SolvedTCM0196240 | NTC listings (Unprocessed S17): NTC listing - Unprocessed S17 - PY-1 Incompatible (AG)
From HM Revenue & Customs · Tax Credits Manual
To deal with an entry on the NTC Listing for the ‘Unprocessed S17’ work list with a reason of ‘PY-1 Incompatible’, consider steps 1 to 20.
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 ‘Unprocessed S17’ from the Listing Type drop down menu
select the number that corresponds to the initial letter of the surname you require, from the Selection drop down menu - for example, select 14 for surnames 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 after6 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 PY-1 Incompatible (PY-1 INCMPAT) entries and also the priority cases. To do this
select [Sort Filter]. The Sort and Filter Worklist Entries screen will display
filter the entries so that only those with a reason of ‘PY-1 INCMPAT’ are shown
sort the entries by reason of the Priority Indicator, so that the ‘PY-1 INCMPAT’ priority cases are identified and worked first
Note: Follow the guidance in TCM0140020.
thenselect [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’re 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
go to Step 3.
Step 3
If you noted 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
aren’t dealing with an expired action date
follow the guidance in TCM0196040
thenreturn to this guidance and go to Step 4.
Step 4
Note: If you are working Function NTC LISTING after
6 April 2007, you will be working 2005-2006 as CY, making PY 2004-2005 and 2003-2004 PY-1
6 April 2008, you will be working 2006-2007 as CY, making PY 2005-2006 and 2004-2005 PY-1
6 April 2009, you will be working 2007-2008 as CY, making PY 2006-2007 and 2005-2006 PY-1, and so on.
In Function VIEW HOUSEHOLD NOTES, check whether the customer has already been contacted and has provided information about the actual PY income components.
If there is a note indicating that the customer has already confirmed that the actual income components for PY on the Annual Declaration are correct, make a note of this and then go to Step 8.
If there is a note indicating that the customer has already confirmed that the actual income components for PY on the Annual Declaration are incorrect and they’ve provided the correct components, make a note of this and then go to Step 8.
If there isn’t a note that helps you to establish the correct actual income components for PY
use Function VIEW S17 DETAILS
go to the Current Position screen for the 20XX-20XX claim that you’re dealing with
select the relevant work item in the Declaration box
select [Details] (immediately beneath the Declaration box). You’ll be taken to the Declaration Details screen
go to Step 5.
Step 5
On the Declaration Details screen
select [PY-1 Details] to view the actual income details for PY-1. You’ll be taken to the PY-1 Declaration Details screen
use the details presented to you on the screen to check which of the following have amounts shown and which customer they apply to and then note them on a form TC648
taxable Social Security benefits
earnings as an employee
earnings from self-employment
go to Step 6.
Note: If the family has ceased, you must only consider the information for the customer the PY-1 Incompatibility work item relates to. You can establish this in Function MAINTAIN WORKLIST from the name and NINO of the customer shown on the ‘Unprocessed S17’ work list entry.
Step 6
Go back to the Current Position screen
select [View Application]
go to the Income screen
select ‘PY-1’ in the Income Years field. The income details for the PY-1 tax year will be displayed
check whether any of the following are completed or have amounts shown for each customer for the PY-1 tax year
taxable Social Security benefits
earnings as an employee
earnings from self-employment
make a note of the above on form TC648 for your own reference
thengo to Step 7.
Step 7
Using the information you have noted from both Function VIEW S17 DETAILS and Function VIEW APPLICATION, compare all the details and establish the reason for the PY-1 Incompatible
the reason for the incompatibility will be because one or more of the following estimated income components for the tax year PY-1 were captured on the original claim
taxable Social Security benefits
earnings as an employee
earnings from self-employment
andthe customers haven’t declared the same actual income components for PY-1 on the Annual Declaration
then, when you’ve decided which income components have resulted in the PY-1 Incompatibility failurego to Step 8.
Step 8
Use Function VIEW HOUSEHOLD ACCOUNT to check if one or more of the subsequent years’ 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’ll be taken to the Select Award screen
select the appropriate award year that you’re dealing with
select [OK]. You’ll be taken to the View Award Period Summary screen
check the Award Status field. Check and make a note if the award status for any of the subsequent years is
finalised
follow the guidance in TCM0264220 at step 10
take no further action in this guidance.
unfinalised
If any other circumstances apply, go to Step 9.
Step 9
Phone the customer to obtain the correct information. Follow the guidance in TCM0094080.
Note: If there’s an ongoing appeal and the customer asks about this whilst you’re on the phone, tell them that the information for their renewal doesn’t affect their appeal and that the original appeal still stands.
explain to the customer that the actual income declared on the Annual Declaration for the tax year PY-1 differs from the estimated income declared on the tax credits claim
For example: on the claim form, the customer gave an estimate of income from self-employment for the tax year PY-1, but on the Annual Declaration they’ve declared actual income from earnings as an employee.
andask the customer to confirm which income components are correct.
Note: If the customer informs you of a change of circumstances during the phone call, you must follow the guidance in TCM0042260 to determine if you can make the change.
Note: If, after contacting the customer, you discover that there’s undisclosed employment or additional sources of income, follow the guidance in TCM0080120 using number ‘04’ as the reason for the enquiry.If the customer confirms that the information provided on the Annual Declaration is correct, go to Step 12.
If the customer confirms that the information provided on the Annual Declaration is incorrect and has provided the correct details, go to Step 13.
If you can’t contact the customer by phone because there isn’t a phone number, or you can’t get a reply, go to Step 10.
If you’re able to contact the customer by phone but all the information you require can’t be provided because the customer doesn’t have all the details
tell the customer to call the Tax Credits Helpline on 0845 300 3900 as soon as possible with the information, telling them if they’re late providing the information, their award (if in payment) may be terminated
use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to enter the following
‘SI05 - Missing details asked for - Clmt to call back with missing *income/benefits information’ *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.
Step 10
If you can’t contact the customer by phone
complete and send formTC664 (option 3) to the customer requesting the information you need. Enter a reply date of 14 days in the future on the form
use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to enter the following
‘SI20 - TC664 issued to customer’
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.
Step 11
In Function VIEW HOUSEHOLD NOTES, check if the missing information has been recorded. If the missing information
has been recorded, go to Step 12.
hasn’t been recorded, use Function VIEW HOUSEHOLD NOTES to check if a reminder form has already been issued to the customer for the missing information
If a reminder form hasn’t previously been issued
send a reminder form TC664R to the customer
use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to enter the following
‘SI21 - Reminder form TC664R issued to customer’
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.
If a reminder form has previously been issued, go to Step 15.
Step 12
Use Function VIEW S17 DETAILS
go to the Current Position screen for the 20XX-20XX claim that isn’t finalised
select [Details] (beneath the Declarations box). You’ll be taken to the Declaration Details screen
make a note of the following information that has been provided for 20XX-20XX 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 available) and make a note of the same details for PY-1 that you’ve just made for the PY claim
Note: Make a note if the Current Year (CY) has been terminated. The reason for the termination will be displayed directly beneath the Status field.
thengo to Step 13.
Step 13
Use Function AMEND APPLICATION, choosing the Correction option
go to the Income screen for customer 1 and/or customer 2
enter the income, benefit and earnings figures that you’ve noted from Function VIEW S17 DETAILS into the corresponding PY-1 and/or PY income fields, ensuring you select ‘A’ for each entry
Note: If the customer has confirmed that the income details on the Annual Declaration were incorrect, enter the correct income details that the cusotmer has provided.select [OK]. You’ll be taken to the Amend Finish screen
enter the date the Annual Declaration details were received in the Received Date field
select the source of the change from the Source drop down menu - for example, telephone or paper
select ‘Change of circumstances’ from the Reason drop down menu
select [OK]. The computer will automatically accept the amendment
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] on the message
thengo to Step 14.
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 changeselect [OK] on the message
thengo to Step 14.
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, go to Step 14.
Step 14
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
If [Renew] isn’t available, go to Step 14.
If [Renew] is available
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.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.
Step 15
Use Function MANAGE FINALISATION, if you aren’t already in this function
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
If [Finalise] isn’t available, go to Step 16.
If [Finalise] is available
select [Finalise]
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
‘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.
Step 16
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 17.
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.
Step 17
Check the clerical note you made for the work item
If there was an ‘Appeal’ reason shown
complete and issue form TC853 (appeal letter), 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.
thengo to Step 18.
If there wasn’t an ‘Appeal’ reason shown, go to Step 18.
Step 18
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’
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.
thengo to Step 19.
Step 19
If you noted at Step 11 that the CY claim
is terminated
follow the guidance in TCM0262230
thenreturn to this guidance and go to Step 20.
isn’t terminated, go to Step 20.
Step 20
Use Function NTC LISTING to identify the work item you have 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 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
thenuse 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.