Stage Three - Settlement By Agreement (AG)

• If the claimant has provided a contact telephone number and you are able to contact the claimant by telephone

• Discuss the issues that have been raised in the appeal

Then

• Go to step 2

• If the claimant has not provided a contact telephone number or you are unable to contact the claimant by telephone

• Send form TC621(option 6) to 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

Then

• File the appeal in the clerical Bf for 14 days

Note: If there is no response from the claimant after 14 days, issue reminder form TC609 to the claimant and file the appeal in the clerical Bf for a further 14 days

• If there is a response from the claimant, go to step 2

• If there is no response from the claimant, pass the appeal to the submission writer for them to refer it to the tribunal. Take no further action

• A total settlement by agreement between you and the claimant, go to step 3

• Only a partial settlement by agreement between you and the claimant, go to step 4

• No settlement by agreement between you and the claimant, go to step 5

Or

• If the claimant changes their mind about the agreement, go to step 6

• Use Function AMEND APPLICATION if the claim has been awarded

Or

• Use Function CAPTURE APPLICATION if the claim has been disallowed

Then

• Issue form TC622 (option 6) to the claimant or representative, if they have one

• Use Function MAINTAIN HOUSEHOLD NOTES to record the action you have taken

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

• To allow the claimant to respond against the decision, file the appeal in the clerical BF for 30 days

• If there is a response from the claimant within the 30 days, go to step 6

• If there is no response from the claimant after the 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, select ‘Closed’ from the Appeal Status field drop down list

Then

• Send the appeal to remote storage. Follow the guidance in Preparing And Sending Documents For Storage. Take no further action

• Pass the appeal to the submission writer for them to prepare and send the submission to the Appeals Service (tAS) in the normal way

• Issue from TC622 (option 6) to the claimant

Then

• File a copy of the appeal papers in the clerical BF. Take no further action

• Pass the appeal to the submission writer for them to prepare and send the submission to tAS in the normal way

• Take no further action

• If the claimant withdraws from the agreement in writing within 30 days

• Pass the appeal to the submission writer for them to prepare and send the submission to tAS in the normal way

• If the claimant does not withdraw from the agreement in writing within 30 days, the appeal is completed and cannot be revived. The claimant can appeal against the new decision, although the provisions for late appeals may apply

• Send the appeal to remote storage. Follow the guidance in Preparing And Sending Documents For Storage