Subject Access Request: Registering And Requesting Correspondence (AG)

• Yes, go to step 3
   
• No, go to step 2

Note: A SAR is not a request for a copy of the claim form or declaration
 

• Is the request a Freedom of Information request

• Yes

• Forward with a covering letter – ‘Not a SAR’ to the Freedom of Information Team

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

• Use Function MAINTAIN HOUSEHOLD NOTES to record where you have sent the correspondence to

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

• Send the correspondence to the appropriate team, completing a covering letter – ‘Not a SAR’
   
• Use Function MAINTAIN HOUSEHOLD NOTES to record where you have sent the correspondence to

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

• The claimant, go to step 5
   
• The Citizens Advice Bureau, go to step 4
   
• A 3rd party, go to step 4
   
• A Member of Parliament (MP), go to step 5

Note: Information can be released to an MP due to implied consent

• If they have authority, go to step 5
   
• If they do not have authority

• Send form TC689 to the claimant and file away in a designated area awaiting the reply
   
• Do not register the request on the SAR database

• If a reply is received from the claimant stating they give authority, go to step 5
   
• If no reply is received from the claimant
   
• Notify DPU that a SAR request has been received, but the claimant did not reply to the authority letter
   
• Use Function MAINTAIN HOUSEHOLD NOTES 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

• File the SAR request in the designated area
   
• Take no further action

• Use Function VIEW APPLICATION
   
• Enter the claimants NINO in the Key Entry Data screen
   
• Select the All checkbox
   
• Click on the [OK] button. You will be taken to the Select Application screen

• On the first award

• Click on the first award to highlight it and then click on the [OK] button. You will be taken to the Select Application Version screen
   
• Click on the first version to highlight it and then click on the [OK] button. You will be taken to the Application Summary screen
   
• Click on the [Continue] button and make a note of the household and income details. Do this for each version of the award

• On the next award

• Click on the next award to highlight it and then click on the [OK] button. You will be taken to the Select Application Version screen
   
• Click on the first version to highlight it and then click on the [OK] button. You will be taken to the Application Summary screen
   
• Click on the [Continue] button and make a note of the household and income details. Do this for each version of the award

• Compare the details on the two claims

• If the details are the same, go to step 6
   
• If the details are different, use Function VIEW HOUSEHOLD NOTES to check if there is any compliance activity
   
• If there is compliance activity, telephone the Claimant Compliance Officer to check if you can continue with the SAR action

• If you can continue, go to step 8 but ensure you only provide information for the claimant requesting the SAR
   
• If you cannot continue
   
• Do not register the SAR
   
• Forward the SAR request to Claimant Compliance

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

• Use Function MAINTAIN HOUSEHOLD NOTES to record where you have forwarded the correspondence to

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 there is no compliance activity

• Do not register the SAR
   
• Forward the SAR request to Claimant Compliance for them to investigate why the details on the two claims are different

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

• Use Function MAINTAIN HOUSEHOLD NOTES to record where you have forwarded the correspondence to

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 7
   
• Yes

• Do not register the SAR request

Instead

• Forward the SAR request to Claimant Compliance

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

• Use Function MAINTAIN HOUSEHOLD NOTES to record where you have forwarded the correspondence to

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 there is no compliance activity, go to step 8
   
• If there is compliance activity, telephone the Claimant Compliance Officer to see if you can continue with the SAR action

• If you can continue with your action, go to step 8
   
• If you cannot continue with your action

• Forward the SAR request to Claimant Compliance

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

• Use Function MAINTAIN HOUSEHOLD NOTES to record the date the SAR request was received and 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

• If it does

• Photocopy the SAR request and form TC648, if there is one
   
• Send the original SAR request to the appropriate team, noting on form TC648 that the SAR request is being dealt with
   
• Use Function MAINTAIN HOUSEHOLD NOTES to record the date the SAR request was received and 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

• Keep the photocopy of the SAR request

Then

• Go to step 9

• If it does not, go to step 9

• Copies of any telephone calls only

• Complete a calls only fax cover sheet and fax it along with the SAR request to DPU (This text has been withheld because of exemptions in the Freedom of Information Act 2000)(This text has been withheld because of exemptions in the Freedom of Information Act 2000)
• File the SAR request in surname order in the Calls only folder
   
• Do not enter the request on the SAR database
   
• Use Function MAINTAIN HOUSEHOLD NOTES to record the date the SAR request was received and that is was for copies of telephone calls only

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

• Copies of any telephone calls and correspondence, or a request for all information, go to step 10

• If they have been notified

• Date stamp the SAR request and put your initials on it
   
• Register the request on the SAR database. To do this

• Open the SAR database
   
• Select ‘Register’
   
• Enter the claimants
   
• Last name
   
• First name
   
• NINO
   
• HMRC date – Date stamped on the letter
   
• Date received on the SAR Team

Note: If the SAR request is from a 3rd party acting on the claimants behalf and they have authority due to the receipt of the form TC689, the date the SAR request was received will be the date the formTC689 was received back in the office

• Date DPU notified
   
• SAR reference number, if one is available

Note: If the SAR request is received within 6 days of the 20 day target date or past the target date, complete the late SAR spreadsheet

Then

• Go to step 11

• If they have not been notified

• Fax DPU a copy of the SAR request (This text has been withheld because of exemptions in the Freedom of Information Act 2000)(This text has been withheld because of exemptions in the Freedom of Information Act 2000)
• Register the request on the SAR database. To do this

• Open the SAR database
   
• Select ‘Register’
   
• Enter the claimants
   
• Last name
   
• First name
   
• NINO
   
• HMRC date – Date stamped on the letter
   
• Date received on the SAR Team

Note: If the SAR request is from a 3rd party acting on the claimants behalf and they have authority due to the receipt of the form TC689, the date the SAR request was received will be the date the formTC689 was received back in the office

• Date DPU notified
   
• SAR reference number, if one is available

• Use Function MAINTAIN HOUSEHOLD NOTES to record the date the SAR request was received

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: If the SAR request is received within 6 days of the 20 day target date or past the target date, complete the late SAR spreadsheet

Then

• Go to step 11

• Yes, go to step 12
   
• No

• Send the correspondence to the appropriate team
   
• Take no further action

Note: You must check for this by using the claimant’s name and NINO separately

• If the SAR request is a duplicate, was the duplicate received within approximately 6 months of the previous SAR request

• No, go to, step 13
   
• Yes

• Fax a copy of the SAR request to DPU (This text has been withheld because of exemptions in the Freedom of Information Act 2000)(This text has been withheld because of exemptions in the Freedom of Information Act 2000)stating it is just for their records
   
• File the SAR request as a duplicate with the previous request
   
• Use Function MAINTAIN HOUSEHOLD NOTES to record the date the SAR request was received and 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

• If the SAR request is not a duplicate, information can be provided from the date the original SAR request ended to the present date, go to step 13

Note: If you are unsure on the timescale of a duplicate, check with your manager
 

• Target Date. The 20 day target date off the SAR database
   
• Who claimant 1 is

Then

• Use Function VIEW APPLICATION and go to the Application Summary screen to obtain the Application Capture type. This can be found at the bottom of the screen under the heading Application
   
• Use Function VIEW S17 DETAILS and go to the Select S17 Period screen to obtain the S17 Barcode Renewal. To do this

• Click on each Finalised Actual date to highlight it
   
• Click on the [Details] button under each declaration
   
• The barcode is in the top right hand corner

Note: The barcode may say the method is telephone, write this on the cover sheet under the barcode entry

Note: Ensure there is an address on the SAR request and if the request is from an intermediary, print the authority from the household notes and send this with the request. If there is no authority, pass the SAR request to your manager

• Attach the fax and SAR request to the cover sheet and pass them to the appropriate individual responsible for requesting correspondence

Then

• Go to step 14

• Enter the claimants NINO in the Key Entry Data screen
   
• Select the All checkbox
   
• Click on the [OK] button. You will be taken to the Select Application screen
   
• A warning message will appear if their has been a household breakdown

And

• Also use Function VIEW HOUSEHOLD NOTES to check if there has been a household breakdown

• If there has not been a household breakdown, go to step 15
   
• If there has been a household breakdown

• Make a note on the cover sheet

Then

• Go to step 15

Note: When dealing with a household breakdown anywhere in the award, make sure any details are blanked out using tippex and photocopied for a partner that has been on the claim. These details are new address, telephone numbers, bank account details and if they have a change of job. An example of this is if the award was for a joint claim, then the household broke down. Ensure all details are blanked out for the claimant that has not made the SAR request from the date the household breakdown occurred
 

• If the claim has Appeals or CSU involvement, the case papers will have to be requested from the appropriate team

Note: Use Function VIEW HOUSEHOLD NOTES to obtain the details of the appropriate team

• To request the necessary information from storage, follow the guidance in Retrieval Of Casepapers

Then

• File in the designated filing area in target date order