Effective Dates: 04/26/2023 - Present Previous | Next

TN 86 (04-23)

GN 02607.740 PUPS Automated Processing Exclusions

A. Background - identification of PUPS exclusions

Title II has two PUPS automated processing exclusion situations that require special processing:

  • •

    Correcting the month/year of suspension to an earlier date of suspension on the MBR and the corresponding PUPS record to an earlier date when there has already been a suspension processed for the same period of conviction/confinement with an incorrect suspension date and an incentive payment was paid on this PUPS record for the original suspension action; or

  • •

    Correcting the month/year of suspension to a later date of suspension on the MBR and the corresponding PUPS record where there has already been a suspension processed for the same period of conviction/confinement with an incorrect suspension date.

Do not use PUPS to input the suspension action for these two exclusions. Refer the exclusion to the PC/OCO-ODO using the 2790-FAX procedure, see GN 02607.995 for instructions on completing this form. Inputting these types of cases through PUPS will result in erroneous posting actions and possible improper payment of incentives.

NOTE: For suspension purposes, the date of conviction is equal to the date of the inmate's conviction by a criminal court (i.e., date the court made the sentencing determination); a guilty plea is accepted (i.e., date the court made the sentencing determination); parole or probation is officially revoked (i.e., date the parole board or agency governing the parole or probation made their official determination); a court issues an order of confinement to a mental institution for an individual who has been declared not guilty by reason of insanity (NGRI), an individual incompetent to stand trial or an individual suffering from a similar mental defect; or an individual who is declared a sexually dangerous person (i.e., date of the official court determination to remand the inmate to the institution); or, the date the inmate starts physically residing in a correctional facility or mental institution (i.e., date of confinement on PUPS record) after their conviction or court ordered confinement. Choose whichever date is later if the dates are different when determining when to suspend the beneficiary's title II benefit. See GN 02613.001B.3 for the definition of the term conviction.

B. Procedure – SSA learns of earlier/later period of conviction/confinement for the beneficiary

1. Changing periods of conviction/confinement for the beneficiary

Situations may arise when SSA learns (e.g., through development on outstanding case issues; on a new PUPS PENDING record (i.e., earlier period of prisoner conviction/confinement (LAF S7) cases); or, by information received by a third party source, etc.) that the beneficiary:

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    should be suspended (LAF S7) in an earlier or later month or year than is currently posted to the MBR;

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    should have an earlier/later date of confinement/conviction (period of LAF S7) than currently posted to the PUPS record. and,

  • •

    was in the same correctional facility or a different correctional facility for this earlier/later period of conviction/confinement (LAF S7).

The earlier/later period of conviction/confinement (LAF S7) information must be compared to the current PUPS record to determine how to correctly process the new conviction/confinement information. See GN 02607.740C. for instructions on comparing the new conviction/confinement information (period of LAF S7) to the existing PUPS record and the suspension (period of LAF S7) history on the MBR for earlier date of suspension cases and GN 02607.740C. for later date of suspension cases.

2. Reference chart for instructions on processing earlier/later periods of confinement/conviction for a beneficiary

Situation of Change

Reference

Earlier Conviction—Same Facility

GN 02607.740C.2.a.

Earlier Conviction-Different Facility

GN 02607.740C.2.b.

Paying Incentive Payments—Earlier/Later Confinements

GN 02607.740C.2.c.

Processing Earlier Confinements Than Currently Reported on PUPS/MBR

GN 02607.740D.

Processing Later Dates of Conviction/Confinement— Reported on PUPS/MBR

GN 02607.740E.

C. Procedure - identifying earlier date of suspension cases

1. Comparing new earlier conviction/confinement information to existing PUPS record

Check for the following data fields on the MBR and the current PUPS record and compare them to the new earlier confinement/conviction information that SSA has received in order to determine how to process the case.

Master Beneficiary Record (MBR)

The beneficiary's payment history on the current MBR will reflect LAF S7 for the date of suspension that SSA received for the beneficiary that correlates to the current PUPS record for the period of conviction/confinement. The RFST on the BENEFIT field of the MBR will reflect, “PRISON,” “MENTAL,” or “PREDTR.”

NOTE: The PRSNDATSA entries on the MBR summarize all prisoner information on the MBR including start and stop dates for all periods of suspension and the type of confinement. These entries must be compared to the PUPS records for the correlating periods of confinement.

Prisoner Update Processing System (PUPS)

The current PUPS record will show on the P2QY screen, the status of: SUSPENSION, the date the status was posted, the action effective date, the T2 notice date; and, it will include the appropriate original PUPS confinement information (report date, receipt date, reporter ID, facility ID, confinement date, conviction date, inmate number) and corresponding Incentive Payment information (incentive payment amount, incentive payment selection date, paid to facility ID).

NOTE: If there was a PUPS exclusion on the record, the status on the PUPS record will show “No Action Necessary.” There should be remarks on the PUPS record on the REMARKS screen to reflect the PUPS exclusion reason.

When comparing the new earlier period of conviction/confinement (PUPS PENDING record) information to the current MBR and PUPS information, you must determine, based on the new earlier conviction/confinement information (new conviction/confinement information on the PUPS PENDING record and current LAF status for this new period of conviction/confinement on the MBR) and your review of the existing PUPS record if this additional period of conviction/confinement:

  • •

    is continuous (the earlier date of conviction/confinement will continue through the current period of confinement that is posted to the PUPS record) or does it represent a transfer from one facility to the next facility (e.g., transfer from a detention center to a jail or from one jail to another jail, etc.) or is a closed period of conviction/confinement (a closed period of conviction/confinement occurs when a beneficiary is convicted/confined for a period of time then officially released from this period of confinement);

  • •

    may or may not require an incentive payment; and

  • •

    requires a change to the MBR and PUPS and how to properly annotate the new period of conviction/confinement to the MBR and to PUPS. (See GN 02607.740A. for information on PUPS automated processing exclusions.)

2. Evaluation of the comparison of earlier date of conviction/confinement information to current PUPS record and MBR

The technician must compare the current MBR and the correlating PUPS record to information received by SSA on the PUPS PENDING record for the earlier period of conviction/confinement. After comparing the periods of conviction/confinement, evaluate the information as indicated below:

NOTE: In some instances the beneficiary may be confined at the same correctional facility annotated to the current PUPS record (i.e., the period of confinement is continuous from the earlier date of suspension forward through the period of conviction/confinement posted to the current PUPS record). Or, the beneficiary may have been confined at a different facility than annotated to the current PUPS record.

a. Earlier conviction/confinement--beneficiary in the same facility as currently annotated on PUPS

Earlier Conviction/Confinement Period Continuous Through Current Conviction/Confinement Period--PUPS Automated Processing Exclusion Applies

All the factors in GN 02607.740B. are true, and the earlier period of conviction/confinement and the current PUPS period of confinement are continuous. In addition, an incentive payment was paid on the current PUPS record to one specific facility. Posting an earlier date of suspension (LAF S7, RFST of PRISON, MENTAL or PREDTR) to the MBR (via PUPS/POS) and an earlier period of conviction/confinement to PUPS may cause an additional incentive payment to be generated to the same facility for the same continuing period of confinement. This facility should not be paid an additional incentive See GN 02607.740C.2.c. for identifying cases where the incentive payment can or cannot be made for an earlier conviction/confinement period. See GN 02607.740D.1.a. for FO processing these types of cases through PUPS. See GN 02607.740D.1.b. for PC/OCO-ODO processing of these types of cases through PUPS.

Earlier Conviction/Confinement Period Not Continuous Through Current Conviction/Confinement Period--Closed Period of Conviction/Confinement Applies--No PUPS Exclusion Applies

All the factors in GN 02607.740B. are true, and, the earlier period of conviction/confinement and the current conviction/confinement period on PUPS are two separate periods of conviction and confinement (the earlier period of conviction/confinement is a closed period). In addition, an incentive payment was paid on the current PUPS record to the same facility. Posting an earlier date of suspension to the MBR (via PUPS/POS) and an earlier period of conviction/confinement to PUPS will cause an additional incentive payment to be generated to the same facility for the earlier period of closed conviction/confinement. This earlier period of conviction/confinement period must have a date of release that will be posted to the PUPS record. In this instance, if the earlier period or closed conviction/confinement is not continuous because the beneficiary was officially released from confinement before their second period of conviction/confinement period began, the facility can be paid an incentive payment for this new period of conviction/confinement.

See GN 02607.740C.2.c. for identifying cases where the incentive payment can or cannot be made for an earlier conviction/confinement period. See GN 02607.740D.2.a. for FO processing these types of cases through PUPS. See GN 02607.740D.2.b. for PC/OCO-ODO processing of these types of cases through PUPS.

b. Earlier conviction/confinement -- beneficiary in different facility than currently annotated on PUPS

Earlier Conviction/Confinement Period Continuous Through Current Conviction/Confinement Period--PUPS Automated Processing Exclusion Applies

All the factors in GN 02607.740B. are true, however, the earlier conviction/confinement period and the current period of conviction/confinement on the current PUPS record are continuous; e.g., transfer of an inmate from one correctional facility to another correctional facility while the inmate is still under the same conviction offense and the inmate was not granted an official release. In addition, an incentive payment was paid on the current PUPS record to a different facility than will be annotated to the earlier period of conviction/confinement inmate information. Posting an earlier date of suspension to the MBR (via PUPS/POS) and an earlier period of conviction/confinement without a released date to PUPS may cause an additional incentive payment to be generated to the different facility for the same continuing period of confinement. This facility should not be paid an incentive payment for the same continuing period of confinement. The facility that reported the inmate conviction/confinement to SSA first with all relevant information to cause SSA to suspend the title II benefit, should receive the incentive payment.

See GN 02607.740C.2.c. for identifying cases where the incentive payment can or cannot be made for an earlier conviction/confinement period. See GN 02607.740D.3.a. for FO processing these types of cases through PUPS. See GN 02607.740D.3.b. for PC/OCO-ODO processing of these types of cases through PUPS.

Earlier Conviction/Confinement Period Not Continuous Through Current Conviction/Confinement Period--Closed Period of Conviction/Confinement Applies--No PUPS Exclusion Applies

All the factors above in GN 02607.740B. are true, however, the earlier period of conviction/confinement and the current conviction/confinement period on PUPS are two separate periods of conviction and confinement (the earlier period of conviction/confinement is a closed period). In addition, an incentive payment was paid on the current PUPS record to a different facility. Posting an earlier date of suspension to the MBR (via PUPS/POS) and an earlier period of conviction/confinement to PUPS will cause an additional incentive payment to be generated to another facility for the earlier period of closed conviction/confinement. The earlier closed period of conviction/confinement must have a released date. Posting the earlier closed period of confinement/conviction to PUPS and suspending via POS/PUPS will cause an additional incentive payment to be generated to the different facility for the earlier period of conviction/confinement. This facility should be paid an incentive payment for the earlier period of confinement.

See GN 02607.740C.2.c. for identifying cases where an incentive payment should or should not be paid to a facility for an earlier period of conviction/confinement. See GN 02607.740D.4.a. for FO processing these types of cases through PUPS. See GN 02607.740D.4.b. for PC/OCO-ODO processing of these types of cases through PUPS.

c. Paying incentive payment on earlier conviction/confinement periods of suspension

Comparison of the Facility on Earlier Date of Conviction/Confinement PUPS Record to the Current PUPS Record Facility

Released Date Annotated to Earlier Date of Confinement PUPS Record

 

Issue Incentive Payment on Earlier Date of Confinement Period

 

If the facility on the earlier period of conviction/confinement is the same as the facility on the current period of conviction/confinement

and there is no released date on the earlier period of conviction/confinement

then, an incentive payment is not due the facility for the earlier period of title II conviction/confinement.

This is a PUPS Automated Processing Exclusion

If the facility on the earlier period of conviction/confinement is the same as the facility on the current period of conviction/confinement

and there is a released date on the earlier period of conviction/confinement

then, an incentive payment may be due the facility for the earlier period of conviction/confinement if the factors in GN 02607.800C.; GN 02607.800D. and GN 02607.800E. are also met by the facility. The suspension should be processed through PUPS, if appropriate.

If the facility on the earlier period of conviction/confinement is different than the facility on the current period of conviction/confinement

and there is no released date for the earlier period of conviction/confinement and the receipt date on the earlier period of confinement/conviction is the same or after the receipt date on the later conviction/confinement PUPS record

then, an incentive payment is not due the facility for the earlier period of title II conviction/confinement.

The case is a PUPS Automated Processing Exclusion.

If the facility on the earlier period of conviction/confinement is different than the facility on the current period of conviction/confinement

and there is no released date for the earlier period of conviction/confinement and the receipt date on the earlier period of confinement/conviction precedes the receipt date on the later conviction/confinement PUPS record

then, an incentive payment may be due the facility for the earlier period of conviction/confinement if the factors in GN 02607.800C.; GN 02607.800D. and GN 02607.800E. are also met by the facility. Refer case to RPC coordinator to process per GN 02607.830B.

This case is a PUPS Automated Processing Exclusion

If the facility on the earlier period of conviction/confinement is different than the facility on the current period of conviction/confinement

and there is a released date for the earlier period of conviction/confinement

then, an incentive payment may be due the facility for the earlier period of conviction/confinement if the factors in GN 02607.800C.; GN 02607.800D. and GN 02607.800E. are also met by the facility. The suspension should be processed through PUPS, if appropriate.

D. Processing earlier period of conviction/confinement cases

1. Earlier conviction/confinement period continuous through current conviction/confinement period--same facilities involved

a. FO processing

When additional inmate data is received for a continuous period of conviction/confinement to the same correctional facility: annotate the PUPS PENDING record as follows:

  • •

    Update the existing PUPS record (PUO2 Screen) with a “2 - CLEAR CONTROL - NO SUSPENSION” action.

  • •

    Check the receipt date on the PUPS record to make sure it reflects the date that SSA received the report of conviction and confinement for the beneficiary that causes SSA to suspend the title II benefit earlier. If the receipt date currently on PUPS was annotated from the beneficiary's previous arrest (without a conviction), update the receipt date to equal the date that SSA received the conviction and confinement information. (See MSOM PRISON 003.001 , Incentive Date for dates that must be used when changing the receipt date entry on PUPS to an earlier receipt date.)

  • •

    Check the conviction date. If the conviction date is blank or incorrect, add the conviction date to the PUPS record. The conviction date should reflect the date the individual was found guilty as charged in a criminal trial; guilty plea was accepted; parole or probation was officially revoked, or the date of an NGRI court order for confinement to a mental institution was issued for this period of confinement.

    NOTE: For NGRIs, Incompetent to Stand Trial Individuals and Sexual Predators, the date of conviction should be equal to the date of the court order for confinement or the date of confinement to the institution after the commitment order was issued by the court, use whichever date is later.

  • •

    Check the ACTION EFFECTIVE DATE. Add or correct the ACTION EFFECTIVE DATE to equal the date the new suspension should begin. This date should reflect the date the individual was found guilty as charged in a criminal trial; a guilty plea was accepted; parole or probation was revoked; or the date of an NGRI court order for confinement to a mental institution; or, the beginning date of confinement in the correctional or mental institution after the individual was found guilty as charged in a criminal trial; a guilty plea was accepted; parole or probation was revoked; or the date of an NGRI court order for confinement to a mental institution was issued, choose whichever date occurs later.

  • •

    Add the REMARK to the PU02 screen: “PUPS Automated Process Exclusion -Continuous Period of Suspension - FAX TO PC MM/DD/YYYY.

  • •

    Prepare 2790-FAX form to send to the PC/OCO-ODO for manual suspension processing. Annotate remark on 2790-FAX form, “Continuous Period of Suspension—PUPS Exclusion” (For additional processing instructions on SSA-2790-FAX processing, see GN 02607.995.)

    NOTE: For NGRIs, Incompetent to Stand Trial Individuals and Sexual Predators, the date of conviction should be equal to the date of the court order for confinement or the date of confinement to the institution after the commitment order was issued by the court, use whichever date is later.

b. PC/OCO-ODO processing

When additional inmate data is received for a continuous period of conviction/confinement to the same correctional facility: annotate the PUPS PENDING record as follows.

  • •

    Update the existing PUPS record (PUO2 Screen) with a “2 - CLEAR CONTROL - NO SUSPENSION” action, if not already annotated by the FO.

  • •

    Check the receipt date on the PUPS record to make sure it reflects the date that SSA received the report of conviction and confinement for the beneficiary that causes SSA to suspend the title II benefit. If the receipt date currently on PUPS was annotated from the beneficiary's previous arrest (without a conviction), update the receipt date to equal the date that SSA received the conviction and confinement information. See MSOM PRISON 003.001 , Incentive Date for dates that must be used when changing the receipt date entry on PUPS to an earlier receipt date.

  • •

    Check the conviction date. If the conviction date is blank or incorrect, add the conviction date to the PUPS record. The conviction date should reflect the date the individual was found guilty as charged in a criminal trial; guilty plea was accepted; parole or probation was officially revoked, or the date of an NGRI court order for confinement to a mental institution was issued for this period of confinement.

    NOTE: For NGRIs, Incompetent to Stand Trial Individuals and Sexual Predators, the date of conviction should be equal to the date of the court order for confinement or the date of confinement to the institution after the commitment order was issued by the court, use whichever date is later.

  • •

    Check the ACTION EFFECTIVE DATE. Add or correct the ACTION EFFECTIVE DATE to equal the date the new suspension should begin. This date should reflect the date the individual was found guilty as charged in a criminal trial; a guilty plea was accepted; parole or probation was revoked; or the date of an NGRI court order for confinement to a mental institution; or, the beginning date of confinement in the correctional or mental institution after the individual was found guilty as charged in a criminal trial; a guilty plea was accepted; parole or probation was revoked; or the date of an NGRI court order for confinement to a mental institution was issued, choose whichever date occurs later.

  • •

    Check the Remarks screen. Add the REMARK to the PU02 screen: “PUPS Automated Process Exclusion Continuous Period of Suspension” if not annotated already by the FO.

  • •

    Suspend the benefits S7 on the MBR via MADCAP/MACADE for the appropriate period of suspension. Add the RFST of “PRISON” for a prisoner, “MENTAL” for an NGRI or “PREDTR” for a sexually dangerous person.

    NOTE: Advance notice of proposed suspension is not necessary for this situation. Prepare a new suspension notice and advise the beneficiary of the new date of the suspension and the additional overpayment money amount, if appropriate. Provide the beneficiary with the reconsideration and appeal language with the notice.

2. Earlier conviction/confinement period NOT continuous through current conviction/confinement period--closed period of conviction/confinement applies--same facility involved

a. FO processing

When additional inmate data is received for a non-continuous period of conviction/confinement (i.e., closed period) to the same correctional/mental facility as is indicated on the current PUPS record, annotate the new PUPS PENDING record should as follows.

  • •

    Update the existing PUPS PENDING record (PUO2 Screen) with a “1 - SUSPENSION” action.

  • •

    Check the receipt date on the PUPS record to make sure it reflects the date that SSA received the report of conviction and confinement for the beneficiary that causes SSA to suspend the title II benefit earlier. If the receipt date currently on PUPS was annotated from the beneficiary's previous arrest (without a conviction), update the receipt date to equal the date that SSA received the conviction and confinement information. (See MSOM PRISON 003.001 , Incentive Date for dates that must be used when changing the receipt date entry on PUPS to an earlier receipt date.)

  • •

    Check the conviction date. If the conviction date is blank or incorrect, add the conviction date to the PUPS record. The conviction date should reflect the date the individual was found guilty as charged in a criminal trial; guilty plea was accepted; parole or probation was officially revoked, or the date of an NGRI court order for confinement to a mental institution was issued for this period of confinement.

    NOTE: For NGRIs, Incompetent to Stand Trial Individuals and Sexual Predators, the date of conviction should be equal to the date of the court order for confinement or the date of confinement to the institution after the commitment order was issued by the court, use whichever date is later.

  • •

    Check the ACTION EFFECTIVE DATE. Add or correct the ACTION EFFECTIVE DATE to equal the date the new suspension should begin. This date should reflect the date the individual was found guilty as charged in a criminal trial; a guilty plea was accepted; parole or probation was revoked; or the date of an NGRI court order for confinement to a mental institution; or, the beginning date of confinement in the correctional or mental institution after the individual was found guilty as charged in a criminal trial; a guilty plea was accepted; parole or probation was revoked; or the date of an NGRI court order for confinement to a mental institution was issued, choose whichever date occurs later.

  • •

    Add the released date for this period of confinement to the PUPS record.

  • •

    Add the REMARK to the PU02 screen: “Closed Period of Earlier Conviction/Confinement Suspension.”

b. PC/OCO-ODO processing

When additional inmate data is received for a non-continuous period of conviction/confinement (i.e., closed period) to the same correctional/mental facility as is indicated on the current PUPS record, annotate the new PUPS PENDING record as follows.

  • •

    Update the existing PUPS record (PUO2 Screen) with a “1 - SUSPENSION” action.

  • •

    Check the receipt date on the PUPS record to make sure it reflects the date that SSA received the report of conviction and confinement for the beneficiary that causes SSA to suspend the title II benefit. If the receipt date currently on PUPS was annotated from the beneficiary's previous arrest (without a conviction), update the receipt date to equal the date that SSA received the conviction and confinement information. (See MSOM PRISON 003.001 , Incentive Date for dates that must be used when changing the receipt date entry on PUPS to an earlier receipt date.)

  • •

    Check the conviction date. If the conviction date is blank or incorrect, add the conviction date to the PUPS record. The conviction date should reflect the date the individual was found guilty as charged in a criminal trial; guilty plea was accepted; parole or probation was officially revoked, or the date of an NGRI court order for confinement to a mental institution was issued for this period of confinement.

    NOTE: For NGRIs, Incompetent to Stand Trial Individuals and Sexual Predators, the date of conviction should be equal to the date of the court order for confinement or the date of confinement to the institution after the commitment order was issued by the court, use whichever date is later.

  • •

    Check the ACTION EFFECTIVE DATE. Add or correct the ACTION EFFECTIVE DATE to equal the date the new suspension should begin. This date should reflect the date the individual was found guilty as charged in a criminal trial; a guilty plea was accepted; parole or probation was revoked; or the date of an NGRI court order for confinement to a mental institution; or, the beginning date of confinement in the correctional or mental institution after the individual was found guilty as charged in a criminal trial; a guilty plea was accepted; parole or probation was revoked; or the date of an NGRI court order for confinement to a mental institution was issued, choose whichever date occurs later.

  • •

    Add the “RELEASED DATE” to the PUPS record to reflect the date the inmate was officially released from the correctional/mental institution for this period of confinement.

  • •

    Add the REMARK to the PU02 screen: “Closed Period of Earlier Conviction/Confinement Suspension Case.”

3. Earlier conviction/confinement period continuous through current confinement period—different facilities involved

a. FO processing

When additional inmate data is received for a continuous period of conviction/confinement to different correctional/mental facility, annotate the PUPS PENDING record as follows.

  • •

    Update the existing PUPS record (PUO2 Screen) with a “2 - CLEAR CONTROL - NO SUSPENSION” action.

  • •

    Check the receipt date on the PUPS record to make sure it reflects the date that SSA received the report of conviction and confinement for the beneficiary that causes SSA to suspend the title II benefit earlier because the beneficiary was convicted and confined for a criminal offense before the current period of LAF S7 on the MBR and accompanying PUPS record. If the receipt date currently on PUPS was annotated from the beneficiary's previous arrest (without a conviction), update the receipt date to equal the date that SSA received the conviction and confinement information. (See MSOM PRISON 003.001 , Incentive Date for dates that must be used when changing the receipt date entry on PUPS to an earlier receipt date.)

  • •

    Check the conviction date. If the conviction date is blank or incorrect, add the conviction date to the PUPS record. The conviction date should reflect the date the individual was found guilty as charged in a criminal trial; guilty plea was accepted; parole or probation was officially revoked, or the date of an NGRI court order for confinement to a mental institution was issued for this period of confinement.

    NOTE: For NGRIs, Incompetent to Stand Trial Individuals and Sexual Predators, the date of conviction should be equal to the date of the court order for confinement or the date of confinement to the institution after the commitment order was issued by the court, use whichever date is later.

  • •

    Check the ACTION EFFECTIVE DATE. Add or correct the ACTION EFFECTIVE DATE to equal the date the new suspension should begin. This date should reflect the date the individual was found guilty as charged in a criminal trial; a guilty plea was accepted; parole or probation was revoked; or the date of an NGRI court order for confinement to a mental institution; or, the beginning date of confinement in the correctional or mental institution after the individual was found guilty as charged in a criminal trial; a guilty plea was accepted; parole or probation was revoked; or the date of an NGRI court order for confinement to a mental institution was issued, choose whichever date occurs later.

  • •

    Add the REMARK to the PU02 screen: “PUPS Earlier DOC (Date of Conviction/Confinement) Exclusion--Continuous Period of Suspension - FAX TO PC MM/DD/YYYY.”

  • •

    Prepare 2790-FAX form to send to the PC/OCO-ODO for manual suspension processing. Add remark to the 2790-FAX form, “PUPS Earlier DOC (Conviction/Confinement) Exclusion—Continuous Period of Suspension.” (For processing instructions on SSA-2790-FAX processing, see GN 02607.995.)

    NOTE: A manual incentive payment is not payable for this earlier period of conviction/confinement to a different facility unless the receipt date for the earlier period of conviction/confinement is a date that is earlier than the receipt date for the current or later PUPS conviction/confinement record. If the receipt date on the earlier period of conviction/confinement precedes the current or later conviction/confinement receipt date on the PUPS record and the facility on the earlier period of conviction/confinement is eligible to receive an incentive payment for this earlier conviction/confinement (see GN 02607.800C. for the rules in determining if a facility is eligible for an incentive payment) report, forward the case to your RPC to process per GN 02607.830B.

b. PC/OCO-ODO processing

When additional inmate data is received for a continuous period of conviction/confinement to different correctional/mental facility, annotate the PUPS PENDING record as follows.

  • •

    Update the existing PUPS record (PUO2 Screen) with a “2 - CLEAR CONTROL - NO SUSPENSION” action.

  • •

    Check the receipt date on the PUPS record to make sure it reflects the date that SSA received the report of conviction and confinement for the beneficiary that causes SSA to suspend the title II benefit. If the receipt date currently on PUPS was annotated from the beneficiary's previous arrest (without a conviction), update the receipt date to equal the date that SSA received the conviction and confinement information. (See MSOM PRISON 003.001 , Incentive Date for dates that must be used when changing the receipt date entry on PUPS to an earlier receipt date.)

  • •

    Check the conviction date. If the conviction date is blank, add the conviction date to the PUPS record. The conviction date should reflect the date the individual was found guilty as charged in a criminal trial; guilty plea was accepted; parole or probation was officially revoked, or the date of an NGRI court order for confinement to a mental institution was issued for this period of confinement.

    NOTE: For NGRIs, Incompetent to Stand Trial Individuals and Sexual Predators, the date of conviction should be equal to the date of the court order for confinement or the date of confinement to the institution after the commitment order was issued by the court, use whichever date is later.

  • •

    Check the ACTION EFFECTIVE DATE. Add or correct the ACTION EFFECTIVE DATE to equal the date the new suspension should begin. This date should reflect the date the individual was found guilty as charged in a criminal trial; a guilty plea was accepted; parole or probation was revoked; or the date of an NGRI court order for confinement to a mental institution; or, the beginning date of confinement in the correctional or mental institution after the individual was found guilty as charged in a criminal trial; a guilty plea was accepted; parole or probation was revoked; or the date of an NGRI court order for confinement to a mental institution was issued, choose whichever date occurs later.

  • •

    Suspend the benefits S7 on the MBR via MADCAP/MACADE for the appropriate period of suspension. Add the RFST of “PRISON” for a prisoner, “MENTAL” for an NGRI or “PREDTR” for a sexually dangerous person.

  • •

    Check to make sure that the FO added the REMARK to the PU02 screen: “PUPS Earlier DOC (Conviction/Confinement) Exclusion--Continuous Period of Suspension - FAX TO PC MM/DD/YYYY.” If this remark is not present, add the remark to the PUO2 screen.

4. Earlier conviction/confinement period NOT continuous through current conviction/confinement period--closed period of conviction/confinement applies--different facilities involved

a. FO processing

When additional inmate data is received for a closed period of conviction/confinement to a different correctional/mental facility, annotate the PUPS PENDING record as follows.

  • •

    Update the existing PUPS record (PUO2 Screen) with a “1 - SUSPENSION” action.

  • •

    Check the receipt date on the PUPS record to make sure it reflects the date that SSA received the report of conviction and confinement for the beneficiary that causes SSA to suspend the title II benefit earlier. If the receipt date currently on PUPS was annotated from the beneficiary's previous arrest (without a conviction), update the receipt date to equal the date that SSA received the conviction and confinement information. (See MSOM PRISON 003.001 , Incentive Date for dates that must be used when changing the receipt date entry on PUPS to an earlier receipt date.)

  • •

    Check the conviction date. If the conviction date is blank or incorrect, add the conviction date to the PUPS record. The conviction date should reflect the date the individual was found guilty as charged in a criminal trial; guilty plea was accepted; parole or probation was officially revoked, or the date of an NGRI court order for confinement to a mental institution was issued for this period of confinement.

    NOTE: For NGRIs, Incompetent to Stand Trial Individuals and Sexual Predators, the date of conviction should be equal to the date of the court order for confinement or the date of confinement to the institution after the commitment order was issued by the court, use whichever date is later.

  • •

    Check the ACTION EFFECTIVE DATE. Add or correct the ACTION EFFECTIVE DATE to equal the date the new suspension should begin. This date should reflect the date the individual was found guilty as charged in a criminal trial; a guilty plea was accepted; parole or probation was revoked; or the date of an NGRI court order for confinement to a mental institution; or, the beginning date of confinement in the correctional or mental institution after the individual was found guilty as charged in a criminal trial; a guilty plea was accepted; parole or probation was revoked; or the date of an NGRI court order for confinement to a mental institution was issued, choose whichever date occurs later.

  • •

    Add the RELEASED DATE for this period of suspension to the PUPS PENDING record.

  • •

    Add the REMARK to the PU02 screen: “Closed Period of Earlier Conviction/Confinement Suspension Case.”

b. PC/OCO-ODO processing

When inmate data is received for a closed period of suspension, annotate the PUPS PENDING record as follows.

  • •

    Update the existing PUPS record (PUO2 Screen) with a “1 – SUSPENSION” action.

  • •

    Check the receipt date on the PUPS record to make sure it reflects the date that SSA received the report of conviction and confinement for the beneficiary that causes SSA to suspend the title II benefit. If the receipt date currently on PUPS was annotated from the beneficiary's previous arrest (without a conviction), update the receipt date to equal the date that SSA received the conviction and confinement information. (See MSOM PRISON 003.001 , Incentive Date for dates that must be used when changing the receipt date entry on PUPS to an earlier receipt date.)

  • •

    Check the conviction date. If the conviction date is blank or incorrect, add the conviction date to the PUPS record. The conviction date should reflect the date the individual was found guilty as charged in a criminal trial; guilty plea was accepted; parole or probation was officially revoked, or the date of an NGRI court order for confinement to a mental institution was issued for this period of confinement.

    NOTE: For NGRIs, Incompetent to Stand Trial Individuals and Sexual Predators, the date of conviction should be equal to the date of the court order for confinement or the date of confinement to the institution after the commitment order was issued by the court, use whichever date is later.

  • •

    Check the ACTION EFFECTIVE DATE. Add or correct the ACTION EFFECTIVE DATE to equal the date the new suspension should begin. This date should reflect the date the individual was found guilty as charged in a criminal trial; a guilty plea was accepted; parole or probation was revoked; or the date of an NGRI court order for confinement to a mental institution; or, the beginning date of confinement in the correctional or mental institution after the individual was found guilty as charged in a criminal trial; a guilty plea was accepted; parole or probation was revoked; or the date of an NGRI court order for confinement to a mental institution was issued, choose whichever date occurs later.

  • •

    Add the “RELEASED DATE” to the PUPS record to reflect the date the inmate was officially released from the correctional/mental institution for this period of confinement.

  • •

    Add the REMARK to the PU02 screen: “Closed Period of Earlier Conviction/Confinement Suspension Case.”

E. Changing date of conviction/confinement to later date on MBR and PUPS

1. Comparing later conviction/confinement information to existing PUPS record

Check for the following data fields on the MBR and the current PUPS record and compare these fields to the later conviction/confinement information that SSA has received in order to determine how to process the case.

Master Beneficiary Record (MBR)

The beneficiary's payment history on the current MBR will reflect LAF S7 for the date of suspension that SSA received for the beneficiary that correlates to the current PUPS record for the period of conviction/confinement. The RFST on the BENEFIT field of the MBR will reflect, “PRISON,” “MENTAL,” or “PREDTR.”

THE PRSNDATA entries on the MBR summarize all prisoner information on the MBR including start and stop dates for all periods of suspension and the type of confinement. These entries must be compared to the corresponding PUPS records.

PUPS

The current PUPS record should show on the P2QY screen, the status of: SUSPENSION, the date the status was posted, the action effective date, the T2 notice date; and, it will include the appropriate original PUPS confinement information (report date, receipt date, reporter ID, facility ID, confinement date, conviction date, inmate number) and corresponding Incentive Payment information (incentive payment amount, incentive payment selection date, paid to facility ID).

NOTE: If the resulting action on the PUPS record is not “SUSPENSION,” on the P2QY screen, the PUPS record could be a PUPS exclusion. Entries identifying the PUPS record as a PUPS exclusion case can be found on the PUPS REMARKS screen.

When comparing the new later period of conviction/confinement information to the current MBR and PUPS information, you must determine, based on the new later conviction/confinement information and your review of the existing PUPS record and the MBR suspension period, how to properly annotate the existing PUPS record with the later date of conviction/confinement information and how to correct the MBR record, if necessary.

NOTE: You will not pay an incentive payment on this later date of conviction/confinement. See GN 02607.800B. for information on when to pay incentive payments. If an incentive payment has already been paid on the current PUPS record and the incentive payment was paid in error, see GN 02607.830B. for instructions on processing.

2. Evaluation of the comparison of later date of conviction/confinement information to current PUPS record and MBR

Compare the current MBR and the correlating PUPS record to the information received by SSA (based on the development done on the case or information received by a third party source) for the later period of conviction/confinement. PUPS will not create a PENDING record for a later date of conviction/confinement period for a beneficiary when the beneficiary is already in suspense status. After comparing the periods of conviction/confinement, evaluate the information as indicated below:

NOTE: When processing a later period of confinement, in some instances you may find that the beneficiary was confined at the same correctional facility annotated to the current PUPS record or, that the beneficiary was confined at a different facility than annotated to the current PUPS record. Where the inmate was confined is not relevant to paying an incentive payment on a later period of confinement case. SSA will generally not pay an incentive payment for a later period of confinement because the later period of confinement information was received after the benefits have already been suspended LAF S7. See GN 02607.800C. for the rules governing payment of incentive payments.

3. Later conviction/confinement period

a. FO processing

When additional inmate data is received for a later period of conviction/confinement to the same correctional facility: annotate the PUPS record as follows.

  • •

    Update the existing PUPS record (PUO2 Screen) with a “6 – CHANGE INFORMATION ONLY” action.

  • •

    Check the receipt date on the PUPS record to make sure it reflects the date that SSA received the later report of conviction and confinement for the beneficiary that causes SSA to correct the effective date of the title II benefits. If the receipt date currently on PUPS was annotated from the beneficiary's previous arrest (without a conviction), update the receipt date to equal the date that SSA received the correct conviction and confinement information.

  • •

    Check the conviction date. If the conviction date is blank or incorrect, add the conviction date to the PUPS record in the CONVICTION DATE field. The conviction date should reflect the date the individual was found guilty as charged in a criminal trial; a guilty plea was accepted; parole or probation was officially revoked, or the date of an NGRI court order for confinement to a mental institution was issued for this period of confinement.

    NOTE: For NGRIs, Incompetent to Stand Trial Individuals and Sexual Predators, the date of conviction should be equal to the date of the court order for confinement or the date of confinement to the institution after the commitment order was issued by the court, use whichever date is later.

  • •

    Check the ACTION EFFECTIVE DATE. Correct the ACTION EFFECTIVE DATE to equal the date of the new suspension should begin. This date should reflect the date the individual was found guilty as charged in a criminal trial; a guilty plea was accepted; parole or probation was revoked; or the date of an NGRI court order for confinement to a mental institution; or, the beginning date of confinement in the correctional or mental institution after the individual was found guilty as charged in a criminal trial; a guilty plea was accepted; parole or probation was revoked; or the date of an NGRI court order for confinement to a mental institution was issued, choose whichever date occurs later.

  • •

    Add the REMARK to the PU02 screen: “PUPS Automated Process Exclusion--Later Period of Suspension - FAX TO PC MM/DD/YYYY.” The FO will annotate the PRMK screen for the PUPS record with the remark: “PUPS Later DOC (Date of Conviction/Confinement) Exclusion—Date of Confinement/Conviction MM/DD/YY changed to MM/DD/YY based on new report received from . . . ."

  • •

    Prepare 2790-FAX form to send to the PSC/OCO-ODO for manual suspension processing to annotate the later date of conviction/confinement. Notify the PSC/OCOC-ODO which months should be removed from S7 suspension status. (For processing instructions on SSA-2790-FAX processing, see GN 02607.995.)

b. PC/OCO-ODO processing

When inmate data is received for a later period of conviction/confinement, annotate the PUPS record as follows:

  • •

    Update the existing PUPS record (PUO2 Screen) with a “6 – CHANGE INFORMATION ONLY” action.

  • •

    Check the receipt date on the PUPS record to make sure it reflects the date that SSA received the later report of conviction and confinement for the beneficiary that causes SSA to suspend the title II benefit. If the receipt date currently on PUPS was annotated from the beneficiary's previous arrest (without a conviction), update the receipt date to equal the date that SSA received the later conviction and confinement information.

  • •

    Check the conviction date. If the conviction date is blank or incorrect, add the conviction date to the PUPS record in the CONVICTION DATE field. The conviction date should reflect the date the individual was found guilty as charged in a criminal trial; guilty plea was accepted; parole or probation was officially revoked, or the date of an NGRI court order for confinement to a mental institution was issued for this period of confinement.

    NOTE: For NGRIs, Incompetent to Stand Trial Individuals and Sexual Predators, the date of conviction should be equal to the date of the court order for confinement or the date of confinement to the institution after the commitment order was issued by the court, use whichever date is later.

  • •

    Check the ACTION EFFECTIVE DATE. Correct the ACTION EFFECTIVE DATE to equal the date of the new suspension should begin. This date should reflect the date the individual was found guilty as charged in a criminal trial; a guilty plea was accepted; parole or probation was revoked; or the date of an NGRI court order for confinement to a mental institution; or, the beginning date of confinement in the correctional or mental institution after the individual was found guilty as charged in a criminal trial; a guilty plea was accepted; parole or probation was revoked; or the date of an NGRI court order for confinement to a mental institution was issued, choose whichever date occurs later.

  • •

    Add the REMARK to the PU02 screen: “PUPS Automated Process Exclusion--Later DOC (Date of Conviction/Confinement) Exclusion—Date of Confinement/Conviction MM/DD/YY changed to MM/DD/YY based on new report received from . . . .”

  • •

    Suspend the benefits S7 on the MBR via MADCAP/MACADE for the appropriate later period of suspension. Add the RFST of “PRISON” for a prisoner, “MENTAL” for an NGRI or “PREDTR” for a sexually dangerous person.

To Link to this section - Use this URL:
http://policy.ssa.gov/poms.nsf/lnx/0202607740
GN 02607.740 - PUPS Automated Processing Exclusions - 04/26/2023
Batch run: 04/26/2023
Rev:04/26/2023