FR Intake CMS process

Screen 1 Intake Stage - LBTT Check

CMS will try to check the LBTT records automatically on all relevant applications.

• If the LBTT payment has been found automatically then the Intake Checks screen is the first screen that you will see - Move on to the next paragraph. 

• If the LBTT payment has not been found then the first screen that you will see is the LBTT Check screen.

  • Perform the LBTT check on the S43 service if necessary.

  • Select the most appropriate option on the LBTT Check screen:

    • Payment Found - Select this option to enter the Tax Record Number. Once you have submitted the number it will show on the Case Details. 

    • Payment Not Found - Select this option if your S43 search did not find a Tax Record Number.

      • On the next screen, you will be prompted to reject the application.

      • Follow the Rejection process.

      • Refer the case if appropriate.

    • Not Notifiable - Select this option if the application did not require LBTT to be paid. 

    • Unable to Perform Check - Select this option if the S43 site is unavailable or you are unable to check for the Tax Record Number.

      • CMS will warn you not to proceed further and will put the case back to your My Assignments so that you can check again later or refer for guidance if appropriate.

      • Continue onto the next case until you are able to perform the LBTT check.

      • Refer the case if appropriate.

  • Once the tax record number has been submitted or 'Not Notifiable' has been selected then the case will move to the Intake Checks screen.

Screen 2 Intake Stage - Intake Checks

• Perform the basic intake checks - deeds are valid, form and deed match, payment type/fee is correct, etc.

  • If this is a Dual Registration case (i.e. there is a SAF in the APF)  then follow the instructions in the case collaboration note from the Referral point.

  • As part of the Intake Check process, check for representments that may not have been automatically detected. (e.g. because the agent has forgotten to indicate that it's a representment during submission).

  • Also check for any C&S forms and SAF in the supporting documents.
    • CMS should automatically rout Joint Recording/Dual Registration cases to Intake Authority but only if the agents has selected the relevant options during digital submission.
    • If the case hasn't already been seen by a referral point then refer it as a potential Joint Recording/Dual Registration to get intake instructions.
  • Check that the LRS application(s) have been created correctly.

• If the case is not acceptable then click No.

  • The Submit button will now change to a Reject button. 

    • Follow the Rejection process.

    • Refer the case if appropriate.

• There is an opportunity at this stage to add or remove LRS application details.

  • If after reviewing the deeds, you decide that additional LRS application(s) are required then:

    • Create the relevant new application(s) in LRS.

    • In CMS, click the Add/remove application link in the box with the relevant APF details.

    • Click Add Application and enter the additional LRS application details in the box that appears.
    • Click Get Application Details to check that you have entered the correct LRS application number.
    • Click Add Application again if you need to add more than 1 LRS application and enter the LRS details.

    • Click Done when you are finished adding applications.

  • If after reviewing the deeds you decide that there are auto-created LRS applications that are unnecessary then:

    • Click the Add/remove application link in the box with the relevant APF details.

    • Click the black X by the application(s) that you need to remove.

    • Click Done when you are finished removing applications.

    • Cancel the application(s) in LRS.
      • Ensure that you do this step last or you might break the CMS case.
• If there is a High Fee on the case then contact Finance to confirm the amount is correct.
  • Refer to the High Fee Process for further details. 
• If the case is acceptable then click Yes and Submit.
• CMS will move on to the Grouping intake screen.

Screen 3 Intake Stage - Grouping

Grouping allows you to add your APFs to an existing case rather than creating a brand new case. (This is similar to the Case association linkage but instead it merges the 2 cases together rather than them needing to be completed separately). This will probably be more common for DWs grouping to FRs than any other scenario. However the feature has been made available for FRs for those rare situations.

For the moment, on this screen always select "As a standalone case". There is a possibility that the case could bypass the plans stage if you group to a case at the legal stage. The Plans caseworker will have an opportunity to group cases if it's appropriate.

• If CMS has identified a related existing case that is suitable for grouping then it will show the Case ID, click Lookup Case to check the details of the existing case.

  • If you are sure that your new case should be grouped to the existing case then: 

    • Check where the existing case is on CMS and LRS.

    • Make sure that your LRS application(s) have the correct category and that the application workdesk is completed accurately.

    • Release your LRS application(s) to the appropriate location.

    • In CMS, click Submit and your new case will be grouped to the existing case at the end of the intake process.

    • CMS will move on to the Closing Notes screen.

      • Continue with the intake process.

  • If you think that your new case should be grouped to a different existing case then:

    • Check where the relevant case is on CMS and LRS.

    • Make sure that your LRS application(s) have the correct category and that the application workdesk is completed accurately.

    • Release your LRS application(s) to the appropriate location.

    • In CMS, enter the details of the correct LR case and then click Submit.

    • Your new case will be grouped to the existing case at the end of the intake process.

    • CMS will move on to the Closing Notes screen.

      • Continue with the intake process.

  • If you think that your new case should not be grouped at all then select the 'As a Standalone Case' option and click Submit.

    • CMS will move on to the Closing Notes screen.

      • Continue with the intake process.

• If CMS does not find an existing open LR case automatically but you are aware of a related existing case that is suitable for grouping then select the 'Group with existing case' option and enter the Case ID of the related existing case.

  • Make sure that your LRS application(s) have the correct category and that the application workdesk is completed accurately.

  • Release your LRS application(s) to the appropriate location.

  • In CMS, click Submit and your new case will be grouped to the existing case at the end of the intake process. 

  • CMS will move on to the Closing Notes screen.

    • Continue with the intake process.

More commonly you will choose the 'As a standalone case option' to generate a new LR case that will proceed through the Plans and Legal stages:

• If CMS does not find an existing LR case then CMS will default to 'As a standalone case'. 

  • If you are not aware of any related existing cases that are suitable for grouping, click Submit.

  • CMS will move on to the Closing Notes screen. 

    • Continue with the intake process.

Additionally:

• If there are multiple APFs over different properties and they appear to be unrelated (E.g. APF1 is over Property A and APF2 is over Property B), then CMS will default to generating (or grouping to) separate LR cases.
  • If you want the APFs to remain together, click the Amend button,
  • A message will appear to state that the APF will be moved to the appropriate group. 
  • Click Submit.
  • You can now choose whether to group these to another existing case or to generate a single standalone LR case.

• If you realise that you chose the wrong option for grouping, e.g. you selected a standalone case but you wanted to group to an existing case or vice versa, then it is always possible to change this by using the Ungroup APFs action once the LR case is generated. 

  •  If you no longer have the case at that point (e.g. It has moved to a workbasket that you can't access) then ask your TL to transfer the case back to your workbasket so that you can perform the Ungroup APFs action. Or add a Case collaboration note explaining the situation.

Screen 4 Intake Stage - Closing Notes

• Ensure that the closing note has been completed in CSR.

• In CMS, click the relevant option from No Deeds Found, Deeds Found and Search Not Completed for the Heritable securities search.

  • Your selection will be noted in the Audit tab.

  • Click the box by 'I have completed the closing note'  and then click Submit.

    • If you click Submit without ticking the box then a warning message will appear suggesting that you refer the case if you cannot complete the closing note.

      • Follow the Referral Process.

• CMS will close the INT case.

  • If the Standalone option was selected, it will generate an LR case which will move on to the Plans stage.

  • If the Grouping option was selected, your case will be added to the existing LR case wherever it is located in CMS.
• This is the end of the intake process. Click Next Assignment to take on a new case.

Screen 0 Intake Stage - Review Representment

In order to catch representments, CMS will check the alpha codes on application forms and if it detects that an alpha code has been submitted previously then it will show the Review Representment screen. The representment screen will also be shown if the agent indicates the application is a representment at the submission stage - this should catch representment cases where a new form has been created.

• If the Review Representment screen shows then follow the Representment process.

Screen 1 Intake Stage - LBTT Check

Since no LRS application has been created, CMS will not know if LBTT is applicable and so this will be the first screen (unless a representment was detected). 

• Perform the LBTT check on the S43 service if necessary.

• Select the most appropriate option on the LBTT Check screen:

  • Payment Found - Select this option to enter the Tax Record Number. Once you have submitted the number it will show on the Case Details. 

  • Payment Not Found - Select this option if your S43 search did not find a Tax Record Number.

    • On the next screen, you will be prompted to reject the application.

    • Follow the Rejection process.

    • Refer the case if appropriate.

  • Not Notifiable - Select this option if the application did not require LBTT to be paid. 

  • Unable to Perform Check - Select this option if the S43 site is unavailable or you are unable to check for the Tax Record Number.

    • CMS will warn you not to proceed further and will put the case back to your My Assignments so that you can check again later or refer for guidance if appropriate.

    • Continue onto the next case until you are able to perform the LBTT check.

    • Refer the case if appropriate.

• Once the tax record number has been submitted or Not Notifiable has been selected then the case will move to the Intake Checks screen.

Screen 2 Intake Stage - Intake Checks

• • Perform the basic intake checks - deeds are valid, form and deed match, payment type/fee is correct, etc.

    • If this is a Dual Registration case (i.e. there is a SAF in the APF) then follow the instructions in the case collaboration note from the Referral point.

    • As part of the Intake Check process, check for representments that may not have been automatically detected. (e.g. because the agent has forgotten to indicate that it's a representment during submission).

    • Also check for any C&S forms and SAF in the supporting documents in case they have not been automatically identified.
      • Refer the case as a potential Joint Recording/Dual Registration to get intake instructions.

  • If the case is not acceptable then click No.

    • The Submit button will now change to a Reject button. 

    • Follow the Rejection process.

    • Refer the case if appropriate.

  • If the documents are valid, click Yes and then Submit.

  • CMS will move on to the Capture Application details screen.

Screen 3 Intake Stage - Capture Application Details

• Create the required LRS application(s), manually inputting all the details if necessary and App Confirm the application.

  • If you have a represented UID or a newly created Efin UID then add this to the LRS application manually.

  • If this is a brand new application with Direct Debit payment then click Get UID.

• Go back to CMS and enter the LRS application number in the relevant box.

• Click 'Get Application Details'. This will show you all the details of the LRS application for you to confirm that they are correct.

  • If there are multiple APFs on this screen but they can be created with 1 LRS application (e.g. a Disposition and a Standard Security) then type the same application number in both boxes and then select the relevant Deed type from the dropdown list when requested.

• If there are multiple LRS applications for a particular APF, click Add Application to add the additional application number(s).

• Ensure that the LBTT dropdown list shows the Tax Record Number if you have entered one. It will default to Not Notifiable.

• If there is a High Fee on the case then contact Finance to confirm the amount is correct.

  • Refer to the High Fee Process for further details.

• Click Submit and CMS will move on to the Grouping intake screen.

Screen 4 Intake Stage - Grouping

Grouping allows you to add your APFs to an existing case rather than creating a brand new case. (Similar to Case association linkage but merges the 2 case together rather than you having to complete both cases separately). This will probably be more common for DWs grouping to FRs than any other scenario. However the feature has been made available for FRs for those rare situations.

For the moment, on this screen always select "As a standalone case". There is a possibility that the case could bypass the plans stage if you group to a case at the Legal stage. The Plans caseworker will have an opportunity to group cases if it's appropriate.

• If CMS has identified a related existing case that is suitable for grouping then it will show the Case ID, click Lookup Case to check the details of the existing case.

  • If you are sure that your new case should be grouped to the existing case then: 

    • Check where the existing case is on CMS and LRS.

    • Make sure that your LRS application(s) have the correct category and that the application workdesk is completed accurately.

    • Release your LRS application(s) to the appropriate location.

    • In CMS, click Submit and your new case will be grouped to the existing case at the end of the intake process.

    • CMS will move on to the Closing Notes screen.

      • Continue with the intake process.

  • If you think that your new case should be grouped to a different existing case then:

    • Check where the relevant case is on CMS and LRS.

    • Make sure that your LRS application(s) have the correct category and that the application workdesk is completed accurately.

    • Release your LRS application(s) to the appropriate location.

    • In CMS, enter the details of the correct LR case and then click Submit.

    • Your new case will be grouped to the existing case at the end of the intake process.

    • CMS will move on to the Closing Notes screen.

      • Continue with the intake process.

  • If you think that your new case should not be grouped at all then select the 'As a Standalone Case' option and click Submit.

    • CMS will move on to the Closing Notes screen.

      • Continue with the intake process.

• If CMS does not find an existing open LR case automatically but you are aware of a related existing case that is suitable for grouping then select the 'Group with existing case' option and enter the Case ID of the related existing case.

  • Make sure that your LRS application(s) have the correct category and that the application workdesk is completed accurately.

  • Release your LRS application(s) to the appropriate location.

  • In CMS, click Submit and your new case will be grouped to the existing case at the end of the intake process. 

  • CMS will move on to the Closing Notes screen.

    • Continue with the intake process.

More commonly you will choose the 'As a standalone case option' to generate a new LR case:

• If CMS does not find an existing LR case then CMS will default to 'As a standalone case'. 

  • If you are not aware of any related cases that are suitable for grouping, click Submit.

  • CMS will move on to the Closing Notes screen. 

    • Continue with the intake process.

Additionally:

• If there are multiple APFs over different properties and they appear to be unrelated (E.g. APF1 is over Property A and APF2 is over Property B), then CMS will default to generating (or grouping to) separate LR cases.
  
  • If you want the APFs to remain together, click the Amend button,
  • A message will appear to state that the APF will be moved to the appropriate group. 
  • Click Submit.
  • You can now choose whether to group these to another existing case or to generate a single standalone LR case.

• If you realise that you chose the wrong option for grouping, e.g. you selected a standalone case but you wanted to group to an existing case or vice versa, then it is always possible to change this by using the Ungroup APFs action once the LR case is generated. 

  •  If you no longer have the case at that point (e.g. It has moved to a workbasket that you can't access) then ask your TL to transfer the case back to your workbasket so that you can perform the Ungroup APFs action. Or add a case collaboration note explaining the situation.

Screen 5 Intake Stage - Closing Notes

• Ensure that the closing note has been completed in CSR.

• In CMS, click the relevant option from No Deeds Found, Deeds Found and Search Not Completed for the heritable securities search.

  • Your selection will be noted in the Audit tab.

  • Click the box by 'I have completed the closing note'  and then click Submit.

    • If you click Submit without ticking the box then a warning message will appear suggesting that you refer the case if you cannot complete the closing note.

      • Follow the Referral Process.

• CMS will close the INT case.

  • If the Standalone option was selected, it will generate an LR case which will move on to the Plans stage.

  • If the Grouping option was selected, your case will be added to the existing case wherever it is located in CMS.
• This is the end of the intake process. Click Next Assignment to take on a new case.