Establishing Evidence Of An Earlier Claim (AG)

Check for Compliance activity. Follow the guidance in Identifying Compliance Activity

• If there is no Compliance activity, or Compliance do not require the claim, has a Complex Case signal displayed?

• Yes

• Use Function VIEW HOUSEHOLD NOTES to check which European Economic Area (EEA) team (formerly known as the Complex Case team) to transfer the work to

• Send the backdating request to the relevant European Economic Area (EEA) team

• Take no further action

• No, go to step 2

• Use Function VIEW AWARD

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

• Select the All checkbox

• Click on the [OK] button

• If you are taken to the

• Award Summary screen, go to step 3

• Select Award screen, click on the latest version of the earliest award, relevant to the earliest tax period to highlight it and then click on the [OK] button. You will then be taken to the Award Summary screen, go to step 3

• If there are no claims on the computer

• Follow the guidance in No Trace Of Claim

• BF the request in your clerical run until a claim is captured

• Select 'View Calculation' on the toolbar menu

• Select 'View Elements' from the options available. You will be taken to the View Elements screen

• Make a note of the entitlement date shown in the Ent Per Start column

Then

• Go to step 4

Note: If an 'Appeal' signal displays, you can disregard this signal. Click on the [OK] button to continue

• Use Function VIEW APPLICATION

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

• Select the All checkbox

• Click on the [OK] button. If you are taken to

• The Application Summary screen and the claim status is ‘Finalised’ or ‘Award Issued’, go to step 7

• The Select Application Version screen, click on the earliest version with a status of ‘Finalised’ or ‘Award Issued’ to highlight it and then click on the [OK] button. You will be taken to the Application Summary screen, go to step 7

• The Select Application screen, this means there is more than one claim for this claimant. Click on the earliest version with a status of ‘Finalised’ or ‘Award Issued’ to highlight it and then click on the [OK] button. You will be taken to the Application Summary screen, go to step 7

Note: If there are multiple claims with a status of ‘Finalised’ or ‘Award Issued’, you must establish which was received earliest. Check each claim with a status of ‘Finalised’ or ‘Award Issued’ in turn and select the earliest version of each to establish the dates the claims were received

• Any of the above screens and there is a claim with a status of ‘Rejected’, ‘Withdrawn’, or ‘Terminated’, in the Application Summary screen, check the date in the Date Received field

• If the date in the Date Received field is earlier than the earliest claim date with a status of ‘Finalised’ or ‘Award Issued’, go to step 5

• If it is relevant to the date the claimant says they claimed from and you have reason to believe that this claim has been incorrectly processed, go to step 6

• If it is relevant to the date the claimant says they claimed from and you are satisfied that the earlier claim has been processed correctly, go back to step 4 and follow the action for the earliest claim date with a status of Finalised’ or ‘Award Issued’

• If it is not relevant to the date the claimant says they claimed from, go back to step 4 and follow the action for the earliest claim date with a status of ‘Finalised’ or ‘Award Issued’

• If it is a ‘Rejected’ claim

• Consider entitlement and ensure the claimant meets the eligibility criteria. Follow the guidance in Entitlement

Note: You will need to make a note of the child's date of birth and date of responsibility, and the employment details to consider entitlement

Note: If a WTC only claim has been rejected and the claimant would have been eligible due to a disability benefit award, follow the guidance in Backdating Requested Due To A Disability

• Follow the guidance in Changes

Then

• Go to step 7

• If it is a ‘Compliance Terminated’ claim

• Follow the guidance in Compliance Cases

Then, if you are advised to continue your actions

• Go to step 7

• If it is a ‘System Terminated’ claim

• Consider whether the claim needs to be restored. Follow the guidance in Restore A Terminated Renewal

Then

• Go to step 7

• If it is a ‘Withdrawn’ claim. Has the claim been withdrawn correctly? For example, it will have been withdrawn correctly if the claim had been captured twice by mistake. Follow the guidance in Withdrawing A Claim

• Yes, there are no grounds to backdate

• Go back to the earliest issued award and consider entitlement and ensure the claimant meets the eligibility criteria. Follow the guidance in Entitlement

Note: You will need to make a note of the child's date of birth and date of responsibility, and the employment details to consider entitlement

• Go back to step 4 and follow the action to determine the earliest claim date with a status of ‘Finalised’ or ‘Award Issued’

• Go to step 7 to check that this has been backdated correctly on the computer

Then

• Go to step 17

• No, a withdrawn claim cannot be restored

• Go back to the earliest issued award and consider entitlement and ensure the claimant meets the eligibility criteria. Follow the guidance in Entitlement

Note: You will need to make a note of the child's date of birth and date of responsibility, and the employment details to consider entitlement

• Go back to step 4 and follow the action to determine the earliest claim date with a status of ‘Finalised’ or ‘Award Issued’

• Go to step 7 to check that this has been backdated correctly on the computer

Then

• Go to step 17

Then

• Return to this guidance at this point and go to step 8

• Not been backdated correctly on the computer, go to step 9

• Been backdated correctly on the computer to a maximum of 3 months, but the claimant has indicated that they had claimed from an earlier date. You will need to establish if the claimant has evidence of an earlier claim, go to step 10

• Use Function MAINTAIN HOUSEHOLD NOTES to check for entries that indicate that the claim has been backdated and manually calculated off system by the Backdating Team

• If the claim has been backdated and manually calculated off system by the Backdating Team, compare the date that the claim has already been backdated to with the date provided by the claimant that the earlier claim would have been made from. Follow the guidance in Backdating Claims - General to establish the earlier entitlement date

• If both dates are the same, go to step 19

• If the date the claimant says they made an earlier claim from would mean entitlement from an earlier date than the date the present award is being paid from, as manually calculated off system, go to step 10

• If the claim has not been backdated and manually calculated off system by the Backdating Team

• Follow the guidance in Backdating Claims - General to complete the referral stencil

• To avoid double handling, enter the following in Function MAINTAIN HOUSEHOLD NOTES

‘TCMZ Claim has not backdated correctly on system and claimant has requested that their claim be considered for backdating entitlement from an earlier claim date of DD/MM/YY, referral stencil completed and sent to backdating 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

• Specific entries in Function MAINTAIN HOUSEHOLD NOTES with details of any contact regarding the earlier claim

• An acknowledgement letter

• A recorded delivery receipt

• Any other written correspondence

• The date the claimant says they made a tax credit’s claim using the internet

• The date the claimant says they made a telephone call to a Contact Centre

• The date the claimant says they visited an Enquiry Centre

Note: Visits to an Enquiry Centre are not logged. However evidence may be provided by entries in Function MAINTAIN HOUSEHOLD NOTES. If there are no entries, the evidence is not proven

• (This text has been withheld because of exemptions in the Freedom of Information Act 2000)

• Where the claimant has provided you with evidence, go to step 11

• Where the claimant says they have evidence, but this has not been sent to you already, contact the claimant and ask them to send the evidence to you. Follow the guidance in Contacting The Claimant and Manual Reminder Cycle

Note: Written evidence will usually be original documents. Copies may also be accepted. Evidence may be the dates of contact with a Contact Centre which can be verified using CMA History

• If the claimant provides you with the evidence within the normal reminder cycle, go to step 11

• If the claimant fails to provide you with the evidence within the normal reminder cycle or if the evidence provided does not support an earlier claim having been made, go to step 18

• A copy of an acknowledgement letter, go to step 12

• A letter asking about their claim, any other written correspondence, or a recorded delivery receipt in relation to this or a claim they say they sent to us, go to step 13

• The date the claimant states they made a tax credits claim using the internet, go to step 14

• The date the claimant states they made a telephone call to a Contact Centre, go to step 15

• The date the claimant states that they visited an Enquiry Centre, go to step 15

Note: This list is not exhaustive

• Sent a letter

• Any other form of written correspondence

Or

• Have provided a recorded delivery receipt enquiring about a claim they had sent in at an earlier date, then

• If they have not got a copy of this, but they have provided specific details of when they sent in this claim and there are no entries of this in Function MAINTAIN HOUSEHOLD NOTES. Retrieve the correspondence from storage. Follow the guidance in Retrieval Of Casepapers

• If the correspondence is retrieved from storage, go to step 16

• If the correspondence is not retrieved from storage, go to step 18

• If you have been provided with the evidence already or the claimant has sent in a copy of the original letter or written correspondence, go to step 16

Note: If the claimant has not provided the date they submitted their internet claim, you will need to contact them to obtain this. Follow the guidance in Contacting The Claimant

• Contact Electronic Business Unit (EBU) (This text has been withheld because of exemptions in the Freedom of Information Act 2000). EBU will need the following details in order to confirm that the internet claim was submitted

• Claimant’s NINO

• Claimant’s date of birth

• Date the claim was submitted. An approximate date is acceptable for EBU to track the claim

Note: If the claim is a joint one, EBU will need the NINO and date of birth of the claimant who was first entered on the internet claim form. If the claimant is unsure who this was, it may be necessary to check both claimant 1 and claimant 2’s details

• If EBU confirm that an internet claim was submitted, go to step 17

• If EBU do not confirm that an internet claim was submitted, go to step 18

Note: For the evidence to be accepted, the internet claim must have been submitted. A saved internet claim cannot be accepted as evidence of an earlier claim. Saved claims are only retained on the computer for a period of 1 month

• Telephone call to a Contact Centre and they have provided you with a specific date of when this was. Check CMA History to establish whether a telephone call was made on the date provided to enquire about an earlier claim

Note: If the claim is a joint one, it may be necessary to check CMA History using each claimant’s details, as CMA record a call history for each claimant separately

• If CMA History confirms that a telephone call was made about an earlier claim, go to step 17

• If CMA History does not confirm that a telephone call was made about an earlier claim, go to step 18

• Visit to an Enquiry Centre and they have provided you with a specific date of when this was. Check whether an entry has been made in Function MAINTAIN HOUSEHOLD NOTES confirming that the claimant made contact with an Enquiry Centre

• If there is an entry confirming that the claimant made contact with an Enquiry Centre, go to step 17

• If there is no entry confirming that the claimant made contact with an Enquiry Centre, go to step 18

• If a specific date has not been provided, go to step 18

• (This text has been withheld because of exemptions in the Freedom of Information Act 2000)

• Has provided you with evidence that they have previously contacted us asking about their earlier claim, consider all the evidence that supports the claim having been made at an earlier date. You may need to contact the claimant to query or question their intent to claim, for example

• Does the letter or written correspondence provide a specific date and details that confirms when they sent in their claim?

• Does the correspondence provide satisfactory evidence that the claimant had made an earlier claim?

• Has the evidence of a submitted internet claim been obtained?

• Has the claimant taken reasonable steps to enquire about their claim within 3 months, if not, why not?

Note: If necessary, contact the claimant to consider the reasons for the delay. Follow the guidance in Contact The Claimant

• If you are satisfied that the evidence provided is acceptable, go to step 17

• If you are not satisfied that the evidence provided is acceptable, go to step 18

Notes: The above examples are for guidance only

For further information, see the Examples

• Consider entitlement at the date you intend to backdate to. Follow the guidance in Entitlement

Note: You will need to make a note of the child's date of birth and date of responsibility, and the employment details to consider entitlement

• Consider whether you can backdate the claim on the computer or you must do it manually. Then

• To backdate the claim on the computer, follow the guidance in Amend Effective Date
   
• To manually backdate the claim, follow the guidance inManual Calculation Of A WTC / CTC Claim Requiring Backdating To An Earlier Date

Note: Check Function MAINTAIN HOUSEHOLD NOTES to establish if any manually calculated backdating payments have already been issued

• Record details of how you made your decision on form TC648

• Attach the form TC648 to any correspondence

• Send the form TC648 and all correspondence to storage. Follow the guidance in Preparing And Sending Documents For Storage

Then

• Go to step 20

• Send form TC845A to the claimant

Then

• Go to step 20

• Send the appropriate form TC845 to the claimant from those listed below

• TC845. A letter to explain that the claim cannot be backdated because the claim has already been backdated for the maximum period of three months
   
• TC845A. A letter to explain that the claim cannot be backdated because there is no record of an earlier claim. The claimant must send in information that shows they did make an earlier claim
   
• TC845B. A letter to explain we can only backdate a claim for 3 months from the date the claim was received
   
• TC845C. A letter to explain that the claim cannot be backdated because there is no entitlement to CTC because payment is already being received as part of Income Support, Pension Credit or Job Seeker’s Allowance
   
• TC845D. A letter to explain we are unable to backdate the claim because their award has now been finalised
   
• TC845E. A letter to explain we are unable to backdate the claim because the qualifying conditions were not met at the earlier date

• Has the claimant stated they have been mis-advised

• No, go to step 20

• Yes, send details of the case to the Tax Credit Office Customer Relations Team and then go to step 20

• From step 17 – 'TCMZ Claimant has provided satisfactory evidence that they claimed NTC at an earlier date '

• From step 18 – 'TCMZ Claimant has not provided satisfactory evidence that they claimed NTC at an earlier date. No grounds to backdate. Letter sent to claimant'

• From step 19 – 'TCMZ Claimant requested that their claim be backdated to an earlier date. Claim has been checked on system and user is satisfied that this has backdated correctly and award notice would have been issued to the claimant previously, no further action'

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