TCM0194220 - NTC listings (Unfinalised S17): NTC listing - Unfinalised S17 - Not Past 2SD (AG)

To deal with an entry on NTC Listing for the Unfinalised S17 work list with the reason of ‘Not Past 2SD’, consider steps 1 to 12.

Step 1

Use the Function Menu

• select ‘NTC Listing’ from the Worklists drop down menu. You will 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.
  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 2007, you need to select year 2005-2006
  6 April 2008, you need to select year 2006-2007
  6 April 2009, you need to select year 2007-2008, and so on.
• go to Step 2.

Step 2

Sort and filter the entries to identify the ‘Not Past 2SD’ (NOT PAST 2SD) 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, so that the ‘NOT PAST 2SD’ priority cases are identified and worked first
• filter the entries so that only those with a reason of ‘NOT PAST 2SD’ are shown, selecting the Descending checkbox
• select [OK]. You’ll be taken to the NTC Listing screen which will display the sorted and filtered work list entries
• make a clerical note of the work item you are going to action - for example, name, NINO, reason for the work item, 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.
• go to Step 3.

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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 indicates we’re waiting for the claim to
  • renew before continuing with the finalise action, go to Step 8.
  • finalise before continuing with the final NTC Listing action, go to Step 9.
• 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 S17 DETAILS and go to the Notice Details screen to make a note of the date in the 2SD field

• If the 2SD hasn’t been reached
  • use Function NTC LISTING to set an action date one day after the 2SD
  • use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following
    ‘SI25 - When 2SD has been reached continue with the NTC Listing’
    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 the 2SD has been reached, go to Step 5.

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Step 5

Use Function AMEND APPLICATION, choosing the Correction option

• go to the Income Details screen
• wherever the income is completed in the relevant field with an estimated figure, select ‘Actual’ from the corresponding drop down menu
• select [OK]. You’ll be taken to the Amend Finish screen
• enter today’s date in the Received Date field
• select ‘Paper’ from the Source drop down menu
• select ‘Change of Circumstances’ from the Reason drop down menu
• select [OK]. The computer will now automatically accept the correction and will apply the change from the effective date
  Note: The corrections you have made in this function won’t be applied until you complete the Amend Finish screen and select [OK].
  Note: The Received Date field will always default to today’s date.
  • 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
    • go to Step 6.
  • 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
    • go to Step 6.
  • 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’re making will re-finalise the claim
    • select [Cancel]. You’ll 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, go to Step 6.

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Step 6

Use Function VIEW S17 DETAILS and go to the Issue Details screen. In the Reasons for Issue field, establish if the reason for issue includes the term ‘Reply Required’ or ‘Auto’.

• If the entry in the Reasons for Issue field includes the term ‘Auto’, go to Step 7.
• If the entry in the Reasons for Issue field includes the term ‘Reply Required’, go to Step 8.

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Step 7

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 [Renew] isn’t available, go to Step 8.
  • If [Renew] 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 8

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 [Finalise] isn’t available, go to Step 9.
  • If [Finalise] 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 9

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 10.
  • 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 10

Check the clerical note you made for the work item

• If there was an ‘Appeal’ reason shown
  • complete and issue form TC853 (appeal letter) to the customer, selecting the TC853(GB) (Word 126KB) or TC853(NI) (Word 126KB) version as appropriate
    Note: This explains to the customer that their appeal rights on the original claim still stand.
    then
  • go to Step 11.
• If there wasn’t an ‘Appeal’ reason shown, go to Step 11.

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Step 11

Use Function MAINTAIN HOUSEHOLD NOTES

• select the ‘Renewals & Reminders’ category to record the following, where appropriate
  ‘SI11 - Form TC853 issued’
  ‘SI27 - 20XX/20XX Claim Finalised’
  ‘SI28 - 20XX/20XX Claim Finalised and 20XX/20XX claim Renewed’
  ‘SI29 - 20XX/20XX Claim Renewed and Finalised’
  and
  any other action that 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 12.

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Step 12

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

• go 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
• 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 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 have 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.