Resolve DWP Alert Type 3 064 - Date of Death (AG)

To resolve the DWP Exception Type 364 – D WP Date of Death, consider steps 1 - 3 0 below. The guide is presented as follows

Note: It is recommended that you are familiar with the use of the Access to DWP Data (ADD) system before using these instructions

View Alerts	Step 1
Initial action	Steps 2 - 11
Confirm date of death	Steps 12 - 13
Amend incorrect details	Steps 14 – 17
Record incorrect details	Steps 18 - 23
Record date of death	Steps 24 - 29
Process DWP Alert	Ste p 30

View Alerts

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
Click on the [Search] button
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

Initial action

2	Use Function VIEW APPLICATION to enter the NINO given on the Alert Click on the [OK] button 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 step 3 If there is not a Deceased signal present, go to step 6
3	If there is a Deceased signal present Select ‘Navigation’ from the toolbar From the drop down menu, select the claimant 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 are not the same, make a note of the following personal details Surname Forename Date of birth NINO Address Then Go 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 ticked, go to step 4 If there is no date of death entered on the tax credits computer and the Deceased signal box is not ticked, go to step 6
4	If there is no date of death entered on the tax credits computer, but the Deceased signal checkbox has been ticked, 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 If the ‘Apply Free Format’ option is ‘greyed’ out, go to step 13 If the ‘Apply Free Format’ option is not greyed out, 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 is not the same as the date of death on the DWP Alert, go to step 12 If there is no date of death on the Apply Free Format screen, go to step 13 If there is a date of death on the Apply Free Format screen and it is the same as the date of death on the Department for Work and Pensions (DWP) Alert, go to step 29
5	If the dates of death are not the same, use the CIS system to view the DWP / DSD information Select the NINO from the Alert to take you to the Account Summary Screen Note: As you are viewing a CIS record which holds a date of death you are most likely to receive a CIS test check. Follow the guidance in ADDM305 in the Access to DWP Data System manual if you do 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 Mismatched Trace Details If the personal details held against that NINO on CIS do not relate to the same person, or you are unsure that the details relate to the same individual on the tax credits computer. Select the Print icon to request a screen print, 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
6	If the claimant’s record on the tax credits computer system does not show that they are 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: As you are viewing a CIS record which holds a date of death you are most likely to receive a CIS test check. Follow the guidance in ADDM305 in the Access to DWP Data System manual if you do 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 Mismatched Trace Details If the personal details held against that NINO on CIS do not 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, 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
7	Where the personal details held on CIS are not a definite match or you are 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 no Historic details display or you suspect that the personal details do not relate to the same person or you are unsure, select the Print icon to request a screen print, go to step 8 If Historic details display, compare the personal details that are displayed with the details you have made a note of above. Follow the guidance in Mismatched Trace Details 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
8	If no Historic details display or you suspect that the personal details do not 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 The claimant’s surname The claimant’s forename 1st character of the claimant’s second forename (this is optional) Sex, M , F or leave blank if unknown Date of birth (DD -MM M-Y EAR for example 15-Feb-1972) And Click on the [Trace] button. The Trace Results will display at the bottom of the page If there are no matches available, go to step 10 If there are matches available, go to step 9
9	If there are matches available View the list to find a match to the claimant 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 Mismatched Trace Details 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) Click on the NINO which relates to a definite match . The Account Summary screen will display for this NINO. It is 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 do not relate to the same person, or you are unsure whether the details relate to the same person, go to step 10
10	If the personal details held against that NINO on CIS do not relate to the same person, or you are 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 matches available, go to step 9 If there are no matches available, go to step 11
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 claimant If you have traced a definite match, go to step 14 If you have not traced a definite match, go to step 15

Confirm date of death

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’ telephone 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 recorded correctly on CIS?

If the claimant is deceased and CIS hold s the correct date of death, go to step 29

If the claimant is deceased and both the tax credits computer and CIS hold s incorrect date of death, go to step 29

If the claimant is deceased and tax credits hold the correct date of death, go to step 3 0

If the record relates to the claimant but the claimant is not deceased, go to step 30

Where there is no 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 entered correctly. To do this

Use the CIS Account Summary screen and view 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’ telephone 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 recorded correctly on CIS?

If the claimant is deceased and CIS hold s the correct date of death, go to step 24

If the claimant is deceased but CIS ha s recorded an incorrect date of death, go to step 30

If the record relates to the claimant bu t the claimant is not deceased, go to step 26

Amend incorrect details

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 step 16 For any other claim status, go to step 18
15	If the personal details are not a definite match Use Function VIEW APPLICATION to view the status of the latest claim If the claim status is Awaiting Award, go to step 21 If the claim status is Award Issued, go to step 20 For any other claim status, go to step 18
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 Where the NINO for the claimant is NOT MATCHED, go to step 17 Where the NINO for the claimant is MATCHED, go to step 21
17	If the NINO for the claimant is not matched Highlight the claimant’s NINO in the NINO field and overtype it with the NINO that you traced on CIS Click on the [TRACE] button Attempt to trace the claimant and match them to the NINO you have traced from CIS. Follow the guidance in Trace Individual Note: You must not match the claimant to the NINO, which 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

Record incorrect details

18	For any other claim status, use Function MAINTAIN HOUSEHOLD NOTES to check if an M1 referral has been completed If there is no message in the Household Notes screen to indicate that an M1 referral form has been completed, go to step 19 If there is a message in the Household Notes screen to indicate that an M1 referral form has already been completed, go to step 29
19	Complete an M1 referral form with as ma ny details as possible Attach any screen prints taken from CIS to the M1 referral form Attach photocopies of any other relevant correspondence or documentation to the M1 referral form Pass the M1 referral form to your Technical Advice Line Liaison Officer (TALLO) Go to step 20
20	Use Function MAINTAIN HOUSEHOLD NOTES to enter the following message ‘TCMZ M1 referral completed for claimant (enter the claimant’s name) the correct NINO is (enter the NINO traced on CIS)’ Notes: You must follow the guidance in How To Correctly Complete Application And Household Notes when you record the note And also Follow the guidance in Maintain Household Notes Click on the [OK] button Go to step 30
21	Use Function CAPTURE APPLICATION, select the ‘Capture Current’ option to check if an M1 referral has been completed Select the Summary screen from the toolbar at the top of the screen If there is no message on the Application Notes screen to indicate that an M1 referral form has been completed, go to step 2 1 If there is a message in the Application Notes screen to indicate that an M1 referral form has already been completed, go to step 30
22	Complete an M1 referral form with as many details as possible Attach any screen prints taken from CIS to the M1 referral Attach photocopies of any other relevant correspondence or documentation to the M1 referral form Pass the M1 referral form to your Technical Advice Line Liaison Officer (TALLO) Go to step 23
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 claimant (enter the claimant’s name). Unable to trace the correct NINO’ Notes: You must follow the guidance in How To Correctly Complete Application And Household Notes when you record the note And also Follow the guidance in Application Notes Click on the [S tore] button Go to step 30

Record date of death

24	If the claimant is not 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’ Click on the [OK] button 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’ Tick the Manual Correspondence checkbox Click on the [OK] button. The Amend Finish screen will display Select ‘Paper’ from the Source drop down menu Select ‘Change of circumstances’ from the Reason drop down menu Click on the [OK] button If the message ‘S18 Refinalisation Rules – Potential inappropriate refinalisation for CCYY–CCYY. If you have the authority to refinalise 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 Establish If A Change Can Be Made before making any changes If you can make the change Click on the [OK] button on the message Then If the claim is from a single claimant, go to step 29 If the claim has a remaining claimant or there is 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 will not be able to make the change because the PY actual income is required, follow the guidance in Establish If A Change Can Be Made before making any changes If you can make the change Click on the [OK] button on the message Then If the claim is from a single claimant, go to step 29 If the claim has a remaining claimant or there is an executor, go to step 28 If the message ‘S18 Refinalisation Rules – You do not have the authority to refinalise CCYY-CCYY. This change will not be accepted. Please refer to the appropriate team’ displays The changes you are making will refinalise the claim Click on the [Cancel] button. You will be taken to the Amend Application Details screen Click on the [Cancel] button When the message ‘All changes to the application will be lost for this session, do you wish to proceed?’ displays, click on the [Yes] button Pass the case to a Level 2 User or your manager. For more information on Level 1 and Level 2 users, see Level 1 and Level 2 User Roles Take no further action If none of the above messages display If the claim is from a single claimant, go to step 29 If the claim has a remaining claimant or there is an executor, go to step 28
25	If there is a date of death on the tax credits computer which is incorrect and you have 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 over type it with the correct date of death Click on the [OK] button. The Amend Finish screen will display Select ‘Paper’ from the Source drop down menu Select ‘NTC Error’ from the drop down Click on the [OK] button If the message ‘S18 Refinalisation Rules – Potential inappropriate refinalisation for CCYY–CCYY. If you have the authority to refinalise 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 Establish If A Change Can Be Made before making any changes Then, if you can make the change Click on the [OK] button 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 will not be able to make the change because the PY actual income is required, follow the guidance in Establish If A Change Can Be Made before making any changes Then, if you can make the change Click on the [OK] button on the message Go to step 29 If the message ‘S18 Refinalisation Rules – You do not have the authority to refinalise CCYY-CCYY. This change will not be accepted. Please refer to the appropriate team’ displays The changes you are making will refinalise the claim Click on the [Cancel] button. You will be taken to the Amend Application Details screen Click on the [Cancel] button When the message ‘All changes to the application will be lost for this session, do you wish to proceed?’ displays, click on the [Yes] button Pass the case to a Level 2 User or your manager. For more information on Level 1 and Level 2 users, see Level 1 and Level 2 User Roles Take no further action If none of the above messages display, go to step 29
26	If there is a date of death on the tax credits computer and you have confirmed that the claimant is not deceased, you will 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 the [Delete] key Click on the [OK] button. The Amend Finish screen will display Select ‘Paper’ from the Source drop down menu Select ‘NTC Error’ from the Reason drop down menu Click on the [OK] button If the message ‘S18 Refinalisation Rules – Potential inappropriate refinalisation for CCYY–CCYY. If you have the authority to refinalise 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 Establish If A Change Can Be Made before making any changes Then, if you can make the change Click on the [OK] button 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 will not be able to make the change because the PY actual income is required, follow the guidance in Establish If A Change Can Be Made before making any changes Then, if you can make the change Click on the [OK] button on the message Go to step 29 If the message ‘S18 Refinalisation Rules – You do not have the authority to refinalise CCYY-CCYY. This change will not be accepted. Please refer to the appropriate team’ displays The changes you are making will refinalise the claim Click on the [Cancel] button. You will be taken to the Amend Application Details screen Click on the [Cancel] button When the message ‘All changes to the application will be lost for this session, do you wish to proceed?’ displays, click on the [Yes] button Pass the case to a Level 2 User or your manager. For more information on Level 1 and Level 2 users, see Level 1 and Level 2 User Roles Take no further action If none of the above messages display, go to step 29
27	Where the Deceased signal box has been ticked 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 Click on the [OK] button. The Amend Finish screen will display Click on the [CANCEL] button Select ‘Household’ then ‘Details’ from the toolbar at the top of the screen Enter the claimant’s date of death in the Household End Date field In the Household End Reason select ‘Death of applicant’ from the drop down menu Tick the Manual Correspondence checkbox Click on the [OK] button. The Amend Finish screen will display Select ‘Paper’ from the Source drop down menu Select ‘Change of Circumstances’ from the Reason drop down menu Click on the [OK] button If the message ‘S18 Refinalisation Rules – Potential inappropriate refinalisation for CCYY–CCYY. If you have the authority to refinalise 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 Establish If A Change Can Be Made before making any changes Then, if you can make the change Click on the [OK] button 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 will not be able to make the change because the PY actual income is required, follow the guidance in Establish If A Change Can Be Made before making any changes Then, if you can make the change Click on the [OK] button on the message Go to step 29 If the message ‘S18 Refinalisation Rules – You do not have the authority to refinalise CCYY-CCYY. This change will not be accepted. Please refer to the appropriate team’ displays The changes you are making will refinalise the claim Click on the [Cancel] button. You will be taken to the Amend Application Details screen Click on the [Cancel] button When the message ‘All changes to the application will be lost for this session, do you wish to proceed?’ displays, click on the [Yes] button Pass the case to a Level 2 User or your manager. For more information on Level 1 and Level 2 users, see Level 1 and Level 2 User Roles Take no further action If none of the above messages display, go to step 29
28	If the claim has a remaining claimant or there is an executor and there is continuing entitlement Advise them to make a fresh claim with a note requesting backdating to the end of the original claim. Follow the guidance in Invite Fresh Claim Go to step 29
29	Use Function MAINTAIN HOUSEHOLD NOTES to enter a message Enter the claimant’s NINO Click on the [OK] button Click on the [A dd Note] button Select ‘A pplication’ 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 claimant (enter 1 or 2 as appropriate) confirmed with Local Office as (enter the correct date of death)’ Notes: You must follow the guidance in How To Correctly Complete Application And Household Notes when you record the note And also Follow the guidance in Maintain Household Notes Click on the [OK] button Go to step 30 If you have removed the date of death, enter the following message ‘TCMZ Date of death for claimant (enter 1 or 2 as appropriate) has been removed, confirmed with Local Office that claimant is not deceased’ Notes: You must follow the guidance in How To Correctly Complete Application And Household Notes when you record the note And also Follow the guidance in Maintain Household Notes Click on the [OK] button Go to step 3 0

Process DWP Alert

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
Click on the [Search] button
Scroll down to the bottom of the page to view the list of Alerts
For the Alert(s) you have just processed, put a tick in the checkbox in the Action column
Click on the [Process Alerts] button
When the following message displays ‘Are you sure you want to mark the selected Alerts as processed?’, click on the [No] button to cancel the request and return to the View Alerts – Search Results screen
Click on the [Yes] button 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

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