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HMRC internal manual

Tax Credits Manual

From
HM Revenue & Customs
Updated
, see all updates

Miscellaneous: C to D: resolve DWP alert type 3000 and 3002 - non-match on NINO (AG)

To resolve DWP alert types ‘3000 and 3002 - non-match on NINO’, consider steps 1 to 29.

Step 1

Access the Customer Information System (CIS) and from the CIS Home screen select View Alerts

  • enter the date for which the Alerts are required in the Date field
  • select ‘NTC’ from the System ID drop down menu
  • enter ‘3000’ or ‘3002’ in the Alert Code field, depending on which Alert Type you are processing
  • select [Search]
  • select the alert to be processed

Note: The list of alerts can be viewed by scrolling down to the bottom of the page.

  • make a note of the NINO

then

  • go to .

Step 2

Use Function VIEW APPLICATION to enter the NINO of the Alert

  • select [OK]. The latest claim will display
  • make a note of the following personal details relating to the NINO you have entered

    • surname
    • forename
    • other names
    • date of birth
    • NINO
    • address
  • go to .

Step 3

Using CIS

  • select the NINO on the alert you’re investigating
  • select Account Summary
  • compare the personal details that are displayed with the details you have made a note of above. Follow the guidance in TCM0322010

Note: CIS will be used instead of ADD to undertake any tracing activity.

* If the personal details held against that NINO on CIS definitely relate to the same individual (details on the two computer systems are an exact match or an acceptable match), request a screen print and go to .
* If the personal details held against that NINO on CIS don’t relate to the same individual or you are unsure that the details match the same individual on the tax credits computer, go to .

Step 4

Where the personal details held on CIS aren’t a definite match

  • enter the CIS Home screen
  • select Person Trace hyperlink
  • using the personal details held on the tax credits computer, enter

    • customer’s surname
    • customer’s forename
    • date of birth
  • select [Trace]. You will be taken to the Person Trace Result table.

If the person you’re tracing is found

  • select the line for the appropriate individual and you will be taken to the Account Summary screen.

If the person you’re tracing isn’t found

  • select the Person Trace Help hyperlink and follow the Wildcard trace.

Wildcard tracing

Wildcard tracing is the process of tracing based upon details that are incomplete. In such cases, ADD allows users to enter a Wildcard in certain fields as follows

  • surname
  • forename
  • address line 1.

In order to use a Wildcard an asterisk (*) should be placed to indicate a string of one or more unknown characters.

When using a wildcard for NINO, surname, forename and postcode, as least three characters should be used - for example, Smi*, Smit*.

When using a Wildcard for address line 1, at least seven characters should be used - for example, 200 Stan*.

When tracing by address, a full Postcode should always be used.

  • If you can’t find a match, go to .

Step 5

If there are matches available

  • scroll through the list to find a match to the customer held on the tax credits computer
  • compare the personal details that are displayed with the details you have made a note of above. Follow the guidance in TCM0322010

    • If the personal details held against that NINO on ADD definitely relate to the same individual (details on the two computer systems are an exact match or an acceptable match)

    • enter the number of the option which is a definite match in the Enter Option field
    • select ENTER
    • request a screen print and go to .

    • If the personal details held against that NINO on DCI don’t relate to the same individual, go to .
    • If you’re unsure that the personal details held against that NINO on CIS relate to the same individual on the tax credits computer, go to .

Step 6

Where the personal details held on CIS aren’t a definite match

  • select Person Trace hyperlink
  • using the personal details held on the tax credits computer, enter

    • customer’s surname
    • customer’s forename
    • date of Birth

then

  • select [Trace]. You will be taken to the Person Trace Result table.

If the person you’re tracing is found

  • select the line for the appropriate individual and you will be taken to the Account Summary screen.

If the person you’re tracing isn’t found

  • select the Person Trace Help hyperlink and follow Wildcard trace.

If you can’t find a match, go to .

Step 7

If there are matches available

  • scroll down the list to find a match to the customer held on the tax credits computer
  • compare the personal details that are displayed with the details you have made a note of above. Follow the guidance in TCM0322010

    • If the personal details held against that NINO on CIS definitely relate to the same individual (details on the two computer systems are an exact match or an acceptable match)

    • select the NINO of the individual that is an exact match to access the Account Summary
    • request a screen print and go to .

    • If the personal details held against that NINO on CIS don’t relate to the same individual or you are unsure that the details relate to the same individual, go to .

Step 8

If, after carrying out the tracing above, you have determined that the NINO on the Alert relates to the customer on the tax credits computer - for example: if the personal details held against that NINO on CIS definitely relate to the same individual

  • inform the National Insurance Contributions Office (NICO) by email of the superseded NINO.

Step 9

Complete an email with all of the following details and send it to NICO

  • the subject title should be ‘Superseded NINO - NTC’
  • the body of the email should contain the following text

‘The following Superseded NINO has been notified to us by DWP

The NINO currently being used on the tax credits computer is (enter the NINO currently being used on the tax credits computer)

The superseded NINO notified by DWP is (enter the Superseded NINO entered on the Alert)

The personal details for this person are

surname (enter the customer’s surname)

other names (enter the customer’s first forename)

second forename (enter the customer’s second forename if there is one)

date of birth (enter the customer’s date of birth)

Address (enter the customer’s address)’
  • ensure that you include your full name, office address and direct dial phone number at the end of the email

(This content has been withheld because of exemptions in the Freedom of Information Act 2000)

  • (This content has been withheld because of exemptions in the Freedom of Information Act 2000) .

Note: If you have more than one Superseded NINO to email to NICO, you can send a single email that includes all the Superseded NINOs.

Step 10

Use Function VIEW APPLICATION to view the status of the latest claim. If the status is

  • Awaiting Award, go to .
  • Award Issued, go to .
  • Ceased, go to .

Step 11

If the claim status is Awaiting Award

  • use Function CAPTURE APPLICATION and select the ‘Capture Current’ option from the drop down menu
  • select the Summary screen from the toolbar at the top of the screen. This will take you to the Summary Information screen
  • enter the following message in the Application Notes field

‘TCMZ Superseded NINO for customer (enter customer 1 or 2 as appropriate). Correct NINO is (enter the superseded NINO) - NICO informed by email on (enter the date the email was sent). (Enter your name and extension)’

Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152040.

  • go to .

Step 12

If the claim status is Award Issued or Ceased

  • use Function MAINTAIN HOUSEHOLD NOTES to enter a message
  • select [ADD NOTE]
  • from the Category filter, select ‘APPLICATION’ from the drop down menu
  • enter the following message

‘TCMZ Superseded NINO for customer (enter customer 1 or 2 as appropriate). Correct NINO is (enter the customer’s correct NINO) - NICO informed by email on (enter the date the email was sent). (Enter your name and extension)’

Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152160.

  • go to .

Step 13

BF the claim for ten days. If, after ten working days, you haven’t received a response from NICO

  • email them again to request an update.

Note: In the majority of cases, NICO will be able to action the case within five working days.

Step 14

Once NICO have confirmed that their records have been amended

  • use Function VIEW APPLICATION to view the status of the latest claim. If the status is

    • Awaiting Award, go to .
    • Award Issued, go to .
    • Ceased, go to .

Step 15

If the personal details are a definite match

  • use Function VIEW APPLICATION to view the status of the latest claim. If the status is

    • Awaiting Award, go to .
    • Award Issued, go to .
    • Ceased, go to .

Step 16

If the personal details aren’t a definite match

  • use Function VIEW APPLICATION to view the status of the latest claim. If the status is

    • Awaiting Award, go to .
    • Award Issued, go to .
    • Ceased, go to .

Step 17

If the claim status is Awaiting Award

  • use Function CAPTURE APPLICATION and select the ‘Capture Current’ option from the drop down menu
  • go to the Claimant Details screen for the NINO you’ve just entered

    • where the NINO for the customer is NOT MATCHED, go to .
    • where the NINO for the customer is MATCHED, go to .

Step 18

If the NINO for the customer isn’t matched

  • highlight the customer’s NINO in the NINO field and overtype it with the NINO which you traced from CIS
  • select [TRACE]
  • attempt to trace the customer and match them to the NINO you have traced from CIS. Follow the guidance in TCM1000115.

Note: You mustn’t match the customer to the NINO that was being used in error on the tax credits computer or to any other NINO except the one you have just entered. Once you have matched the NINO you aren’t able to un-match it.

  • If you’re unable to trace and match the NINO, go to .
  • If you’re able to trace and match the NINO, ‘MATCHED’ will be displayed next to the NINO. Select the Summary screen, from the toolbar at the top of the screen

    • where the NINO is a mismatch, go to .
    • where the case is Superseded, go to .

Step 19

Where the NINO is a mismatch - for example, the NINO on the Exception Report doesn’t relate to the person held on the tax credits computer

  • use Function CAPTURE APPLICATION and select the ‘Capture Current’ option from the drop down menu
  • select the Summary screen, from the tool bar at the top of the screen
  • enter the following message on the Application Notes field

‘TCMZ Mismatch case - NINO (enter the NINO which was being used on the tax credits computer) is incorrect for customer (enter 1 or 2 as appropriate). Correct NINO is (enter the NINO traced on ADD) records have been amended’

Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152040.

  • select [Store]
  • go to .

Step 20

Where the NINO is superseded

  • use Function CAPTURE APPLICATION and select the ‘Capture Current’ option from the drop down menu to enter a note
  • select the Summary screen from the tool bar at the top of the screen. This will take you to the Summary Information screen
  • enter the following message in the Application Notes field

‘TCMZ Superseded NINO for customer (enter 1 or 2 as appropriate). Correct NINO is (enter the superseded NINO) - NICO confirmed details are correct (enter today’s date). (Enter your name and extension)’

Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152040.

  • select [Store]
  • go to .

Step 21

If the NINO has already been matched

  • select the Summary screen, from the toolbar at the top of the screen. This will take you to the Summary Information screen
  • enter the following message in the Application Notes field

‘TCMZ Mismatch case - NINO (enter the NINO which was being used on the tax credits computer) is incorrect for customer (enter 1 or 2 as appropriate). Correct NINO is (enter the NINO traced on ADD). M1 referral completed’

Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152040.

  • select [Store]
  • go to .

Step 22

If you’re unable to match the NINO

  • select the Summary screen from the toolbar at the top of the screen. This will take you to the Summary Information screen
  • enter the following message in the Application Notes field

‘TCMZ Mismatch case - NINO (enter the NINO currently being used on the tax credits computer) is incorrect for customer (enter 1 or 2 as appropriate). M1 referral completed’

Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152040.

  • select [Store]
  • go to .

Step 23

Use Function MAINTAIN HOUSEHOLD NOTES to check if an ‘M1 referral form’ has been completed

  • If there isn’t a message in Household Notes to indicate that an ‘M1 referral form’ has been completed, go to .
  • If there is a message in Household Notes to indicate that an ‘M1 referral form’ has already been completed, go to .

Step 24

Complete an M1 referral form (Word 101KB) with as many details as possible

  • attach any screen prints taken from CIS to the form
  • attach photocopies of any other relevant correspondence or documentation to the form
  • pass the form to your Technical Advice Line Liaison Officer (TALLO) to pass to Technical Advice Line (TAL)
  • go to .

Step 25

Use Function MAINTAIN HOUSEHOLD NOTES to enter a message

  • select [ADD NOTE]
  • select ‘APPLICATION’ from the drop down menu

    • If you were able to trace the correct NINO for the customer, enter the following message

    ‘TCMZ M1 referral completed for customer (enter the customer’s name) the correct NINO is (enter the NINO traced on CIS)’

    Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152040.

    • select [OK]
    • go to .

    • If you were unable to trace the correct NINO for the customer, enter the following message

    ‘TCMZ M1 referral completed for customer (enter the customer’s name). Unable to trace the correct NINO’

    Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152040.

    • select [OK]
    • go to .

Step 26

Use Function CAPTURE APPLICATION to check if an M1 referral has been completed

  • select the Summary screen from the toolbar at the top of the screen. This will take you to the Summary Information screen. If there

    • isn’t a message in Application Notes to indicate that an ‘M1 referral form’ has been completed, go to .
    • is a message in Application Notes to indicate that an ‘M1 referral form’ has already been completed, go to .

Step 27

Complete an M1 referral form (Word 101KB) with as many details as possible

  • attach any screen prints taken from CIS to the form
  • attach photocopies of any other relevant correspondence or documentation to the form
  • pass the form to your Technical Advice Line Liaison Officer (TALLO) to pass to Technical Advice Line (TAL)
  • go to .

Step 28

Use Function CAPTURE APPLICATION to enter a message

  • select the Summary screen from the tool bar at the top of the screen. This will take you to the Summary Information screen
  • enter the following message in the Application Notes field

‘TCMZ M1 referral completed for customer (enter the customer’s name). Unable to trace the correct NINO’

Note: You must follow the guidance in TCM0152060 when you record the note and also follow the guidance in TCM0152040.

  • select [OK]
  • go to .

Step 29

Access the Customer Information System (CIS) and select View Alerts

  • enter the date for which the Alerts are required in the Date field
  • select ‘NTC’ from the System ID drop down menu
  • enter ‘3001’ in the Alert Code field
  • select [Search]

Note: This will need to be repeated using code 3002 to process all the alerts.

Note: The list of alerts can be viewed by scrolling down to the bottom of the page.

  • for the alerts you’ve just processed, select the checkbox in the Action column
  • select [Process Alerts]
  • when the following message displays ‘Are you sure you want to mark the selected Alerts as processed?’, select [No] to cancel the request and return to the View Alerts - Search Results screen
  • select [Yes] to process the Alerts you have actioned. The current date will be entered in the Processed Date field and you will be returned to the View Alerts - Search Results screen.

Note: The alerts that have been processed will be automatically removed from the alert list after 28 days.