29 Cfr 1910.1020

Electronic Code of Federal Regulations:

Quick Navigation:

Resources
ResourcesbybyTopic
Topic
Business & Economy

Site Search:
advanced

Home Page > Executive Branch > Code of Federal Regulations > Electronic Code of Federal Regulations

• Browse
• Simple Search

e-CFR Data is current as of September 9, 2011

• Advanced Search
* Boolean
* Proximity
• Search History

Title 29: Labor
PART 1910—OCCUPATIONAL SAFETY AND HEALTH STANDARDS (CONTINUED)
Subpart Z—Toxic and Hazardous Substances

• Search Tips
• Corrections

Browse Previous | Browse Next

• Latest Updates
• User Info

§ 1910.1020 Access to employee exposure and medical records.

• FAQs
• Agency List
• Incorporation by
Reference
• e-CFR Main Page

• Code of Federal
Regulations
• Federal Register
• List of CFR
Sections Affected
• Regulations.gov
• Unified Agenda
• All NARA Publications

Ben's Guide
to U.S.
Government

(a) Purpose. The purpose of this section is to provide employees and their
designated representatives a right of access to relevant exposure and medical
records; and to provide representatives of the Assistant Secretary a right of access
to these records in order to fulfill responsibilities under the Occupational Safety
and Health Act. Access by employees, their representatives, and the Assistant
Secretary is necessary to yield both direct and indirect improvements in the
detection, treatment, and prevention of occupational disease. Each employer is
responsible for assuring compliance with this section, but the activities involved in
complying with the access to medical records provisions can be carried out, on
behalf of the employer, by the physician or other health care personnel in charge of
employee medical records. Except as expressly provided, nothing in this section is
intended to affect existing legal and ethical obligations concerning the maintenance
and confidentiality of employee medical information, the duty to disclose
information to a patient/employee or any other aspect of the medical-care
relationship, or affect existing legal obligations concerning the protection of trade
secret information.
(b) Scope and application. (1) This section applies to each general industry,
maritime, and construction employer who makes, maintains, contracts for, or has
access to employee exposure or medical records, or analyses thereof, pertaining to
employees exposed to toxic substances or harmful physical agents.
(2) This section applies to all employee exposure and medical records, and
analyses thereof, of such employees, whether or not the records are mandated by
specific occupational safety and health standards.
(3) This section applies to all employee exposure and medical records, and
analyses thereof, made or maintained in any manner, including on an in-house of
contractual (e.g., fee-for-service) basis. Each employer shall assure that the
preservation and access requirements of this section are complied with regardless

http://ecfr.gpoaccess.gov/...x?c=ecfr&sid=6261dc5a8931809937d063681ec16300&rgn=div8&view=text&node=29:6.1.1.1.1.1.1.20&idno=29[9/13/2011 3:26:02 PM]

Electronic Code of Federal Regulations:

of the manner in which the records are made or maintained.
(c) Definitions. (1) Access means the right and opportunity to examine and copy.
(2) Analysis using exposure or medical records means any compilation of data or
any statistical study based at least in part on information collected from individual
employee exposure or medical records or information collected from health
insurance claims records, provided that either the analysis has been reported to the
employer or no further work is currently being done by the person responsible for
preparing the analysis.
(3) Designated representative means any individual or organization to whom an
employee gives written authorization to exercise a right of access. For the purposes
of access to employee exposure records and analyses using exposure or medical
records, a recognized or certified collective bargaining agent shall be treated
automatically as a designated representative without regard to written employee
authorization.
(4) Employee means a current employee, a former employee, or an employee being
assigned or transferred to work where there will be exposure to toxic substances or
harmful physical agents. In the case of a deceased or legally incapacitated
employee, the employee's legal representative may directly exercise all the
employee's rights under this section.
(5) Employee exposure record means a record containing any of the following
kinds of information:
(i) Environmental (workplace) monitoring or measuring of a toxic substance or
harmful physical agent, including personal, area, grab, wipe, or other form of
sampling, as well as related collection and analytical methodologies, calculations,
and other background data relevant to interpretation of the results obtained;
(ii) Biological monitoring results which directly assess the absorption of a toxic
substance or harmful physical agent by body systems (e.g., the level of a chemical
in the blood, urine, breath, hair, fingernails, etc) but not including results which
assess the biological effect of a substance or agent or which assess an employee's
use of alcohol or drugs;
(iii) Material safety data sheets indicating that the material may pose a hazard to
human health; or
(iv) In the absence of the above, a chemcial inventory or any other record which
reveals where and when used and the identity (e.g., chemical, common, or trade
name) of a toxic substance or harmful physical agent.
(6)(i) Employee medical record means a record concerning the health status of an
employee which is made or maintained by a physician, nurse, or other health care
personnel or technician, including:
(A) Medical and employment questionnaires or histories (including job description
and occupational exposures),
(B) The results of medical examinations (pre-employment, pre-assignment,
periodic, or episodic) and laboratory tests (including chest and other X-ray
examinations taken for the purposes of establishing a base-line or detecting

http://ecfr.gpoaccess.gov/...x?c=ecfr&sid=6261dc5a8931809937d063681ec16300&rgn=div8&view=text&node=29:6.1.1.1.1.1.1.20&idno=29[9/13/2011 3:26:02 PM]

Electronic Code of Federal Regulations:

occupational illness, and all biological monitoring not defined as an “employee
exposure record”),
(C) Medical opinions, diagnoses, progress notes, and recommendations,
(D) First aid records,
(E) Descriptions of treatments and prescriptions, and
(F) Employee medical complaints.
(ii) “Employee medical record” does not include medical information in the form
of:
(A) Physical specimens (e.g., blood or urine samples) which are routinely discarded
as a part of normal medical practice; or
(B) Records concerning health insurance claims if maintained separately from the
employer's medical program and its records, and not accessible to the employer by
employee name or other direct personal identifier (e.g., social security number,
payroll number, etc.); or
(C) Records created solely in preparation for litigation which are privileged from
discovery under the applicable rules of procedure or evidence; or
(D) Records concerning voluntary employee assistance programs (alcohol, drug
abuse, or personal counseling programs) if maintained separately from the
employer's medical program and its records.
(7) Employer means a current employer, a former employer, or a successor
employer.
(8) Exposure or exposed means that an employee is subjected to a toxic substance
or harmful physical agent in the course of employment through any route of entry
(inhalation, ingestion, skin contact or absorption, etc.), and includes past exposure
and potential (e.g., accidental or possible) exposure, but does not include situations
where the employer can demonstrate that the toxic substance or harmful physical
agent is not used, handled, stored, generated, or present in the workplace in any
manner different from typical non-occupational situations.
(9) Health Professional means a physician, occupational health nurse, industrial
hygienist, toxicologist, or epidemiologist, providing medical or other occupational
health services to exposed employees.
(10) Record means any item, collection, or grouping of information regardless of
the form or process by which it is maintained (e.g., paper document, microfiche,
microfilm, X-ray film, or automated data processing).
(11) Specific chemical identity means the chemical name, Chemical Abstracts
Service (CAS) Registry Number, or any other information that reveals the precise
chemical designation of the substance.
(12)(i) Specific written consent means a written authorization containing the
following:

http://ecfr.gpoaccess.gov/...x?c=ecfr&sid=6261dc5a8931809937d063681ec16300&rgn=div8&view=text&node=29:6.1.1.1.1.1.1.20&idno=29[9/13/2011 3:26:02 PM]

Electronic Code of Federal Regulations:

(A) The name and signature of the employee authorizing the release of medical
information,
(B) The date of the written authorization,
(C) The name of the individual or organization that is authorized to release the
medical information,
(D) The name of the designated representative (individual or organization) that is
authorized to receive the released information,
(E) A general description of the medical information that is authorized to be
released,
(F) A general description of the purpose for the release of the medical information,
and
(G) A date or condition upon which the written authorization will expire (if less
than one year).
(ii) A written authorization does not operate to authorize the release of medical
information not in existence on the date of written authorization, unless the release
of future information is expressly authorized, and does not operate for more than
one year from the date of written authorization.
(iii) A written authorization may be revoked in writing prospectively at any time.
(13) Toxic substance or harmful physical agent means any chemical substance,
biological agent (bacteria, virus, fungus, etc.), or physical stress (noise, heat, cold,
vibration, repetitive motion, ionizing and non-ionizing radiation, hypo-or
hyperbaric pressure, etc.) which:
(i) Is listed in the latest printed edition of the National Institute for Occupational
Safety and Health (NIOSH) Registry of Toxic Effects of Chemical Substances
(RTECS), which is incorporated by reference as specified in §1910.6; or
(ii) Has yielded positive evidence of an acute or chronic health hazard in testing
conducted by, or known to, the employer; or
(iii) Is the subject of a material safety data sheet kept by or known to the employer
indicating that the material may pose a hazard to human health.
(14) Trade secret means any confidential formula, pattern, process, device, or
information or compilation of information that is used in an employer's business
and that gives the employer an opportunity to obtain an advantage over competitors
who do not know or use it.
(d) Preservation of records. (1) Unless a specific occupational safety and health
standard provides a different period of time, each employer shall assure the
preservation and retention of records as follows:
(i) Employee medical records. The medical record for each employee shall be
preserved and maintained for at least the duration of employment plus thirty (30)
years, except that the following types of records need not be retained for any
specified period:

http://ecfr.gpoaccess.gov/...x?c=ecfr&sid=6261dc5a8931809937d063681ec16300&rgn=div8&view=text&node=29:6.1.1.1.1.1.1.20&idno=29[9/13/2011 3:26:02 PM]

Electronic Code of Federal Regulations:

(A) Health insurance claims records maintained separately from the employer's
medical program and its records,
(B) First aid records (not including medical histories) of one-time treatment and
subsequent observation of minor scratches, cuts, burns, splinters, and the like
which do not involve medical treatment, loss of consciousness, restriction of work
or motion, or transfer to another job, if made on-site by a non-physician and if
maintained separately from the employer's medical program and its records, and
(C) The medical records of employees who have worked for less than (1) year for
the employer need not be retained beyond the term of employment if they are
provided to the employee upon the termination of employment.
(ii) Employee exposure records. Each employee exposure record shall be preserved
and maintained for at least thirty (30) years, except that:
(A) Background data to environmental (workplace) monitoring or measuring, such
as laboratory reports and worksheets, need only be retained for one (1) year as long
as the sampling results, the collection methodology (sampling plan), a description
of the analytical and mathematical methods used, and a summary of other
background data relevant to interpretation of the results obtained, are retained for at
least thirty (30) years; and
(B) Material safety data sheets and paragraph (c)(5)(iv) records concerning the
identity of a substance or agent need not be retained for any specified period as
long as some record of the identity (chemical name if known) of the substance or
agent, where it was used, and when it was used is retained for at least thirty (30)
years; 1 and
1 Material safety data sheets must be kept for those chemicals currently in use that are effected by the

Hazard Communication Standard in accordance with 29 CFR 1910.1200(g).

(C) Biological monitoring results designated as exposure records by specific
occupational safety and health standards shall be preserved and maintained as
required by the specific standard.
(iii) Analyses using exposure or medical records. Each analysis using exposure or
medial records shall be preserved and maintained for at least thirty (30) years.
(2) Nothing in this section is intended to mandate the form, manner, or process by
which an employer preserves a record as long as the information contained in the
record is preserved and retrievable, except that chest X-ray films shall be preserved
in their original state.
(e) Access to records —(1) General. (i) Whenever an employee or designated
representative requests access to a record, the employer shall assure that access is
provided in a reasonable time, place, and manner. If the employer cannot
reasonably provide access to the record within fifteen (15) working days, the
employer shall within the fifteen (15) working days apprise the employee or
designated representative requesting the record of the reason for the delay and the
earliest date when the record can be made available.
(ii) The employer may require of the requester only such information as should be
readily known to the requester and which may be necessary to locate or identify

http://ecfr.gpoaccess.gov/...x?c=ecfr&sid=6261dc5a8931809937d063681ec16300&rgn=div8&view=text&node=29:6.1.1.1.1.1.1.20&idno=29[9/13/2011 3:26:02 PM]

Electronic Code of Federal Regulations:

the records being requested (e.g. dates and locations where the employee worked
during the time period in question).
(iii) Whenever an employee or designated representative requests a copy of a
record, the employer shall assure that either:
(A) A copy of the record is provided without cost to the employee or
representative,
(B) The necessary mechanical copying facilities (e.g., photocopying) are made
available without cost to the employee or representative for copying the record, or
(C) The record is loaned to the employee or representative for a reasonable time to
enable a copy to be made.
(iv) In the case of an original X-ray, the employer may restrict access to on-site
examination or make other suitable arrangements for the temporary loan of the Xray.
(v) Whenever a record has been previously provided without cost to an employee
or designated representative, the employer may charge reasonable, nondiscriminatory administrative costs (i.e., search and copying expenses but not
including overhead expenses) for a request by the employee or designated
representative for additional copies of the record, except that
(A) An employer shall not charge for an initial request for a copy of new
information that has been added to a record which was previously provided; and
(B) An employer shall not charge for an initial request by a recognized or certified
collective bargaining agent for a copy of an employee exposure record or an
analysis using exposure or medical records.
(vi) Nothing in this section is intended to preclude employees and collective
bargaining agents from collectively bargaining to obtain access to information in
addition to that available under this section.
(2) Employee and designated representative access —(i) Employee exposure
records. (A) Except as limited by paragraph (f) of this section, each employer shall,
upon request, assure the access to each employee and designated representative to
employee exposure records relevant to the employee. For the purpose of this
section, an exposure record relevant to the employee consists of:
( 1 ) A record which measures or monitors the amount of a toxic substance or
harmful physical agent to which the employee is or has been exposed;
( 2 ) In the absence of such directly relevant records, such records of other
employees with past or present job duties or working conditions related to or
similar to those of the employee to the extent necessary to reasonably indicate the
amount and nature of the toxic substances or harmful physical agents to which the
employee is or has been subjected, and
( 3 ) Exposure records to the extent necessary to reasonably indicate the amount
and nature of the toxic substances or harmful physical agents at workplaces or
under working conditions to which the employee is being assigned or transferred.

http://ecfr.gpoaccess.gov/...x?c=ecfr&sid=6261dc5a8931809937d063681ec16300&rgn=div8&view=text&node=29:6.1.1.1.1.1.1.20&idno=29[9/13/2011 3:26:02 PM]

Electronic Code of Federal Regulations:

(B) Requests by designated representatives for unconsented access to employee
exposure records shall be in writing and shall specify with reasonable particularity:
( 1 ) The records requested to be disclosed; and
( 2 ) The occupational health need for gaining access to these records.
(ii) Employee medical records. (A) Each employer shall, upon request, assure the
access of each employee to employee medical records of which the employee is the
subject, except as provided in paragraph (e)(2)(ii)(D) of this section.
(B) Each employer shall, upon request, assure the access of each designated
representative to the employee medical records of any employee who has given the
designated representative specific written consent. appendix A to this section
contains a sample form which may be used to establish specific written consent for
access to employee medical records.
(C) Whenever access to employee medical records is requested, a physician
representing the employer may recommend that the employee or designated
representative:
( 1 ) Consult with the physician for the purposes of reviewing and discussing the
records requested,
( 2 ) Accept a summary of material facts and opinions in lieu of the records
requested, or
( 3 ) Accept release of the requested records only to a physician or other designated
representative.
(D) Whenever an employee requests access to his or her employee medical records,
and a physician representing the employer believes that direct employee access to
information contained in the records regarding a specific diagnosis of a terminal
illness or a psychiatric condition could be detrimental to the employee's health, the
employer may inform the employee that access will only be provided to a
designated representative of the employee having specific written consent, and
deny the employee's request for direct access to this information only. Where a
designated representative with specific written consent requests access to
information so withheld, the employer shall assure the access of the designated
representative to this information, even when it is known that the designated
representative will give the information to the employee.
(E) A physician, nurse, or other responsible health care personnel maintaining
medical records may delete from requested medical records the identity of a family
member, personal friend, or fellow employee who has provided confidential
information concerning an employee's health status.
(iii) Analyses using exposure or medical records. (A) Each employee shall, upon
request, assure the access of each employee and designated representative to each
analysis using exposure or medical records concerning the employee's working
conditions or workplace.
(B) Whenever access is requested to an analysis which reports the contents of
employee medical records by either direct identifier (name, address, social security
number, payroll number, etc.) or by information which could reasonably be used

http://ecfr.gpoaccess.gov/...x?c=ecfr&sid=6261dc5a8931809937d063681ec16300&rgn=div8&view=text&node=29:6.1.1.1.1.1.1.20&idno=29[9/13/2011 3:26:02 PM]

Electronic Code of Federal Regulations:

under the circumstances indirectly to identify specific employees (exact age, height,
weight, race, sex, date of initial employment, job title, etc.), the employer shall
assure that personal identifiers are removed before access is provided. If the
employer can demonstrate that removal of personal identifiers from an analysis is
not feasible, access to the personally identifiable portions of the analysis need not
be provided.
(3) OSHA access. (i) Each employer shall, upon request, and without derogation of
any rights under the Constitution or the Occupational Safety and Health Act of
1970, 29 U.S.C. 651 et seq., that the employer chooses to exercise, assure the
prompt access of representatives of the Assistant Secretary of Labor for
Occupational Safety and Health to employee exposure and medical records and to
analyses using exposure or medical records. Rules of agency practice and
procedure governing OSHA access to employee medical records are contained in
29 CFR 1913.10.
(ii) Whenever OSHA seeks access to personally identifiable employee medical
information by presenting to the employer a written access order pursuant to 29
CFR 1913.10(d), the employer shall prominently post a copy of the written access
order and its accompanying cover letter for at least fifteen (15) working days.
(f) Trade secrets. (1) Except as provided in paragraph (f)(2) of this section, nothing
in this section precludes an employer from deleting from records requested by a
health professional, employee, or designated representative any trade secret data
which discloses manufacturing processes, or discloses the percentage of a chemical
substance in mixture, as long as the health professional, employee, or designated
representative is notified that information has been deleted. Whenever deletion of
trade secret information substantially impairs evaluation of the place where or the
time when exposure to a toxic substance or harmful physical agent occurred, the
employer shall provide alternative information which is sufficient to permit the
requesting party to identify where and when exposure occurred.
(2) The employer may withhold the specific chemical identity, including the
chemical name and other specific identification of a toxic substance from a
disclosable record provided that:
(i) The claim that the information withheld is a trade secret can be supported;
(ii) All other available information on the properties and effects of the toxic
substance is disclosed;
(iii) The employer informs the requesting party that the specific chemical identity is
being withheld as a trade secret; and
(iv) The specific chemical identity is made available to health professionals,
employees and designated representatives in accordance with the specific
applicable provisions of this paragraph.
(3) Where a treating physician or nurse determines that a medical emergency exists
and the specific chemical identity of a toxic substance is necessary for emergency
or first-aid treatment, the employer shall immediately disclose the specific chemical
identity of a trade secret chemical to the treating physician or nurse, regardless of
the existence of a written statement of need or a confidentiality agreement. The
employer may require a written statement of need and confidentiality agreement, in
accordance with the provisions of paragraphs (f)(4) and (f)(5), as soon as
http://ecfr.gpoaccess.gov/...x?c=ecfr&sid=6261dc5a8931809937d063681ec16300&rgn=div8&view=text&node=29:6.1.1.1.1.1.1.20&idno=29[9/13/2011 3:26:02 PM]

Electronic Code of Federal Regulations:

circumstances permit.
(4) In non-emergency situations, an employer shall, upon request, disclose a
specific chemical identity, otherwise permitted to be withheld under paragraph
(f)(2) of this section, to a health professional, employee, or designated
representative if:
(i) The request is in writing;
(ii) The request describes with reasonable detail one or more of the following
occupational health needs for the information:
(A) To assess the hazards of the chemicals to which employees will be exposed;
(B) To conduct or assess sampling of the workplace atmosphere to determine
employee exposure levels;
(C) To conduct pre-assignment or periodic medical surveillance of exposed
employees;
(D) To provide medical treatment to exposed employees;
(E) To select or assess appropriate personal protective equipment for exposed
employees;
(F) To design or assess engineering controls or other protective measures for
exposed employees; and
(G) To conduct studies to determine the health effects of exposure.
(iii) The request explains in detail why the disclosure of the specific chemical
identity is essential and that, in lieu thereof, the disclosure of the following
information would not enable the health professional, employee or designated
representative to provide the occupational health services described in paragraph
(f)(4)(ii) of this section:
(A) The properties and effects of the chemical;
(B) Measures for controlling workers' exposure to the chemical;
(C) Methods of monitoring and analyzing worker exposure to the chemical; and,
(D) Methods of diagnosing and treating harmful exposures to the chemical;
(iv) The request includes a description of the procedures to be used to maintain the
confidentiality of the disclosed information; and,
(v) The health professional, employee, or designated representative and the
employer or contractor of the services of the health professional or designated
representative agree in a written confidentiality agreement that the health
professional, employee or designated representative will not use the trade secret
information for any purpose other than the health need(s) asserted and agree not to
release the information under any circumstances other than to OSHA, as provided
in paragraph (f)(7) of this section, except as authorized by the terms of the
agreement or by the employer.

http://ecfr.gpoaccess.gov/...x?c=ecfr&sid=6261dc5a8931809937d063681ec16300&rgn=div8&view=text&node=29:6.1.1.1.1.1.1.20&idno=29[9/13/2011 3:26:02 PM]

Electronic Code of Federal Regulations:

(5) The confidentiality agreement authorized by paragraph (f)(4)(iv) of this section:
(i) May restrict the use of the information to the health purposes indicated in the
written statement of need;
(ii) May provide for appropriate legal remedies in the event of a breach of the
agreement, including stipulation of a reasonable pre-estimate of likely damages;
and,
(iii) May not include requirements for the posting of a penalty bond.
(6) Nothing in this section is meant to preclude the parties from pursuing noncontractual remedies to the extent permitted by law.
(7) If the health professional, employee or designated representative receiving the
trade secret information decides that there is a need to disclose it to OSHA, the
employer who provided the information shall be informed by the health
professional prior to, or at the same time as, such disclosure.
(8) If the employer denies a written request for disclosure of a specific chemical
identity, the denial must:
(i) Be provided to the health professional, employee or designated representative
within thirty days of the request;
(ii) Be in writing;
(iii) Include evidence to support the claim that the specific chemical identity is a
trade secret;
(iv) State the specific reasons why the request is being denied; and,
(v) Explain in detail how alternative information may satisfy the specific medical or
occupational health need without revealing the specific chemical identity.
(9) The health professional, employee, or designated representative whose request
for information is denied under paragraph (f)(4) of this section may refer the
request and the written denial of the request to OSHA for consideration.
(10) When a heath professional employee, or designated representative refers a
denial to OSHA under paragraph (f)(9) of this section, OSHA shall consider the
evidence to determine if:
(i) The employer has supported the claim that the specific chemical identity is a
trade secret;
(ii) The health professional employee, or designated representative has supported
the claim that there is a medical or occupational health need for the information;
and
(iii) The health professional, employee or designated representative has
demonstrated adequate means to protect the confidentiality.
(11)(i) If OSHA determines that the specific chemical identity requested under
paragraph (f)(4) of this section is not a bona fide trade secret, or that it is a trade
secret but the requesting health professional, employee or designated
http://ecfr.gpoaccess.gov/...x?c=ecfr&sid=6261dc5a8931809937d063681ec16300&rgn=div8&view=text&node=29:6.1.1.1.1.1.1.20&idno=29[9/13/2011 3:26:02 PM]

Electronic Code of Federal Regulations:

representatives has a legitimate medical or occupational health need for the
information, has executed a written confidentiality agreement, and has shown
adequate means for complying with the terms of such agreement, the employer will
be subject to citation by OSHA.
(ii) If an employer demonstrates to OSHA that the execution of a confidentiality
agreement would not provide sufficient protection against the potential harm from
the unauthorized disclosure of a trade secret specific chemical identity, the
Assistant Secretary may issue such orders or impose such additional limitations or
conditions upon the disclosure of the requested chemical information as may be
appropriate to assure that the occupational health needs are met without an undue
risk of harm to the employer.
(12) Notwithstanding the existence of a trade secret claim, an employer shall, upon
request, disclose to the Assistant Secretary any information which this section
requires the employer to make available. Where there is a trade secret claim, such
claim shall be made no later than at the time the information is provided to the
Assistant Secretary so that suitable determinations of trade secret status can be
made and the necessary protections can be implemented.
(13) Nothing in this paragraph shall be construed as requiring the disclosure under
any circumstances of process or percentage of mixture information which is trade
secret.
(g) Employee information. (1) Upon an employee's first entering into employment,
and at least annually thereafter, each employer shall inform current employees
covered by this section of the following:
(i) The existence, location, and availability of any records covered by this section;
(ii) The person responsible for maintaining and providing access to records; and
(iii) Each employee's rights of access to these records.
(2) Each employer shall keep a copy of this section and its appendices, and make
copies readily available, upon request, to employees. The employer shall also
distribute to current employees any informational materials concerning this section
which are made available to the employer by the Assistant Secretary of Labor for
Occupational Safety and Health.
(h) Transfer of records. (1) Whenever an employer is ceasing to do business, the
employer shall transfer all records subject to this section to the successor employer.
The successor employer shall receive and maintain these records.
(2) Whenever an employer is ceasing to do business and there is no successor
employer to receive and maintain the records subject to this standard, the employer
shall notify affected current employees of their rights of access to records at least
three (3) months prior to the cessation of the employer's business.
(i) Appendices. The information contained in appendices A and B to this section is
not intended, by itself, to create any additional obligations not otherwise imposed
by this section nor detract from any existing obligation.
Appendix A to §1910.1020—Sample Authorization Letter for the Release of Employee Medical
Record Information to a Designated Representative (Non-Mandatory)

http://ecfr.gpoaccess.gov/...x?c=ecfr&sid=6261dc5a8931809937d063681ec16300&rgn=div8&view=text&node=29:6.1.1.1.1.1.1.20&idno=29[9/13/2011 3:26:02 PM]

Electronic Code of Federal Regulations:

I, _____ (full name of worker/patient), hereby authorize ______ (individual or organization holding the
medical records) to release to ______ (individual or organization authorized to receive the medical
information), the following medical information from my personal medical records:
____________________
____________________
(Describe generally the information desired to be released)
I give my permission for this medical information to be used for the following purpose:
____________________
____________________
but I do not give permission for any other use or re-disclosure of this information.
Note: Several extra lines are provided below so that you can place additional restrictions on this
authorization letter if you want to. You may, however, leave these lines blank. On the other hand, you
may want to (1) specify a particular expiration date for this letter (if less than one year); (2) describe
medical information to be created in the future that you intend to be covered by this authorization
letter; or (3) describe portions of the medical information in your records which you do not intend to be
released as a result of this letter.)
____________________
____________________
____________________
____________________
____________________
Full name of Employee or Legal Representative
____________________
Signature of Employee or Legal Representative
____________________
____________________
Date of Signature
Appendix B to §1910.1020—Availability of NIOSH Registry of Toxic Effects of Chemical Substances
(RTECS) (Non-Mandatory)
The final regulation, 29 CFR 1910.20, applies to all employee exposure and medical records, and
analyses thereof, of employees exposed to toxic substances or harmful physical agents (paragraph
(b)(2)). The term toxic substance or harmful physical agent is defined by paragraph (c)(13) to
encompass chemical substances, biological agents, and physical stresses for which there is evidence of
harmful health effects. The regulation uses the latest printed edition of the National Institute for
Occupational Safety and Health (NIOSH) Registry of Toxic Effects of Chemical Substances (RTECS)
as one of the chief sources of information as to whether evidence of harmful health effects exists. If a
substance is listed in the latest printed RTECS, the regulation applies to exposure and medical records
(and analyses of these records) relevant to employees exposed to the substance.
It is appropriate to note that the final regulation does not require that employers purchase a copy of
RTECS, and many employers need not consult RTECS to ascertain whether their employee exposure or
medical records are subject to the rule. Employers who do not currently have the latest printed edition
of the NIOSH RTECS, however, may desire to obtain a copy. The RTECS is issued in an annual
printed edition as mandated by section 20(a)(6) of the Occupational Safety and Health Act (29 U.S.C.
669(a)(6)).
The Introduction to the 1980 printed edition describes the RTECS as follows:
“The 1980 edition of the Registry of Toxic Effects of Chemical Substances, formerly known as the

http://ecfr.gpoaccess.gov/...x?c=ecfr&sid=6261dc5a8931809937d063681ec16300&rgn=div8&view=text&node=29:6.1.1.1.1.1.1.20&idno=29[9/13/2011 3:26:02 PM]

Electronic Code of Federal Regulations:

Toxic Substances list, is the ninth revision prepared in compliance with the requirements of Section
20(a)(6) of the Occupational Safety and Health Act of 1970 (Public Law 91–596). The original list was
completed on June 28, 1971, and has been updated annually in book format. Beginning in October
1977, quarterly revisions have been provided in microfiche. This edition of the Registry contains
168,096 listings of chemical substances: 45,156 are names of different chemicals with their associated
toxicity data and 122,940 are synonyms. This edition includes approximately 5,900 new chemical
compounds that did not appear in the 1979 Registry. (p. xi)
“The Registry's purposes are many, and it serves a variety of users. It is a single source document for
basic toxicity information and for other data, such as chemical identifiers ad information necessary for
the preparation of safety directives and hazard evaluations for chemical substances. The various types
of toxic effects linked to literature citations provide researchers and occupational health scientists with
an introduction to the toxicological literature, making their own review of the toxic hazards of a given
substance easier. By presenting data on the lowest reported doses that produce effects by several routes
of entry in various species, the Registry furnishes valuable information to those responsible for
preparing safety data sheets for chemical substances in the workplace. Chemical and production
engineers can use the Registry to identify the hazards which may be associated with chemical
intermediates in the development of final products, and thus can more readily select substitutes or
alternative processes which may be less hazardous. Some organizations, including health agencies and
chemical companies, have included the NIOSH Registry accession numbers with the listing of
chemicals in their files to reference toxicity information associated with those chemicals. By including
foreign language chemical names, a start has been made toward providing rapid identification of
substances produced in other countries. (p. xi)
“In this edition of the Registry, the editors intend to identify “all known toxic substances” which may
exist in the environment and to provide pertinent data on the toxic effects from known doses entering
an organism by any route described. (p xi)
“It must be reemphasized that the entry of a substance in the Registry does not automatically mean that
it must be avoided. A listing does mean, however, that the substance has the documented potential of
being harmful if misused, and care must be exercised to prevent tragic consequences. Thus, the
Registry lists many substances that are common in everyday life and are in nearly every household in
the United States. One can name a variety of such dangerous substances: prescription and nonprescription drugs; food additives; pesticide concentrates, sprays, and dusts; fungicides; herbicides;
paints; glazes, dyes; bleaches and other household cleaning agents; alkalies; and various solvents and
diluents. The list is extensive because chemicals have become an integral part of our existence.”
The RTECS printed edition may be purchased from the Superintendent of Documents, U.S.
Government Printing Office (GPO), Washington, DC 20402 (202–783–3238).
Some employers may desire to subscribe to the quarterly update to the RTECS which is published in a
microfiche edition. An annual subscription to the quarterly microfiche may be purchased from the GPO
(Order the “Microfiche Edition, Registry of Toxic Effects of Chemical Substances”). Both the printed
edition and the microfiche edition of RTECS are available for review at many university and public
libraries throughout the country. The latest RTECS editions may also be examined at the OSHA
Technical Data Center, Room N2439—Rear, United States Department of Labor, 200 Constitution
Avenue, NW., Washington, DC 20210 (202–523–9700), or at any OSHA Regional or Area Office (
See, major city telephone directories under United States Government-Labor Department).

[53 FR 38163, Sept. 29, 1988; 53 FR 49981, Dec. 13, 1988, as amended at 54 FR
24333, June 7, 1989; 55 FR 26431, June 28, 1990; 61 FR 9235, Mar. 7, 1996.
Redesignated at 61 FR 31430, June 20, 1996, as amended at 71 FR 16673, Apr. 3,
2006; 76 FR 33608, June 8, 2011]
Browse Previous | Browse Next
For questions or comments regarding e-CFR editorial content, features, or design, email [email protected].
For questions concerning e-CFR programming and delivery issues, email [email protected].
Section 508 / Accessibility

http://ecfr.gpoaccess.gov/...x?c=ecfr&sid=6261dc5a8931809937d063681ec16300&rgn=div8&view=text&node=29:6.1.1.1.1.1.1.20&idno=29[9/13/2011 3:26:02 PM]