SCIG30015 - Appendix 4 - File Layout

A

External correspondence - including notes to Operational Leader

B

Internal correspondence

C

Review papers - including Registration Report, copies of VAT reports and other indirect tax documents

D

Documents - evidence or clean copies

E

Third party enquiries/Information powers

F

FPU Accountant’s papers

G

Working papers

H

Private side review

I

Computations

J

Case management

• Enquiry Plan
• Quarterly reports (self reviews/manager’s reviews)
• Notes of discussions with manager
• Head Office submissions
• Referrals for Accountancy/technical advice, including FPU Accountant Customer Agreement
• Quality Assurance stencil

X

Also, original documents and certificates kept in “Centre” File (held in separate filing range at SI location)

Settlement

• Computations
• Statistical reports
• Settlement Report
• Payments on Account
• Letter of offer (copy in X file, original in “Centre” file)
• Letter of acceptance
• SAFE documentation
• Certificates (eg Statement of Assets and Liabilities, Statement of Bank/Building Society accounts, Certificate of Full Disclosure) (copy in X file, original in “Centre” file)
• Post settlement correspondence including closing memos to other operational units