CISR22670 - Authenticate customer: authentication: authenticate customer or other representative during HMRC outbound call

CISR Reference Topic
CISR22000 Information contents

This action guide starts with a contact from HMRC by phone to a customer or other representative and ends at the point of either

  • Successful verification as to the identity of the person being called, or
  • Your decision that the person being called has not supplied sufficient information to enable you to determine that they are the contact concerned or are authorised to act on their behalf.

The same applies where a caller contacts HMRC and again you need to be sure that the caller is the person concerned or authorised to act on their behalf.

These steps must be carried out for all telephone contacts to ensure that the caller is who they say they are.

  1. Open the CIS system to obtain the ‘Identify Customer’ window
  2. Having established the contact’s identity and HMRC reference
  • Enter the customer reference, UTR or NINO, AO Reference or Employer Reference, in the appropriate field
  • Select a ‘Contact’ type from the available selection in the drop-down list
  • Select a ‘Channel’ type from the drop-down list. In this case it will be ‘Phone (outbound)’’
  • Select the [OK] button
  1. This will open the ‘Authenticate’ window (described as Authenticate Individual, or Authenticate Partnership and so on, in accordance with the customer type).

You need to take particular care when this window includes a ‘Bogus’ contact’ indicator. The window also includes a ‘Contact’ link that enables you to access the Contact History Summary window, which will include a record of all such contacts during the last 3 months.

If at anytime you become suspicious of the contact identity you should record this by setting the ‘Bogus’ indicator. This will result in a warning message being displayed at the top of the Mandatory area when you open the Authentication Customer window as follows: “Warning: recent contact reported suspect/bogus”. The message is there to draw your attention to any earlier attempts to breach customer confidentiality and to alert you to the possibility of a fresh attempt. You should proceed with extra care if you see it and be more vigilant by asking extra questions.

  • Where the contact is unable to answer questions/supply correct details about the subject of the call you should politely and firmly, terminate the call. Explain that for security reasons you need to ask a few questions to verify their identity.
  1. Invite the customer or their representative to supply answers to
  • Both ‘Mandatory’ Items, namely full name and address (this could be the customer’s Home, Office or Site address),

and,

  • Three other items at least one of which must be ‘Secure’

It should be noted that if you choose to authenticate an address within the ‘Additional’ panel this must be a different address to the ‘mandatory’ address. If the same address is used an error message ‘Mandatory address and additional address authentication details should not be the same’ will appear in red at the top left of the window.

Also note that under the ‘Additional items’ panel there is a “drop down” menu relating to the contact telephone number. The full titles in the drop down menu will not be fully visible to the user in CIS but are:

  • CIS Daytime Communication number
  • CIS Evening Communication number
  • CIS Mobile Communication number

Record the answers given using the ‘Pass’ or ‘Fail’ radio buttons. Completion of the appropriate window is self-explanatory though you may wish to remind yourself of the items specific to each customer type using the following links.

  CISR Reference Taxpayer Type
  CISR22030 Sole-trader
  CISR22040 Limited company
  CISR22050 Partnership
  CISR22060 Unincorporated body (including a local authority)
  CISR22070 Trust
  CISR22080 Agent / appointee
  CISR22090 Nominee / third party
  • As you have elected ‘outbound telephone’ from the ‘channel type’ it is possible to use the ‘Waive’ facility. This is acceptable providing you have phoned a number that was already stored on our system for that customer, and you have asked pertinent questions to ensure you are happy with the identity. If this is the case you should select the waive button which will open the CIS Main Menu.

OR

  1. If, during the call, you become suspicious of the contact identity you should record this by selecting the ‘Bogus’ indicator and obtaining answers to further ‘Additional’ questions on the Authenticate Customer window.
  2. Where further ‘Additional’ questions are answered correctly:
  • record them as a ‘Pass’ and,
  • move on to deal with the purpose of the call by selecting the [OK] button.

With successful authentication the process ends with you moving to the CIS Main Menu to select the customer record and task that you wish to perform.

  1. Where any ‘Additional’ questions are answered incorrectly: record them each as a ’Fail’ and,
  • Politely, but firmly, terminate the call. You might want to consider making contact by writing, instead.
  • Select [Cancel] to end the contact.