Validate High Value Payments (AG)

• Not apply any amendments or changes to that claim

• Contact the relevant Claimant Compliance Officer (CCO) for further advice

The CCO will use Household Notes or Application Notes to record their contact details and any compliance activity. Then are you working this guidance from the spreadsheet of high value payments or due to a faxed / WAM referral? If you are working from a

• Spreadsheet, go to step 3

• Fax / WAM referral, does the referral state that this is a compliance case, if

• No, go to step 4

• Yes, go to step 2

• Use Function VIEW LINKED WORK ITEMS

• Enter the NINO in the Key Entry Data screen

• Click on the [OK] button

• Select the ‘Applicant Failed Payment’ Work List from the drop down list in the Worklist Type field

• Select the relevant office or unit you want from the drop down list for the Management Unit (MU) field, if the one you want is not already displayed in this field. The screen will be re-displayed with the entries currently on the Work List

• Check whether there is an entry. If

• Yes, transfer the entry to the relevant MU, then go to step 23

• No, take no further action

Note: A work list entry will be generated at a later stage on this case which will be worked from the work list

• Select TBS from the AMBS menu

• Select Find Taxpayer

• Enter the claimant’s surname, forename and postcode

• Select Find. If

• A trace is found, update the spreadsheet with the traced NINO, then go to step 4

• No trace is found, update the spreadsheet to state no trace and take no further action

• The following message displays

‘You are not authorised to access this case’

• Go to step 6

Note: Following tracing action you should filter the spreadsheet by NINO or Name to make it easier to deal with claimants who have more than one high value payment

• There is an entry, from what source are you working this process from? If you are working from a

• Spreadsheet, go to step 23

• Fax / WAM referral, send any paper documentation to remote storage. Follow the guidance in Preparing And Sending Documents For Storage

And then

• Take no further action

• There is no entry, check whether there any entries relating to manual payments which have been issued. If

• There are no entries, go to step 5

• There are entries, make a note of the date and amount of all payments that have been issued

And then

• Go to step 5

Note: Do not take into account any manual payments which have been made due to off-system payments for manual backdating

Note: There may be more than one, so check the latest first as well as previous years

• Use Function VIEW HOUSEHOLD ACCOUNT and for each tax year

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

• Select the ‘All’ checkbox

• Click on the [OK] button

• Click on the relevant household and tax year period to highlight it

• Click on the [OK] button. You will be taken to the View Award Period Summary Household screen

• Click on the [Schedule] button

And then

• Click the [OK] button. You will be taken to the View Direct Payment Schedule screen

• Check through all award periods listed to establish which household, tax year(s) the high value payment(s) relate to

• Make a note of the details of which household and tax year(s) the payment relates to, this will help you to identify which award versions these relate to later on in the process

• When you have identified the correct household and tax year(s), make a note of the cancelled payment which relates to the high value payment

• Click on the high value payment to highlight it

• Click on the [OK] button. You will be taken to the View BACS Details screen, this will indicate whether the payment relates to CTC, WTC or both

Note: If the payment is for combined CTC and WTC this will display, if the combined amount does not display, cancel out and click on ‘Postings’ you will be taken to the Period Postings screen where you will be able to view which tax credit the amount was paid for

• • If you are not authorised to access the case
• Forward details of the case on a TC648 including the Payment Made Framework (PMF) reference (which is in the Payment Reference field on the spreadsheet) by fax (This text has been withheld because of exemptions in the Freedom of Information Act 2000)

• Update the spreadsheet with the referral details

And then

• Take no further action

Note: You do not need to complete a TC669 Unauthorised access form, this is only required for unauthorised access within the NTC system

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

• Select the ‘All’ checkbox

• Click on the [OK] button. You will be taken to the Select Award screen

• Click on the earliest period to highlight it

• Click on the [OK] button. You will be taken to the View Award Period Posting screen

• Check whether all of the manual payments you made a note of have been posted

Note: The manual payment will display on the screen as MGPM if both WTC and CTC was payable, MGPC if CTC only was payable or MGPW if WTC only was payable

• If all the manual payments have been posted, go to step 9

Note: A small number of the manual payments previously posted may have been posted onto the wrong tax year. If the manual posting does not display in the relevant tax year, check postings for all other tax years for evidence that a manual posting has been made to the claimant’s account. These cases will be corrected in the near future

• If there any manual payments not yet posted, check which tax year(s) they relate to. Are any of the payments for the tax year 03 / 04? If

• The manual payments are for the tax year 03 / 04, go to step 10

• No manual payments are for the tax year 03 / 04, the manual payments are for tax years 04 / 05 and 05 / 06 onwards, go to step 8

• There is a combination of payments for tax year 03 / 04 and later years, go to step 8

• Fax / WAM referral go to step 9

• Spreadsheet

• Are you working the spreadsheet pre or post 10.00 am? If

• Post 10.00 am, go to step 9

• Pre 10.00 am

• Recall the payment

• Refer all details to Bank Liaison by 10am in order to arrange recall of the payment

• Issue form TC861a

And then

• Update the spreadsheet to indicate that payment is to be recalled and the reason for the recall, go to step 9

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

• Fax the completed pro-forma to Revenue Finance Worthing (RF Worthing)

Note: If it is a joint claim, you must complete details for both claimant 1 and 2

• Use Function MAINTAIN HOUSEHOLD NOTES to enter the following

’Manual payments not yet posted, do not re-issue re-called payment’

Note:

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

• Set a manual BF for 10 days

• When the action date expires, continue to check that all manual payments entered on the pro-forma have been posted

• If all the manual payments have been posted, go to step 10

• If all payments have not yet posted

• Set a manual BF for a further 10 days and if necessary, continue to extend the action date by a further 10 days up to a maximum of 20 days in total. If necessary on the 20th day

• Re-fax the details to RF Worthing on the pro-forma and repeat this step

• Once all of the manual payments listed on the pro-forma have been posted, go to step 10

Note: You can continue to check and validate the case but further action must not be taken on the computer until all manual payments entered on the proforma have been posted

• A household break up

• The claimant having submitted a new claim as part of a new household

• A Compliance Termination having taken place

• A mismatch bad case

• If there are any entries relating to the above

• Make a note of them

Then

• Go to step 11

• If there are no entries relating to the above, go to step 11

• An overlapping award following an amendment. A claim’s effective date has been backdated to overlap with a previous award

• An award has been reinstated or the period extended so that it overlaps with a subsequently received claim’s award

For more possible reasons see the Examples

• A previously applied Household End date has been incorrectly removed. This means that a previously ended award period has now been extended. Indications of this include

• An entry of a household break up in Function MAINTAIN HOUSEHOLD NOTES

• Evidence of either claimant making a new claim as part of a new household and the effective date of the new claim corresponds with the date that an old award had previously been ended

For further guidance see Note 1 below

• A single date award has now been incorrectly re-instated for a longer period. Look for entries of ’Mismatch Bad Case’ or ’Compliance Terminated’ and the date the claim was received in Function MAINTAIN HOUSEHOLD NOTES. These must not be reinstated

For further guidance see Note 2 below

• If there is any evidence of the following

• A previously applied Household End date having been incorrectly removed

• An overlapping award where an award has been reinstated or the period extended so that it overlaps with a subsequently received claim’s award

Or

• A single date award has been incorrectly re-instated for a longer period

Then

• Go to step 19

Otherwise

• Go to step 12

Notes:

1. To check for an existing household end date and reason, use Function AMEND APPLICATION, selecting the ‘Household Details’ option

2. Mismatch cases terminated prior to April 2004 were reduced to a one-day award. This was because there was no functionality for ’Compliance Terminate’ at that time. An entry in Function MAINTAIN HOUSEHOLD NOTES will indicate this has been done. These cases must not be reinstated

3. The period of an award can be checked by using the ‘From’ and ‘To’ dates in the Select Award screen in Function VIEW AWARD

4. Any of the above could result in an award period being ceased and then re-instated for a longer period

Note: By comparing the award with the previous awards version(s) you will see what has changed in terms of the calculation

To do this

• Use Function VIEW AWARD

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

• Click the [OK] button and go to the Award Summary screen

• Click on the award version you are want to highlight it

• To identify whether the award version you are in is the one which generated the high value payment

• Click on the [Payment Details] button. You will be taken to the Payment Details screen

• Check whether an amount equal to the high value payment is shown in the Amount Column

Note: Where the payment is a combination of WTC and CTC you will need to check each tax credit type separately

• Make a note of the total amount of the tax credit award (CTC and WTC totals added together)

• Check the previous award version(s) to confirm whether the difference in award total is greater than or equal to the high value payment. If the difference in award total is

• Not equal to or greater than the high value payment, this will indicate that there is a payment or accounting problem, go to step 19

• Equal to or greater than the high value payment, check each of the award versions. To do this

• In the Payment Details screen, click on the [View Calculation] button. You will be taken to the View Calculation screen. Make a note of the date in the Award Version Date field

• Click on the [View Elements] button. You will be taken to the View Elements screen. Make a note of all the dates, elements and entitlements listed on this screen

• Check the previous award version(s) and compare all of the dates, elements and entitlement listed and make a note of the dates in the Award Version Date fields

• Make a note of any changes in elements you have identified

Then

• Go to step 13

• Income. Decreased income changes had not previously been taken into account for current year award calculation purposes, but are now. (Further guidance will be given for this reason when you reach step 14)

• Child and Young Person elements have been reinstated or appeared because

• Although the dates had been correct in Function VIEW APPLICATION ‘History’ fields for a previous claim version they had not been taken into account in the corresponding award calculation. However they now are on the more recent award version that is relevant to the high value payment

• There has been an amendment to Full Time Education (FTE) which has generated eligibility to the Young Person element creating an increased award

• Any other missing elements have been reinstated, where corrective action has been taken to re-instate elements of an award.

For example, a circumstance Include From date had previously restricted the date from which that element was paid. Include From dates are restricted where a change of circumstances has not been notified within 3 months which would result in the increase to the maximum tax credits award. If a restriction has been applied incorrectly and the effective date has been amended to re-instate the full period of the element, this may have contributed to or caused the high value payment

• Go to step 14 and continue your checks

Notes:

1. Consider whether a combination of amendments may have caused or contributed towards the increased award

2. If you are in any doubt about whether payments should be issued, discuss any suspicious changes with your team leader

• Use Function VIEW AWARD

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

• Select the ‘All’ checkbox

• Click the [OK] button, you will be taken to the Select Award screen

• Click on the award version that resulted in the high value payment to highlight it

• Click on the [OK] button. You will be taken to the Award Summary screen

• Click on the [View Calculation] button. You will be taken to the View Calculation screen

• Click on the [View Income] button, you will be taken to the View Income screen

• Make a note of the income used to calculate the award in the Income used in Calculation box

• Make a note of which year’s income has been used in the calculation. If the income used is current year income, less the income increase amount, then note the CY income shown above

• Return to the Award Summary screen

• Select ‘Navigation’ on the toolbar menu

• Select Function VIEW APPLICATION from the options available. You will be taken to the Application Summary screen in Function VIEW APPLICATION

• Click on the [Continue] button until you reach the Income screen

• In the Income screen, make a note of the total of all the income shown on this screen for the year, which you noted was used in the award calculation. If the claim is for a joint household, add the total income for both claimants together

• Compare the amount of income noted in Function VIEW AWARD with the income noted in Function VIEW APPLICATION

• If the amount noted in Function VIEW AWARD is less than the amount noted in Function VIEW APPLICATION, make a note of the details as you will need to refer to these later on in the process, go to step 15

• If the amount noted in Function VIEW AWARD is more than the amount noted in Function VIEW APPLICATION, make a note of the details as you will need to refer to these later on in the process, go to step 15

• If the amounts noted are the same. Return to Function VIEW AWARD and check the previous award version with an issue date. Has the income reduced?

• Yes, than this may have correctly created or contributed towards the high value payment. Go to step 15 and continue your checks

• No, then the high value payment will not have been generated due to income. Go to step 15 and continue your checks

Notes

1. If you are checking payments which relate to more than one tax year, you will need to repeat this step for each year, make a separate note of each check

2. You must compare the amounts of income using Function VIEW AWARD and Function VIEW APPLICATION to ensure that you are checking the correct claim version which created the award version that generated the high value payments

• Use Function VIEW APPLICATION

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

• Select the ‘All’ checkbox

• Click on the [OK] button. You will be taken to the Select Application Version screen

Note: If you are taken to the Select Application screen, this will mean there is more than one claim for this claimant. For example, cases where a household breakdown has occurred and the claimant has re-applied. If you are taken to the Select Application screen,, select the claim(s) affected by the high value payment. You will then be taken to the Select Application Version screen

• Click on the latest version to highlight it

• Click on the [OK] button. You will be taken to the Application Summary screen

Note: If an information signal appears, click on the [OK] button

• Click on the [VH] button. You will be taken to the View Application History screen for Applicant 1

• Click on the [Versions] button. You will be taken to the Select Application Version screen

Note: Use the notes you have already made of the ‘version dated’ date which relates to the claim version for the high value payment, and the claim version which relates to the previous issued award to check the claim versions

• Click on the appropriate version which relates to the high value payment to highlight it

• Select ‘History’ on the toolbar menu. You will be taken to the History screen

• Check all of the signals history and note all details for claimant 1, claimant 2 and any children, if appropriate

• Click on the [Cancel] button. You will be taken back to the Application Summary screen

• Click the [Versions] button. You will be taken to the Select Application Version screen

• Click on the version which relates to the previous issued award to highlight it

• Select ‘History’ on the toolbar menu. You will be taken to the History screen

• Check the signals history and note all details for claimant 1, claimant 2 and any children, if appropriate

• Repeat this action until you identify a change which created or contributed to the high value payment, or until you reach the initial version

• When you have recorded all the necessary details in the History screen, click on the [Cancel] button and return to the Function Menu

• Use Function MAINTAIN HOUSEHOLD NOTES to check all the entries to confirm the details that you have established when checking history

• Note any relevant information, for example, changes to jobs, hours or child details. This may provide details as to why the versions changed

• If you notice any incorrect details, for example a gap of under 7 days, make a note of the details as corrective action will be required when you reach step 20 of this guidance

Then

• Go to step 16

Notes You must ensure that all signals are checked as there may have been more than one error which originally occurred Some dates may have been populated by the system, for example, the Include From date could have been populated 3 months before the date a change was actually made on the computer. You can check this by looking at the version date

• If the claim details are correct, are you working this guidance from a

• Fax / WAM referral, go to step 23

• Spreadsheet entry, go to step 22

• If the claim details are incorrect but you have established that the change in award total is not great enough to have created the high value payment, are you working this guidance from a

• Fax / WAM referral, go to step 20

• Spreadsheet entry, if the check has been made

• Pre 10.00 am, go to step 18

• Post 10.00 am, go to step 20

• If the claim details are correct but you have established that the computer is not recognising a signal, for example a household end date is entered but payments are continuing past this point, are you working this guidance from a

• Fax / WAM referral, go to step 20

• Spreadsheet entry. If the check has been made

• Pre 10.00 am, go to step 18

• Post 10.00 am, go to step 20

• If the claim is incorrect, have you discovered whether the income details within the corresponding claim version are not being used by the computer to calculate the award?

• No, and you are you working this guidance from a fax / WAM referral, go to step 19

• No and you are working this guidance from a spreadsheet entry, if the check been made

• Pre 10.00 am, go to step 18

• Post 10.00 am, go to step 20

• Yes, go to step 17

Note: Only details regarding the income that is not being recognised by the computer should be forwarded by e-mail. Requests to action any other type of corrective requirement cannot be accepted using this route

Title: High Value Payment Checks – Possible System Problem
Body of message
NINO – [Insert here]

This case has been checked as part of the High Value Payment checks and it appears that the award has been calculated using incorrect income figures. Case referred for your investigation

• Then, are there any other incorrect details you have discovered? If

• Yes, go to step 20 to take corrective action

• No, and you are working guidance from a fax / WAM referral, go to step 23

• No, and you are working guidance from a spreadsheet entry, go to step 22

• Use Function MAINTAIN HOUSEHOLD NOTES and enter the details of the recalled payment and the reason for the recall (for example, the reason may be that a correction to re-enter an original household end date of ??/??/?? and household end date reason is required or the case has been transferred to secure area)

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

• Refer all details to Bank Liaison by 10.00 am in order to arrange recall of the payment

• Issue form TC861

Then

• Was there evidence of any of the following

A previously applied household end date having been incorrectly removed

An overlapping award where an award has been reinstated / period extended so that it overlaps with a subsequently received claim’s award

A single date award now incorrectly re-instated for a longer period

Or

• Where the system is not recognising a signal, for example household end date is entered but payments are continuing past this point

• If

• Yes, go to step 19

• No, go to step 20

• Use Function MAINTAIN SUSPENSION

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

• Select the ‘All’ checkbox

• Click on the [OK] button, you will be taken to the Select Household screen

• Click on the household relating to the high value payment to highlight it

• Click on the [OK] button. You will be taken to the Maintain Payment Suspension screen

• Click on the suspension reason ‘Manual Payment Request’ in the from Suspension Available To Be Set field to highlight it

• Click on [Add] button. This will move the ‘Manual Payment Request’ suspension reason into the Suspension Currently Set field

• Click on the [OK] button. The following warning message will display

‘Are you sure you wish to suspend payments to this applicant?’

• Click [Yes] button

• Is the claim for a two-claimant household? If

• No, go to step 20

• Yes, click on the [Partner Suspension] button and repeat this step from when you highlight the entry in the Suspension Available To Be Set field

Then,

• Go to step 20

Note: The action you have taken will create a work item on the Suspended Payments Work List

• To correct child details where for example, there is a duplicate child / fictitious child or to correct a child’s date of birth, follow the guidance in Child / Childcare Changes

• To correct a child start / end date on the tax credits claim or if child details held on the tax credits claim are incorrect. For example, you have identified an incorrect child responsibility start date, follow the guidance in Correcting Child Signals History Start And End Dates

• To correct a child effective date on the tax credits claim, for example, where you have established that the start date is correct but the include from date is incorrect follow the guidance in Correcting Change Of Circumstances Effective Date In Child Signals History

• To correct other start / end dates in history other than child signals that are incorrect. For example, you have identified an incorrect IS (Income support) signal start date, follow the guidance in Correcting Signals History Start And End Dates

• To correct other history effective dates on the tax credits claim for example, where you have established that the start date is correct but the include from date is incorrect, follow the guidance in Correcting Change Of Circumstances Effective Date In Signals History

• To correct details that should not have been on the computer in the first place, for example, where a Start date and include date in the disabled signal has been recorded, but the claimant has never been registered as disabled, follow the guidance in Deleting Details That Should Not Be On The Computer

• To correct work history details that have been incorrectly actioned when the change of circumstances was first applied, for example, you have identified an incorrect gap in work history follow the relevant guidance in Work / Benefit Changes

• Where the system is not recognising a signal, for example a household end date is entered but payments are continuing past this point, forward details of the case to your Technical Liaison Officer (TLO) to raise a vantive with Business Help Desk (BHD)

• Where you have established that the change in award total are not great enough to have created the high value payment, forward details of the case to your TLO to raise a vantive with BHD

• Is contact with the claimant necessary in order to undertake corrective action?

• Yes, go to step 21

• No, have you reached this step through working

• A spreadsheet entry, go to step 22

• A fax / WAM referral, go to step 23

Note: Corrective action can be undertaken regarding a ceased claim for example where incorrect history details have been established, however the household end date must not be removed unless it is established that this is incorrect

• Use Function VIEW APPLICATION and go to the work 1 screen

• Check the total hours worked in the Work Details field and compare this against the declared income which you noted down earlier

• Consider whether the declared income is reasonable when compared with the amount of hours worked. For example, does the declared figure appear to relate to a weekly or monthly amount rather than an annual amount. If

• The amount appears to be incorrect, whilst making enquiries with the claimant to undertake corrective action, confirm whether the income details held on the computer are correct

• If the income details are correct, have you reached this step through working

• A spreadsheet entry, go to step 22

• A fax / WAM referral, go to step 23

• If the income details are incorrect, apply any changes following guidance in Income Changes

Then, have you reached this step through working

• A spreadsheet entry, go to step 22

• A fax / WAM referral, go to step 23

• The amount appears to be correct, have you reached this step through working

• A spreadsheet entry, go to step 22

• A fax / WAM referral, go to step 23

1. If the claim is for a joint household consider both claimant 1 and 2 income and employment details

2. When in the Renewal Period you must inform the claimant that any income details you are checking / taking do not form part of their annual declaration and are only being checked in order to prevent an overpayment due to incorrect details being held

3. If you are unable to contact the claimant following the reminder cycle, enter details of enquires required on Household Notes

• Step 4 from checking household notes you have established that the payment is correct and can be issued

• Update the spreadsheet to indicate that the payment is correct and take no further action

• Step 16 and having checked the causes for the high value payment, you have established that the payment is correct and can be issued

• Update the spreadsheet to indicate that the payment is correct and go to step 23

• Steps 18, 20 or 21 and you have established that the payment was incorrect and have undertaken corrective action or referred the case for system correction

• Update the spreadsheet to indicate the payment was incorrect and go to step 23

• Has corrective action been taken? If

• No

• If the case has been checked and is correct enter the following note

’TCMZ Case checked, high value payment correct, please do not recall payment’

• If case has been transferred enter the following note

’TCMZ Case transferred to (enter details) to check high value payment’

• If the details of the case have been sent to IMS:Fylde, enter the following note

’TCMZ Income details for 03 / 04 incorrect and require reprofiling, details of case sent by email to IMS Fylde’

• If the details of the case have been sent to TAL enter the following note

‘TCMZ Payment / Accounting problem identified, details of case forwarded to TAL to raise vantive’

• If you have been unable to contact the claimant to obtain correct details enter the following note

'TCMZ If claimant is in contact the following enquiries should be made to establish whether claim correct (enter full details of enquiries needed) and corrective action taken if necessary’

• Yes

• Enter details of the corrective action you have taken, for example enter

’TCMZ Signals history amended (enter details), claim will be re-profiled and new award calculated’

• If payments been recalled and / or suspended enter the appropriate note from the options below

‘TCMZ Payment recalled only, do NOT re-issue payment’

Or

‘TCMZ Payment suspended only, do NOT un-suspend payment’

Or

‘TCMZ Payment recalled and suspended, do NOT re-issue’

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