Stage Two - Initial Appeal Action (AG)

• Enter the claimant’s NINO in the Key Entry Data screen. You will be taken to the Select Award screen

• On the Select Award screen, double click on the award version that the appeal is against. You will be taken to the Award Summary screen

• On the Award Summary screen, check the Signals box to see if the SCO checkbox has been ticked

• If there is no compliance interest, consider the issues raised by the claimant to make sure that the correct processes and guidance have been followed and information issued and the decision made is in accordance with the law. To do this

• Use Function VIEW APPLICATION if the claim has been awarded

Or

• Use Function CAPTURE APPLICATION if the claim has been disallowed

To

• Check the information in the appeal against the information held on the computer

Then

• Go to step 2

• If there is a compliance interest, but on a different decision

• Use Function VIEW HOUSEHOLD NOTES to see the Compliance contact details

• Use these details to contact Compliance and advise them that you have received an appeal on a different decision to the one they have an interest in

Note: In the Tax Credit Office (Northern Ireland) (TCO(NI)), the Appeals Team will deal with these cases and notify Compliance

Then

• Go to step 2

• If there is a compliance interest on the same decision as the appeal

• Use Function VIEW HOUSEHOLD NOTES to see the Compliance contact details

• Use these details to send the appeal to the Compliance Appeals Team (This text has been withheld because of exemptions in the Freedom of Information Act 2000)

Then

• Take no further action

• If there is a notice of decision that the claimant can appeal against, go to step 3

• If there is no notice of decision that the claimant can appeal against, issue form TC822 (option 3) to the claimant to inform them that they cannot appeal against this notice. Take no further action

Note: If the appeal is from a claimant living in Northern Ireland, or is against a decision on a Complex or European Economic Area (EEA) case, send it to the Appeals Team (This text has been withheld because of exemptions in the Freedom of Information Act 2000)

Note: Any person to whom the notice of decision is addressed can appeal. In a joint claim, only one claimant needs to sign. If the claimant has a representative they can appeal on the claimant's behalf providing the claimant has nominated them in writing and signed the nomination

• If the appeal has been signed

• Check that it contains all the necessary information to register the appeal and issue form TC620 (option 1 or 2, as appropriate)

Then

• Go to step 7

• If the appeal has not been signed, go to step 4

• Check that you have all the information you need

• Photocopy the appeal form or letter and return the original to the claimant with form TC621 (option 3)

• Use Function MAINTAIN HOUSEHOLD NOTES to record the date and reason for the issue of form TC621

Notes:

You must follow the guidance in How To Correctly Complete Application And Household Notes when you record the note

And also

Follow the guidance in Maintain Household Notes

• Use Function MAINTAIN APPEAL

• Enter the claimant’s NINO in the Key Entry Data screen

Note: If you are taken to the Select Application screen, select the appropriate claim version that the claimant has appealed against by double clicking on the entry

• You will be taken to the Select Award screen. Double click on the entry that the appeal has been registered against. It will appear with a ‘O’ for Open or ‘C’ for Closed. You will be taken to the Maintain Appeal screen

• On the Maintain Appeal screen, enter the date the form TC621 was issued in the Date Appeal Acknowledged field

Then

• File the photocopied appeal in the clerical Bf for 14 days

• A response from the claimant within 14 days, go to step 7

• No response from the claimant after 14 days

• Issue a reminder form TC609 to the claimant

• Bf the case again for a further 14 days

Then

• Go to step 6

• A response from the claimant within the further 14 days, go to step 7

• No response from the claimant after a further 14 days

• Pass the appeal to the submission writer for referral to the tribunal, with the note ‘Appeal not duly made’. A panel member at the tribunal will decide whether there is an appeal to consider

Then

• Take no further action

• If the claimant has provided all this information, go to step 11

• If the claimant has not provided all this information, use Function VIEW APPLICATION to see if the claimant has provided a contact telephone number

• If the claimant has provided a contact telephone number, go to step 8

• If the claimant has not provided a contact telephone number, go to step 9

Follow the guidance in Contacting The Claimant

Note: If you cannot contact the claimant by telephone, or no telephone number has been provided, go to step 9

• Use Function MAINTAIN HOUSEHOLD NOTES to record the missing information you receive from the claimant

Notes:

You must follow the guidance in How To Correctly Complete Application And Household Notes when you record the note

And also

Follow the guidance in Maintain Household Notes

• Send form TC620 to the claimant. The ‘Open Appeals’ Work List will automatically create an action date of 30 days

• Use Function MAINTAIN APPEAL

• Enter the claimant’s NINO in the Key Entry Data screen

Note: If you are taken to the Select Application screen, select the appropriate claim version that the claimant has appealed against by double clicking on the entry

• You will be taken to the Select Award screen. Double click on the entry that the appeal has been registered against. It will appear with a ‘O’ for Open or ‘C’ for Closed. You will be taken to the Maintain Appeal screen

• On the Maintain Appeal screen, enter the date the form TC620 was issued in the Date Appeal Acknowledged field

Then

• Go to step 11

Follow the guidance in Contacting The Claimant

• Use Function MAINTAIN HOUSEHOLD NOTES to record the date and reason for the issue of form TC621

Notes:

You must follow the guidance in How To Correctly Complete Application And Household Notes when you record the note

And also

Follow the guidance in Maintain Household Notes

• Use Function MAINTAIN APPEAL

• Enter the claimant’s NINO in the Key Entry Data screen

Note: If you are taken to the Select Application screen, select the appropriate claim version that the claimant has appealed against by double clicking on the entry

• You will be taken to the Select Award screen. Double click on the entry that the appeal has been registered against. It will appear with a ‘O’ for Open or ‘C’ for Closed. You will be taken to the Maintain Appeal screen

• On the Maintain Appeal screen, enter the date the form TC621 was issued in the Date Appeal Acknowledged field

• File the appeal in the clerical Bf for 14 days

Then

• Go to step 10

• There has been a response from the claimant within the 14 days, go to step 11

• There has been no response from the claimant after 14 days, issue reminder form TC609 to the claimant and then file the appeal in the clerical Bf for a further 14 days

• If the missing information is received within the further 14 days, go to step 11

• If the missing information is not received after the further 14 days, discard the appeal in confidential waste. Take no further action

• If the missing information was received

Or

• The appeal was received

• Within 30 days of the date of the notice of decision, pass to the submission writer to process the appeal. Take no further action

• More than 30 days from the date of the notice of decision, go to step 12

• Yes, pass the appeal to the submission writer. They will ask the tribunal whether they accept the late appeal. Take no further action

• No, contact the claimant to establish why the appeal is late. Write to the claimant for this information and then file the appeal in the clerical Bf for 14 days

Follow the guidance in Contacting The Claimant

• If the reason for the late appeal is provided within the 14 days, pass the appeal to the submission writer. If the submission writer does not accept the reason for lateness, they will send the appeal to the Tribunal to ask whether it accepts the late appeal

Note: A panel member at the Tribunal will decide whether the reason for the late appeal can be accepted and will notify TCO of its decision

• If the reason for the late appeal is not provided after the 14 days, issue a reminder to the claimant and file the appeal in the clerical Bf for a further 14 days

• If the reason for the late appeal is provided within the further 14 days, pass the appeal to the submission writer. If the submission writer does not accept the reasons for lateness, they will send the appeal to the Tribunal to ask whether it accepts the late appeal

• If the reason for the late appeal is not provided after the further 14 days, send the appeal documents to storage

Follow the guidance in Preparing And Sending Documents For Storage