Manual Renewal For Complex Cases (AG)

If you can process the claim

• Use Function MAINTAIN WORKLISTS
   
• Select the ‘Manual Correspondence’ Work List from the drop down list for the Work List Type field

• Select the 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 redisplayed with the entries currently on the Work List

If you are

• Unable to locate the automated S17 Notices, go to step 4

• Able to locate the automated S17 Notices, go to step 7

Note: When using Function VIEW S17 DETAILS, ensure that you select the correct tax year

If the 1SD is

• More than 35 days from today’s date, go to step 5

• Within 35 days of today’s date

• Use Function MAINTAIN FINALISATION and go to the Notice Details screen to extend the 1SD by 30 days from the issue date of the automated S17 Notices. Follow the guidance in Specified Dates

And then

• Go to step 5

• Set an action date in the ‘Manual Correspondence’ Work List for a further 5 days from today’s date. Make sure the Retained checkbox is ticked. Follow the guidance in Handling Work Lists

• When the new action date expires, try to locate the automated S17 Notices. If you are

• Unable to locate the automated S17 Notices, go to step 6

• Able to locate the automated S17 Notices, go to step 7

• Request a copy of both the TC603R and TC603D. Follow the guidance in Reissue A Renewal Notice

• Use Function MAINTAIN HOUSEHOLD NOTES and select the Renewals & Reminders category and enter the following message

‘TCMZ Copy of S17 Notices requested’

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 are

• No children missing from the automated form TC603R, go to step 8

• One or more children missing from the automated form TC603R

• Take a screen print

And then

• Go to step 8

• Make a note on form TC648 of the missing or incorrect information

• If the claim is a cross border / overseas family supplement case, go to step 9

• For all other complex cases , go to step 10

• Complete form TC828

And then

• Go to step 10

• Send the automated forms TC603R and TC603D to the claimant(s) or appointee(s) address by 2nd class post

If the claim is a cross border / overseas family supplement case

• Include form TC828 with the automated forms TC603R and TC603D

• Use 2nd class post if the address is in the United Kingdom (UK) and 1st class airmail (weighed at International rate) if the address is outside the UK

If a child or young person is not recorded on the automated form TC603R

• Complete a manual version of form TC603R including the missing child or young person

• Send to the claimant(s) or appointee(s) address with the automated form TC603D by 1st or 2nd class post as appropriate

If any of the claimants are not recorded on the automated form TC603R

• Complete a manual version of forms TC603R and TC603D as both the automated forms will be incorrect

• Send to the claimant(s) or appointee(s) address by 1st or 2nd class post as appropriate

Notes:

1. All claimants in a polygamous marriage or polyandrous marriage will be required to give information about their benefits and income in order to finalise the PY and renew the CY award. A declaration must be sent with the S17 Notices for each of the claimants in a polygamous marriage or polyandrous marriage to give each the opportunity to sign

2. All claimants must be given a minimum of 35 days in which to return their Annual Declaration (form TC603D). If there is less than 35 days between the date of issue and the 1st specified date, you must amend the 1st specified date on the TC603R to allow 35 days

• Issue a covering letter TC830 with the forms TC603R and TC603D. Follow the guidance in Manual Correspondence Work List

Then

• Go to step 12

• Enter the date of issue in the ‘S17 Notice’ section in the centre of the window. The computer will automatically calculate and set the 1st and 2nd specified date

• Select the ‘Manual Correspondence’ Work List from the drop down list for the Worklist type field

• Select the office or unit you want from the drop down list for the MU field if the one you want is not already displayed in this field. The screen will be redisplayed with the entries currently on the Work List

• Click on the entry in the work list that you wish to delete

And

• Click on the [Delete] button

Repeat this process each time you need to delete an entry on the ‘Manual Correspondence’ Work List

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 the Annual Declaration (and / or form TC828 in a cross border / overseas family supplement case) has not been returned within 28 days of the 1st specified date, go to step 15

• If the Annual Declaration is returned (together with form TC828 if a cross border / overseas family supplement case) within 28 days of the 1st specified date, go to step 16

• Issue the reminder manually to the claimant’s or appointee’s address as appropriate. Follow the guidance in Reminders

• Use Function MAINTAIN HOUSEHOLD NOTES to record the action you have taken and the 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

• Use Function MAINTAIN WORKLISTS and delete the entry from the ‘Manual Correspondence’ Work List

• If the Annual Declaration (and form TC828 if a cross border / overseas family supplement case) is received by the 1st specified date, go to step 16

• If the Annual Declaration (and form TC828 if a cross border / overseas family supplement case) is not received by the 1st specified date, go to step 31

Note: In a cross border / overseas family supplement case both the Annual Declaration and the form TC828 must be received before the Annual Declaration can be captured. If one form is received without the other, a manual reminder must be issued for the missing form

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

• If yes, go to step 17

• If no, set the payment suspension

• Select ‘Manual Payment Request’ from the options available

• Click on the [Add] button. This sets the payment suspension

Note: If there are 2 claimants captured on the computer the payment suspension must be set for both

• Click on the [OK] button

• Use Function MAINTAIN HOUSEHOLD NOTES and enter one of the following messages if the appropriate one is not already displaying

‘TCMZ Complex Case’

Or

‘TCMZ Cross Border Family Supplement Case’

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

And then either

• Go to step 17

Or

• If it is a NTC Listing case, go to step 18

If the claimant has indicated on the Annual Declaration that there has been a change of circumstances but has not given details of the change

• Contact the claimant to obtain the missing information before capturing the Annual Declaration. Follow the guidance in Contacting The Claimant

• Keep in view that you may need to extend the 1st specified date if you are expecting the claimant to make a late reply. Follow the guidance in Specified Dates

If the Annual Declaration is in respect of claimants in a polygamous marriage or polyandrous marriage it is not necessary to obtain a signature from each claimant. You can accept the Annual Declaration providing that at least one claimant has signed

If there are more than 2 claimants and / or more than 18 children included in the family

• Capture as much information as possible on the computer

• Use Function MAINTAIN HOUSEHOLD NOTES to check that details of the additional family members are correctly recorded there

In all cases

• Follow the guidance in Manually Capture Annual Declaration

And then

• Go to step 19

Note: The Annual Declaration must be completed in respect of all claimants and, if the case is a cross border / overseas family supplement case, must be accompanied by form TC828

Note: If the Annual Declaration is in respect of claimants in a polygamous marriage or polyandrous marriage it is not necessary to obtain a signature from each claimant. You can accept the Annual Declaration providing that at least one claimant has signed

• If the claimant has indicated on the Annual Declaration that there has been a change of circumstances, but has not given details of the change. Contact the claimant to obtain the missing information before capturing the Annual Declaration. Follow the guidance in Contacting The Claimant

• If you are able to obtain the missing information

• Capture the information regarding the change of circumstances
   
• Capture the details on the Annual Declaration

Then

• Go to step 19

• If you are unable to obtain the missing information

• Capture as much information as possible regarding the change of circumstances
   
• Capture the details on the Annual Declaration

Then

• Go to step 19

• If there are more than 2 claimants and / or more than 18 children in the family

• Capture as much information as possible from the Annual Declaration
   
• Use Function MAINTAIN HOUSEHOLD NOTES to check that the details of the additional family members are correctly recorded there

Then

• Go to step 19

Check the income figures that the claimant has provided on the Annual Declaration (and form TC828 if the claim is a cross border / overseas family supplement case)

If the claimant has reported

• Any decrease in income

Or

• An increase in income of more than £25,000.00

• Use the SEES Tax Credit Entitlement Calculator and recalculate the claimant’s PY entitlement

• Take 2 prints of the revised calculation (one to be placed in the casepapers and one to be passed to your supervisor for statistical purposes

In all cases

• Go to step 20

Notes:

1. Disregard the first £25,000.00 of any increase in income and base the recalculation only on the amount that exceeds £25,000.00

2. If the claimant provides an estimate of income you must base your recalculation on the estimate but you may need to do a further recalculation if he / she subsequently provides actual income. Follow the guidance in Self-Employed Income. If the claimant fails to provide actual income an automated reminder will be produced approximately 6 weeks before the 2nd Specified Date and you must issue this to the claimant manually. If the claimant does not provide actual income the computer will finalise the PY award on the estimated income and you will not need to do a further recalculation

3. In the case of a cross border / overseas family supplement claim, family benefits received from an OMS should not be included as income

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

• Click on the All checkbox and the Postings checkbox. This will take you to the Select Award screen

• Double click on the PY award period. This will take you to the Postings screen for the relevant award period

• Check the manual payments recorded on the payments pro forma against the payments posted on the Postings screen

• Record details of any overpayment or underpayment for PY on form TC648

• If the claim is a cross border / overseas family supplement case, go to step 21

• For all other claims, go to step 22

• Check the calculation of the Child Tax Credit (CTC) supplement with the figures the claimant has provided on the form TC828

• Recalculate the CTC supplement if the claimant has reported any change in the amount of family benefits paid by the OMS. Follow the guidance in OMS In EEA Competent

• Compare the amount of CTC supplement that has been paid to the claimant with the manually calculated award
• Record the details of any overpayment or underpayment of CTC supplement on form TC648

And then

• Go to step 22

Note: You must consider any increase or decrease in family benefits paid by the OMS when recalculating the PY CTC supplement

Use the SEES Tax Credit Entitlement Calculator and

• Enter all the details that the claimant has provided on the Annual Declaration to calculate the entitlement for CY

• Do not disregard any increase in income

• If the claim is a Cross Border / Overseas Family Supplement Case

• Consider whether other benefits that the claimant has recorded on form TC828 should be included as income

But

• Do not include family benefits

• Take 2 prints of the calculation (one to be placed in the casepapers and one to be passed to your supervisor for statistical purposes)

And then either

• Go to step 2 3

Or

• If it is a NTC Listing case, go to step 24

Note: Check whether there are any known future changes of circumstance when you calculate the CY award as you must take these into account. For example, if a child under the age of one reaches its first birthday during the award period

Use Function MAINTAIN WORKLISTS and

• Select the ‘Unprocessed S17’ Work List from the drop down menu. All the entries for the Unprocessed S17’ Work List will be displayed for your MU

If the complex case signal is not the only reason for the work list entry

• Follow the guidance in Unprocessed S17 Work List to clear all the other entries until only the complex case signal entry remains

Then

• Use Function MANAGE FINALISATION and

• Click on the [Process] button. This will display the Process screen

• Complete the Actioned By field selecting TCO from the drop down menu

If there is entitlement for CY

• Select Finalise and Renew, using the reason ‘Full Reply’

And

• Click on the [Finalise and Renew] button

If there is no entitlement for CY

• Select Finalise, using the reason ‘Full Reply’

And

• Click on the [Finalise] button. This action will remove the entry from the ‘Unprocessed S17’ Work List if the complex case signal is the only reason for the entry

• Then go to step 2 9

• Go to the NTC Listing screen
   
• Select 'Unprocessed S17' from the Listing Type drop down menu
   
• Select the number that corresponds to the initial letter of the name you require from the Selection drop down menu. For example, select 14 for names beginning with the letter 'N'. A full list of the selected items will display
   
• Click on the [Sort Filter] button. The Sort and Filter Worklist Entries screen will display
   
• Filter the entries with the reason of 'Reference', entering the NINO you made a clerical note of in the From Value and To Value fields
   
• Click on the [OK] button. You will be taken to the NTC Listing screen which will display the work item you are actioning
   
• Click on the work item to highlight it
   
• Click on the [Details] button. The Listing Entry Details screen will display
   
• If the Complex Case signal is not the only reason for the work list entry, follow the guidance in NTC Listing: Unprocessed S17 Work List to clear all the other entries until only the Complex Case signal entry remains

Note: When following the guidance to clear the other entries do not finalise and renew the award. Instead return to this step

Then

• Go to step 25

• 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 Tax Credit Period screen
   
• Click on the PY-1 claim that you are dealing with to highlight it
   
• Click on the [OK] button. You will be taken to the Manage Finalisation screen
   
• Click on the [Process] button. You will be taken to the Process screen
   
• Select 'TCO' from the Action Authority drop down menu
   
• Select 'As Agreed' from the Review drop down menu
   
• Click on the [Renew] button

Note: If an error message displays, click on the [OK] or [Yes] button, as appropriate and continue with your action

• If the [Renew] button is greyed out, go to step 26
   
• If the [Renew] button is not greyed out, BF the case for 3 days and then go to step 26

• 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 Tax Credit Period screen
   
• Click on the PY-1 claim that you are dealing with to highlight it
   
• Click on the [OK] button. You will be taken to the Manage Finalisation screen
   
• Click on the [Process] button. You will be taken to the Process screen
   
• Select 'TCO' from the Action Authority drop down menu
   
• Select 'As Agreed' from the Finalise drop down menu
   
• Click on the [Finalise] button

Note: If an error message displays, click on the [OK] or [Yes] button, as appropriate and continue with your action

• If the [Finalise] button is greyed out, go to step 27
   
• If the [Finalise] button is not greyed out, BF for 3 days to ensure the award is finalised and then go to step 27

• 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 PY-1 award that you are dealing with to highlight it
   
• Click on the [OK] button. You will be taken to the Award Summary screen
   
• Check the Award Status field. If the award status is

• Shown as 'Finalised', go to step 28
   
• Not shown as 'Finalised', BF for 3 days and then return to this step

Note: If the case is still not finalised after a second BF for 3 days, refer to your TALLO (Technical Advice Line Liaison Officer)

• Go to the NTC Listing screen
   
• Select 'Unprocessed S17' from the Listing Type drop down menu
   
• Select the number that corresponds to the initial letter of the name you require from the Selection drop down menu. For example, select 14 for names beginning with the letter 'N'. A full list of the selected items will display
   
• Click on the [Sort Filter] button. The Sort and Filter Worklist Entries screen will display
   
• Filter the entries with the reason of 'Reference', entering the NINO you made a clerical note of in the From Value and To Value fields
   
• Click on the [OK] button. You will be taken to the NTC Listing screen which will display the work item you you have just actioned
   
• Click on the work item to highlight it
   
• Click on the [Delete] button
   
• When the message 'Listing entry will be permanently deleted' displays, click on the [OK] button. The work item will be deleted from NTC Listing
   
• Go to step 29

The payment profile for the CY award must be correctly calculated. Follow the guidance in Manual Renewal Payments For Complex Cases

If the claim is a Cross Border / Overseas Family Supplement Case

• Calculate the supplement of CTC for CY following the guidance in OMS In EEA Competent

In all cases

• Offset all provisional payments made since the start of the tax year against the new CY award

• Make a one off payment to the claimant if there has been an underpayment on the PY award

• Apply the appropriate percentage to recover from the CY award any overpayment on the PY award

And then

• Go to step 30

Await the automated award notices after finalising the PY award as these may be used as a guide when creating the manual award notices. The type of award notices you will need to create will depend on the action you have taken

For example, amend the incorrect details on the automated award notice depending on the circumstances of the claim if you have finalised the PY award or renewed the CY award. For further example if

• There are more than 2 claimants in the family you must include details of the missing claimants

• The claim is a cross border / overseas family supplement case you must adjust the amount of CTC payable to take account of the family benefits paid by the OMS

• If you are completing a finalised award notice for PY (a FAN), enter the following messages

• At chunk 2 of the notice (heading Please read this)

‘You received benefits from another European Economic Area country totalling £XXXXX.XX for the year from 06/04/YY to 05/04/YY. This amount has been taken off your award of Child Tax Credit reducing it to £XXXXX.XX’

• At chunk 8 of the notice (heading Child Tax Credit)

‘Amount we have deducted because you received family benefits from another European Economic Area country is £XXXXX.XX’

• If you are completing a renewal award notice for CY (a CYAN), enter the following messages

At chunk 2 of the notice ( Please read this)

‘You are receiving benefits from another European Economic Area country expected to total £XXXXX.XX for the year from 06/04/YY to 05/04/YY. This amount will be taken off your award of Child Tax Credit reducing it to £XXXXX.XX. If your circumstances change please tell us’

• At chunk 8 of the notice ( Child Tax Credit)

‘Amount we have deducted because you are receiving family benefits from another European Economic Area country is £XXXXX.XX’

Send the award notices by

• 2nd class mail if the address is in the UK

• 1st class airmail (weighed at International rate) if the address is outside the UK

And then

• Go to step 33

Do not make any further provisional payments of WTC and / or CTC after the 1st specified date

• Calculate the total amount of provisional payments recorded on the Provisional Payments Form Appendix 1

• Use Function VIEW HOUSEHOLD ACCOUNT to check if any additional payments have been posted on the computer

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

• Click on the All checkbox and the Postings checkbox. This will take you to the Select Award screen

• Double click on the Provisional Award period. This will take you to the Postings screen for the relevant award period

• Check the manual provisional payments you have made against the payments posted on the Postings screen

And

• If additional payments have been posted add them to the provisional payments you have made and record the total payment on form TC648

• Check the payment and accounting records held for PY to see if there is any known under or overpayment on the PY award

• Compare the amounts you have paid manually with the amount awarded in the original PY manual calculation

And

• Use Function VIEW HOUSEHOLD ACCOUNT to check the Postings screen for the PY award period for any additional payments posted on the computer

• Make a note of any under or overpayment on the PY award on form TC648

And then

• Go to step 32

• Complete a manual statement of account (form TC607(MAN) to notify the claimant that the CY award has been terminated and that action will be taken to recover the provisional payments you have made and any known overpayment on the PY award

• Create a manual finalised award notice for the PY award

• Send both notices by 2nd class mail if the address is in the UK and by 1st class airmail (weighed at International rate) if the address is outside the UK

If there has been an underpayment on the PY award

• Make a one off payment to the claimant as any underpayment on the PY award cannot be offset against the overpayment on the provisional award

In all cases

• Go to step 33

• Go to step 35

Use Function MAINTAIN HOUSEHOLD NOTES and enter the following information as appropriate. In all cases enter the relevant year that the information covers

• The issue date of the award notice (and statement of account)

• The amount of the revised PY award including details of any under or overpayment (and details of the one off payment if an underpayment)

• The amount of the CY award including the amount of provisional payments to be offset and the rate of recovery of any overpayment

If the claim is a cross border / overseas family supplement case

• The amount of CTC supplement and details of the OMS competent to pay family benefits

• The amount of any benefits in payment from the OMS

If you have issued a statement of account

• The amount of tax credits to be recovered

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

When you have updated the Household Notes

• If the claim is a cross border / overseas family supplement case, go to step 36

• If not, go to step 3 8

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

The address of the European Economic Area ( EEA) authority for other countries will be provided by the claimant on form TC828

Note: You must not divulge information to the OMS about any award of Working Tax Credit ( WTC) as WTC is not a family benefit

• Go to step 37

• Send form TC694 to the relevant CBO International Group 1 EC section. Follow the guidance in Contacting The Child Benefit Office International Group 1 EC Sections

Then

• Go to step 38

The manual renewal has now been processed

• If the claimant has entitlement to tax credits for CY, you must continue to make manual payments of WTC and CTC at the normal pay frequency until further instructions are issued to manage payment through the computer

• If the CY award has been terminated because the claimant has failed to return a properly completed Annual Declaration, or because the claimant has no entitlement to tax credits in CY, continue to hold the casepapers until instructions are issued to send the claimant a notice to pay