PAYE29016 - employer records: monthly control lists: all other cases working with the district (Action Guide)


To deal with entries on the ‘All Other Cases Working With The District Control List, follow steps 1 - 6 below. The Guide is presented as follows

Initial actionSteps 1 - 2
Reviewing the work itemsSteps 3 - 6


For details of how to access any of the Employer Business Service functions use the [Index of Functions] button on the left of the screen.

Initial action

  1. In all cases you must use Function VIEW EMPLOYER NOTES and review the employer record pad to check the last action taken for the particular work item
  2. If the case was worked from the previous months list review the employer record pad and any working papers for the scheme and consider if any further action is required to update the EBS record
  • Either update the EBS record where further action is necessary or
  • If no further action is needed at present go to step 6

Otherwise

  • If the case is new or was not worked from the previous list go to step 3

Reviewing the work items

Your action will depend on the nature of the work item

  1. Use Function VIEW EMPLOYER NOTES, review the employer record pad and any working papers for the scheme and use some or all of the following functions to determine the reason why the case is on the list
  • VIEW BROCS

Check the following screens

  • Format 1 - Employer Data General Summary to ascertain whether the year shown on the list is still ‘live’. Where the year is shown as cleared no further action is necessary
  • Format 5 - Actions Summary for any notes made by the Debt Management Office
  • Format 3 - Postings Summary to ascertain whether any payments have been made
  • Format 9 - Designatory Data for ASN to check for the following cessation date, cancellation date. annual return data (P35, SC35 P35MT received), Tax Credit Employer and Class 1A NIC EMP
  • EMPLOYER SCHEME HISTORY
  • Check for any cessation or cancellation dates
  • EOY RETURN HISTORY
  • Check for any outstanding returns
  • EMPLOYER INDICATORS
  • Check for any indicators shown for the year on the list
  1. From the information obtained check the following to identify why the case has been entered on the list
  • Mismatches
  • If you identify that the EBS/COP/BROCS record are not in line, see PAYE21235
  • If the mismatch that you have identified is not included or the sub account affected is earlier than CY-6, report the following details to the EBS Helpdesk employer reference, employer name, sub account and mismatch information
  • Where Debt Management & Banking have requested Cancellation One Year Only
  • Check the employer record to ascertain that this is the appropriate action

If it is use Function AMEND EMPLOYER INDICATORS to set the COYO indicator

Or

If it is not go to step 5

  • Where Debt Management & Banking have advised that the employer has ceased
  • Check the employer record to ascertain that cessation is the appropriate action

If it is use Function AMEND EMPLOYER SCHEME HISTORY to enter the cessation date

Note: Where the scheme type is PSC or XP you must enter a ‘Date Notified’, which is the date you received the information or select one of the following check boxes

  • ‘Date Not Known’ - where you do not know the date you received the information

Or

  • ‘Date Not Applicable’ – where the update is being made from information not received from the employer

Or

If cessation is not the appropriate action, go to step 5

  • If the Insolvent Indicator is held on the record
  • Where Insolvency Claims Handling Unit (ICHU) have forwarded a return to you use Function CAPTURE EOY RETURN DETAILS to capture the return

Otherwise

  • Go to step 5
  • Where Debt Management & Banking have forwarded a return for capture locate the return then
  • Use Function RECORD RETURN RECEIPT

And on the following day

  • Use Function CAPTURE EOY RETURN DETAILS to process the return
  • Where you identify that it is appropriate to allocate an overpayment against the underpayment

Or

  • Where the re-allocation cannot be dealt with go to step 6
  • If you determined that there is no reason for the case to be noted as WWTD go to step 5
  1. For work items which are appropriate to the Debt Management Office
  • Use Function AMEND EMPLOYER INDICATORS to set the INSTIND(1) indicator on the employer record for the appropriate year(s)
  • Advise the Debt Management Office that you are transferring responsibility for the case to them, ensuring that you include
  • An explanation why you are transferring responsibility

And

  • Any request to forward the case to either the ICHU or Banking Operations Tracing Unit
  1. After you are satisfied that all necessary actions have been taken
  • Make a brief note on the Control List of the last action taken to clear the scheme
  • Keep the list under review until the next list is received
  • Move on to the next work item

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