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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 3064 - date of death (AG)

To resolve DWP alert type ‘3064 - date of death’, consider steps 1 to 30.

Note: It’s recommended that you’re familiar with the use of the Access to DWP Data (ADD) system before using these instructions.

Step 1

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

  • enter today’s date in the Date field
  • select ‘NTC’ from the System ID drop down menu
  • enter ‘3064’ in the Alert Code field
  • 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 given on the Alert

  • select [OK]
  • select the latest claim and check if there is a DECEASED signal present for the NINO you have just entered

    • If there is a Deceased signal present, go to .
    • If there isn’t a Deceased signal present, go to .

Step 3

If there is a Deceased signal present

  • select ‘Navigation’ from the toolbar
  • from the drop down menu, select the customer who has the Deceased signal, in order to view the date of death
  • compare the date of death on the tax credits computer with the date of death on CIS

Note: By selecting the NINO on the list of alerts, this will take you to the CIS Account Summary screen where the date of death can be identified.

* If the dates of death aren’t the same, make a note of the following personal details

* surname
* forename
* date of birth
* NINO
* address

then

* go to .

* If the dates of death are the same, go to .
* If there is no date of death entered on the tax credits computer, but the Deceased signal box has been selected, go to .
* If there is no date of death entered on the tax credits computer and the Deceased signal box isn’t selected, go to .

Step 4

If there isn’t a date of death entered on the tax credits computer, but the Deceased signal checkbox has been selected, go to the Free Format screen and check if there is any information regarding the date of death. To do this

  • select ‘View’ from the toolbar at the top of the screen

then

  • If the ‘Apply Free Format’ option isn’t available, go to .
  • If the ‘Apply Free Format’ option is available, select the ‘Apply Free Format’ option. The Apply Free Format screen will display

    • If there is a date of death on the Apply Free Format screen and it isn’t the same as the date of death on the DWP alert, go to .
    • If there is a date of death on the Apply Free Format screen and it’s the same as the date of death on the DWP alert, go to .
    • If there isn’t a date of death on the Apply Free Format screen, go to .

Step 5

If the dates of death aren’t the same, use the CIS system to view the DWP or DSD information

  • select the NINO from the alert to take you to the Account Summary Screen

Note: Due to the fact that you’re viewing a CIS record that holds a date of death, you’re likely to receive a CIS test check. Follow the guidance in ADDM305 in the Access to DWP Data System manual if you receive a test check.

  • 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 don’t relate to the same person or you’re unsure that the details relate to the same individual on the tax credits computer, select the Print icon to request a screen print, then go to
    • 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), go to .

Step 6

If the customer’s record on the tax credits computer system doesn’t show that they’re deceased, use the CIS system

  • select the NINO from the alert to take you to the Account Summary screen
  • the Account Summary screen will open with the Person Summary at the top

Note: Due to the fact that you’re viewing a CIS record that holds a date of death, you’re likely to receive a CIS test check. Follow the guidance in ADDM305 in the Access to DWP Data System manual if you receive a test check.

  • compare the personal details that are displayed to you 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 don’t relate to the same person or you are unsure that the personal details relate to the same person on the tax credits computer, select the Print icon to request a screen print, then go to .
    • 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), go to .

Step 7

Where the personal details held on CIS aren’t a definite match or you’re unsure that the personal details relate to the same person on the tax credits computer

  • scroll down the Account Summary screen to the Name Historic Details and the Address Historic Details hyperlinks and view both sets of historic data

    • If Historic details don’t display or you suspect that the personal details don’t relate to the same person or you’re unsure, select the Print icon to request a screen print, then go to .
    • If Historic details display, compare the personal details that are displayed with the details you’ve made a note of above. Follow the guidance in TCM0322010

    • If the Historic 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 Print icon to request a screen print, go to .

Step 8

If Historic details don’t display or you suspect that the personal details don’t relate to the same person or you are unsure

  • access the CIS Home screen
  • select the Person Trace hyperlink. The Person Trace screen will display
  • using the personal details held on the tax credits computer enter

    • customer’s surname
    • customer’s forename
    • first character of the customer’s second forename (this is optional)
    • sex (M, F, or leave blank if unknown)
    • date of birth (DD-MMM-YYYY - for example, 15-Feb-1972)

    then

    • select [Trace]. The Trace Results will display at the bottom of the page

    • If there aren’t any matches available, go to .
    • If there are any matches available, go to .

Step 9

If there are matches available

  • view 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 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 that relates to a definite match. The Account Summary screen will display for this NINO. It’s recommended you expand this screen
    • select the Print icon to request a screen print, go to .

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

Step 10

If the personal details held against that NINO on CIS don’t relate to the same person or you’re unsure whether the details relate to the same person

  • use Trace Person and attempt to trace using any other information you have and the trace fields available

Note: Follow the guidance in the Access to DWP Data System manual and the Trace Person Help screen. This guidance is relevant for the CIS system.

* If there are any matches available, go to .
* If there aren’t any matches available, go to .

Step 11

If the results of your tracing on CIS have shown that the NINO currently being used on the tax credits computer may not be the correct NINO for the customer

  • If you have traced a definite match, go to .
  • If you haven’t traced a definite match, go to .

Step 12

Where a date of death is present on both computer systems but the dates of death are different, make further enquiries to establish the correct date of death. To do this

  • use the CIS Account Summary screen and view the Person Summary at the top of the screen
  • hover mouse pointer over ‘Maintenance Data’ next to the Date of Death field and make a note of the ‘Change Office’ phone number of the office who recorded the date of death
  • make further enquiries to establish if the date of death has been entered correctly (check other benefit information and contact the Local Office to verify the evidence used)
  • Has the date of death been correctly recorded on CIS?

    • If the customer is deceased and CIS holds the correct date of death, go to .
    • If the customer is deceased and both the tax credits computer and CIS holds incorrect date of death, go to .
    • If the customer is deceased and tax credits hold the correct date of death, go to .
    • If the record relates to the customer but the customer isn’t deceased, go to .

Step 13

Where there isn’t a date of death on the tax credits computer but there is a date of death held on CIS, make further enquiries to establish if the date of death has been correctly entered. To do this

  • use the CIS Account Summary screen and view Person Summary at the top of the screen
  • hover the mouse pointer over the ‘Maintenance Data’ next to the Date of Death field and make a note of the ‘Change Office’ phone number of the office who recorded the date of death
  • make further enquiries to establish if the date of death has been correctly entered (check other benefit information and contact the Local Office to verify the evidence used)
  • Has the date of death been recorded correctly on CIS?

    • If the customer is deceased and CIS holds the correct date of death, go to .
    • If the customer is deceased but CIS has recorded an incorrect date of death, go to .
    • If the record relates to the customer but the customer isn’t deceased, go to .

Step 14

If the personal details are a definite match, use Function VIEW APPLICATION to view the status of the latest claim

  • If the claim status is Awaiting Award, go to .
  • If there is any other claim status, go to .

Step 15

If the personal details aren’t a definite match

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

    • If the claim status is Awaiting Award, go to .
    • If the claim status is Award Issued, go to .
    • If there is any other claim status, go to .

Step 16

If the claim status is Awaiting Award

  • use Function CAPTURE APPLICATION, select the ‘Capture Current’ option

    • go to the Claimant Details screen for the NINO you have just entered

    then

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

Step 17

If the NINO for the customer isn’t matched

  • highlight the customer’s NINO in the NINO field and overtype it with the NINO that you traced on 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 is currently being used on the tax credits computer. Once you have matched the NINO you are not able to un-match it.

  • If you are unable to Trace and Match the NINO, go to .
  • If you are able to Trace and Match the NINO, ‘MATCHED’ will display next to the NINO

    • select the Summary screen from the toolbar at the top of the screen
    • go to .

Step 18

For any other claim status, use Function MAINTAIN HOUSEHOLD NOTES to check if an M1 referral 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 19

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)
  • go to .

Step 20

Use Function MAINTAIN HOUSEHOLD NOTES to 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 TCM0152160.

  • select [OK]
  • go to .

Step 21

Use Function CAPTURE APPLICATION, select the ‘Capture Current’ option to check if an ‘M1 referral form’ has been completed

  • select the Summary screen from the toolbar at the top of the screen

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

Step 22

Complete an M1 referral form (Word 95.5KB) 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 ‘M1 referral form’ to your Technical Advice Line Liaison Officer (TALLO)
  • go to .

Step 23

Use Function CAPTURE APPLICATION, select the ‘Capture Current’ option to enter a message

  • select the Summary screen from the tool bar at the top of the screen
  • 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 [Store]
  • go to .

Step 24

If the customer isn’t recorded as deceased on the tax credits computer and the date of death held on CIS is confirmed as being correct

  • use Function AMEND APPLICATION, select the ‘Change Of Circumstances’ option to record the date of death
  • select the appropriate ‘Applicant’ from the toolbar at the top of the screen
  • enter the date of death, in the Date of Death field
  • select ‘Household’ from the toolbar. A message will display

    ‘You have entered a Date of Death. Consider entering Household End Date’

  • select [OK]
  • select ‘Household’, then ‘Details’ from the tool bar at the top of the screen
  • enter the date of death in the Household End Date field
  • from the Household End Reason drop down list, select ‘Death of applicant’
  • select the Manual Correspondence checkbox
  • select [OK]. The Amend Finish screen will display

    • select ‘Paper’ from the Source drop down menu
    • select ‘Change of circumstances’ from the Reason drop down menu
  • select [OK]

    • If the message ‘S18 Refinalisation Rules - Potential inappropriate refinalisation for CCYY-CCYY. If you have the authority to re-finalise under S19, S20 or S21 of the Tax Credit Act 2002 or due to an appeal decision. Press OK to process the change or Cancel’ displays

    • the changes you are making will re-finalise the claim, follow the guidance in TCM0042260 before making any changes

    then, if you can make the change

    • select [OK] on the message

    then

    • If the claim is from a single customer, go to .
    • If the claim has a remaining customer or there’s an executor, go to .

    • If the message ‘S18 Refinalisation Rules - Actual Income for CCYY-CCYY is required. This change will not be accepted’ displays

    • you won’t be able to make the change because the PY actual income is required, follow the guidance in TCM0042260 before making any changes

    then, if you can make the change

    • select [OK] on the message

    then

    • If the claim is from a single customer, go to .
    • If the claim has a remaining customer or there’s an executor, go to .

    • If the message ‘S18 Refinalisation Rules - You do not have the authority to re-finalise CCYY-CCYY. This change will not be accepted. Please refer to the appropriate team’ displays

    • the changes you are making will re-finalise the claim
    • select [Cancel]. You will be taken to the Amend Application Details screen
    • select [Cancel]
    • when the message ‘All changes to the application will be lost for this session, do you wish to proceed?’ displays, select [Yes]
    • pass the case to a Level 2 User or your manager. For more information, use ‘Level 1 and Level 2 users’ on TCM0320260
    • take no further action.

    • If none of the messages display

    • If the claim is from a single customer, go to .
    • If the claim has a remaining customer or there’s an executor, go to .

Step 25

If there’s a date of death on the tax credits computer that’s incorrect and you’ve confirmed the correct date of death

  • use Function AMEND APPLICATION, select the ‘Correction’ option
  • select the appropriate ‘Applicant’ from the toolbar at the top of the screen
  • highlight the date of death and overtype it with the correct date of death
  • select [OK]. The Amend Finish screen will display
  • select ‘Paper’ from the Source drop down menu
  • select ‘NTC Error’ from the drop down
  • select [OK]

    • If the message ‘S18 Refinalisation Rules - Potential inappropriate refinalisation for CCYY-CCYY. If you have the authority to re-finalise under S19, S20 or S21 of the Tax Credit Act 2002 or due to an appeal decision. Press OK to process the change or Cancel’ displays

    • the changes you are making will re-finalise the claim, follow the guidance in TCM0042260 before making any changes

    then, if you can make the change

    • select [OK] on the message
    • go to .

    • If the message ‘S18 Refinalisation Rules - Actual Income for CCYY-CCYY is required. This change will not be accepted’ displays

    • you won’t be able to make the change because the PY actual income is required, follow the guidance in TCM0042260 before making any changes

    then, if you can make the change

    • select [OK] on the message
    • go to .

    • If the message ‘S18 Refinalisation Rules - You do not have the authority to re-finalise CCYY-CCYY. This change will not be accepted. Please refer to the appropriate team’ displays

    • the changes you are making will re-finalise the claim
    • select [Cancel]. You will be taken to the Amend Application Details screen
    • select [Cancel]
    • when the message ‘All changes to the application will be lost for this session, do you wish to proceed?’ displays, select [Yes]
    • pass the case to a Level 2 User or your manager. For more information, use ‘Level 1 and Level 2 users’ on TCM0320260
    • take no further action.

    • If none of the messages display, go to .

Step 26

If there’s a date of death on the tax credits computer and you’ve confirmed that the customer isn’t deceased, you’ll need to remove the date of death

  • use Function AMEND APPLICATION, select the ‘Correction’ option
  • select the appropriate ‘Applicant’ from the toolbar at the top of the screen
  • highlight the date in the Date of Death field
  • select [Delete]
  • select [OK]. The Amend Finish screen will display
  • select ‘Paper’ from the Source drop down menu
  • select ‘NTC Error’ from the Reason drop down menu
  • select [OK]

    • If the message ‘S18 Refinalisation Rules - Potential inappropriate refinalisation for CCYY-CCYY. If you have the authority to re-finalise under S19, S20 or S21 of the Tax Credit Act 2002 or due to an appeal decision. Press OK to process the change or Cancel’ displays

    • the changes you are making will re-finalise the claim, follow the guidance in TCM0042260 before making any changes

    then, if you can make the change

    • select [OK] on the message
    • go to .

    • If the message ‘S18 Refinalisation Rules - Actual Income for CCYY-CCYY is required. This change will not be accepted’ displays

    • you won’t be able to make the change because the PY actual income is required, follow the guidance in TCM0042260 before making any changes

    then, if you can make the change

    • select [OK] on the message
    • go to .

    • If the message ‘S18 Refinalisation Rules - You do not have the authority to re-finalise CCYY-CCYY. This change will not be accepted. Please refer to the appropriate team’ displays

    • the changes you are making will re-finalise the claim
    • select [Cancel]. You will be taken to the Amend Application Details screen
    • select [Cancel]
    • when the message ‘All changes to the application will be lost for this session, do you wish to proceed?’ displays, select [Yes]
    • pass the case to a Level 2 User or your manager. For more information, use ‘Level 1 and Level 2 users’ on TCM0320260
    • take no further action.

    • If none of the messages display, go to .

Step 27

Where the Deceased signal box has been selected

  • use Function AMEND APPLICATION, select the ‘Change Of Circumstances’ option to record the date of death
  • select the appropriate ‘Applicant’ from the toolbar at the top of the screen
  • enter the date of death in the Date of Death field
  • select ‘View’ then ‘Apply Free Format’ from the toolbar at the top of the screen
  • highlight the entry relating to the date of death
  • select [OK]. The Amend Finish screen will display
  • select [CANCEL]
  • select ‘Household’ then ‘Details’ from the toolbar at the top of the screen
  • enter the customer’s date of death in the Household End Date field
  • in the Household End Reason select ‘Death of applicant’ from the drop down menu
  • select the Manual Correspondence checkbox
  • select [OK]. The Amend Finish screen will display
  • select ‘Paper’ from the Source drop down menu
  • select ‘Change of Circumstances’ from the Reason drop down menu
  • select [OK]

    • If the message ‘S18 Refinalisation Rules - Potential inappropriate refinalisation for CCYY-CCYY. If you have the authority to re-finalise under S19, S20 or S21 of the Tax Credit Act 2002 or due to an appeal decision. Press OK to process the change or Cancel’ displays

    • the changes you are making will re-finalise the claim, follow the guidance in TCM0042260 before making any changes

    then, if you can make the change

    • select [OK] on the message
    • go to .

    • If the message ‘S18 Refinalisation Rules - Actual Income for CCYY-CCYY is required. This change will not be accepted’ displays

    • you won’t be able to make the change because the PY actual income is required, follow the guidance in TCM0042260 before making any changes

    then, if you can make the change

    • select [OK] on the message
    • go to .

    • If the message ‘S18 Refinalisation Rules - You do not have the authority to re-finalise CCYY-CCYY. This change will not be accepted. Please refer to the appropriate team’ displays

    • the changes you are making will re-finalise the claim
    • select [Cancel]. You will be taken to the Amend Application Details screen
    • select [Cancel]
    • when the message ‘All changes to the application will be lost for this session, do you wish to proceed?’ displays, select [Yes]
    • pass the case to a Level 2 User or your manager. For more information, use ‘Level 1 and Level 2 users’ on TCM0320260
    • take no further action.

    • If none of the messages display, go to .

Step 28

If the claim has a remaining customer or there is an executor and there is continuing entitlement

  • tell them to make a fresh claim with a note requesting backdating to the end of the original claim. Follow the guidance in TCM0044080
  • go to .

Step 29

Use Function MAINTAIN HOUSEHOLD NOTES to enter a message

  • enter the customer’s NINO
  • select [OK]
  • select [Add Note]
  • select ‘Application’ from the Category drop down menu

    • If you have entered or amended the date of death, enter the following message

    ‘TCMZ Date of death for customer (enter 1 or 2 as appropriate) confirmed with Local Office as (enter the correct date of death)’

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

    • select [OK]
    • go to .

    • If you have removed the date of death, enter the following message

    ‘TCMZ Date of death for customer (enter 1 or 2 as appropriate) has been removed, confirmed with Local Office that customer isn’t deceased’

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

    • select [OK]
    • go to .

Step 30

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 ‘3064’ in the Alert Code field
  • select [Search]
  • scroll down to the bottom of the page to view the list of alerts
  • 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’ve 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.