SolvedTCM0134700 | Miscellaneous: C to D: resolve DWP alert type 3064 - date of death
From HM Revenue & Customs · Tax Credits Manual
This alert is created when there is a date of death held by Department for Work and Pensions (DWP) or Department for Communities (DfC) and there is no date of death held on the tax credits computer. Alternatively, the date of death held on the tax credits computer is different to that held by DWP or DfC.
Where details of a tax credits customer have been passed over to DWP or DfC and there is a date of death held by DWP or DfC for that customer, DWP or DfC would return these details to the Tax Credit Office (TCO) as a DWP alert.
TCO staff will need to investigate and where necessary amend the computer records accordingly.
Note: Direct access to DWP’s Customer Information System (CIS) will be required to view the Alerts. CIS can also be used to view DWP or DfC information in the same way that the Access to DWP Data (ADD) system is used.
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
thengo to Step 2.
Step 2
Use Function VIEW APPLICATION to enter the NINO given on the Alert
select [OK]
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
thengo to Step 5.
If the dates of death are the same, go to Step 27.
If there is no date of death entered on the tax credits computer, but the Deceased signal box has been selected, go to Step 4.
If there is no date of death entered on the tax credits computer and the Deceased signal box isn’t selected, go to Step 6.
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
thenIf the ‘Apply Free Format’ option isn’t available, go to Step 13.
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 Step 12.
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 Step 29.
If there isn’t a date of death on the Apply Free Format screen, go to Step 13.
Step 5
If the dates of death aren’t the same, use the CIS system to view the DWP or Department for Communites (DfC) 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 Step 7
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 12.
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 Step 7.
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 13.
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 Step 8.
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 11.
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
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 Step 11.
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.
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.
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
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 Step 29.
If the customer is deceased and both the tax credits computer and CIS holds incorrect date of death, go to Step 29.
If the customer is deceased and tax credits hold the correct date of death, go to Step 30.
If the record relates to the customer but the customer isn’t deceased, go to Step 30.
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?
Step 14
If the personal details are a definite match, use Function VIEW APPLICATION to view the status of the latest claim
Step 15
If the personal details aren’t a definite match
Step 16
If the claim status is Awaiting Award
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 Step 21.
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 23.
Step 18
For any other claim status, use Function MAINTAIN HOUSEHOLD NOTES to check if an M1 referral has been completed
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.
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 30.
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
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.
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 30.
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 changeselect [OK] on the message
thenIf the claim is from a single customer, go to Step 29.
If the claim has a remaining customer or there’s an executor, go to Step 28.
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 changeIf 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.
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 changeselect [OK] on the message
go to Step 29.
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 Step 29.
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 29.
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 Step 29.
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 Step 29.
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 29.
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 changesthen, if you can make the change
select [OK] on the message
go to Step 29.
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 Step 29.
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 29.
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.
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 Step 30.
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.
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.