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[Laws in effect as of January 24, 2002]
[Document not affected by Public Laws enacted between
  January 24, 2002 and December 19, 2002]
[CITE: 42USC421]

 
                 TITLE 42--THE PUBLIC HEALTH AND WELFARE
 
                       CHAPTER 7--SOCIAL SECURITY
 
  SUBCHAPTER II--FEDERAL OLD-AGE, SURVIVORS, AND DISABILITY INSURANCE 
                                BENEFITS
 
Sec. 421. Disability determinations


(a) State agencies

    (1) In the case of any individual, the determination of whether or 
not he is under a disability (as defined in section 416(i) or 423(d) of 
this title) and of the day such disability began, and the determination 
of the day on which such disability ceases, shall be made by a State 
agency, notwithstanding any other provision of law, in any State that 
notifies the Commissioner of Social Security in writing that it wishes 
to make such disability determinations commencing with such month as the 
Commissioner of Social Security and the State agree upon, but only if 
(A) the Commissioner of Social Security has not found, under subsection 
(b)(1) of this section, that the State agency has substantially failed 
to make disability determinations in accordance with the applicable 
provisions of this section or rules issued thereunder, and (B) the State 
has not notified the Commissioner of Social Security, under subsection 
(b)(2) of this section, that it does not wish to make such 
determinations. If the Commissioner of Social Security once makes the 
finding described in clause (A) of the preceding sentence, or the State 
gives the notice referred to in clause (B) of such sentence, the 
Commissioner of Social Security may thereafter determine whether (and, 
if so, beginning with which month and under what conditions) the State 
may again make disability determinations under this paragraph.
    (2) The disability determinations described in paragraph (1) made by 
a State agency shall be made in accordance with the pertinent provisions 
of this subchapter and the standards and criteria contained in 
regulations or other written guidelines of the Commissioner of Social 
Security pertaining to matters such as disability determinations, the 
class or classes of individuals with respect to which a State may make 
disability determinations (if it does not wish to do so with respect to 
all individuals in the State), and the conditions under which it may 
choose not to make all such determinations. In addition, the 
Commissioner of Social Security shall promulgate regulations specifying, 
in such detail as the Commissioner deems appropriate, performance 
standards and administrative requirements and procedures to be followed 
in performing the disability determination function in order to assure 
effective and uniform administration of the disability insurance program 
throughout the United States. The regulations may, for example, specify 
matters such as--
        (A) the administrative structure and the relationship between 
    various units of the State agency responsible for disability 
    determinations,
        (B) the physical location of and relationship among agency staff 
    units, and other individuals or organizations performing tasks for 
    the State agency, and standards for the availability to applicants 
    and beneficiaries of facilities for making disability 
    determinations,
        (C) State agency performance criteria, including the rate of 
    accuracy of decisions, the time periods within which determinations 
    must be made, the procedures for and the scope of review by the 
    Commissioner of Social Security, and, as the Commissioner finds 
    appropriate, by the State, of its performance in individual cases 
    and in classes of cases, and rules governing access of appropriate 
    Federal officials to State offices and to State records relating to 
    its administration of the disability determination function,
        (D) fiscal control procedures that the State agency may be 
    required to adopt, and
        (E) the submission of reports and other data, in such form and 
    at such time as the Commissioner of Social Security may require, 
    concerning the State agency's activities relating to the disability 
    determination.

Nothing in this section shall be construed to authorize the Commissioner 
of Social Security to take any action except pursuant to law or to 
regulations promulgated pursuant to law.

(b) Determinations by Commissioner

    (1) If the Commissioner of Social Security finds, after notice and 
opportunity for a hearing, that a State agency is substantially failing 
to make disability determinations in a manner consistent with the 
Commissioner's regulations and other written guidelines, the 
Commissioner of Social Security shall, not earlier than 180 days 
following the Commissioner's finding, and after the Commissioner has 
complied with the requirements of paragraph (3), make the disability 
determinations referred to in subsection (a)(1) of this section.
    (2) If a State, having notified the Commissioner of Social Security 
of its intent to make disability determinations under subsection (a)(1) 
of this section, no longer wishes to make such determinations, it shall 
notify the Commissioner of Social Security in writing of that fact, and, 
if an agency of the State is making disability determinations at the 
time such notice is given, it shall continue to do so for not less than 
180 days, or (if later) until the Commissioner of Social Security has 
complied with the requirements of paragraph (3). Thereafter, the 
Commissioner of Social Security shall make the disability determinations 
referred to in subsection (a)(1) of this section.
    (3)(A) The Commissioner of Social Security shall develop and 
initiate all appropriate procedures to implement a plan with respect to 
any partial or complete assumption by the Commissioner of Social 
Security of the disability determination function from a State agency, 
as provided in this section, under which employees of the affected State 
agency who are capable of performing duties in the disability 
determination process for the Commissioner of Social Security shall, 
notwithstanding any other provision of law, have a preference over any 
other individual in filling an appropriate employment position with the 
Commissioner of Social Security (subject to any system established by 
the Commissioner of Social Security for determining hiring priority 
among such employees of the State agency) unless any such employee is 
the administrator, the deputy administrator, or assistant administrator 
(or his equivalent) of the State agency, in which case the Commissioner 
of Social Security may accord such priority to such employee.
    (B) The Commissioner of Social Security shall not make such 
assumption of the disability determination function until such time as 
the Secretary of Labor determines that, with respect to employees of 
such State agency who will be displaced from their employment on account 
of such assumption by the Commissioner of Social Security and who will 
not be hired by the Commissioner of Social Security to perform duties in 
the disability determination process, the State has made fair and 
equitable arrangements to protect the interests of employees so 
displaced. Such protective arrangements shall include only those 
provisions which are provided under all applicable Federal, State and 
local statutes including, but not limited to, (i) the preservation of 
rights, privileges, and benefits (including continuation of pension 
rights and benefits) under existing collective-bargaining agreements; 
(ii) the continuation of collective-bargaining rights; (iii) the 
assignment of affected employees to other jobs or to retraining 
programs; (iv) the protection of individual employees against a 
worsening of their positions with respect to their employment; (v) the 
protection of health benefits and other fringe benefits; and (vi) the 
provision of severance pay, as may be necessary.

(c) Review of determination by Commissioner

    (1) The Commissioner of Social Security may on the Commissioner's 
own motion or as required under paragraphs (2) and (3) review a 
determination, made by a State agency under this section, that an 
individual is or is not under a disability (as defined in section 416(i) 
or 423(d) of this title) and, as a result of such review, may modify 
such agency's determination and determine that such individual either is 
or is not under a disability (as so defined) or that such individual's 
disability began on a day earlier or later than that determined by such 
agency, or that such disability ceased on a day earlier or later than 
that determined by such agency. A review by the Commissioner of Social 
Security on the Commissioner's own motion of a State agency 
determination under this paragraph may be made before or after any 
action is taken to implement such determination.
    (2) The Commissioner of Social Security (in accordance with 
paragraph (3)) shall review determinations, made by State agencies 
pursuant to this section, that individuals are under disabilities (as 
defined in section 416(i) or 423(d) of this title). Any review by the 
Commissioner of Social Security of a State agency determination under 
this paragraph shall be made before any action is taken to implement 
such determination.
    (3)(A) In carrying out the provisions of paragraph (2) with respect 
to the review of determinations made by State agencies pursuant to this 
section that individuals are under disabilities (as defined in section 
416(i) or 423(d) of this title), the Commissioner of Social Security 
shall review--
        (i) at least 50 percent of all such determinations made by State 
    agencies on applications for benefits under this subchapter, and
        (ii) other determinations made by State agencies pursuant to 
    this section to the extent necessary to assure a high level of 
    accuracy in such other determinations.

    (B) In conducting reviews pursuant to subparagraph (A), the 
Commissioner of Social Security shall, to the extent feasible, select 
for review those determinations which the Commissioner of Social 
Security identifies as being the most likely to be incorrect.
    (C) Not later than April 1, 1992, and annually thereafter, the 
Commissioner of Social Security shall submit to the Committee on Ways 
and Means of the House of Representatives and the Committee on Finance 
of the Senate a written report setting forth the number of reviews 
conducted under subparagraph (A)(ii) during the preceding fiscal year 
and the findings of the Commissioner of Social Security based on such 
reviews of the accuracy of the determinations made by State agencies 
pursuant to this section.

(d) Hearings and judicial review

    Any individual dissatisfied with any determination under subsection 
(a), (b), (c), or (g) of this section shall be entitled to a hearing 
thereon by the Commissioner of Social Security to the same extent as is 
provided in section 405(b) of this title with respect to decisions of 
the Commissioner of Social Security, and to judicial review of the 
Commissioner's final decision after such hearing as is provided in 
section 405(g) of this title.

(e) State's right to cost from Trust Funds

    Each State which is making disability determinations under 
subsection (a)(1) of this section shall be entitled to receive from the 
Trust Funds, in advance or by way of reimbursement, as determined by the 
Commissioner of Social Security, the cost to the State of making 
disability determinations under subsection (a)(1) of this section. The 
Commissioner of Social Security shall from time to time certify such 
amount as is necessary for this purpose to the Managing Trustee, reduced 
or increased, as the case may be, by any sum (for which adjustment 
hereunder has not previously been made) by which the amount certified 
for any prior period was greater or less than the amount which should 
have been paid to the State under this subsection for such period; and 
the Managing Trustee, prior to audit or settlement by the General 
Accounting Office, shall make payment from the Trust Funds at the time 
or times fixed by the Commissioner of Social Security, in accordance 
with such certification. Appropriate adjustments between the Federal 
Old-Age and Survivors Insurance Trust Fund and the Federal Disability 
Insurance Trust Fund with respect to the payments made under this 
subsection shall be made in accordance with paragraph (1) of subsection 
(g) of section 401 of this title (but taking into account any refunds 
under subsection (f) of this section) to insure that the Federal 
Disability Insurance Trust Fund is charged with all expenses incurred 
which are attributable to the administration of section 423 of this 
title and the Federal Old-Age and Survivors Insurance Trust Fund is 
charged with all other expenses.

(f) Use of funds

    All money paid to a State under this section shall be used solely 
for the purposes for which it is paid; and any money so paid which is 
not used for such purposes shall be returned to the Treasury of the 
United States for deposit in the Trust Funds.

(g) Regulations governing determinations in certain cases

    In the case of individuals in a State which does not undertake to 
perform disability determinations under subsection (a)(1) of this 
section, or which has been found by the Commissioner of Social Security 
to have substantially failed to make disability determinations in a 
manner consistent with the Commissioner's regulations and guidelines, in 
the case of individuals outside the United States, and in the case of 
any class or classes of individuals for whom no State undertakes to make 
disability determinations, the determinations referred to in subsection 
(a) of this section shall be made by the Commissioner of Social Security 
in accordance with regulations prescribed by the Commissioner.

(h) Evaluation of mental impairments by qualified medical professionals

    An initial determination under subsection (a), (c), (g), or (i) of 
this section that an individual is not under a disability, in any case 
where there is evidence which indicates the existence of a mental 
impairment, shall be made only if the Commissioner of Social Security 
has made every reasonable effort to ensure that a qualified psychiatrist 
or psychologist has completed the medical portion of the case review and 
any applicable residual functional capacity assessment.

(i) Review of disability cases to determine continuing eligibility; 
        permanent disability cases; appropriate number of cases 
        reviewed; reporting requirements

    (1) In any case where an individual is or has been determined to be 
under a disability, the case shall be reviewed by the applicable State 
agency or the Commissioner of Social Security (as may be appropriate), 
for purposes of continuing eligibility, at least once every 3 years, 
subject to paragraph (2); except that where a finding has been made that 
such disability is permanent, such reviews shall be made at such times 
as the Commissioner of Social Security determines to be appropriate. 
Reviews of cases under the preceding sentence shall be in addition to, 
and shall not be considered as a substitute for, any other reviews which 
are required or provided for under or in the administration of this 
subchapter.
    (2) The requirement of paragraph (1) that cases be reviewed at least 
every 3 years shall not apply to the extent that the Commissioner of 
Social Security determines, on a State-by-State basis, that such 
requirement should be waived to insure that only the appropriate number 
of such cases are reviewed. The Commissioner of Social Security shall 
determine the appropriate number of cases to be reviewed in each State 
after consultation with the State agency performing such reviews, based 
upon the backlog of pending reviews, the projected number of new 
applications for disability insurance benefits, and the current and 
projected staffing levels of the State agency, but the Commissioner of 
Social Security shall provide for a waiver of such requirement only in 
the case of a State which makes a good faith effort to meet proper 
staffing requirements for the State agency and to process case reviews 
in a timely fashion. The Commissioner of Social Security shall report 
annually to the Committee on Finance of the Senate and the Committee on 
Ways and Means of the House of Representatives with respect to the 
determinations made by the Commissioner of Social Security under the 
preceding sentence.
    (3) The Commissioner of Social Security shall report annually to the 
Committee on Finance of the Senate and the Committee on Ways and Means 
of the House of Representatives with respect to the number of reviews of 
continuing disability carried out under paragraph (1), the number of 
such reviews which result in an initial termination of benefits, the 
number of requests for reconsideration of such initial termination or 
for a hearing with respect to such termination under subsection (d) of 
this section, or both, and the number of such initial terminations which 
are overturned as the result of a reconsideration or hearing.
    (4) In any case in which the Commissioner of Social Security 
initiates a review under this subsection of the case of an individual 
who has been determined to be under a disability, the Commissioner of 
Social Security shall notify such individual of the nature of the review 
to be carried out, the possibility that such review could result in the 
termination of benefits, and the right of the individual to provide 
medical evidence with respect to such review.
    (5) For suspension of reviews under this subsection in the case of 
an individual using a ticket to work and self-sufficiency, see section 
1320b-19(i) of this title.

(j) Rules and regulations; consultative examinations

    The Commissioner of Social Security shall prescribe regulations 
which set forth, in detail--
        (1) the standards to be utilized by State disability 
    determination services and Federal personnel in determining when a 
    consultative examination should be obtained in connection with 
    disability determinations;
        (2) standards for the type of referral to be made; and
        (3) procedures by which the Commissioner of Social Security will 
    monitor both the referral processes used and the product of 
    professionals to whom cases are referred.

Nothing in this subsection shall be construed to preclude the issuance, 
in accordance with section 553(b)(A) of title 5, of interpretive rules, 
general statements of policy, and rules of agency organization relating 
to consultative examinations if such rules and statements are consistent 
with such regulations.

(k) Establishment of uniform standards for determination of disability

    (1) The Commissioner of Social Security shall establish by 
regulation uniform standards which shall be applied at all levels of 
determination, review, and adjudication in determining whether 
individuals are under disabilities as defined in section 416(i) or 
423(d) of this title.
    (2) Regulations promulgated under paragraph (1) shall be subject to 
the rulemaking procedures established under section 553 of title 5.

(l) Special notice to blind individuals with respect to hearings and 
        other official actions

    (1) In any case where an individual who is applying for or receiving 
benefits under this subchapter on the basis of disability by reason of 
blindness is entitled to receive notice from the Commissioner of Social 
Security of any decision or determination made or other action taken or 
proposed to be taken with respect to his or her rights under this 
subchapter, such individual shall at his or her election be entitled 
either (A) to receive a supplementary notice of such decision, 
determination, or action, by telephone, within 5 working days after the 
initial notice is mailed, (B) to receive the initial notice in the form 
of a certified letter, or (C) to receive notification by some 
alternative procedure established by the Commissioner of Social Security 
and agreed to by the individual.
    (2) The election under paragraph (1) may be made at any time, but an 
opportunity to make such an election shall in any event be given, to 
every individual who is an applicant for benefits under this subchapter 
on the basis of disability by reason of blindness, at the time of his or 
her application. Such an election, once made by an individual, shall 
apply with respect to all notices of decisions, determinations, and 
actions which such individual may thereafter be entitled to receive 
under this subchapter until such time as it is revoked or changed.

(m) Work activity as basis for review

    (1) In any case where an individual entitled to disability insurance 
benefits under section 423 of this title or to monthly insurance 
benefits under section 402 of this title based on such individual's 
disability (as defined in section 423(d) of this title) has received 
such benefits for at least 24 months--
        (A) no continuing disability review conducted by the 
    Commissioner may be scheduled for the individual solely as a result 
    of the individual's work activity;
        (B) no work activity engaged in by the individual may be used as 
    evidence that the individual is no longer disabled; and
        (C) no cessation of work activity by the individual may give 
    rise to a presumption that the individual is unable to engage in 
    work.

    (2) An individual to which paragraph (1) applies shall continue to 
be subject to--
        (A) continuing disability reviews on a regularly scheduled basis 
    that is not triggered by work; and
        (B) termination of benefits under this subchapter in the event 
    that the individual has earnings that exceed the level of earnings 
    established by the Commissioner to represent substantial gainful 
    activity.

(Aug. 14, 1935, ch. 531, title II, Sec. 221, as added Sept. 1, 1954, ch. 
1206, title I, Sec. 106(g), 68 Stat. 1081; amended Aug. 1, 1956, ch. 
836, title I, Sec. 103(c)(7), (8), (h), 70 Stat. 818, 823; Pub. L. 90-
248, title I, Sec. 158(c)(3), (4), Jan. 2, 1968, 81 Stat. 869; Pub. L. 
96-265, title III, Secs. 304(a)-(f), 311(a), June 9, 1980, 94 Stat. 453-
456, 460; Pub. L. 97-455, Secs. 3(a), 6, Jan. 12, 1983, 96 Stat. 2499, 
2500; Pub. L. 98-369, div. B, title VI, Sec. 2663(a)(14), July 18, 1984, 
98 Stat. 1164; Pub. L. 98-460, Secs. 6(a), 8(a), 9(a)(1), 10(a), 17(a), 
Oct. 9, 1984, 98 Stat. 1802, 1804, 1805, 1811; Pub. L. 99-514, title 
XVIII, Sec. 1883(a)(9), Oct. 22, 1986, 100 Stat. 2916; Pub. L. 100-647, 
title VIII, Sec. 8012(a), Nov. 10, 1988, 102 Stat. 3789; Pub. L. 101-
239, title X, Sec. 10306(a)(1), Dec. 19, 1989, 103 Stat. 2484; Pub. L. 
101-508, title V, Sec. 5128(a), Nov. 5, 1990, 104 Stat. 1388-286; Pub. 
L. 103-296, title I, Sec. 107(a)(4), Aug. 15, 1994, 108 Stat. 1478; Pub. 
L. 106-170, title I, Secs. 101(b)(1)(A), 111(a), Dec. 17, 1999, 113 
Stat. 1873, 1881.)


                            Prior Provisions

    A prior section 421, act Aug. 14, 1935, ch. 531, title II, Sec. 221, 
as added July 18, 1952, ch. 945, Sec. 3(e), 66 Stat. 772; amended by 
1953 Reorg. Plan No. 1, Sec. 5, eff. Apr. 11, 1953, 18 F.R. 2053, 67 
Stat. 631, relating to disability determinations, ceased to be in effect 
at the close of June 30, 1953. See section 3(g) of act July 18, 1952, 
set out as an Effective and Termination Date of 1952 Amendment note 
under section 413 of this title.


                               Amendments

    1999--Subsec. (i)(5). Pub. L. 106-170, Sec. 101(b)(1)(A), added par. 
(5).
    Subsec. (m). Pub. L. 106-170, Sec. 111(a), added subsec. (m).
    1994--Pub. L. 103-296 substituted ``Commissioner of Social 
Security'' for ``Secretary'' wherever appearing except where appearing 
before ``of Labor'' in subsec. (b)(3)(B) and substituted ``the 
Commissioner deems'' for ``he deems'' and ``the Commissioner finds'' for 
``he finds'' in subsec. (a)(2), ``the Commissioner's'' for ``his'' 
wherever appearing in subsecs. (b)(1), (c)(1), and (g), ``the 
Commissioner has complied'' for ``he has complied'' in subsec. (b)(1), 
``Commissioner's'' for ``Secretary's'' in subsec. (d), and ``prescribed 
by the Commissioner'' for ``prescribed by him'' in subsec. (g).
    1990--Subsec. (c)(3). Pub. L. 101-508 amended par. (3) generally. 
Prior to amendment, par. (3) read as follows: ``In carrying out the 
provisions of paragraph (2) with respect to the review of 
determinations, made by State agencies pursuant to this section, that 
individuals are under disabilities (as defined in section 416(i) or 
423(d) of this title), the Secretary shall review--
        ``(A) at least 15 percent of all such determinations made by 
    State agencies in the fiscal year 1981,
        ``(B) at least 35 percent of all such determinations made by 
    State agencies in the fiscal year 1982, and
        ``(C) at least 65 percent of all such determinations made by 
    State agencies in any fiscal year after the fiscal year 1982.''
    1989--Subsec. (l). Pub. L. 101-239 added subsec. (l).
    1988--Subsec. (i)(3). Pub. L. 100-647 substituted ``semiannually'' 
for ``annually''.
    1986--Subsec. (e). Pub. L. 99-514 struck out ``under this section'' 
before ``shall be entitled''.
    1984--Subsec. (a)(1)(A). Pub. L. 98-460, Sec. 17(a)(2), (b), 
temporarily substituted ``subsection (b)(1)(C) of this section'' for 
``subsection (b)(1) of this section''. See Effective and Termination 
Dates of 1984 Amendments note below.
    Subsec. (b)(1). Pub. L. 98-460, Sec. 17(a)(1), (b), temporarily 
amended par. (1) generally. Prior to amendment, par. (1) read as 
follows: ``If the Secretary finds, after notice and opportunity for a 
hearing, that a State agency is substantially failing to make disability 
determinations in a manner consistent with his regulations and other 
written guidelines, the Secretary shall, not earlier than 180 days 
following his finding, and after he has complied with the requirements 
of paragraph (3), make the disability determinations referred to in 
subsection (a)(1) of this section.'' See Effective and Termination Dates 
of 1984 Amendments note below.
    Subsec. (b)(3). Pub. L. 98-460, Sec. 17(a)(3), (b), temporarily 
substituted ``Except as provided in subparagraph (D)(i) of paragraph 
(1), the Secretary'' for ``The Secretary'' in subpars. (A) and (B). See 
Effective and Termination Dates of 1984 Amendments note below.
    Subsec. (d). Pub. L. 98-460, Sec. 17(a)(4), (b), temporarily 
substituted ``Except as provided in subsection (b)(1)(D) of this 
section, any individual'' for ``Any individual''. See Effective and 
Termination Dates of 1984 Amendments note below.
    Subsec. (e). Pub. L. 98-369 substituted ``Federal Disability 
Insurance Trust Fund is charged'' for ``Federal Disability Trust Fund is 
charged''.
    Subsec. (h). Pub. L. 98-460, Sec. 8(a), added subsec. (h).
    Subsec. (i)(4). Pub. L. 98-460, Sec. 6(a), added par. (4).
    Subsec. (j). Pub. L. 98-460, Sec. 9(a)(1), added subsec. (j).
    Subsec. (k). Pub. L. 98-460, Sec. 10(a), added subsec. (k).
    1983--Subsec. (i). Pub. L. 97-455 designated existing provisions as 
par. (1), inserted ``, subject to paragraph (2)'' after ``at least once 
every 3 years'', and added pars. (2) and (3).
    1980--Subsec. (a). Pub. L. 96-265, Sec. 304(a), completely revised 
provisions under which determinations are to be made by State agencies.
    Subsec. (b). Pub. L. 96-265, Sec. 304(b), substituted provisions 
covering the making of disability determinations by the Secretary rather 
than by the State for provisions relating to agreements between the 
Secretary and the State under which the State would make disability 
determinations.
    Subsec. (c). Pub. L. 96-265, Sec. 304(c), designated existing 
provisions as par. (1), inserted provision that a review by the 
Secretary on his own motion of a State agency determination may be made 
before or after any action is taken to implement that determination, and 
added pars. (2) and (3).
    Subsec. (d). Pub. L. 96-265, Sec. 304(d), substituted ``subsection 
(a), (b), (c), or (g) of this section'' for ``subsection (a), (c), or 
(g) of this section''.
    Subsec. (e). Pub. L. 96-265, Sec. 304(e), substituted ``which is 
making disability determinations under subsection (a)(1)'' for ``which 
has an agreement with the Secretary'', substituted ``as determined by 
the Secretary'' for ``as may be mutually agreed upon'', and substituted 
``making disability determinations under subsection (a)(1)'' for 
``carrying out the agreement under this section''.
    Subsec. (g). Pub. L. 96-265, Sec. 304(f), substituted ``does not 
undertake to perform disability determinations under subsection (a)(1) 
of this section, or which has been found by the Secretary to have 
substantially failed to make disability determinations in a manner 
consistent with his regulations and guidelines'' for ``has no agreement 
under subsection (b) of this section'' and ``for whom no State 
undertakes to make disability determinations'' for ``not included in an 
agreement under subsection (b) of this section''.
    Subsec. (i). Pub. L. 96-265, Sec. 311(a), added subsec. (i).
    1968--Subsec. (a). Pub. L. 90-248, Sec. 158(c)(3), substituted in 
first sentence reference to ``423(d)'' for ``423(c)''.
    Subsec. (c). Pub. L. 90-248, Sec. 158(c)(4), substituted reference 
to ``423(d)'' for ``423(c)''.
    1956--Subsec. (a). Act Aug. 1, 1956, Sec. 103(c)(7), inserted 
reference to section 423(c) of this title.
    Subsec. (c). Act Aug. 1, 1956, Sec. 103(c)(8), restricted disability 
to definition of such term contained in section 416(i) or 423(c) of this 
title.
    Subsec. (e). Act Aug. 1, 1956, Sec. 103(h), substituted ``Trust 
Funds'' for ``Trust Fund'', and provided for adjustments between the 
Federal Old-Age and Survivors Insurance Trust Fund and the Federal 
Disability Insurance Trust Fund with respect to payments made under this 
subsection.
    Subsec. (f). Act Aug. 1, 1956, Sec. 103(h), substituted ``Trust 
Funds'' for ``Trust Fund''.


                    Effective Date of 1999 Amendment

    Amendment by section 101(b)(1)(A) of Pub. L. 106-170 effective with 
the first month following one year after Dec. 17, 1999, subject to 
section 101(d) of Pub. L. 106-170, see section 101(c) of Pub. L. 106-
170, set out as an Effective Date note under section 1320b-19 of this 
title.
    Pub. L. 106-170, title I, Sec. 111(b), Dec. 17, 1999, 113 Stat. 
1881, provided that: ``The amendment made by subsection (a) [amending 
this section] shall take effect on January 1, 2002.''


                    Effective Date of 1994 Amendment

    Amendment by Pub. L. 103-296 effective Mar. 31, 1995, see section 
110(a) of Pub. L. 103-296, set out as a note under section 401 of this 
title.


                    Effective Date of 1990 Amendment

    Section 5128(b) of Pub. L. 101-508 provided that: ``The amendment 
made by subsection (a) [amending this section] shall apply with respect 
to determinations made by State agencies in fiscal years after fiscal 
year 1990.''


                    Effective Date of 1989 Amendment

    Section 10306(a)(3) of Pub. L. 101-239 provided that: ``The 
amendment made by this section [amending this section] shall apply with 
respect to notices issued on or after July 1, 1990.''


                    Effective Date of 1988 Amendment

    Section 8012(b) of Pub. L. 100-647 provided that: ``The amendment 
made by this section [amending this section] shall apply to reports 
required to be submitted after the date of the enactment of this Act 
[Nov. 10, 1988].''


           Effective and Termination Dates of 1984 Amendments

    Section 8(c) of Pub. L. 98-460 provided that: ``The amendments made 
by this section [amending this section and section 1382c of this title] 
shall apply to determinations made after 60 days after the date of the 
enactment of this Act [Oct. 9, 1984].''
    Section 17(b) of Pub. L. 98-460 provided that: ``The amendments made 
by subsection (a) of this section [amending this section] shall become 
effective on the date of the enactment of this Act [Oct. 9, 1984] and 
shall expire on December 31, 1987. The provisions of the Social Security 
Act amended by subsection (a) of this section (as such provisions were 
in effect immediately before the date of the enactment of this Act) 
shall be effective after December 31, 1987.''
    Amendment by Pub. L. 98-369 effective July 18, 1984, but not to be 
construed as changing or affecting any right, liability, status, or 
interpretation which existed (under the provisions of law involved) 
before that date, see section 2664(b) of Pub. L. 98-369, set out as a 
note under section 401 of this title.


                    Effective Date of 1983 Amendment

    Section 3(b) of Pub. L. 97-455 provided that: ``The amendments made 
by subsection (a) [amending this section] shall become effective on the 
date of the enactment of this Act [Jan. 12, 1983].''


                    Effective Date of 1980 Amendment

    Section 304(h) of Pub. L. 96-265 provided that: ``The amendments 
made by subsections (a), (b), (d), (e), and (f) [amending this section] 
shall be effective beginning with the twelfth month following the month 
in which this Act is enacted [June 1980]. Any State that, on the 
effective date of the amendments made by this section, has in effect an 
agreement with the Secretary of Health and Human Services under section 
221(a) of the Social Security Act [subsec. (a) of this section] (as in 
effect prior to such amendments) will be deemed to have given to the 
Secretary the notice specified in section 221(a)(1) of such Act as 
amended by this section, in lieu of continuing such agreement in effect 
after the effective date of such amendments. Thereafter, a State may 
notify the Secretary in writing that it no longer wishes to make 
disability determinations, effective not less than 180 days after the 
notification is given.''
    Section 311(b) of Pub. L. 96-265 provided that: ``The amendment made 
by subsection (a) [amending this section] shall become effective on 
January 1, 1982.''


                    Effective Date of 1968 Amendment

    Amendment by Pub. L. 90-248 applicable with respect to application 
for disability insurance benefits under section 423 of this title and to 
disability determinations under section 416(i) of this title, see 
section 158(e) of Pub. L. 90-248, set out as a note under section 423 of 
this title.


         Election Under Subsection (l)(1) by Current Recipients

    Section 10306(a)(2) of Pub. L. 101-239 provided that: ``Not later 
than July 1, 1990, the Secretary of Health and Human Services shall 
provide every individual receiving benefits under title II of the Social 
Security Act [this subchapter] on the basis of disability by reason of 
blindness an opportunity to make an election under section 221(l)(1) of 
such Act [subsec. (l)(1) of this section] (as added by paragraph (1)).''


                 Moratorium on Mental Impairment Reviews

    Section 5 of Pub. L. 98-460 provided that:
    ``(a) The Secretary of Health and Human Services (hereafter in this 
section referred to as the `Secretary') shall revise the criteria 
embodied under the category `Mental Disorders' in the `Listing of 
Impairments' in effect on the date of the enactment of this Act [Oct. 9, 
1984] under appendix 1 to subpart P of part 404 of title 20 of the Code 
of Federal Regulations. The revised criteria and listings, alone and in 
combination with assessments of the residual functional capacity of the 
individuals involved, shall be designed to realistically evaluate the 
ability of a mentally impaired individual to engage in substantial 
gainful activity in a competitive workplace environment. Regulations 
establishing such revised criteria and listings shall be published no 
later than 120 days after the date of the enactment of this Act.
    ``(b)(1) Until such time as revised criteria have been established 
by regulation in accordance with subsection (a), no continuing 
eligibility review shall be carried out under section 221(i) of the 
Social Security Act [subsec. (i) of this section], or under the 
corresponding requirements established for disability determinations and 
reviews under title XVI of such Act [subchapter XVI of this chapter], 
with respect to any individual previously determined to be under a 
disability by reason of a mental impairment, if--
        ``(A) no initial decision on such review has been rendered with 
    respect to such individual prior to the date of the enactment of 
    this Act, or
        ``(B) an initial decision on such review was rendered with 
    respect to such individual prior to the date of the enactment of 
    this Act but a timely appeal from such decision was filed or was 
    pending on or after June 7, 1983.
For purposes of this paragraph and subsection (c)(1) the term 
`continuing eligibility review', when used to refer to a review of a 
previous determination of disability, includes any reconsideration of or 
hearing on the initial decision rendered in such review as well as such 
initial decision itself, and any review by the Appeals Council of the 
hearing decision.
    ``(2) Paragraph (1) shall not apply in any case where the Secretary 
determines that fraud was involved in the prior determination, or where 
an individual (other than an individual eligible to receive benefits 
under section 1619 of the Social Security Act [section 1382h of this 
title]) is determined by the Secretary to be engaged in substantial 
gainful activity (or gainful activity, in the case of a widow, surviving 
divorced wife, widower, or surviving divorced husband for purposes of 
section 202(e) and (f) of such Act [section 402(e), (f) of this title]).
    ``(c)(1) Any initial determination that an individual is not under a 
disability by reason of a mental impairment and any determination that 
an individual is not under a disability by reason of a mental impairment 
in a reconsideration of or hearing on an initial disability 
determination, made or held under title II or XVI of the Social Security 
Act [this subchapter or subchapter XVI of this chapter] after the date 
of the enactment of this Act [Oct. 9, 1984] and prior to the date on 
which revised criteria are established by regulation in accordance with 
subsection (a), and any determination that an individual is not under a 
disability by reason of a mental impairment made under or in accordance 
with title II or XVI of such Act in a reconsideration of, hearing on, 
review by the Appeals Council of, or judicial review of a decision 
rendered in any continuing eligibility review to which subsection (b)(1) 
applies, shall be redetermined by the Secretary as soon as feasible 
after the date on which such criteria are so established, applying such 
revised criteria.
    ``(2) In the case of a redetermination under paragraph (1) of a 
prior action which found that an individual was not under a disability, 
if such individual is found on redetermination to be under a disability, 
such redetermination shall be applied as though it had been made at the 
time of such prior action.
    ``(3) Any individual with a mental impairment who was found to be 
not disabled pursuant to an initial disability determination or a 
continuing eligibility review between March 1, 1981, and the date of the 
enactment of this Act [Oct. 9, 1984], and who reapplies for benefits 
under title II or XVI of the Social Security Act, may be determined to 
be under a disability during the period considered in the most recent 
prior determination. Any reapplication under this paragraph must be 
filed within one year after the date of the enactment of this Act, and 
benefits payable as a result of the preceding sentence shall be paid 
only on the basis of the reapplication.''


                   Institution of Notification System

    Section 6(c) of Pub. L. 98-460 provided that: ``The Secretary shall 
institute a system of notification required by the amendments made by 
subsections (a) and (b) [amending this section and section 1383b of this 
title] as soon as is practicable after the date of the enactment of this 
Act [Oct. 9, 1984].''


  Demonstration Projects; Opportunity for Personal Appearance Prior to 
      Disability Determinations; Report to Congressional Committees

    Section 6(d), (e) of Pub. L. 98-460 provided that:
    ``(d) The Secretary of Health and Human Services shall, as soon as 
practicable after the date of the enactment of this Act [Oct. 9, 1984], 
implement demonstration projects in which the opportunity for a personal 
appearance prior to a determination of ineligibility for persons 
reviewed under section 221(i) of the Social Security Act [subsec. (i) of 
this section] is substituted for the face to face evidentiary hearing 
required by section 205(b)(2) of such Act [section 405(b)(2) of this 
title]. Such demonstration projects shall be conducted in not fewer than 
five States, and shall also include disability determinations with 
respect to individuals reviewed under title XVI of such Act [subchapter 
XVI of this chapter]. The Secretary shall report to the Committee on 
Ways and Means of the House of Representatives and the Committee on 
Finance of the Senate concerning such demonstration projects, together 
with any recommendations, not later than December 31, 1986.
    ``(e) The Secretary of Health and Human Services shall, as soon as 
practicable after the date of the enactment of this Act, implement 
demonstration projects in which the opportunity for a personal 
appearance is provided the applicant prior to initial disability 
determinations under subsections (a), (c), and (g) of section 221 of the 
Social Security Act, and prior to initial disability determinations on 
applications for benefits under title XVI of such Act. Such 
demonstration projects shall be conducted in not fewer than five States. 
The Secretary shall report to the Committee on Ways and Means of the 
House of Representatives and the Committee on Finance of the Senate 
concerning such demonstration projects, together with any 
recommendations, not later than December 31, 1986.''


                       Promulgation of Regulations

    Section 9(a)(2) of Pub. L. 98-460 provided that: ``The Secretary of 
Health and Human Services shall prescribe regulations required under 
section 221(j) of the Social Security Act [subsec. (j) of this section] 
not later than 180 days after the date of the enactment of this Act 
[Oct. 9, 1984].''


               Frequency of Continuing Eligibility Reviews

    Section 15 of Pub. L. 98-460 provided that: ``The Secretary of 
Health and Human Services shall promulgate final regulations, within 180 
days after the date of the enactment of this Act [Oct. 9, 1984], which 
establish the standards to be used by the Secretary in determining the 
frequency of reviews under section 221(i) of the Social Security Act 
[subsec. (j) of this section]. Until such regulations have been issued 
as final regulations, no individual may be reviewed more than once under 
section 221(i) of the Social Security Act.''


 Travel Expenses for Medical Examinations, Reconsideration Interviews, 
            and Proceedings Before Administrative Law Judges

    Provisions authorizing payment of travel expenses either on an 
actual cost or commuted basis, to an individual for travel incident to 
medical examinations, and to parties, their representatives and all 
reasonably necessary witnesses for travel within the United States, 
Puerto Rico, and the Virgin Islands, to reconsider interviews and to 
proceedings before administrative law judges under subchapters II, XVI, 
and XVIII of this chapter were contained in the following appropriation 
acts:
    Oct. 18, 1978, Pub. L. 95-480, title II, 92 Stat. 1582.
    Sept. 30, 1976, Pub. L. 94-439, title II, 90 Stat. 1432.
    Jan. 28, 1976, Pub. L. 94-206, title II, 90 Stat. 17.
    Dec. 7, 1974, Pub. L. 93-517, title II, 88 Stat. 1645.
    Dec. 18, 1973, Pub. L. 93-192, title II, 87 Stat. 759.
    Aug. 10, 1971, Pub. L. 92-80, title II, 85 Stat. 296.
    Jan. 11, 1971, Pub. L. 91-667, title II, 84 Stat. 2013.
    Mar. 5, 1970, Pub. L. 91-204, title II, 84 Stat. 41.
    Oct. 11, 1968, Pub. L. 90-557, title II, 82 Stat. 988.
    Nov. 8, 1967, Pub. L. 90-132, title II, 81 Stat. 402.
    Nov. 7, 1966, Pub. L. 89-787, title II, 80 Stat. 1395.
    Aug. 31, 1965, Pub. L. 89-156, title II, 79 Stat. 604.
    Sept. 19, 1964, Pub. L. 88-605, title II, 78 Stat. 974.
    Oct. 11, 1963, Pub. L. 88-136, title II, 77 Stat. 239.
    Aug. 14, 1962, Pub. L. 87-582, title II, 76 Stat. 375.
    Sept. 22, 1961, Pub. L. 87-290, title II, 75 Stat. 604.
    Sept. 2, 1960, Pub. L. 86-703, title II, 74 Stat. 769.
    Aug. 14, 1959, Pub. L. 86-158, title II, 73 Stat. 352.
    Aug. 1, 1958, Pub. L. 85-580, title II, 72 Stat. 471.
    June 29, 1957, Pub. L. 85-67, title II, 71 Stat. 221.
    June 29, 1956, ch. 477, title II, 70 Stat. 434.
    Aug. 1, 1955, ch. 437, title II, 69 Stat. 408.


 Review of Decisions Rendered by Administrative Law Judges as Result of 
                 Disability Hearings; Report to Congress

    Section 304(g) of Pub. L. 96-265 provided that: ``The Secretary of 
Health and Human Services shall implement a program of reviewing, on his 
own motion, decisions rendered by administrative law judges as a result 
of hearings under section 221(d) of the Social Security Act [subsec. (d) 
of this section], and shall report to the Congress by January 1, 1982, 
on his progress.''


Assumption by Secretary of Functions and Operations of State Disability 
                           Determination Units

    Section 304(i) of Pub. L. 96-265 directed Secretary of Health and 
Human Services to submit to Congress by July 1, 1980, a detailed plan on 
how he intended to assume functions and operations of a State disability 
determination unit when this became necessary under amendments made by 
this section [amending this section], and how he intended to meet 
requirements of section 221(b)(3) of Social Security Act [subsec. (b)(3) 
of this section]. Such plan was to assume the uninterrupted operation of 
disability determination function and utilization of best qualified 
personnel to carry out such function, and was to include recommendations 
for any amendment of Federal law or regulation required to carry out 
such plan.

                  Section Referred to in Other Sections

    This section is referred to in sections 401, 405, 423, 425, 1320b-6, 
1320b-19, 1382c, 1383, 1383b of this title; title 7 section 2012; title 
30 section 923.