priority cases. To do this

• select [Sort Filter]. The Sort and Filter Worklist Entries screen will display
• sort the entries by reason of the Priority Indicator selecting the ‘Descending’ checkbox, so that the ‘Awaiting Change of Circumstance’ priority cases are identified and worked first
• filter the entries so that only those with reason of ‘Awaiting COC’ are shown
  Note: Follow the guidance in TCM0140020.
• select [OK]. You will be taken to the NTC Listing screen which will display the sorted and filtered work list entries
  • If the entry is ‘Awaiting Change of Circumstances’ and another reason, follow the NTC Listing guidance for the other reason - for example, if the other reason is ‘Verification Failures’, follow the guidance in TCM0194260 first
    then
  • return to this guidance prior to finalising the claim
• make a clerical note of the work item you are going to action - for example, name, NINO, reason, whether or not an ‘Appeal’ reason is shown and also check if an action date has expired
  Note: If the reason doesn’t display, select the work item and then select [Details]. The Listing Entry Details screen will display, which will show the reason for the work item.
  Note: This guidance will ask you to select the 20XX-20XX year that isn’t finalised. The year you need to select depends on when you’re working Function NTC LISTING - for example, if you’re working Function NTC LISTING after
  6 April 2015, you need to select year 2013-2014
  6 April 2016, you need to select year 2014-2015
  6 April 2017, you need to select year 2015-2016, and so on.
• go to Step 3.
  Note: Use Function VIEW S17 DETAILS and go to the Current Position screen for the claim that you’re dealing with. The status of the renewal will be displayed in the Status field. Make a note if the status of the CY claim is ‘Terminated’.

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Step 3

If you noted in Step 2 that you

• are dealing with an expired action date, use Function VIEW HOUSEHOLD NOTES to check for a note. If the note indicates
  • that we’re waiting for the claim to renew before continuing with the finalise action, go to Step 17.
  • that we’re waiting for the claim to finalise before continuing with the final NTC Listing action, go to Step 18.
  • terminate before continuing with the final NTC Listing action, go to Step 16.
  • that we’re dealing with an expired action date for any other reason, go to Step 10.
• are dealing with a reply to a written enquiry, go to Step 11.
• aren’t dealing with an expired action date
  • follow the guidance in TCM0194040
    then
  • return to this guidance and go to Step 4.

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Step 4

Use Function VIEW HOUSEHOLD ACCOUNT to check if one or more of the subsequent year’s awards has been finalised. To do this

• enter the customer’s NINO in the Key Entry Data screen
• select the All checkbox
• select [OK]. You will be taken to the Select Award screen
• select the appropriate award year that you’re dealing with
• select [OK]. You will be taken to the View Award Period Summary screen
• check the Award Status field. If the award status for any of the subsequent years is
  • finalised
    • make a note of this
    • go to Step 5.
  • unfinalised, go to Step 5.

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Step 5

Use Function VIEW LINKED WORK ITEMS to establish if the work item is also on the Unprocessed Change of Circumstances work list

• If it is on the Unprocessed Change of Circumstances work list
  • make a note of the MU number
  • go to Step 6.
• If it isn’t on the Unprocessed Change of Circumstances work list and you noted at Step 4 that the award status for any of the subsequent years is
  • finalised, follow the guidance in TCM0264220 from step 14
  • unfinalised, go to Step 14.

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Step 6

Use Function MAINTAIN WORKLIST

• select the Unprocessed Change of Circumstances work list from the drop down menu for the Worklist Type field
• select the MU number you noted in Step 5 for the Unprocessed Change of Circumstances work item. The screen will be redisplayed with the entries currently on the work list for the MU
• sort and filter the work list by Reference and enter the NINO. The screen will redisplay with the required Unprocessed Change of Circumstances work item
• go to Step 7.

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Step 7

Note: If you’re working Function NTC LISTING after

6 April 2015, you’ll be working 2013-2014 as CY, making 2012-2013 PY and 2011-2012 PY-1

6 April 2016, you’ll be working 2014-2015 as CY, making 2013-2014 PY and 2012-2013 PY-1

6 April 2017, you’ll be working 2015-2016 as CY, making 2014-2015 PY and 2013-2014 PY-1, and so on.

Make a note of the details of the Unprocessed Change Of Circumstances work item in the Applies to field.

Note: For more information about the Unprocessed Change of Circumstances work item, follow the guidance in TCM0054060.

• If you have all of the information required to apply the change and you noted at Step 4 that the award status for any of the subsequent years is
  • finalised
    • Delete the Unprocessed Change of Circumstances work item from the Unprocessed Change Of Circumstances work list. Follow the guidance in TCM0140060
    • follow the guidance in TCM0264220 from step 14.
  • unfinalised and
    • the change is to previous year (PY), follow the guidance in TCM0042260
    • the change is to current year (CY) only, follow the relevant Change of circumstances guidance
      then
    • return to this guidance
    • delete the Unprocessed Change of Circumstances work item from the Unprocessed Change Of Circumstances work list. Follow the guidance in TCM0140060
    • if the Unprocessed Change of Circumstances work item isn’t an income change, use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the action you’ve taken
      Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
    • go to Step 14.
• If you don’t have all of the information required to apply the change and you noted at Step 4 that the award status for any of the subsequent years is
  • finalised, follow the guidance in TCM0264220 from step 10.
  • unfinalised, go to Step 8.

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Step 8

Phone the customer to obtain the missing information. Follow the guidance in TCM0094080.

Note: If there’s an ongoing appeal and the customer enquires about this whilst you’re on the phone, tell them that the information required for their renewal doesn’t affect their appeal and that the original appeal still stands.

• If you can’t contact the customer by phone, go to Step 9.
• If the customer provides all the missing information, go to Step 12.
• If the customer doesn’t provide all the missing information
  • tell the customer to contact the Tax Credits Helpline as soon as possible with the missing information
  • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
    ‘SI05 - Missing details asked for - Clmt to call back with missing *income/benefits’ (*delete as appropriate)
    Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
  • use Function NTC LISTING to set an action date of 14 days in the future on the work item
  • take no further action.

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Step 9

Use Function VIEW AWARD and go to the Select Award screen

• select the version with the most recent issue date for the relevant year
  Note: If the customer has been in more than one family during the relevant year, compare the details shown in Function VIEW AWARD with the details held in Function VIEW S17 DETAILS.
• establish the award period for the correct family
• make a note of the dates the period covers from the Notice field
• complete form TC606, using the award start and end dates you have noted
  Note: When completing the form TC606, the first option that will appear is regarding the appointee. Omit this paragraph if appropriate.
• If the Household Ended signal
  • wasn’t set, tick option 4 on form TC606
  • was set, tick option 5 on form TC606
• send form TC606 to the customer
• use Function NTC LISTING to set an action date of 14 days in the future on the work item
• use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category 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.
• take no further action.

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Step 10

Use Function VIEW HOUSEHOLD NOTES to check if the missing information has been recorded. If the missing information

• has been recorded, go to Step 12.
• hasn’t been recorded, in Function VIEW HOUSEHOLD NOTES check if a reminder form TC606 has already been issued to the customer for the missing information
  • If a reminder hasn’t previously been issued
    • send a reminder form TC606 to the customer
    • use Function NTC LISTING to set an action date for a further 14 days on the work item
    • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
      ‘SI23 - reminder form TC606 issued to customer’
      Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
    • take no further action.
  • If a reminder has previously been issued
    • follow the guidance in TCM0054060 for the action to take when there has been no response to the enquiry and the reminder cycle has expired
      then
    • go to Step 17.

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Step 11

Check that the written reply contains all the information required to process the change of circumstances, or that it states there’s no change of circumstances to report. If the customer

• hasn’t provided all the information required to process the change of circumstances, go back to Step 8.
• has provided all the information, go to Step 12.
• has stated that they haven’t any change of circumstances to report or the change of circumstances provided by the customer has already been applied, go to Step 14.

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Step 12

Is there a change reported for the previous year (PY)?

• no, there isn’t a change reported for PY, go to Step 13.
• yes, there is a change reported for PY
  • follow the guidance in TCM0042260 to determine if you can apply the change
    then
  • return to this guidance
    • If there is also a current year (CY) change, go to Step 13.
    • If there isn’t also a CY change, go to Step 14.

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Step 13

To check if you can apply the CY change follow the relevant Changes guidance

then

• return to this guidance
• go to Step 14.

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Step 14

Use Function VIEW S17 DETAILS and go to the Declaration Details screen to note the information that has been provided for PY for customer 1 (and, where applicable, customer 2).

• whether Pension Credit (PC), Income Support (IS), Jobseeker’s Allowance (JSA) or Employment and Support Allowance (ESA) was in payment for the award period
• any figures in the Income Totals box, including
  • Taxable Social Security Benefits
  • Earnings as an Employee
  • Company Car and Fuel, Vouchers and Payments in Kind
  • Income from Self Employment
  • Other Income
• select [View PY-1 Details] if it’s available and make a note of the same details for PY-1 that you’ve just made for PY
  then
• go to Step 15.

Note: The status of the renewal - for example, whether the Previous Year (PY) is finalised or not - will be displayed in the Status field. Make a note if the Current Year (CY) has been terminated. The reason for the termination will be displayed directly beneath the Status field.

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Step 15

Use Function AMEND APPLICATION, choosing the Correction option and go to the Income screen for customer 1 and/or customer 2

• enter the income, benefit and earnings figures that you have noted from Function VIEW S17 DETAILS into the corresponding CY and/or PY Income fields, ensuring you select ‘A’ for each entry
  Note: If the status of the income is ‘S’ the Amount field won’t be enabled. Changing the status to ‘A’ will enable the Amount field.
• select [OK]. You’ll be taken to the Amend Finish screen
• enter the date the notification of the change was received in the Received Date field
• select the source of the information from the Source drop down menu - for example, telephone
• select ‘Change of Circumstances’ from the Reason drop down menu
• select [OK]
  • If the message ‘S18 Refinalisation Rules - Potential inappropriate refinalisation for CCYY-CCYY. If you have the authority to re-finalise under S19, S20 or S21 of the Tax Credit Act 2002 or due to an appeal decision. Press OK to process the change or Cancel’ displays
    • the changes you are making will re-finalise the claim, follow the guidance in TCM0042260 before making any changes
      then, if you can make the change
    • select [OK] on the message
      then
    • check the note you made at Step 13 to establish if there’s entitlement to CY
      then - If there is entitlement to CY, go to Step 17. - If there isn’t entitlement to CY, go to Step 18.
  • If the message ‘S18 Refinalisation Rules - Actual Income for CCYY-CCYY is required. This change will not be accepted’ displays
    • you won’t be able to make the change because the PY actual income is required, follow the guidance in TCM0042260 before making any changes
      then, if you can make the change
    • select [OK] on the message
      then
    • check the note you made at Step 13 to establish if there’s entitlement to CY
      then - If there is entitlement to CY, go to Step 17. - If there isn’t entitlement to CY, go to Step 18.
  • If the message ‘S18 Refinalisation Rules - You do not have the authority to re-finalise CCYY-CCYY. This change will not be accepted. Please refer to the appropriate team’ displays
    • the changes you are making will re-finalise the claim
    • select [Cancel]. You will be taken to the Amend Application Details screen
    • select [Cancel]
    • when the message ‘All changes to the application will be lost for this session, do you wish to proceed?’ displays, select [Yes]
    • pass the case to a Level 2 User or your manager. For more information, use ‘Level 1 and Level 2 users’ on TCM0320260
    • take no further action.
  • If none of the messages display, check the note you made at Step 13 to establish if there’s entitlement to CY
    • If there is entitlement to CY, go to Step 17.
    • If there isn’t entitlement to CY, go to Step 18.

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Step 16

Use Function MANAGE FINALISATION and go to the Manage Finalisation screen for the 20XX-20XX claim that isn’t finalised

• select [Process]. You’ll be taken to the Process screen
• select ‘TCO’ from the Action Authority drop down menu
• select ‘No Reply’ from the Terminate drop down menu
• select [Terminate]
  Note: If an error message displays, select [OK] or [Yes], as appropriate and continue with your action.
• use Function NTC LISTING to set an action date of three days in the future on the work item
• use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
  ‘SI07 - Wait for claim to terminate before continuing with the finalise action’
  Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
• take no further action.

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Step 17

Use Function MANAGE FINALISATION and go to the Manage Finalisation screen for the 20XX-20XX claim that isn’t finalised

• select [Process]. You’ll be taken to the Process screen
• select ‘TCO’ from the Action Authority drop down menu
• select ‘As Agreed’ from the Renew drop down menu
• select [Renew]
  Note: If an error message displays, select [OK] or [Yes], as appropriate and continue with your action.
  • If the [Renew] button isn’t available, go to Step 18.
  • If the [Renew] button is available
    • use Function NTC LISTING to set an action date of three days in the future on the work item
    • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
      ‘SI08 - Wait for claim to renew before continuing with the finalise action’
      Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
    • take no further action.

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Step 18

Use Function MANAGE FINALISATION and go to the Manage Finalisation screen for the 20XX-20XX claim that isn’t finalised

• select [Process]. You’ll be taken to the Process screen
• select ‘TCO’ from the Action Authority drop down menu
• select ‘As Agreed’ from the Finalise drop down menu
• select [Finalise]
  Note: If an error message displays, select [OK] or [Yes], as appropriate and continue with your action.
  • If the [Finalise] button isn’t available, go to Step 19.
  • If the [Finalise] button is available
    • use Function NTC LISTING to set an action date of three days in the future on the work item
    • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
      ‘SI09 - Wait for claim to finalise before continuing with the final NTC Listings action’
      Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
    • take no further action.

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Step 19

Use Function VIEW HOUSEHOLD ACCOUNT and go to the View Award Period Summary screen to check if the 20XX-20XX award has been finalised

• check the Award Status field. If the award status
  • is shown as ‘Finalised’, go to Step 20.
  • isn’t shown as ‘Finalised’
    • ask your manager for a specific action date
    • use Function NTC LISTING to set the action date on the work item
    • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
      ‘SI10 - Claim has not finalised cannot continue with the NTC Listings action’
      Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
    • take no further action.

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Step 20

Check the clerical note that you made for the work item.

• If there was an ‘Appeal’ reason shown
  • complete and issue form TC853 (appeal letter) to the customer(This content has been withheld because of exemptions in the Freedom of Information Act 2000)
    Note: This explains to the customer that their appeal rights on the original claim still stand.
    then
  • go to Step 21.
• If there wasn’t an ‘Appeal’ reason shown, go to Step 21.

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Step 21

Use Function MAINTAIN HOUSEHOLD NOTES

• select the ‘Renewals & Reminders’ category to record the following, where applicable
  ‘SI11 - Form TC853 issued’
  ‘SI27 - 20XX/20XX Claim Finalised’
  ‘SI29 - 20XX/20XX Claim Renewed and Finalised’
  ‘SI30 - 20XX/20XX Claim Finalised and 20XX/20XX claim Terminated’
  and
  any other action you haven’t already recorded
  Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
  then
• go to Step 22.

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Step 22

If you noted at Step 2 that the CY claim

• is terminated
  • follow the guidance in TCM0262230
    then
  • return to this guidance and go to Step 23.
• isn’t terminated, go to Step 23.

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Step 23

Use Function NTC LISTING to identify the work item you’ve just actioned. To do this

• go to the NTC Listing screen
• select ‘Unprocessed S17’ from the Listing Type drop down menu
• select the number that corresponds to the initial letter of the name you require from the Selection drop down menu - for example, select 14 for names beginning with the letter ‘N’, a full list of the selected items will display
• select [Sort Filter]. The Sort and Filter Worklist Entries screen will display
• filter the entries with the reason of ‘Reference’, entering the NINO you made a clerical note of in Step 2, in the From Value and To Value fields
• select [OK]. You’ll be taken to the NTC Listing screen which will display the work item you’ve just actioned
• select the work item
• select [Delete]
• when the message ‘Listing entry will be permanently deleted’ displays, select [OK]. The work item will be deleted from NTC Listing
  then
• use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
  ‘SI15 - Work item deleted from NTC Listing’
  Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
• close the document on DMS. For how to do this, use TCM1000037.