SolvedTCM0196260 | NTC listings (Unprocessed S17): NTC listing - Unprocessed S17 - Superseded, Ceased joint reply, Ceased other income (AG)
From HM Revenue & Customs · Tax Credits Manual
To deal with an entry on NTC Listing for the Unprocessed S17 work list with a reason of ‘Superseded’, ‘Ceased Joint Reply’ or ‘Ceased Other Income’, consider steps 1 to 16.
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 is not finalised. The year you need to select depends on when you are working Function NTC LISTING. For example, if you are working Function NTC LISTING after6 April 2007, you need to select the 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Sort and filter the entries to identify the Superseded or Joint Income (‘SUPSE’ or JNT INC’) entries and also the priority cases.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 ‘SUPSE’ or JNT INC’ are shown
sort the entries by reason of the Priority Indicator, so that the ‘SUPSE’ or ‘JNT INC’ priority cases are identified and worked first
select [OK]. You’ll be taken to the NTC Listing screen
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 are going to action - for example, name, NINO, failure 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.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
waiting for the claim to terminate before continuing with finalise action, go to Step 11.
waiting for the claim to renew before continuing with the finalise action, go to Step 11.
waiting for the claim to finalise before continuing with the final NTC Listing action, go to Step 12.
dealing with an expired action date for any other reason, go to Step 4.
aren’t dealing with an expired action date
follow the guidance in TCM0196040
thenreturn to this guidance and go to Step 4.
Step 4
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 20XX-20XX year that isn’t finalised
select [OK]. You’ll be taken to the View Award Period Summary screen
Step 5
Use Function VIEW S17 DETAILS and go to the Current Position screen for the claim that you’re dealing with
make a note if the status of the Current Year (CY) claim is ‘Terminated’
Note: The status of the renewal will be displayed in the Status field.use Function VIEW HOUSEHOLD NOTES
Do the notes state that the claim you’re dealing with is part of CR1188?
no, and you noted at Step 4 that the award status for any subsequent years is finalised, follow the guidance in TCM0264220 from step 14.
Step 6
Note: If you’re working Function NTC LISTING after
6 April 2007, you’ll be working 2005-2006 as CY, making PY 2004-2005 and 2003-2004 PY-1
6 April 2008, you’ll be working 2006-2007 as CY, making PY 2005-2006 and 2004-2005 PY-1
6 April 2009, you’ll be working 2007-2008 as CY, making PY 2006-2007 and 2005-2006 PY-1, and so on.
Use Function VIEW S17 DETAILS and go to the Declaration Details screen to note the following information that has been provided for PY
the date the Annual Declaration was received
any figures in the Income Totals box for customer 1 (and, where applicable, customer 2), 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 the PY claim
thengo to Step 7.
Step 7
Use Function AMEND APPLICATION, choosing the Correction option and go to 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 and / or PY-1 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 Annual Declaration details were 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 changeselect [OK] on the message
thengo to Step 10.
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 10.
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 10.
Step 8
Use Function MANAGE FINALISATION and go to the Manage Finalisation screen for the 20XX-20XX award that hasn’t been finalised
Disregard the Annual Declaration. Follow the guidance in TCM0256020
then, when this action is completereturn to this guidance
If the Disregard All Superseded S17s checkbox and the Disregard checkbox aren’t available 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 18
unfinalised, go to Step 10.
If any other circumstances apply, go to Step 9.
Step 9
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 [Terminate] isn’t available, go to Step 11.
If [Terminate] is available
select ‘As Agreed’ from the Renew 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.
Step 10
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 11.
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 11
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
If [Finalise] isn’t available, go to Step 12.
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 12
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 13.
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 13
Check the clerical note you made for the work item
If there was an ‘Appeal’ reason shown
complete and issue form TC853 (appeal letter)(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.
thengo to Step 14.
If there wasn’t an ‘Appeal’ reason shown, go to Step 14.
Step 14
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’
‘SI29 - 20XX/20XX Claim Renewed and Finalised’
‘SI30 - 20XX/20XX Claim Finalised and 20XX/20XX claim Terminated’
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 15.
Step 15
If you noted at Step 5 that the CY claim
is terminated
follow the guidance in TCM0262230
thenreturn to this guidance and go to Step 16.
isn’t terminated, go to Step 16.
Step 16
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.