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Understand the New York AU-11 sales and use tax credit or refund form

This article applies to:Avalara Returns

If you have Avalara file New York sales and use tax returns on your behalf, we will also file the AU-11 Application for Credit or Refund of Sales or Use Tax form when your business is eligible to claim a credit or refund for sales tax that you've overpaid, paid by mistake, or collected and later refunded to a customer. The form is filed along with your return when you meet these requirements.

AU-11 credits and refunds

Avalara reports these types of credits as an overpayment to be carried forward, credit claimed, or refund claimed, depending on what caused the credit.

Credit claimed

The total dollar amount of your taxable sales credits is reported in the Credit Claimed section near the top of the AU-11 form. This is a summary of the total negative sales found on your form in the local breakout. To see the breakout by local jurisdiction, review column B for Credits Against Taxable Sales and Services of the local breakout of your filed return. The negative taxable sales found here are reported on the AU-11 form as a credit against taxable sales and services for each jurisdiction.  

Overpayment to be carried forward 

If your monthly prepayments or PrompTax payments paid to the state are more than your tax liability for the quarter, an overpayment can be generated by the jurisdiction. Avalara does not file a return with a negative tax liability to the state which would result in a refund, unless it is caused by an overpayment of your tax liability.

By default, Avalara reports the excess payment amount in the Overpayment to be Carried Forward section of the AU-11 form. This creates a credit balance with the state, and automatically reduces the tax liability you owe for the next filing period.

Refund claimed

If you would prefer to receive a refund of the excess payment amount, Avalara can report the excess payment amount in the Refund Claimed section. To request this, submit a support case prior to the approval deadline of 5 p.m. PST on the 10th.

Reports

To review the transactions contributing to the credit amount, run the Sales Tax Document Line Export report in AvaTax with the Including Taxing Jurisdiction Detail option selected.

Once the report is generated, filter column AG (TaxableAmountDocumentLine) to display negative figures. The sum of the taxable amount equals the amount reported on the AU-11 before any rounding adjustments. The corresponding local jurisdiction can be found in column AZ (TaxingJurisdictionCountyDocHeader).

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