SolvedTCM0078520 | Claims - work lists (VFs - 1 to 12): Verification Failures work list - Rule 7/8 - Employer reference/name not matched (AG)
From HM Revenue & Customs · Tax Credits Manual
To deal with the situation where the employer reference hasn’t been provided or can’t be matched on the Employments Framework, consider steps 1 to 29.
Step 1
Use Function MAINTAIN WORKLIST
select the Verification Failures work list from the drop down menu for the Worklist Type field
select the office or unit you want from the drop down menu for the Management Unit field, if the one you want isn’t already displayed in this field. The screen will be redisplayed with the entries currently on the work list
select [Sort Filter]. The Sort and Filter Worklist Entries screen will display
Note: At this stage it’s important to remember that under no circumstances should you attempt to apply a change or add a note to a withdrawn or rejected claim.filter the entries with ‘Priority’ for option 1 and ‘Creation’ for option 2.
Step 2
Select the entry in the work list you want to work to highlight it and select [Details]. You will be taken to the Worklist Entry Details screen where more details of the selected work item will be displayed.
Step 3
Return to the Maintain Worklist screen and
select ‘File’ on the toolbar menu
select ‘Next Function’ from the options available. You will be taken to the Select Next Function screen.
Step 4
On the Select Next Function screen
select Function MANAGE VERIFICATION FAILURES from the options available. You will be taken to this function
check for any messages on the claim to identify if any previous action has been taken
for pre-award claims, use Function VIEW APPLICATION and go to the Summary Information screen
for post award claims, use Function VIEW HOUSEHOLD NOTES
If you’re dealing with an expired action date and an enquiry has previously been issued to the customers or has been returned incomplete, go to Step 15.
If you’re dealing with an expired action date and an enquiry has previously been issued to the employer or has been returned incomplete, go to Step 20.
If you’re dealing with a reply to a previous enquiry and all the information has been supplied, go to Step 9.
in any other circumstances, go to Step 5.
Step 5
In Function MANAGE VERIFICATION FAILURES, select the verification failure to view the details of the failed claim
then
select ‘Navigate’ on the toolbar menu
select ‘Amend Application Correction’ from the options available. You will be taken to Function CAPTURE APPLICATION if the claim is pre-award or Function AMEND APPLICATION if the claim is post award.
Step 6
In Function CAPTURE APPLICATION or AMEND APPLICATION check the customer 1 and customer 2 details
Step 7
Check where either customer lives or works
If either customer lives or works in the European Union (EU), use Function MAINTAIN WORKLIST to transfer the case to the International Team’s IN MU. Use TCM0322460 for the correct MU number
If either customer lives or works in any other country, use Function MAINTAIN WORKLIST to transfer the case to the International Team’s Rest Of The World IN MU. Use TCM0322460 for the correct MU number
then, in both casesmake a note of the action you have taken
for pre-award claims, use Function CAPTURE APPLICATION and go to the Summary Information screen to make a note of your actions in the Application Notes field
Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152040.for post award claims, use Function MAINTAIN HOUSEHOLD NOTES to make a note of your actions
Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
take no further action.
Step 8
Go to the Work Details screen
If there are no employment details, go to Step 11.
If there is only a PAYE reference number, check for transposition errors, such as the letter ‘o’ may have been entered as the number ’0’
select [Trace Emp] if the claim is pre-award or select [Trace] if the claim is post award. You will be taken to Function TRACE EMPLOYER where you should try and trace the employer record. Follow the guidance in TCM0068100
thenIf the employer is matched, go to Step 9.
Step 9
Select [OK]. You will be taken to the Amend Finish screen.
Complete each field with the relevant details
select [OK]. You will be taken back to the Manage Verification Failures screen
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 changeselect [OK]. The verification failure will be resolved
thenfor pre-award claims, use Function CAPTURE APPLICATION and go to the Summary Information screen to record the action you have taken in the Application Notes field
Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152040.for post award claims, use Function MAINTAIN HOUSEHOLD NOTES to record the action you have taken
take no further action.
Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
Note: If you have too much information to put in the Application Notes field or in Function MAINTAIN HOUSEHOLD NOTES, you must make a clerical note of the additional information received from the customer on form TC648. You must also enter the following ‘Additional notes on form TC648’ in the Application Notes field or Function MAINTAIN HOUSEHOLD NOTES.
If the message ‘S18 Refinalisation Rules - Actual Income for CCYY-CCYY is required. This change will not be accepted’ displays
you will not 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 changeselect [OK]. The verification failure will be resolved
thenfor pre-award claims, use Function CAPTURE APPLICATION and go to the Summary Information screen to record the action you have taken in the Application Notes field
Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152040.For post award claims, 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.
Note: If you have too much information to put in the Application Notes field or in Function MAINTAIN HOUSEHOLD NOTES, you must make a clerical note of the additional information received from the customer on form TC648. You must also enter the following ‘Additional notes on form TC648’ in the Application Notes field or Function MAINTAIN HOUSEHOLD NOTES.take no further action.
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
select [OK]. The verification failure will be resolved
thenfor pre-award claims, use Function CAPTURE APPLICATION and go to the Summary Information screen to record the action you have taken in the Application Notes field
Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152040.for post award claims, 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.
Note: If you have too much information to put in the Application Notes field or in Function MAINTAIN HOUSEHOLD NOTES, you must make a clerical note of the additional information received from the customer on form TC648. You must also enter the following ‘Additional notes on form TC648’ in the Application Notes field or Function MAINTAIN HOUSEHOLD NOTES.take no further action.
Step 10
Use the Interim Single Sign On and select the Taxpayer Business Service (TBS) option
select ‘TBS View Service’ from the options available
select ‘View Taxpayer Summary Details’
select [OK]
enter the customer’s NINO
select ‘Retrieve’
select ‘View’
select ‘Employment List’ from the options available
Step 11
Use Function VIEW APPLICATION and go to the Additional Information screen to check if a contact phone number is available for the customer. To do this
select ‘Navigation’ on the toolbar menu
Step 12
Phone the customer. Follow the guidance in TCM0094080. Ask them to confirm the
employer’s full trading name
employer’s payroll office address
Note: Ensure these details are for the head office payroll and not the local address of where they work.employer’s reference number
Note: This is always in the format of three numbers followed by several numbers or letters, such as 456/JHG or 213/4H or 852/J1234.
thenfor pre-award claims, use Function CAPTURE APPLICATION and go to the Summary Information screen to make a note of the information received from the customer in the Application Notes field
Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152040.for post award claims, use Function MAINTAIN HOUSEHOLD NOTES to make a note of the information received from the customer
Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
Note: If you have too much information to put in the Application Notes field or in Function MAINTAIN HOUSEHOLD NOTES, you must make a clerical note of the additional information received from the customer on form TC648. You must also enter the following ‘Additional notes on form TC648’ in the Application Notes field or Function MAINTAIN HOUSEHOLD NOTES.If the customer provides amended details, go to Step 20.
If the customer confirms the details are correct, go to Step 13.
If the customer says that the employer isn’t registered, go to Step 26.
If you’re unable to contact the customer, go to Step 14.
Step 13
Use Function VIEW EMPLOYER SUMMARY to check if the customer has provided a correspondence address for the employer
enter the employer’s reference number in the Key Entry Data screen
select [Corr Addr]. You will be taken to the View Payroll and Correspondence Details screen
If the correspondence address is greyed out, go to Step 23.
If there is a correspondence address present and it’s the address provided by the customer, make a note of the employer’s business address and then go to Step 20.
If the correspondence address doesn’t match the address provided by the customer, go to Step 23.
If you don’t have the employer’s reference number, contact the employer to obtain the number. Follow the guidance in TCM0094100 and then go to Step 23.
Step 14
Send form TC652 (choosing option 2) to the customer to ask them to confirm the
employer’s full trading name
employer’s payroll office address
employer’s reference number
thenfor pre-award claims, use Function CAPTURE APPLICATION and go to the Summary Information screen to make a note of the issue of form TC652 and the date it was issued in the Application Notes field
Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152040.for post award claims, use Function MAINTAIN HOUSEHOLD NOTES to make a note of the issue of form TC652 and the date it was issued
Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
Step 15
Use Function MAINTAIN WORKLIST to set an Action Date for 14 days in the future, making sure that the Retained checkbox is selected
If the information is supplied by the Action Date and
amended employer details are provided, go to Step 20.
the original employer details are confirmed, contact the employer to check the details. Follow the guidance in TCM0094100 and then go to Step 23.
the employer isn’t registered, go to Step 26.
If the information isn’t supplied by the Action Date, go to Step 16.
Step 16
Use Function MAINTAIN WORKLIST to
select the Verification Failures work list from the drop down menu for the Worklist Type field
select the office or unit you want from the drop down menu for the Management Unit field, if the one you want isn’t already displayed in this field. The screen will be redisplayed with the entries currently on the work list
filter the selected work list so that only those with an Action Date of today or earlier are listed.
Step 17
For each entry on the filtered list, check the notes on the computer to check what actions have been taken.
Step 18
Use Function VIEW APPLICATION and go to the Additional Information screen to check if a contact phone number is available for the customer. To do this
select ‘Navigation’ on the toolbar menu
select, where applicable, ‘Applicant 1 Additional Information’ or ‘Applicant 2 Additional Information’ from the options available. You will be taken to the Additional Information screen
If there is a phone number, go to Step 19.
If there isn’t a phone number, contact the employer to obtain the information you need. Follow the guidance in TCM0094100 and then go to Step 23.
Step 19
Phone the customer. Follow the guidance in TCM0094080. Ask them to confirm the
employer’s full trading name
employer’s payroll office address
employer’s reference number
thenfor pre-award claims, use Function CAPTURE APPLICATION and go to the Summary Information screen to make a note of the information received from the customer in the Application Notes field
Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152040.for post award claims, use Function MAINTAIN HOUSEHOLD NOTES to make a note of the information received from the customer
Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
Note: If you have too much information to put in the Application Notes field or in Function MAINTAIN HOUSEHOLD NOTES, you must make a clerical note of the additional information received from the customer on form TC648. You must also enter the following ‘Additional notes on form TC648’ in the Application Notes field or Function MAINTAIN HOUSEHOLD NOTES.If the customer provides amended details, go to Step 20.
If the customer confirms the details are correct, go back to Step 13.
If the customer says that the employer isn’t registered, go to Step 26.
If you are unable to contact the customer, contact the employer to obtain the information you need. Follow the guidance in TCM0094100 and then go to Step 23.
Step 20
Use Function MANAGE VERIFICATION FAILURES
select the verification failure
select ‘Navigate’ on the toolbar menu
select ‘Amend Application Correction’ from the options available. You will be taken to Function CAPTURE APPLICATION if the claim is pre-award or Function AMEND APPLICATION if the claim is post award.
Step 21
Go to the Work Details screen
If the customer has provided an amended employer reference number or you have a business address for the employer that you noted earlier
enter this in the Emp. Ref fields
select [TAB]. The correct name and address for the employer should automatically display
thenIf the employer details correctly display, go to Step 22.
If the employer details don’t display or incorrectly display
select [Trace Emp] if the claim is pre award or [Trace] if the claim is post award
you will be taken to Function TRACE EMPLOYER where you should try and trace the employer record. Follow the guidance in TCM0094100
then
If the employer is then matched, go to Step 22.
If the employer still isn’t matched, contact the employer to confirm their details. Follow the guidance in TCM0094100 and then go to Step 23.
Step 22
Use Function CAPTURE APPLICATION if the claim is pre-ward or Function AMEND APPLICATION if the claim is post award to amend the employer details. Follow the relevant Changes guidance and then
select [OK]. You will be taken to the Amend Finish screen
complete each field with the relevant details
select [OK]. You will be taken back to the Manage Verification Failures screen
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 TCM0044260 before making any changes
then, if you can make the changeselect [OK]. The verification failure will be resolved
take no further action.
If the message ‘S18 Refinalisation Rules - Actual Income for CCYY-CCYY is required. This change will not be accepted’ displays
you will not be able to make the change because the PY actual income is required, follow the guidance in TCM0044260 before making any changes
then, if you can make the changeselect [OK]. The verification failure will be resolved
take no further action.
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
select [OK]. The verification failure will be resolved
take no further action.
Step 23
Use Function MANAGE VERIFICATION FAILURES
select the verification failure
select ‘Navigate’ on the toolbar menu
select ‘Amend Application Correction’ from the options available. You will be taken to Function CAPTURE APPLICATION if the claim is pre-award or Function AMEND APPLICATION if the claim is post award.
Step 24
Go to the Work Details screen
If the correct employer reference number is traced through Taxpayer Business Service (TBS) or provided by the employer
enter this in the Emp. Ref fields
select [TAB]. The correct name and address for the employer should automatically display
If the employer’s details correctly display
select [OK]. The verification failure will be resolved
thenmake a note of the action you have taken
for pre-award claims, use Function CAPTURE APPLICATION and go to the Summary Information screen to make the note in the Application Notes field
Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152040.For post award claims, use Function MAINTAIN HOUSEHOLD NOTES to make the note
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 employer’s details don’t display or incorrectly display
select [Trace Emp] if the claim is pre-award or [Trace] if the claim is post award
you will be taken to Function TRACE EMPLOYER where you should try and trace the employer record using the details traced through TBS or supplied by the employer
If the employer is matched, go to Step 25.
If the employer isn’t matched, go to Step 26.
Step 25
Use Function CAPTURE APPLICATION if the claim is pre-award or Function AMEND APPLICATION if the claim is post award to amend the employer details. Follow the relevant Changes guidance and then
If the claim is pre-award, use Function CAPTURE APPLICATION and go to the Summary Information screen to record details of the amendment in the Application Notes field
Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152040.
orIf the claim is post award, use Function MAINTAIN HOUSEHOLD NOTES to record details of the amendment
Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
thenselect [OK]. You will be taken to the Amend Finish screen
complete each field with the relevant details
select [OK]. You will be taken to the Manage Verification Failures screen
thenIf 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 changeselect [OK]. The verification failure will be resolved
take no further action.
If the message ‘S18 Refinalisation Rules - Actual Income for CCYY-CCYY is required. This change will not be accepted’ displays
you will not 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 changeselect [OK]. The verification failure will be resolved
take no further action.
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
select [OK]. The verification failure will be resolved
take no further action.
Step 26
Use Function MANAGE VERIFICATION FAILURES, if you aren’t already there, and
select the appropriate verification failure
select [Change Verification]. You will be taken to the Change Of Status Reason screen
enter the reason for the verification change. Examples of the reasons for changing the verification status will be
the employer is not registered
orunable to verify the employer.
select [OK]. The verification failure will be resolved
thenmake a note of the action you have taken
If the claim is pre-award, use Function CAPTURE APPLICATION and go to the Summary Information screen to make the note in the Application Notes field
Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152040.
orIf the claim is post award, use Function MAINTAIN HOUSEHOLD NOTES to make the note
Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.
go to Step 27.
Step 27
If
you have been unable to verify the employer because the employer has confirmed that the original details provided on the claim are correct, or you have been unable to obtain the information requested from the employer, go to Step 28
any other circumstances apply, take no further action.
Step 28
Complete a form TC648 with the following information
customer’s name
customer’s NINO
employer’s name
employer’s address
employer’s PAYE number, if applicable
details of your contact with the customer and the employer
reason for referring the verification failure to the Employer Business Service (EBS) Team.
Step 29
Send the completed form TC648 to the EBS Team and then
for pre-award claims, use Function CAPTURE APPLICATION and go to the Summary Information screen to make a note that the case has been referred to the Employer Business Service Team in the Application Notes field.
Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152040.for post award claims, use Function MAINTAIN HOUSEHOLD NOTES to make a note that the case has been referred to the Employer Business Service Team.
Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.