Quick Guide for Standard Dealings on CMS

Taking on an LR case in CMS

• To take on a case click "Next Assignment" at the top of the screen in CMS.
• This will give you the next available case and will open that case on your screen.
  • If the system presents you with an application that you already have taken on (e.g. a case that you are waiting to settle) then this means that there are no more new cases.
• If it is an LR Case then the Settle Registration screen shows the Title Number, Application number, Product type and Deed types included in the case. 
  • An LRS application will have been auto-created and will automatically be categorised as an A1 if it is a Standard dealing and as a B if it is a Complex dealing. 
  • If the case is a Disposition then the LBTT should already have been checked (either automatically or by another user) and the Tax Record number will appear in the case details below the application number.
    
    • If the Tax Record details say Not Notifiable but the deed suggests that LBTT should have been paid then check the LBTT on the S43 website and then use the Perform the LBTT Check action from the Actions menu to update the entry on CMS.
  • If the case is a Complex dealing (Cat B) type then follow the Complex dealing referral process.
  • Once you have taken the case on CMS, move to LRS to check the status of the title.

    • First check to see if the previous application was cancelled. (CMS checks for representments of forms with the same alpha codes and agents can indicate their case is a representment at submission stage but this will not catch all instances of representments so it is still important that this is your first check).

      • If the application was cancelled, then check the Supporting Documents of the previous rejected case on CMS for a Post-Intake Rejection letter with a UID.
      • Follow the Efin process for representing a UID BEFORE deleting the newly created UID.
      • Email Finance to cancel the UID that was autocreated then enter the new UID from efin and apply changes.
        • If it's past 3pm on the day after the application was created then contact your TL to organise a refund.
      • Add a case collaboration note on CMS stating that the UID was changed and why.
      • If there are any issues with the representment then contact Finance.
    • Also check any previous applications that were created in the last 30 days to ensure that there was not a partial rejection where there might be a representment.
      • If there was a partial rejection then follow the steps above for representing the UID.
  • The system will have created an application for you and it will be waiting at Intake Settle to be taken on. So there should be at least 1 open application on the title.
    • If there is more than 1 pending application, follow the associating cases process. 
      • CMS will show a warning that there are other pending applications. Check LRS to find these other applications.
        • Sometimes the other pending applications will be over the parent or grandparent title. Follow the standard referral process if you see the warning but can't locate the other pending application.
    • Or group the new case to the existing LR case if appropriate using the ungroup applications action. 
  • Sometimes you may see that the system has autocreated 2 LRS applications over the same title (this may be when a Standard Security is scanned before a Disposition).
    • In this case you will notice that there are 2 INT cases associated to 1 LR case and there will be 2 APFs on the case details screen each with a separate LRS application.
    • You will need to take on both LRS applications and attach them before you continue processing as normal.
  • Sometimes you may also notice that CMS has grouped a new application into an existing open LR case over the same title.
  • Take on the application in LRS at Intake Settle.
  • Since the system has created the application all of the deed details in LRS will be completed.
    • You may notice that the Creditor Code in the deed details is set to "No Credit Code" so you will need to update this to the appropriate code (or remove it in the case of a disposition deed).
    • Check that the deed details box is correct.
    • You may also need to change the category depending on the circumstances.
    • Depending on the deed type you may also need to enter the appropriate destination and check that all the imported details (e.g. Date of Entry, Consideration, etc.) match the deed.
    • Ensure the applicant/granter information is correctly indexed, as required.
    • If there is a High Fee on the case then CMS will query this. At this stage you can confirm that the fee is correct or amend it if necessary. (Refer to the High Fee process for further details.)
    • You may notice that the CMS Case ID has been automatically entered into the move notes. There's no need to change this unless you require that section for other move notes.
  • Move onto the Settling the Case section.

Taking on an INT case in CMS

• To take on a case click "Next Assignment" at the top of the screen in CMS.
• This will give you the next available case and will open that case on your screen.
  • If the system presents you with an application that you already have taken on (e.g. a case that you are waiting to despatch) then this means that there are no more new cases.
• If it is an INT case but there is already an LRS application number and it is on the LBTT Check screen then this is a disposition where CMS has tried to check the LBTT but has failed. In these cases:
  • You will be presented with an LBTT Check screen.
  • Perform the LBTT check on the S43 service.
  • Follow the steps in the LBTT Check section as appropriate.
  • Once the tax record has been submitted then the case will be automatically routed to the Standard Settle workbasket.
    • You will not be expected to settle this case.
• If it is an INT case but there is already an LRS application number and it is on the Intake Checks screen then this is a case where CMS has identified an existing case to group to but requires your confirmation that the documents are valid before continuing (also known as auto-grouping). In these cases:
  • You will be presented with the Intake Checks screen.
  • Perform the basic intake checks - deeds are valid, form and deed match, payment type is correct, etc.
    • If the case is acceptable then click Yes and Submit.
      • CMS will move on to the final intake screen, showing details of the existing case that CMS has identified for grouping purposes. You will need to view the details of the case and decide whether to group or to create a standalone case. Check the Auto-grouping page to learn more.
    • If the case is not acceptable then click No. The Submit button will now change to a Reject button. Do NOT click it at this stage.
      
      • Follow the Rejection Referral process
        • If the referral is related to a Representment, make sure you include the Case ID of the previous case in the referral note.
      • If the Referral Officer confirms the rejection, click Reject on the Intake Checks screen and then continue the Rejection process. 
      • If the Referral Officer states that the case is valid, change the answer to Yes and then click Submit on the Intake Checks screen. Continue to process the case.
• If it is an INT case but there are no LRS application details then:
  • It is likely that the application form has no title number or another reason why the system has been unable to create an LRS application.
  • Or it may be a representment case.
  • Or it may have a cheque payment.
  • If it is a Complex Dealing (Cat B) type, then follow the Complex Dealing referral process before you create the LRS application to confirm the case is ok to intake and to receive guidance on how to do this.
    • The case will be routed to the Complex Settle workbasket as soon as you confirm the deed type and you will not be expected to settle this case.
  • If it is a Deed of Restriction type, transfer directly to the DoC/DoR Intake workbasket.
    • Do not intake the case (even if it is a cheque payment).
  • If it is a Deed of Conditions type, transfer directly to the Plans DoC Vet workbasket. 
    • Do not intake the case (even if it is a cheque payment).
  • If it looks like it is a re-scan of a previous case then transfer it to the person who requested the re-scan and tag them in a case collaboration note.
    • For example, if your case doesn't have an LRS application but there is an open LRS application over the same title which has the exact deed details that you require then search for the CMS case that this application relates to and check if a re-scan has been requested.

• • If the Review Representment screen shows then CMS has detected that the alpha code on the form has been submitted previously.
    • Follow the representment process.
  • If CMS has not detected a representment, you will be presented with an LBTT Check screen.
    • If the application is a disposition then perform the LBTT check as appropriate. 
      • If the consideration is under £40,000 or is not a monetary value and the agent has stated that they have not paid LBTT then select the Not Notifiable option.
      • If the consideration is over £40,000 or is a non-monetary value and the agent has stated that they have paid LBTT then check the S43 website and input the match if found.
        • If no match is found or if you are unable to check the LBTT, follow the referral process.
    • If the application is not a disposition then select the Not Notifiable option and then continue to check the submitted documents.
  • CMS will move on to the Intake Checks screen. 
  • Check the documents are valid as per the usual process.
  • If the documents are not valid then do not create an LRS application. Click No but do not click Reject. Follow the rejection referral process.
    • If the referral is related to a Representment case, make sure you include the Case ID of the previous case in the referral note.
  • If the documents are valid, click Yes and then Submit. Follow the next steps before creating an LRS application.
  • CMS will move on to the Capture Application Details screen. 
  • Check the previous LRS applications from the last 30 days, in case there has been a full or partial rejection and it is being represented but this hasn't been picked up in the automated check.
    • If this is a representment case then use the UID that you have represented in eFin when you create the LRS Application.
  • If it is a cheque payment then use Efin to create the relevant UID(s).
    • Complete the batch report form for all of your cheque payments and pass to your TL at the end of the day.
  • If the application states Cheque payment type but there is no cheque enclosed then:
    • Search for the title on CMS to see if there was a previous overpayment then contact Finance to check that the funds are available.
      • If funds are available then follow the usual dummy cheque process.
      • If funds are not available then follow the rejection referral process.
    • Search for the title on CMS to see if there was a previous rejected application.
      • If there was a previous rejection, check your case for a Rejection Letter with a representment UID and then follow the representment process.
      • If there is not a previous rejection then follow the rejection referral process.
  • If there is a High Fee Process Fee on the case then CMS will query this. At this stage you can confirm that the fee is correct or amend it if necessary. (Refer to the High Fee process for further details.)
  • If there is another open case on the same title then:
    • If it is at DFc (confirmed) status then contact the other user and wait for them to despatch their case before you create your LRS application.
    • If it is at DFu (unconfirmed) status then create your application and either group to the existing case or follow the associating cases process depending on the circumstances.
  • Create an LRS application, 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 GetUID.
  • 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.
  • Ensure that the LBTT dropdown list shows the Tax Number if you have entered one as it will default to Not Notifiable.
    • Click Submit.
    • CMS will give you the option to create a Standalone LR case or group your application/APFs with an existing open LR case.
      • Choose Standalone case if you want to create a separate LR case.
        • Check the auto-grouping page for further details about the options and the process.
      • Choose Group to existing case if you want your applications to be added to a relevant existing open case (e.g. a prior case over the same title number that is yet to be settled).
        • Check the auto-grouping page for further details about the options and the process.
      • There is an option at this stage to tick Intake Only but should only be used if indicated by your TL as it will move the case directly to the Standard Settle workbasket rather than allow you to settle it.
  • If a standalone LR case was created then move on to Settling the case. 
    
    • If it is a Deed type that a standard settler would not normally process then as soon as the deed type is confirmed in CMS, the case will be routed to the correct workbasket. In this situation, release the LRS application to Intake Settle.

Settling the LR Case

• View the application forms and deeds within CMS on the Case Details screen. To do this click the "Deed" or "Form" link in the documents section on the right hand column.
  • If the deed does not appear then check the top right hand corner of the Chrome window for a red cross. Click "Always Allow" and then click the link to the deed again.
• Review the documents. If they are not valid, follow the rejection process.
• Ensure that the LBTT detail is correct for your case. If it needs to be updated then use the "Perform LBTT Check" action in the actions menu to do this.
• In LRS, take on the application at Intake Settle (if not already taken on as per INT type cases).
• On CMS, click Yes for the "I can complete registration" question and then Submit. 
  • This question is really asking "Is this a Cat A type case". Only click NO if it is a Complex Dealing (or a case that you can't settle).
  • If CMS detects that the details in LRS do not match those in the CMS case (e.g. if you have changed the title number or UID in LRS) then at this stage CMS will show a warning.
    • In this situation, select the Synchronise with LRS action from the Actions menu and click Submit to update the LRS details in the CMS case.
    • If it is the LRS category that does not match and it is correct in LRS, then select the Change category action from the Actions menu.
      • Select the relevant option from the dropdown list.
      • Type a reason why the category has changed into the Case note.
      • Click Submit.
• In LRS, make the required changes as a result of the submitted deeds and all other updates as per the usual process.
  • If there is a query or a change in the subjects address then follow the relevant referral process.
  • Remember to check the date that the LRS application was created and use this date as the date of registration.
  • Remember to attach any LRS applications if they need to be settled together.
  • If the LRS application was autocreated then it will have been "title cleaned" to make it 2012 compliant. The "title cleaner" will change the following:
    • Real right field in the A section changed to Ownership/Tenancy.
    • Map Ref in A section will be removed.
    • Matrimonial Homes/Civil Partnership notes in B Section will be removed.
    • Expired timebound securities in C section removed (as long as dates are specified).
    • Discharged security note in C section will be removed.
    • Redundant (as agreed with Policy team) NANs removed.
    • Expired NPLCs in D section will be removed.
  • Ensure all details on the LRS workdesk are correct (e.g. deed details, creditor code, property type, consideration, destination, etc.).
• When all changes have been made confirm the LRS application and send it to Despatch Complete.
• Go back to CMS and tick "Case is Ready for QA" then click Submit.
  • If there are any issues with the LRS application (e.g. the KIR note exists in the A Section or the Interest field is not completed correctly) then CMS will show a warning message at this stage and will not allow you to proceed. In this situation, go back to LRS and fix the issue and then come back to CMS and click Submit again.
  • If there is a standard security APF and CMS does not detect a corresponding Standard Security created on the correct Registration Date in LRS, then at this stage CMS will show another warning page and will not allow you to proceed. In this situation, go back to LRS and add (or amend) the security then on CMS, click Submit again.
  • If CMS detects that the details in LRS do not match those in the CMS case (e.g. if you have changed the title number or UID in LRS) then at this stage CMS will show a warning. In this situation, select the Synchronise with LRS action from the Actions menu and click Submit to update the CMS details. Then click Submit again.
    • If it is the LRS category that does not match and it is correct in LRS, then select the Change category action from the Actions menu.
      • Select the relevant option from the dropdown list.
      • Type a reason why the category has changed into the Case note.
      • Click Submit.
  • If CMS detects that the country field for the proprietor's address does not match the prescribed list then at this stage CMS will show a warning. In this situation go back to the B section in LRS, right click on the country field and pick the correct option from the list. Apply the change and then refresh the CMS screen and click Submit.
• Close all additional document windows relating to this case.
• If your case has been selected for QA you will be shown a message stating this and the case will move away from your My Assignments.
• If your case is more than 1 day old and was not taken for QA then despatch the LRS application straightaway and complete the CMS case as explained below.
• If your case was created today then you need to wait overnight for the exception report before you can continue with this case so click Next Assignment to take on another case.
• After the exception report has been resolved the next day then you can go back to the leftover cases and continue to complete the registrations.
• If your case has been part of the random sample that was sent to QA and there are amendments that QA want you to make before you complete the case then it will be at "QA Corrections" status.
  
  • On LRS, refer the application back to Legal Settle, unconfirm and make all of the amendments as requested by QA.
  • Then confirm the application and release to Despatch Complete.
  • On the CMS QA Corrections screen, for each QA point, state that you have made the required amendments by clicking Yes.
    • If you haven't made an amendment then click No and then use the text box to explain why you haven't.
      • Any notes in these textboxes will be emailed to QA so that they can collate the feedback.
  • Once you have answered all the points click Submit and the case will move on to the "Confirm case for LR Archive" screen.
  • If your case is not checked before the service standard cut-off point then it will automatically be transferred to your My Assignments and will be at the "Confirm case for LR Archive" screen.
    
    • An automated case collaboration note will be added to notify you of this.
• If your case was not selected for QA, or if there are no amendments to make, then the case on CMS will be at "Confirm case for LR Archive" status.
• On LRS, take on the application at Despatch Complete and complete the application.
  
  • If you will not be working the next day, ensure that your TL is aware so that they can transfer the relevant cases to someone else to despatch.
• On CMS, categorise any supporting documents (e.g. Power of Attorney, Death Certificates, Cover Letters) and mark those that should be archived along with the deed and form.
  • Click Manage Documents in the centre of the screen (Or the Manage link in the Supporting Documents section on the right hand side).
  • Click Edit beside the document that you need to update.
  • Choose the Type of document from the dropdown list.
  • Choose the Subtype of the document by beginning to type and then selecting from the list that appears.
  • Type the date into the Significant date box, if applicable.
    • Use the format DD/MM/YYYY or click the calendar icon to use the date picker (The date picker is limited to a 10 year timespan but it is possible to type any relevant date).
  • Type additional relevant details into the Information box, if applicable.
  • Tick the Archive checkbox if the document is to be archived and the checkbox is showing.
    • Some Types/Subtypes will be mandatory to archive, in which case there will be a Yes in the archive column.
    • Some Types/Subtypes cannot be archived for data protection reasons, in which case there will be a No in the archive column.
    • Some Types/Subtypes will require you to choose whether it should be archived and a tick box will show in the archive column.
  • If there are more than 3 supporting documents, you will need to save the changes then click the manage documents link again to make further updates.
• Click "I confirm the above" and then Submit to complete/resolve the case as well as archiving the documents.
  • If you click Submit and you have forgotten to complete the LRS application then you will get a warning at this stage. Go back and complete the LRS application then click Submit on CMS to move on.
• You will be taken to the "Action Completed" screen which shows the details of the resolved case.
• Before you despatch and complete your case, check if there are other cases associated with yours. If there are, then make sure that you:
  • Attach the LRS applications and settle them together.
  • Categorise supporting documents to be archived and complete each CMS case separately.
• Open the next case to be completed/resolved or alternatively click Next Assignment to take on the next case.

• If it is a Deed of Restriction type, transfer directly to the DoC/DoR Intake workbasket. 
  • Do NOT intake the case (even if it is a cheque payment).
• If it is a Deed of Conditions type, transfer directly to the Plans DoC Vet workbasket. 
  • Do NOT intake the case (even if it is a cheque payment).  
• If you are not sure if the deed type is one that you can process then refer it to the Standard Referral workbasket to get confirmation on whether to proceed.
• If the case is definitely a Complex Dealing but you are unsure if it is valid or how to process it then refer the case to the Complex Referral workbasket.
• If the case is definitely a Complex Dealing and you are sure that the documents are valid, click No for the "I can complete registration" question.

  • Select the relevant option in the Complexity dropdown list. The Complexity is the CMS workbasket that is the destination for the case.

  • Select the relevant option in the Category dropdown list. The Category is the LRS category of the applications in this case.

  • Enter the reason that you cannot complete the registration into the Reason text box.

    • A note will appear below this box - "This will increase the complexity of the case to Complex. Before increasing complexity, please discuss with your colleagues in person or through case collaboration".

  • When you are ready, click Submit.
    • The case will move on to the Settle registration review screen.
  • Take on the LRS application, change the category to the relevant category, update the workdesk details as needed and then release the application to the appropriate location.
  • On the review screen, check that the options you selected are correct and click the 'I confirm the above' tickbox.
    • If the options are not correct, click Back and make the relevant changes.
  • Click Submit. 
    
    • CMS will check that the category of the LRS application matches the category selected in the CMS case. 
      • If there is a mismatch, a warning message will show. Make the necessary changes so that the categories match and then click Submit again.
    • The case will now be automatically be routed to the workbasket that you have selected and will take it away from your My Assignments.
  • Click Next Assignment to take on another case.
• If there is another case pending on the same title as your application then follow the grouping process or the associating cases process depending on the circumstances.
• If the case is to be amalgamated, use the Refer action to refer the case directly to the Amalgamations Referral Officer on CMS. 
  
  • Take on the LRS application, change the category to X4 and update the workdesk details as appropriate then release to Legal Settle.
• If the case is not valid, follow the rejection referral process. 
• If you need to query a detail on the case, follow the appropriate legal referral process. 
• If there is a change to the subjects address, then follow the plans referral process.