Applicant Failed Payments Work List: 'Requested By Originator' Or 'Recall' Only (AG)

Then

• If you can continue to process the work list entry, use Function MAINTAIN WORKLIST
   
• 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 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
   
• Go to step 2

• Click on the [Details] button. You will be taken to the Worklist Entry Details screen where more details of the selected work item will be displayed

• If the reason for the entry is 'Requested by Originator' or 'Recall', make a note of the NINO and then go to step 3

• If the entry is for any other reason, transfer the case to the appropriate Management Unit (MU) dealing with these reasons and then go to the next work item with the reason 'Rejected' and repeat the above action . See the MU Table for the correct MU number

• Use Function MAINTAIN HOUSEHOLD NOTES to check the entries relating to the NINO you have just made a note of
• Make a note of the date and amount of all manual payments that have been issued

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

• If there is an entry from Compliance for the relevant tax year that states there is ongoing compliance activity, do not re-issue payment. Transfer the work item to the appropriate MU and then go to step 19 . See the MU Table for the correct MU number

• If there is an entry regarding the issuing of a manual payment, go to step 4

• If there is no entry regarding the issuing of any manual payments, go to step 6

• 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 Award screen

• Click on the earliest award 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 6

Note: A small number of manual payments previously posted may have been posted on to the wrong tax year. If the manual postings do 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 are 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 only, go to step 6

• 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 5

• The manual payments are a combination of the tax years 03/04 and later years, go to step 5

• 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 claimant 2

• Use Function MAINTAIN HOUSEHOLD NOTES to enter the following

'TCMZ Manual payments not yet posted, do not re-issue recalled payment'

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

• Return to the 'Applicant Failed Payment' Work List to set an action date for 10 days in the future, making sure the Retained checkbox is ticked

• 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 6

• If all the manual payments have not yet been posted, set an action date for a further 10 days, making sure the Retained checkbox is ticked. 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 attached pro-forma and repeat this step. Once all the manual payments listed on the pro-forma have been posted, go to step 6

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

• Enter the claimants 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

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

• Make a note of the cancelled payment

• Click on the cancelled payment to highlight it

• Click on the [OK] button. You will be taken to the View BACS Details screen

• Make a note of the issued date and whether the amount is for CTC, WTC or a combination of both WTC and CTC

Note: If the payment is for combined CTC and WTC, this will be shown. If the combined amount is not shown, cancel out and click on the [Postings] button. You will be taken to the Period Postings screen where you will be able to view which tax credit the amount was paid for

Then

• Go to step 7

• 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 8

• If there are no entries relating to the above, go to step 8

• 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 re-instated

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 re-instated 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 15

Otherwise

• Go to step 9

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 re-instated

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 stopped and then re-instated for a longer period

• Use Function VIEW AWARD

• Enter the claimants NINO in the Key Entry Data screen

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

• Click on the award version you are checking 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 cancelled 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 credits 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 15

• 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 of the dates, elements and entitlements listed on this screen

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

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

Then

• Go to step 10

• Income. Decreased income changes that had not previously been taken into account for current year award calculation purposes, but they are now. (Further guidance will be given for this reason when you reach step 11)

• Child and Young Person elements have been re-instated or appeared because

• Although the dates had been correct in the History fields in Function VIEW APPLICATION, for a previous claim version they had not been taken into account in the corresponding award calculation. However they are now 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

Or

• Any other missing elements have been re-instated 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 11 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 claimants 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 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 claimant’s 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 12

• 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 12

• 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, then this may have created or contributed towards the high value payment. Go to step 12 and continue with your checks

• No, then the high value payment will not have been created due to income. Go to step 12 and continue with your checks

Notes:

1. If you are checking a payment which relates to more than one tax year, you will need to repeat this step for each year and 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 payment

To do this

• 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 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, click on the claim(s) affected by the high value payment to highlight it and then click on the [OK] button. 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 the 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 on 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 history, 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 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 16 of this guidance

Then

• Go to step 13

Notes:

1. You must ensure that all signals are checked as there may have been more than one error which originally occurred

2. Some dates may have been populated by the computer. 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, go to step 18

• 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, go to step 15

• If the claim details are incorrect, have you determined that the income details within the corresponding claim version are not being used by the computer to calculate the award

• No, go to step 16

• Yes, go to step 14

Title: High Value Payment Checks – Possible System Problem
Body of Message
NINO – (Insert NINO 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 investigation

Note: Your TALLO will forward the case to the Technical Advice Line (TAL) for them to investigate and refer to Information Management Solutions (IMS)

Then

• Are there any other incorrect details you have identified?

• Yes, go to step 16 to take corrective action
   
• No, was the income amount noted in Function VIEW AWARD more than the amount noted in Function AMEND APPLICATION?

• No, go to step 19
   
• Yes, go to step 18

• Use Function MAINTAIN SUSPENSION

• 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 Household screen

• In 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

• In the Maintain Payment Suspension screen, click on the suspension reason ‘Manual Payment Request’ in the Suspension Available To Be Set field to highlight it

• Click on the [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 on the [Yes] button

Is the claim for a two-claimant household

• No, go to step 16

• 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 16

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

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

• To correct a child start and / or end date on the claim or if the child's details held on the 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's effective date on the 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 and / or end dates in history other than child signals that are incorrect, for example, where 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 NTC 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, where you have identified an incorrect gap in work history, follow the relevant guidance in Work / Benefit Changes

• Where the computer is not recognising a signal, for example, a household end date is entered but payments are continuing past this point, do not re-issue the payment, 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 totals 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 the corrective action?

• Yes, go to step 17

• No, go to step 18

Note: Corrective action can be undertaken on a ceased claim, for example, where incorrect history details has 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 income 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, go to step 18

• If the income details are incorrect, apply any changes. Follow the guidance in Applying Income Change Of Circumstances Or Corrections and then go to step 17

• If the amount appears to be correct, go to step 18

Notes:

1. If the claim is for a joint household consider both claimant 1 and claimant 2's income and employment details, where applicable

2. When in the renewal period you must inform the claimant that any income details you are checking or 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 normal reminder cycle, enter the details of the required information in Function MAINTAIN HOUSEHOLD NOTES

• Enter the claimants NINO in the Key Entry Data screen

• Select the appropriate tax year which the cancelled payment refers to

• Click on the [OK] button, you will be taken to the Record Applicant Failed Payment screen

Is the appropriate payment displayed in the schedule

• Yes

• Click on the appropriate cancelled payment from the schedule to highlight it

• Click on the [Reissue] button. The following message will display 'Have you cancelled all payments prior to re-issue?'. Click on the [Yes] button and then go to step 18

• No, and the payment to be re-issued is for PY

• Use Function MAINTAIN WORKLIST

• Manually delete the work item. Follow the guidance in Deleting An Item From A Work List

Then

• Go to step 19

• No, and the payment to be re-issued is for PY–1

• Refer the case by email with the following details to your TALLO

Title: High Value Payment Checks PY-1 requires reprofiling
Body of Message
NINO – (Insert NINO here)
This case has been checked due to being a high value payment, PY-1 only requires reprofiling. Case referred as requires DAR

Note: Your TALLO will forward the case to TAL for them to refer to IMS

• Manually delete the work item. Follow the guidance in Deleting An Item From A Work List

Then

• Go to step 19

Note: If the payment was for the 2003 / 2004 award period, you will not be able to access this year from this function. You must forward the case for a Data Amendment Request (DAR)

• Has corrective action been taken

• No

• If the case has been checked enter

'TCMZ Case checked, payment re-issued, please do not recall this payment'

• If the case has been transferred enter

'TCMZ Case transferred to MU (Enter relevant MU number), do not work'

• If the details of the case have been sent to IMS enter

'TCMZ Income details for 03/04 incorrect and require reprofiling, case sent to IMS'

Or

'TCMZ 2003/04 payment requires re-issue, sent to IMS to action'

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

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

Then

• Manually delete the work list item. Follow the guidance in Deleting An Item From A Work List

• If you were unable to contact the claimant to obtain the correct details enter

'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 taken you have taken, for example enter

'TCMZ Signals history amended (enter details), case will be reprofiled and new award calculated'

Then

• Manually delete the work list item. Follow the guidance in Deleting An Item From A Work List

• If the payments have been suspended enter

'TCMZ Payment suspended, do NOT un-suspend payment'

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