Amend Effective Date : Backdating (AG)

To backdate a claim, consider steps 1 - 27 below. The guide is presented as follows

Initial action	Steps 1 - 4
Check Complex Case signal	Step 5
Determine new effective date	Steps 6 - 9
Amend the effective date	Steps 10 - 15
Amend Start and Include From dates	Steps 16 - 25
Update Household Notes	Step 26
Send to storage	Step 27

Initial action

1	Use Function VIEW APPLICATION Enter the claimant’s NINO in the Key Entry Data screen Select the All checkbox Click on the [OK] button Note: If you are taken to the Select Application screen, click on the relevant claim you are dealing with to highlight it and then click on the [OK] button Go to step 2
2	If The error message ‘No match found’ displays, go to step 3 Otherwise Go to step 4
3	On the Key Entry Data screen, click on the [Trace] button. Follow the guidance in Trace Individual If you trace the individual, click on the [OK] button and then go to step 4 If you cannot trace the individual and have no contact telephone number or address Place the correspondence in confidential waste Take no further action
4	Before you continue with the guidance in this Action Guide, follow the guidance in Action To Take Before Processing A Claim Or Work Item Then If you can continue to process the claim, go to step 5

Check Complex Case signal

In Function VIEW APPLICATION

If the Complex Case checkbox is ticked, the case must be dealt with by the European Economic Area (EEA) Team

Note: You must also follow the guidance in Identifying A Complex Case

Transfer the case to the appropriate Management Unit (MU). See the MU Table for the correct MU number

Send any correspondence to the European Economic Area (EEA) Team (This text has been withheld because of exemptions in the Freedom of Information Act 2000)

Use Function MAINTAIN HOUSEHOLD NOTES to record a message that you have transferred the case to the European Economic Area (EEA Team

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

Take no further action

If the Complex Case checkbox is not ticked, or you have not been instructed to transfer the case to the European Economic Area (EEA) Team, go to step 6

Determine new effective date

6	If you are dealing with backdating a claim on The Backdating Team or Complex Cases Team, go to step 7 Any other team Follow the guidance in Backdating Claims – General Complete the Backdating Referral Stencil Take no further action
7	If you are dealing with a request to backdate a claim On a Backdating Referral Stencil, go to step 9 From Compliance to correct an effective date, go to step 9 Direct from a claimant requesting their claim be backdated, go to step 8
8	Confirm or determine the new effective date. Follow the guidance in Backdating Claims – General Then Go to step 9
9	Use Function VIEW HOUSEHOLD NOTES to check for any messages regarding residency restrictions If there are no messages, go to step 10 If there is a message Record the residency start date Then Go to step 10

Amend the effective date

10	Note: Before making any changes to the claim, you must follow the guidance in Establish If A Change Can Be Made. This is to confirm if your change(s) can be made Use Function AMEND EFFECTIVE DATE Enter the claimant NINO in the Key Entry Data screen Select the All checkbox Click on the [OK] button If the message ‘S18 Refinalisation Rules – a change to CCYY-CCYY may cause an inappropriate refinalisation' displays The changes you are making will re-finalise the claim, follow the guidance in Establish If A Change Can Be Made before making any changes Then, if you can make the change Click on the [OK] button on the message Go to step 11 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 Establish If A Change Can Be Made before making any changes Then, if you can make the change Click on the [OK] button on the message Go to step 11 If the message ‘S18 Refinalisation Rules – You do not have the authority to refinalise CCYY-CCYY. This change will not be accepted. Please refer to the appropriate team’ displays The changes you are making will refinalise the claim Click on the [Cancel] button. You will be taken to the Amend Application Details screen Click on the [Cancel] button When the message ‘All changes to the application will be lost for this session, do you wish to proceed?’ displays, click on the [Yes] button Pass the case to a Level 2 User or your manager. For more information on Level 1 and Level 2 users, see Level 1 and Level 2 User Roles Take no further action If none of the above messages display, go to step 11
11	On the Select Application screen Click on the claim showing the effective date you wish to amend to highlight it Click on the [OK] button. You will be taken to the Amend Effective Date screen Go to step 12
12	On the Amend Effective Date screen, check the Warnings field and Review the actions you need to perform if there are any warnings. Follow the guidance in Amend Effective Date Warning Messages If you are satisfied that the effective date can be amended, go to step 13 If you are not satisfied that the effective date can be amended, click on the [Cancel] button and then go to step 26
13	In the Amend Effective Date field Enter the new effective date Note: If a date was recorded at step 9, then the new effective date should not be prior to that date Click on the [Continue] button Then Go to step 14
14	If you Are taken to the Applicant 1 Entitlement Details screen, go to step 16 Receive the warning message ‘Warnings exist for this application. Are you sure you wish to continue’ click on the [Yes] button and then go to step 16 Receive any other messages, go to step 15
15	Ensure that you are backdating the claim to the correct effective date. Follow the guidance in Backdating One of the following warning messages will have displayed ‘New effective date crosses a Tax Credit Period boundary from CY to PY’ ‘New effective date is later than the application received date’ ‘New effective date is earlier than [93] days before the application received date’ ‘The period between the new and existing effective dates contains an End Date for one or more entitlement period’ If you are satisfied that the new effective date is correct Click on the [Continue] button. You will be taken to the Applicant 1 Entitlement Details screen Note: Once you have clicked on the [Continue] button you will not be able to amend the effective date. If you determine at any stage the new effective date is incorrect, you will have to click on the [Cancel] or [Menu] button to restart your action Go to step 16 If you have reviewed the guidance and need to change the effective date Click on the [Cancel] button. You will be taken back to the Amend Effective Date screen Go back to step 13

Amend Start and Include From dates

16	On the Applicant 1 Entitlement Details screen Amend any relevant dates in the Start and Include From fields. See the Applicant Entitlement Messages for assistance Note: These dates must comply with the backdating rules, see Backdating Note: If no data exists for an Entitlement Factor the date fields for that entitlement will be disabled Then Go to step 17
17	Is the [OK] button enabled No, click on the [Continue] button and then go to step 18 Yes, click on the [Eligibility] button and then go to step 22
18	If you are taken to the Applicant 2 Entitlement Details screen Amend any relevant dates in the Start and Include From fields. See the Applicant Entitlement Messages for assistance Note: These dates must comply with the backdating rules, see Backdating Note: If no data exists for an Entitlement Factor the date fields for that entitlement will be disabled Then Go to step 19 List Children screen, go to step 20
19	Is the [OK] button enabled No, click on the [Continue] button and then go to step 20 Yes, click on the [Eligibility] button and then go to step 22
20	On the List Children screen Click on the first listed child to highlight it Click on the [Entitlement] button. You will be taken to the Child Entitlement Details screen for that child Go to step 21
21	Amend any relevant dates in the Start and Include From fields for that child. Follow the guidance in Backdating Note: See the Child Entitlement Messages for assistance in determining the correct dates to enter in the Start and Include From fields Then If the [Next Child] button is enabled Click on the button Amend any relevant dates in the Start and Include From fields for the next child. Follow the guidance in Backdating Then, when you have amended the dates for all the children Click on the [OK] button. You will be taken back to the List Children screen Click on the [Eligibility] button Go to step 22 If the [Next Child] button is disabled Click on the [OK] button. You will be taken back to the List Children screen Click on the [Eligibility] button Go to step 22
22	If you receive the message ‘Application is eligible at the new effective date’, go to step 25 ‘Household does not qualify for WTC or CTC at the new effective date’, go to step 23
23	Check all the dates you have entered in the Start and Include From fields. Follow the guidance in Backdating If you have to amend any dates, click on the [Eligibility] button again. If you receive the message ‘Application is eligible at the new effective date’, go to step 25 ‘Household does not qualify for WTC or CTC at the new effective date’, go to step 24 If you do not have to amend any dates, go to step 24
24	Tax credits are not due at the new effective date you have entered Click on the [OK] button on the message Click on the [Cancel] button to cancel the new effective date you have entered Complete a free format LFC and inform the claimant that tax credits are not due from the new effective date, and that their claim will remain in payment from the original effective date Then Go to step 26
25	On the List Children screen Click on the [OK] button When the ‘Amend Effective date – Finish’ message displays, click on the [OK] button Note: The changes you have made in this function will not be applied until you complete the Amend Finish screen and click on the [OK] button If the message ‘S18 Refinalisation Rules – a change to CCYY-CCYY may cause an inappropriate refinalisation' displays The changes you are making will re-finalise the claim, follow the guidance in Establish If A Change Can Be Made before making any changes Then, if you can make the change Click on the [OK] button on the message Go to step 26 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 Establish If A Change Can Be Made before making any changes Then, if you can make the change Click on the [OK] button on the message Go to step 26 If the message ‘S18 Refinalisation Rules – You do not have the authority to refinalise CCYY-CCYY. This change will not be accepted. Please refer to the appropriate team’ displays The changes you are making will refinalise the claim Click on the [Cancel] button. You will be taken to the Amend Application Details screen Click on the [Cancel] button When the message ‘All changes to the application will be lost for this session, do you wish to proceed?’ displays, click on the [Yes] button Pass the case to a Level 2 User or your manager. For more information on Level 1 and Level 2 users, see Level 1 and Level 2 User Roles Take no further action If none of the above messages display, go to step 26

Update Household Notes

Use Function MAINTAIN HOUSEHOLD NOTES and select the 'General' category to record the actions 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

Note: You will need to make separate entries if you have calculated entitlement across more than one tax year

Then

Go to step 27

Send to storage

27	Link together all the documents for the case and send to remote storage. Follow the guidance in Preparing And Sending Documents For Storage

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