Updated 24 January 2012

Speed of processing information FAQs – New claims

• General information on new claims
• Exceptions to the general rule
• New claim FAQs

General information on new claims

The purpose of the information is to establish the average time taken by an LA to process all new HB/CTB claims from the date of receipt to the date of decision.

General rule

Receipt of a claim for HB/CTB at any designated office, whether it is effective or defective, will be the starting point at which the count for the processing time begins. The count for the processing time stops the day a decision is made. See below for exceptions to the general rule. Claims can be made in a number of ways.

Written claims

For claims made in writing on a claim form provided specifically for that purpose or in some other form acceptable to the LA, the count of the time taken to process will start from the date the claim is received at the designated office.

Electronic claims

For electronically submitted claims, whether or not the LA requires a signature, the date of receipt is the day the form is received electronically. This could be a non-working day. The count of the time taken to process will start with the date the claim is electronically received, whether or not it is effective or defective, and will end on the day the LA makes a decision.

Where an LA has e-enabled its business (see HB/CTB Circular A18/2006) a handwritten signature will no longer be required, although an electronic signature may be.

Tele-claims

In the case of tele-claims (see HB/CTB Circular A18/2006 and A11/2009) the count of the time taken to process will start from the date of the telephone call when the claim details are taken, regardless of whether the LA then requires a signed confirmation of the details.

Intention to claim

Where the customer contacts the LA stating their intention to make a claim in advance of making the claim by any of the methods described above, the count of the time taken to process will start from the date of receipt of the claim not the date of first contact.

Processing times

When calculating processing times all days should be counted including weekends and public holidays, not just working days. This must include any days when there are reasons for additional processing days beyond the LA's control, for example, a customer’s failure to provide additional information and delays between:

• designated offices, and
• the Valuation Office Agency (VOA) and the benefit processing centre

Note:

• count all defective and effective claims
• do not count a decision to make a payment on account as a decision on a claim
• do not include the period of backdated awards
• do not count any subsequent decision resulting from a revision or an appeal
• do not count withdrawn claims

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Exceptions to the general rule

Claim made in advance

Where a claim to HB/CTB is made in advance under HB R 83(10), 83(11), the count for the processing time starts on the date the claim is Treated As Made (TAM) by the LA under those regulations. If the claim is properly decided on or before the TAM date, the time taken to process the claim will be one day. If the decision is made after the TAM date but before the entitlement start date, then processing time is counted from the TAM date to the date the decision is made. If the decision is not made until after the TAM and the entitlement start date, then processing time is counted from the claim received date to the date the decision is made.

* CTB R 69(12) (13); HB SPC R 64(11) (12); CTB SPC R 53(12) (12a)

Property unbanded for Council Tax purposes

If an LA is unable to make a decision on a new CTB claim because the property in which the customer lives is unbanded for Council Tax pending a valuation, the count for the processing time starts on the date the Council Tax payable is notified to the benefits section.

Claim form and Local Authority Input Document/ Local Authority Claim Information (LAID/LACI)

When a customer makes an HB/CTB claim direct to the LA instead of or in addition to, making a claim via Jobcentre Plus, the count for the processing time starts from the date the LA designated office receives the claim form or the date it receives the LAID/LACI, whichever is earlier.

If the claim notification is received through LAID/LACI reports, regard it as having been received on the first working day it becomes retrievable (usually the first or second working day following the day the data was generated). If an LA defers accessing the LAID/LACI, include the days of delay in the number of calendar days taken to process the claim.

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New claim FAQs

• Decisions on claims
• Processing times
• Defective, effective or not valid
• Unvalued property
• Claim received date
• Payment on account
• What counts towards speed of processing information?
• Claims made in advance

Decision on claims

Q. What is meant by a decision on claims?

A. Claims are normally decided once the customer has been given an opportunity to provide all the information requested on the form, and any additional information the LA may require has been received from the customer and/or third parties. This includes decisions made on claims where the customer may have been requested to provide further information but has declined to or has not taken the trouble to reply to the request within the time given. A decision will result in the claim being successful or unsuccessful.

Q. If the customer notifies a change event before a decision is made on a new claim should this be counted as a new claim successful and a change event or just as a new claim as the change has been notified prior to the benefit decision being made on the new claim.

A. The change would not count as the notice was not received "during the course of the benefit award", as benefit had not been awarded at that time. This applies whether or not a payment on account is made. Instead, the change was notified as part of the making of a new claim.

Processing times

Q. If a customer completes a tele-claim but does not return the written statement of that claim as required by the LA, when does the processing time for the claim begin?

A. As a written statement from the customer has not been returned the claim is ‘not valid’ and therefore does not require a decision. The count does not start until the necessary statement is received.

It is at the discretion of a local authority if they require a written statement of the claim.

Q. When should the time taken to process a claim start? Is it with the receipt of a "properly" completed claim form or Local Authority Input Document/ Local Authority Claim Information (LAID/LACI), that is, when the customer has filled in the form correctly and has also provided all information that was requested on that form, or is it from the receipt of the claim form or LAID/LACI regardless of whether or not it has been properly completed?

A. The count of the time taken to process a claim starts from the day that the claim form or LAID/LACI is received regardless of whether or not the claim form or LAID/LACI has been properly completed or whether any additional information necessary to determine the claim has been provided. The count for the processing time will only stop when a final decision has been made on that claim.

Q. Is the processing time working days only?

A. No, the processing time includes all calendar days (including the day the claim is received and the day the claim is decided)

Defective, effective or not valid

Q. What is the difference between a defective claim and a claim which is not valid?

A. A defective claim is a claim that is capable of being completed and if it is completed it must be treated as if it had been duly made in the first instance. However a claim which is ‘not valid’, that is, because the customer has not approved a written statement of his circumstances, is not a claim at all.

Q. If a customer sends in a completed claim form but the form isn’t signed, should the claim be registered on the benefits system?

A. Paper claim form: An unsigned claim form should be classed and registered on the system as defective. It would be good practice to photocopy the form and return the original to the customer with a covering letter advising what they should do to remedy the fault.

Tele-claims: Where a customer makes a tele-claim it is up to the LA if they require the resulting claim to be signed (A18/2006 gives more details). If the LA requires a signed copy of this form and this is not provided this is not a valid claim so does not have to be registered on the benefits system and no decision will be required on it.

E claiming: With electronic claims an LA may decide an unsigned claim is invalid if the Chief Executive Direction specifies that the claim must be signed. HB Reg 83A and Schedule 11* allows any claim to be treated as invalid if it doesn’t conform to the standards set out in that Direction. The Direction must set out the method of making the claim, authenticating the claim, authenticating the ID of the customer, and the method of submitting the claim. If the Direction does not require claims to be signed, then an unsigned claim is not invalid.

* HB60 and 64A and Sch 10; CTB 69A Sch 9, and CTB60 and 53A and Sch 8.

Q. Should all ineligible claims be counted as ‘effective’ new claims? For example, when the customer’s capital exceeds the limit?

A. Yes, all claims which are ineligible should be counted in the same way as other effective new claims.

Q. A customer has failed to provide a properly completed claim, even when given 1 calendar month (or such longer period as is reasonable) to rectify the defect. Does this count towards the processing information?

A. Yes. Such claims should be treated as defective and counted ‘new claims decided unsuccessful’. Therefore they will be included. Remember that you should give a decision that the customer has failed to satisfy the conditions of entitlement to HB/CTB because they have not made a claim in the prescribed manner and within the prescribed time (by virtue of section 1(1) (a) of the Social Security Administration Act -see para 22 et esq. of Circular HB/CTB U9/2004).

Unvalued property

Q. What happens when a CTB claim is received for property which has not yet been valued?

A. In this instance the count for the processing time starts on the day the benefits section is notified of the Council Tax payable.

Claim received date

Q. What date should be used for the most recent HB claim received?

A. Date HB claim (or ‘relevant information’ forwarded by DWP) is physically received at a designated office of the local authority. ‘Relevant information’ would include the LAID forwarded by Jobcentre Plus and LACI forwarded by the Pension, Disability and Carers Service (PDCS). This does not include an intention to claim benefit, for example by requesting a claim form from the LA. The count for the processing times will begin from the date that an electronic claim form is received, even if it is unsigned. Do not treat an initial date of contact as the start date. The date of receipt must be used.

Payment on account

Q. When all the necessary information has been provided but the Rent Officer determination has not been received, can we use the Indicative Rent Level to make a payment, count this as a decision, and then treat the actual determination, when received, as a change event?

A. No. Where it has been decided to use an Indicative Rent Level to ensure that a payment is made pending the Rent Officer's decision, this is a payment on account and should not be counted towards processing information. A decision can only be made once all information is received, including the Rent Officer's determination. The processing time should be counted to the day that the decision is made, and NOT the day that the payment on account is made.

What counts towards speed of processing information?

Q. A customer has provided a properly completed claim form, including the information and evidence requested on that form, but has not provided the additional information requested. Does this count?

A. Yes. As the claim has been properly completed, this will be an effective claim. If the additional information or evidence requested is not forthcoming, you will need to make a decision based on the information and evidence available (see para 12 et esq. of Circular HB/CTB U9/2004). Depending on your decision the claim will be counted as successful or unsuccessful.

Q. Should the period of any backdated award be counted in the processing time?

A. No, backdated awards are not included in the time taken to process.

Q. What happens if a decision is made on a claim which is subsequently appealed? Will the subsequent revision count towards processing information?

A. No. Revisions do not count.

Q. A claim received on 1 April was decided (with a start date of a 4 April) on 14 April, (processing time 14 days) following a decision on 30 May to accept a backdated claim the case is revised to show date of claim as 6 January. Should the claim be counted again?

A. For processing information the count starts from the day that the claim is first received at the designated office (unless it is an advance claim) until the day that a full decision is made.

Any subsequent decisions resulting from appeals, backdating reconstruction or revision should not be counted. Although a claim for backdating is considered separately from the main claim, it is not counted individually.

Claims made in advance

Q. Where a claim is accepted and logged up to 13 weeks (17 weeks for pensioners) before the tenancy actually commences, is the calculation for the days to process based on application date to determination?

A. No. Where a claim is made in advance under HB R 83(11); CTB R 69(12) (13); HB SPC R 64(11)(12); CTB SPC R 53(12)(12a) the count for the processing time starts on the Treat As Made date determined by the LA. If the claim is processed and a decision made prior to the TAM date then processing time will be one day. If the decision is made after the TAM date but before the entitlement start date, then processing time is counted from the TAM date to the date the decision is made. If the decision is not made until after the TAM and the entitlement start date, then processing time is counted from the claim received date to the date the decision is made.