Establish If A Change Can Be Made (AG)

• You are dealing with a Disputed Overpayment, a Complaint or an Appeal case consider the guidance in Notifying A Change before taking any further action in this guidance

Then

• Use Function MAINTAIN HOUSEHOLD NOTES to check for a message stating who has taken responsibility for the case

Then

• Complete form TC648 and pass all the relevant paperwork to the person involved

Note: If you are dealing with a work list item make a note of all the details on the work list on the form TC648

• Take no further action

• You are dealing with a Work Area Mailbox (WAM) on a non-Complex Case, go to step 22
   
• You are dealing with a response to form TC959, go to step 5
   
• You are dealing with an expired action date and you are waiting to establish if the PY change still applies, go to step 13
   
• You are dealing with an expired action date and you are waiting to establish full details of the change and / or the year the change relates to, go to step 4
   
• You are dealing with the action date of 2nd Specified Date (2SD), go to step 38

Otherwise

• Go to step 2

Note: Before deciding which tax year the change relates to you must apply the normal backdating rules

• If the claimant states they have the following change(s) only

• Amending the CTC and / or WTC nomination and / or frequency of payments
   
• Change of address
   
• Change of bank details
   
• Correcting or changing the claimants name

• Make the change(s) in CY. Follow the appropriate guidance inChanges
   
• Take no further action

• If the claimant states any other change(s) and you determine what the change is and which tax years it relates to, go to step 5
   
• You cannot determine what the change is or which tax year the change relates to, contact the claimant for this information. Follow the guidance in Contacting The Claimant

• If you determine what the change is and which tax year it relates to, go to step 5
   
• If you cannot determine what the change is or which tax year the change relates to, go to step 3

• If the claimant states that they, their partner or one of their children are now in receipt of a qualifying benefit and are entitled to the disability or severe disability element of WTC or CTC, establish which year the change to the disability or severe disability elements will relate to. Follow the guidance Backdating Requested Due To A Disability

• If you determine what the change is and which tax years it relates to, go to step 5
   
• If you cannot determine what the change is or which tax year the change relates to, contact the claimant for this information. Follow the guidance in Contacting The Claimant

• If you determine what the change is and which tax year it relates to, go to step 5
   
• If you cannot determine what the change is or which tax year the change relates to, go to step 3

• If you find the missing information, go to step 5
   
• If you cannot find the missing information, or you are unable to contact the claimant or the claimant is reluctant to provide any personal information issue form TC664 to the claimant(s) asking for the missing details
   
• If you are dealing with a work list item, use Function MAINTAIN WORKLIST to

• Set an action date on the computer for 14 days in the future
   
• Transfer the work item to the ‘Establish if a change can be made BF’ MU. See the MU table for the correct MU number

Note: Make sure you tick the Retained checkbox after entering the action date

• If you are not dealing with a work list item

• Set a clerical BF date for 14 days in the future
   
• Complete form TC648 with the claimant’s details

Then

• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record either or both of the following, as appropriate

‘ NX13 - TC664 issued for full CoC details. CoC’s not yet dealt with. (Enter clmt’s name) and (State what details are missing). (Include BF date)’
 
‘ NX14 - CoC not yet dealt with. Clmt (insert name) has provided the following details (State the details of change given so far). (Include date notified and the date(s) the change actually occurred if known)’
 
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

• Has been recorded, go to step 5
   
• Has not been recorded, check if a reminder has been issued

• If a reminder has not been issued, issue form TC664R to the claimant(s)

• If you are dealing with a work list item
   
• Use Function MAINTAIN WORKLIST to set an action date for 14 days in the future

Note: Make sure you tick the Retained checkbox after entering the action date

• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX15 - TC664R issued. (Include BF date)’
 
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 you are not dealing with a work list item
   
• Set a clerical BF date for 14 days in the future
   
• Complete form TC648 with the claimant’s details
   
• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX15 - TC664R issued. (Include BF date)’
 
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 a reminder has been issued, follow the guidance in Unprocessed Change Of Circs Work List for the action to take when there has been no response to the enquiry and the reminder cycle has expired

Note: If the change is dealing with the death of a claimant or child, go to step 5

• No, go to step 6
   
• Yes and you are

• Amending a child's date of birth for CY

Or

• Amending the date in the Include From Date field in CY

• Apply the CY change. Follow the appropriate guidance in Changes

Note: If the child's date of birth is not in CY, as long as the date in the Include From Date field is in CY you can make the change because the change will not affect any previous year. You can view the date in the Include From Date field by using Function AMEND APPLICATION, choosing the Correction option and selecting 'History Details' on the Child Details screen

• Take no further action

• Dealing with changing a claimant’s date of birth

Or

• Dealing with changing a child's date of birth for PY or earlier

Note: You must not make the change

• If you are not dealing with a work list item, complete a M1 Referral form and post it with the attachments to the Tax Credit Office detailed on the referral
   
• If you are dealing with a work list item, use Function MAINTAIN WORKLIST to transfer the work item to the ‘Mismatches IN’ MU. See the MU table for the correct MU number
   
• Take no further action

• Dealing with the death of a claimant or child

• Complete a form TC648 and post with any attachments to the Tax Credits Office (This text has been withheld because of exemptions in the Freedom of Information Act 2000)
   
• If you are dealing with a work list item, use Function MAINTAIN WORKLIST to transfer the work item to the ‘DOD INDICATOR IN’ MU. See the MU table for the correct MU number

Then

• Go to step 45

• Current Year (CY)

• Apply the CY change. Follow the appropriate guidance in Changes

Note: You must consider the normal backdating rules whenever you make a change to CY

• Take no further action

• Previous Year (PY), go to step 7
   
• Previous Year minus one year (PY-1) or earlier

• Follow the guidance in Consider PY-1 Or Earlier Changes
   
• Take no further action

• Not finalised, check if the change is an income change. If the change is

• Not an income change

• Make the change. Follow the appropriate guidance in Changes
   
• Take no further action

• An income change, check to see if the Annual Declaration has been issued. To do this

• Use Function MANAGE FINALISATION
   
• Go to the Notice Details screen
   
• In the S17 Notice box, is one or more of the Issued to checkboxes ticked
   
• Yes, go to step 8
   
• No, make the PY change. Follow the appropriate guidance in Changes and then go to step 44

• Finalised

• Check the date the Annual Declaration was received

Note: The date the Annual Declaration was received is in the Declarations box. If this box is blank then the Annual Declaration has not been returned by the claimant

For example, if a claimant finalises their claim over the telephone the Declarations box will be blank. The Declarations box will also be blank in auto renewal cases. Where the Declarations box is blank the renewal status is shown in the Status field on the View S17 Declaration screen

• Click on the [Details] button under the S17 Notices box and make a note of the following

• 1SD
   
• 2nd Specified Date (2SD)

Then

• Go to step 11

• Is the corresponding Not served checkbox ticked

• Yes, make the PY change. Follow the appropriate guidance in Changes and then go to step 44
   
• No, go to step 9

• Use Function VIEW S17 DETAILS
   
• Go to the Current Position screen for the relevant PY year
   
• Is there a received date in the Declaration box

• Yes

• Make the income change in Function CAPTURE RENEWAL DECLARATION

Note: If the claimant has supplied a type of income on the Annual Declaration which is different from the type of income already held on the computer, you must contact the claimant to confirm the correct details. If you are unable to contact the claimant, go back to step 3

• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX04 - S17 rec’d and income change made through Capture Renewal Declaration (DD/MM/YY)’
 
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

• No, go to step 10

• Use Function VIEW S17 DETAILS
   
• Enter the claimant’s NINO in the Key Entry Data screen
   
• Select the ‘Latest’ checkbox
   
• Click on the [OK] button
   
• Go to the Current Position screen
   
• Click on the [Details] button under the S17 Notices box
   
• Check the Reason for Issue field

• If the reason for issue is ‘Reply Required’, make the PY change. Follow the appropriate guidance in Changes and then go to step 44
   
• If the reason for issue is ‘Auto Renew’, check the Income Limits PY field to see if the income change is within the income bands

• If the income change is within the income bands, make the PY change. Follow the appropriate guidance in Changes and then go to step 44
   
• If the income change is not within the income bands
   
• Make the income change in Function CAPTURE RENEWAL DECLARATION
   
• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX06 - Auto S17 Case - Income change reported. S17 not rec’d’

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

• Yes, go to step 15
   
• No, were any of the changes notified after the Annual Declaration was received by Tax Credit Office (TCO)

Notes: To help determine when the change was first notified and depending on how the change was notified, do one of the following

• Check the received date of the letter
   
• Use Function MAINTAIN WORLKIST to check the date the work list entry was created
   
• Use Function VIEW HOUSEHOLD NOTES to check for an entry relating to the change being dated prior to 1SD

• Yes, go to step 14
   
• No, contact the claimant to ensure the change(s) are still correct. Follow the guidance in Contacting The Claimant

• If you are unable to contact the claimant by telephone, go to step 12
   
• If you are able to contact the claimant on or before the claimant’s 1SD and you confirm that the change is still correct
   
• Apply the PY and CY change(s), as appropriate. Follow the appropriate guidance in Changes and then go to step 44

Note: You must consider the normal backdating rules whenever you make a change to PY and / or CY

• If you are able to contact the claimant on or before the claimant’s 1SD and you confirm that the change no longer applies, go to step 46
   
• If you are unable to contact the claimant on or before the claimant’s 1SD, go to step 15

• No, go to step 15
   
• Yes, complete form TC664

• Write out the details of the change and ask if the change still applies

Note: If you need more information to apply the change then also ask for this missing information

• Enter a reply by date of the claimant’s 1SD on the form TC664
   
• Issue the form TC664 to the claimant
   
• If you are

• Not dealing with a work list item, BF the case for 14 days or 1SD, whichever is earlier to await a reply
   
• Dealing with a work list item, set an action date of either 14 days or 1SD, whichever is earlier to await a reply

• Use Function MAINTAIN WORKLIST to transfer the work item to the ‘Establish if a change can be made BF’ MU. See the MU table for the correct MU number

Note: Make sure you tick the Retained checkbox after entering the action date

• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX16 - PY change rec’d before S17. TC664 sent to establish if change still applies [insert details of any further questions here]. BF (DD/MM/YY)’
 
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 required information has been received and entered in Household Notes, go back to step 11
   
• If the required information has not been received, are there at least 4 working days between today’s date and the claimants 1SD

• No, go to step 15
   
• Yes, has a reminder been issued

• Yes, go to step 15
   
• No, Issue a reminder form TC664R to the claimant
   
• Set another clerical BF date of 14 days or 1SD, whichever is earlier
   
• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category 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

• Take no further action

• Apply the PY and CY change(s), as appropriate. Follow the appropriate guidance in Changes

Note: You must consider the normal backdating rules whenever you make a change to PY and / or CY
 
Then

• Go to step 44

Note: Auto renewal cases do not have a received date. In these cases you must use Function VIEW S17 DETAILS and go to the Current Position screen to check if the details of the change was received before 1SD

• No, go to step 16
   
• Yes

• Apply the PY and / or CY change(s). Follow the appropriate guidance in Changes

Note: You must consider the normal backdating rules whenever you make a change to PY and / or CY

• Go to step 44

Then, return to this step

• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX17 - Clmt provided CoC (state full details of change) on DD/MM/YY. Applied change’
 
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

• If you are dealing with any correspondence, send the correspondence to storage. Follow the guidance in Preparing And Sending Documents For Storage
   
• Take no further action

• Use Function VIEW S17 DETAILS
   
• Go to the Current Position screen
   
• Check the Declaration status. If it is

• ‘Finalised Estimated DD/MM/YYYY - Managed’
   
• ‘Finalised Estimated DD/MM/YYYY - Full Reply’

Or

• ‘Finalised Estimated DD/MM/YYYY - System’, go to step 17

Otherwise

• Go to step 20

• No, go to step 18
   
• Yes

• Use Function MAINTAIN HOUSEHOLD NOTES to check for any PY and CY changes that have not yet been applied
   
• Apply all the change(s) to PY and CY that have not yet been applied. Follow the appropriate guidance in Changes

Note: You must consider the normal backdating rules whenever you make a change to PY and / or CY
 
Note: If PY actual income has been reported then all changes to PY can be made at the same time
 
Note: If it is a joint claim you must have actual income for both claimants

• Go to step 44

Then, return to this step

• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX19 - Clmt (insert name) has now provided PY actual income for Finalised Estimated case. PY income [and insert details of any other changes made at the same time] applied (Include date notified and the date(s) the change actually occurred if known)’
 
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 you obtain the PY actual income

• Use Function MAINTAIN HOUSEHOLD NOTES to check for any PY and CY changes that have not yet been applied
   
• Apply all the change(s) to PY and CY that have not yet been applied. Follow the appropriate guidance in Changes

Note: You must consider the normal backdating rules whenever you make a change to PY and / or CY
 
Note: If it is a joint claim you must have actual income for both claimants

• Go to step 44

Then, return to this step

• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX19 - Clmt (insert name) has now provided PY actual income for Finalised Estimated case. PY income [and insert details of any other changes made at the same time] applied (Include date notified and the date(s) the change actually occurred if known)’

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 you cannot obtain the actual PY income

• Advise the claimant to contact TCO with the PY change once their PY actual income is available
   
• Confirm with the claimant that you will make any relevant changes to the CY award
   
• Advise the claimant that you are unable to make the change(s) to the PY award without the actual income

Then

• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to

• Record the action you have taken

And

• Full details of any PY non income change of circumstances you are unable to apply

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

• Go to step 19

• If you cannot contact the claimant by telephone, go to step 19

• Go to the Finalisation Details screen for the relevant year
   
• In the Finalisation Inhibited checkbox, select the checkbox to set the Inhibit signal
   
• Select ‘TCO’ from the Actioned By drop down menu
   
• Select ‘Annual Declaration Review’ from the Reason drop down menu
   
• Click on the [OK] button

Then

• Apply the CY changes, as appropriate. Follow the appropriate guidance in Changes
   
• Send form TC959 to the claimant

Note: If today’s date is less than 5 working days from the claimant’s 2SD or after the claimant’s 2SD do not send form TC959, instead after the claimant’s 2SD has passed, go to step 38
 
Note: Where the form TC959 mentions to the claimant to return their actual income by DD/MM/YY. This is by the 2SD

• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX27 - Inhibit signal set due to Establish if change can be made guidance. Reason ‘Annual Declaration Review’
 
‘ NX20 - CoC not dealt with yet. Clmt (insert name) needs to provide actual income. (State full details of change that has been given). (Include date notified and the date(s) the change actually occurred if known)’
 
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

• If you are not dealing with a work list item, take no further action
   
• If you are dealing with a work list item

• Use Function MAINTAIN WORKLIST to set an action date for the 2nd specified date (2SD)
   
• Take no further action

• Yes, go to step 22
   
• No, check if the award was ‘Final Est’ at 1SD. To do this

• Use Function VIEW AWARD and go to the Select Award screen
   
• Identify the PY award you are dealing with and make a note of the Award Type and the Issue Date for the Final Notices
   
• Are any of the Final Notices ‘Final Est’

• Yes, go to step 21
   
• No, go to step 22

• On the Select Award screen, check the Issue Date field for the ‘Final Act’ notice

• If the issue date is before the claimant’s 1SD

• Apply the CY change(s). Follow the appropriate guidance in Changes

Then

• Go to step 22

• If the the issue date is after the claimant’s 1SD

• Apply the PY change(s). Follow the appropriate guidance in Changes
   
• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX17 - Clmt provided CoC (state full details of change) on DD/MM/YY. Applied change’
 
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

• No, go to step 24
   
• Yes

• Use Function VIEW APPLICATION
   
• Enter the claimant’s NINO in the Key Entry Data screen
   
• Select the ‘ Latest’ checkbox
   
• Click on the [OK] button
   
• Go to the Income screen
   
• Select ‘PY-1’ from the Income Years drop down menu
   
• Select ‘PY’ from the Income Years drop down menu
   
• Make a note of the income figures for claimant and / or claimant 2, if applicable
   
• Is the claimant now reporting a lower income figure than the PY income figure used to finalise the award

• Yes, go to step 24
   
• No, go to step 23

• Yes, go to step 24
   
• No, is the income figure now being reported for PY an increase of more than £25,000 when compared to the PY-1 income figure

• Yes, go to step 24
   
• No, has the claimant reported any non-income related change(s)

• Yes, go to step 24
   
• No, go to the ‘If there is no impact on PY entitlement’ bullet in step 25

• Enter all the change(s) in the SEES Tax Credits entitlement calculator to calculate an adjusted PY award

Note: You must make sure that you enter the correct income figure

• Print a copy and retain it with the cases papers

Note: If you are dealing with a work list item, there is no need to print a copy of the SEES calculation

• Use Function VIEW AWARD and go to the Award Summary screen for the latest award version for PY to compare the PY entitlement on the computer with the adjusted PY entitlement on the SEES calculation

Then

• Go to step 25

• If there is an increase in the PY award, do any of the change(s) result in the disability element or severe disability element for the claimant and / or children being backdated and paid in a period covered by the finalised PY award

• Yes, go to step 27 to refer the case to your Technical Advice Line Liaison Officer (TALLO) who will advise you of the action to take
   
• No, consider one of the following options

• If the cause of the change is not yet clear but the claimant indicates an HM Revenue & Customs (HMRC) error, or it appears that HMRC has made a mistake, go to step 28

Note: For example, the change could have been identified from an operator error

• If the claimant has notified HMRC of the change and is not indicating HMRC error
   
• Apply all the CY changes. Follow the appropriate guidance in Changes
   
• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

(This text has been withheld because of exemptions in the Freedom of Information Act 2000)NX23 - PY change not applicable’
 
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 TC960 to the claimant

Note: When completing the form TC960 for auto renewal cases, the issue date of the final decision notice is the date the Annual Declaration was issued. This can be viewed on the Current Position screen in Function VIEW S17 DETAILS

• Take no further action

• If there is a decrease in the PY award, consider one of the following options

• If the cause of the change is not yet clear but the claimant indicates a HMRC error, go to step 28
   
• If a mistake by HMRC has led to the change, go to step 33

Note: For example, the change could have been identified from an operator error

• If the claimant has not notified HMRC of the details of the change, go to step 26

Note: For example, the change could have been identified from another computer system

• If The claimant is not indicating HMRC error

• Apply all the CY changes. Follow the appropriate guidance in Changes

Then

• Go to step 36

• If there is no impact on PY entitlement

• Use Function AMEND APPLICATION selecting the ‘Correction’ option
   
• Go to the Applicant Details screen
   
• Select ‘Household’ on the toolbar menu
   
• Select ‘Details’ from the options available. You will be taken to the Household Details screen
   
• Place a tick in the Manual Correspondence checkbox
   
• Click on the [OK] button
   
• Click on the [Cancel] button. You will be taken back to the Applicant Details screen
   
• Check if there is a CY change

• If there is a CY change, apply the CY and PY change(s), if appropriate. Follow the appropriate guidance in Changes. Take no further action
   
• If there is no CY change, apply any PY change(s). Follow the appropriate guidance in Changes
   
• Go to step 44

Then, return to this step

• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX17 - Clmt provided CoC (state full details of change) on DD/MM/YY. Applied change’
 
‘ NX18 - Manual correspondence marker added for PY income (DD/MM/YY)’

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

• Complete the ‘Establish if a change can be made template’ for the action you have taken. This can be obtained from your manager
   
• Take no further action

• Apply all the CY changes, as appropriate. Follow the appropriate guidance in Changes
   
• Go to step 44

Then, return to this step

• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX23 – PY change not applicable’
 
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

• Complete the ‘Establish if a change can be made template’ for the action you have taken. This can be obtained from your manager
   
• Take no further action

• Give the email the title ‘Establish If A Change Can Be Made’
   
• Enter the following details on the email

• Effective date of the tax credits claim
   
• Decision on the tax credits award
   
• Which disability benefit has been claimed or awarded
   
• Which date the disability benefit was claimed or awarded
   
• Who the disability benefit is for
   
• The date the claimant originally notified HMRC that the disability benefit had been claimed
   
• The date the claimant notified HMRC that the disability benefit had been awarded

Then

• Complete form TC648 with the claimant’s details
   
• Put a note on top of the form TC648 stating

‘Cannot amend S18 decision refer to B&C Team’

• Set a clerical BF date of 01/12/2008
   
• Apply any CY change(s), if appropriate. Follow the appropriate guidance in Changes

Note: You must consider the normal backdating rules whenever you make a change to CY

• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX07 - Cannot amend S18 decision refer to B&C 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

• Await a reply from Benefits and Credits telling you what action to take

Note: You will have established this in step 7 or on the WAM referral

• No, go to step 29
   
• Yes, determine whether the Annual Declaration was captured by telephone, Rapid Date Capture (RDC), manual capture or interview. To do this

• Use Function VIEW S17 DETAILS
   
• Go to the Current Position screen for the relevant PY year
   
• Click on the [Details] button under the Declarations box. You will be taken to the Declarations screen
   
• Check the Capture Method field to see how the Annual Declaration was captured

Then

• Go to step 29

• Returned, obtain

• The original record of the Annual Declaration

And

• The records of any PY changes that are recorded in Function VIEW HOUSEHOLD NOTES between the date the Annual Declaration was received and today’s date

• Not returned or it is an auto renewal case, obtain the records of all PY changes recorded in Function VIEW HOUSEHOLD NOTES

To do obtain the above in either case

• If the Annual Declaration or PY change was captured by telephone, this indicates that it was captured by Contact Management Application (CMA)

• Liaise with your area’s CMA representative to access and read the appropriate telephone call records
   
• Listen to the relevant telephone call(s) to determine if an official error has occurred

Then

• Go to step 30

• If the Annual Declaration or PY change was captured by RDC, paper or interview

• Request the Annual Declaration or correspondence from storage. Follow the guidance in Retrieval Of Casepapers

Then, when you have received the manually captured documents

• Go to step 30

• If there is an increase in the PY award, go to step 31
   
• If there is an decrease in the PY award, go to step 32

Note: See official error for the two criteria that must be met

For example: Claimant started work on 05/05/2006. The change was notified on 01/09/2007 and todays date is 01/11/2007. The computer will automatically restrict the date in the Include From Date field to 01/08/2007. You will have to calculate 3 months before the date the change was reported. In this case, you will have to change the date in the Include From Date field to 01/06/2007

• Yes an official error has occurred. Apply the PY and CY change(s), as appropriate. Follow the appropriate guidance in Changes

• If the message ‘S18 Refinalisation Rules – Potential inappropriate refinalisation for CCYY–CCYY. If you have the authority to refinalise 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, ensure you have followed this guidance correctly before making any changes

If you can make the change

• Click on the [OK] button on the message
   
• Go to step 44

Then, return to this step

• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX21 - OE established PY Changes applied (state full details of change)’
 
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 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, ensure you have followed this guidance correctly before making any changes

If you can make the change

• Click on the [OK] button on the message
   
• Go to step 44

Then, return to this step

• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX21 - OE established PY Changes applied (state full details of change)’
 
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 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 44

Then, return to this step

• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX21 - OE established PY Changes applied (state full details of change)’
 
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

• No an official error has not occurred or there is no evidence to support an official error having occurred

• Apply all the CY changes, as appropriate. Follow the appropriate guidance in Changes
   
• Go to step 44

Then, return to this step

• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX22 - OE not established’

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 TC960 to the claimant

Note: When completing the form TC960 for auto renewal cases, the issue date of the final decision notice is the date the Annual Declaration was issued. This can be viewed on the Current Position screen in Function VIEW S17 DETAILS

• Take no further action

• Yes, go to step 33
   
• No

• Apply all the CY changes. Follow the appropriate guidance in Changes

Then

• Go to step 36

• No

• Apply all the CY changes, if appropriate. Follow the appropriate guidance in Changes
   
• If applicable make a note of the overpayment figure on the ‘Establish if a change can be made’ template. This can be obtained from your manager
   
• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

(This text has been withheld because of exemptions in the Freedom of Information Act 2000)NX23 - PY change not applicable’
 
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 TC960 to the claimant if you are making the change due to the information the claimant has provided

Note: When completing the form TC960 for auto renewal cases, the issue date of the final decision notice is the date the Annual Declaration was issued. This can be viewed on the Current Position screen in Function VIEW S17 DETAILS

• Take no further action

• Yes

• Use Function AMEND APPLICATION selecting the ‘Correction’ option
   
• Go to the Applicant Details screen
   
• Select ‘Household’ on the toolbar menu
   
• Select ‘Details’ from the options available. You will be taken to the Household Details screen
   
• Place a tick in the Manual Correspondence checkbox
   
• Click on the [OK] button
   
• Click on the [Cancel] button. You will be taken back to the Applicant Details screen
   
• Apply the PY income change. Follow the appropriate guidance in Changes
   
• If the message ‘S18 Refinalisation Rules – Potential inappropriate refinalisation for CCYY–CCYY. If you have the authority to refinalise 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, ensure you have followed this guidance correctly before making any changes

If you can make the change

• Click on the [OK] button on the message
   
• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX17 - Clmt provided CoC (state full details of change) on DD/MM/YY. Applied change’
 
‘ NX18 - Manual correspondence marker added for PY income (DD/MM/YY)’
 
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

• Complete the ‘Establish if a change can be made template’ for the action you have taken. This can be obtained from your manager
   
• Go to step 44

Then, return to this step and

• Go to step 34

• 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, ensure you have followed this guidance correctly before making any changes

If you can make the change

• Click on the [OK] button on the message
   
• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX17 - Clmt provided CoC (state full details of change) on DD/MM/YY. Applied change’
 
‘ NX18 - Manual correspondence marker added for PY income (DD/MM/YY)’
 
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

• Complete the ‘Establish if a change can be made template’ for the action you have taken. This can be obtained from your manager
   
• Go to step 44

Then, return to this step and

• Go to step 34

• 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

• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX17 - Clmt provided CoC (state full details of change) on DD/MM/YY. Applied change’
 
‘ NX18 - Manual correspondence marker added for PY income (DD/MM/YY)’
 
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

• Complete the ‘Establish if a change can be made template’ for the action you have taken. This can be obtained from your manager
   
• Go to step 44

Then, return to this step and

• Go to step 34

• Use Function VIEW AWARD
   
• Go to the Award Summary screen for the award version you re-finalised in step 33 to correct the PY income
   
• Make a note of the total award amount for both WTC (A) and CTC (A1)
   
• Click on the [Cancel] button
   
• Click on the award immediately prior to the one you have just been looking at to highlight it

Note: This will be the incorrect version prior to the one you have re-finalised in step 33 to correct the PY income

• Click on the [OK] button. You will be taken to the Award Summary screen
   
• Make a note of the total award amount for both WTC (B) and CTC (B1)
   
• Subtract the latest finalised version WTC (A) from the previous version WTC (B). This is the amount of WTC to be remitted
   
• Subtract the latest finalised version CTC (A1) from the previous version CTC (B1). This is the amount of CTC to be remitted

Then

• Go to step 35

• Use Function VIEW OVERPAYMENT
   
• Go to the View Overpayment screen for the relevant year
   
• Check the Recovery Status field to see if any suspension checkboxes have been ticked

• If any suspension checkboxes have been ticked

• Click on the [Maintain Dispute] button. You will be taken to the Maintain Dispute screen
   
• Select the appropriate dispute resolution reason from the Dispute Resolution drop down menu. This will lift the suspension
   
• Click on the [OK] button
   
• Follow the guidance in Make Or Cancel A Remission. Use code 5B Official Error
   
• Take no further action

• If no suspension checkboxes have been ticked

• Follow the guidance in Make Or Cancel A Remission. Use code 5B Official Error
   
• Take no further action

• No, the PY entitlement has not decreased by more than £100.00

• Make a note of the overpayment figure on the ‘Establish if a change can be made template’. This can be obtained from your manager
   
• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

(This text has been withheld because of exemptions in the Freedom of Information Act 2000)NX23 - PY change not applicable’
 
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 TC960 to the claimant

Note: When completing the form TC960 for auto renewal cases, the issue date of the final decision notice is the date the Annual Declaration was issued. This can be viewed on the Current Position screen in Function VIEW S17 DETAILS

• Take no further action

• Yes, the PY entitlement has decreased by more than £100.00

• Make a note of the overpayment figure on the ‘Establish if a change can be made template’. This can be obtained from your manager
   
• Use Function VIEW HOUSEHOLD NOTES to establish if the Priority 1 CoC Team are currently working the enquiry

• If the Priority 1 CoC Team are working the enquiry and you are not dealing with a work list item
   
• Send any correspondence (This text has been withheld because of exemptions in the Freedom of Information Act 2000)
   
• Go to step 45
   
• If the Priority 1 CoC Team are working the enquiry and you are dealing with a work list item
   
• Use Function MAINTAIN WORKLIST to transfer the work item to the ‘DOD INDICATOR IN’ MU. See the MU table for the correct MU number
   
• Take no further action
   
• If the Priority 1 CoC Team are not working the enquiry, go to step 37

• Select SEES from the toolbar menu
   
• Select ‘xmls Forms’ from the drop down menu
   
• Select [National]
   
• Tax Credit and Child Benefit Compliance
   
• Select the ‘S19 Voluntary Disclosure Form’
   
• Select [OK]

Note: From 18/08/2008 only version 3 of the template can be used. The version number is detailed on the top of the page

• Complete all the fields using the information obtained from the SEES calculation

Note: You must make sure you enter the award amount figure in the ‘Original PY Finalised Total’ and ‘Revised PY Total’ fields on the S19 Voluntary Disclosure Form
 
Note: You must make sure you provide clear and complete details of the change to be made in the ‘Details of Change of Circumstances’ field. For example, what is the change, which claimant or child does the change relate to, what is the effective date of the change. This list is not exhaustive
 
Note: If you have not perfomed a SEES calculation you must make sure reference to this is entered in the ‘Details of Change of Circumstances’ field on the SEES referral template
 
For example, ‘SEES calculation not needed – New PY income reported which is an increase of more than £25,000 when compared with PY-1’
 
Note: You must not refer cases to Compliance for S19 action if the status of the case is not ‘FIN ACT’

• Select [Print] and keep a copy in the case papers for your manager
   
• Select [Send Form]
   
• Make a note of the overpayment figure on the ‘Establish if a change can be made’ template. This can be obtained from your manager

Then

• If you are dealing with a work list item

• Use Function MAINTAIN WORKLIST to set an action date of 10/12/2008
   
• Transfer the work item to the ‘Establish if a change can be made BF’ MU. See the MU table for the correct MU number
   
• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX24 - S19 Disclosure referral sent to claimant compliance’
 
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 any documents to storage. Follow the guidance in Preparing And Sending Documents For Storage
   
• Take no further action

• If you are not dealing with a work list item

• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX24 - S19 Disclosure referral sent to claimant compliance’

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 any documents to storage. Follow the guidance in Preparing And Sending Documents For Storage
   
• Take no further action

• Use Function VIEW S17 DETAILS and go to the Current Position screen for the relevant award
   
• Click on the [Details] button under the S17 Notices box
   
• Make a note of the 2SD date
   
• Has the claim’s 2SD passed

• Yes, go to step 39
   
• No

• If you are dealing with a work list item, use Function MAINTAIN WORKLIST to set an action date of the 2SD. Take no further action
   
• If you are not dealing with a work list item
   
• Set a clerical BF date of the 2SD
   
• Complete form TC648 with the claimant’s details
   
• Take no further action

• ‘Finalised Estimate’, go to step 40
   
• ‘Finalised Actual’ or ‘Auto Renewed’, use Function VIEW APPLICATION to check if the change(s) have been applied. If the change(s) have

• Not been applied, go back to step 22
   
• Been applied

• If you are dealing with any correspondence, send the correspondence to storage. Follow the guidance in Preparing And Sending Documents For Storage
   
• If you are dealing with an ‘Unprocessed Change of Circs’ Work List item delete the entry. Follow the guidance in Deleting An Item From A Work List

Then

• Take no further action

• Has been recorded

• Make a note of the change(s)

Then

• Go to step 41

• Has not been recorded, go to step 41

• Is there a work item on the ‘Unprocessed Change of Circs’ Work List for a change to PY

• Yes, make a note of the MU number and then go to step 42
   
• No, go to step 43

• Select the ‘Unprocessed Change Of Circs’ Work List from the Worklist Type drop down menu
   
• Select the MU number that you noted at step 41 from the Management Unit drop down menu. The screen will be redisplayed with the entries currently on the Work List for the MU
   
• Click on the [Sort Filter] button to find the appropriate work list item
   
• Click on the [OK] button
   
• Click on the work list item to highlight it
   
• Click on the [Details] button
   
• Make a note of the details of the change from the work list. Follow the guidance in Unprocessed Change of Circs Work List

Note: If a change of address is the reason for the Work List entry, follow the guidance in Unprocessed Change Of Circs Work List - Address Changes (UK)
 
Note: If the change is in an electronic format use the Unprocessed Change Of Circumstances Help Card for the action to take to identify the change, then return to this guidance before processing the change(s)

• Delete the ‘Unprocessed Change of Circumstances’ Work List entry. Follow the guidance in Deleting An Item From A Work List

Then

• Go to step 43

• If the PY change(s) were noted from Household Notes and / or the ‘Unprocessed Change of Circumstances’ Work List, apply the PY change(s). Follow the appropriate guidance in Changes, but before proceeding to the Amend Finish screen return to this guidance

Note: If you have a new income figure enter the income, benefit and earnings figures you have noted into the PY Income fields ensuring you select ‘A’ for each entry
 
Then

• For all PY income figures that are ‘E’, select ‘A’ from the drop down menu
   
• Click on the [OK] button. You will be taken to the Amend Finish screen
   
• Enter today’s date in the Received Date field

Note: The Received Date field will always default to today’s date

• Select the source of the change from the Source drop down menu. For example, ‘telephone’, ‘paper’
   
• Select ‘Change of Circumstances’ from the Reason drop down menu
   
• Click on the [OK] button

Then

• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals and Reminders’ category to record the following

‘ SN13 - Income was ‘E’ (Estimate) changed to ‘A’ (Actual)’
 
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

• Go to step 44

• No, either return to the action guide or step that you came from, if you have been told to do so or take no further action
   
• Yes, does the Reasons field say ‘Annual Declaration Review’

• Yes

• Un-check the Finalisation Inhibit checkbox
   
• Click on the [OK] button
   
• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals and Reminders’ category to record the following

‘ NX27 - Inhibit signal un-set due to Establish if change can be made guidance. Reason ‘Annual Declaration Review’
 
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

• No, do not un-check the Finalisation Inhibit checkbox. Instead return to the step you came from, if you have been told to do so in that step or take no further action

• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX25 - Change not applied. Change to claimant's or child's DOB (delete as appropriate) referred to the M1 Mismatch Team’

Or

' NX29 - Change not applied. Change to death of a claimant or child / change of gender (delete as appropriate) referred to TCO Priority 1 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

• Use Function MAINTAIN HOUSEHOLD NOTES and select the ‘Renewals & Reminders’ category to record the following

‘ NX26 - Change not applied. Confirmed with the clmt it is not correct any more’
 
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

• If you are not dealing with a work list item and there is any correspondence, send the correspondence to storage. Follow the guidance in Preparing And Sending Documents For Storage
   
• If you are dealing with a work list item, return to the work list guidance you were previously following