Access to Employee Exposure and Medical Records 1910.1020

§ 1910.1020

29 CFR Ch. XVII (7–1–06 Edition)

poisoning are due to severe inflammation of
the mucous membranes and greatly increased permeability of the blood capillaries.
Chronic arsenical poisoning due to ingestion is rare and generally confined to patients taking prescribed medications. However, it can be a concomitant of inhaled inorganic arsenic from swallowed sputum and
improper eating habits. Symptoms are
weight loss, nausea and diarrhea alternating
with constipation, pigmentation and eruption of the skin, loss of hair, and peripheral
neuritis. Chronic hepatitis and cirrhosis
have been described. Polyneuritis may be the
salient feature, but more frequently there
are numbness and parasthenias of ‘‘glove and
stocking’’ distribution. The skin lesions are
usually melanotic and keratotic and may occasionally take the form of an intradermal
cancer of the squamous cell type, but without infiltrative properties. Horizontal white
lines (striations) on the fingernails and toenails are commonly seen in chronic arsenical
poisoning and are considered to be a diagnostic
accompaniment
of
arsenical
polyneuritis.
Inhalation of inorganic arsenic compounds
is the most common cause of chronic poisoning in the industrial situation. This condition is divided into three phases based on
signs and symptoms.
First Phase: The worker complains of
weakness, loss of appetite, some nausea, occasional vomiting, a sense of heaviness in
the stomach, and some diarrhea.
Second Phase: The worker complains of
conjunctivitis, a catarrhal state of the mucous membranes of the nose, larynx, and respiratory passage. Coryza, hoarseness, and
mild tracheobronchitis may occur. Perforation of the nasal septum is common, and is
probably the most typical lesion of the upper
respiratory tract in occupational exposure to
arsenical dust. Skin lesions, eczematoid and
allergic in type, are common.
Third Phase: The worker complains of
symptoms of peripheral neuritis, initially of
hands and feet, which is essentially sensory.
In more severe cases, motor paralyses occur;
the first muscles affected are usually the toe
extensors and the peronei. In only the most
severe cases will paralysis of flexor muscles
of the feet or of the extensor muscles of
hands occur.
Liver damage from chronic arsenical poisoning is still debated, and as yet the question is unanswered. In cases of chronic and
acute arsenical poisoning, toxic effects to
the myocardium have been reported based on
EKG changes. These findings, however, are
now largely discounted and the EKG changes
are ascribed to electrolyte disturbances concomitant with arsenicalism. Inhalation of
arsenic trioxide and other inorganic arsenical dusts does not give rise to radiological
evidence or pneumoconiosis. Arsenic does
have a depressant effect upon the bone mar-

row,
with
disturbances
of
erythropoiesis and myelopoiesis.
BIBLIOGRAPHY

Dinman, B. D. 1960. Arsenic; chronic
human intoxication. J. Occup. Med. 2:137.
Elkins, H. B. 1959. The Chemistry of Industrial Toxicology, 2nd ed. John Wiley and
Sons, New York.
Holmquist, L. 1951. Occupational arsenical
dermatitis; a study among employees at a
copper-ore smelting works including investigations of skin reactions to contact with
arsenic compounds. Acta. Derm. Venereol.
(Supp. 26) 31:1.
Pinto, S. S., and C. M. McGill. 1953. Arsenic
trioxide exposure in industry. Ind. Med.
Surg. 22:281.
Pinto, S. S., and K. W. Nelson. 1976. Arsenic toxicology and industrial exposure.
Annu. Rev. Pharmacol. Toxicol. 16:95.
Vallee, B. L., D. D. Ulmer, and W. E. C.
Wacker. 1960. Arsenic toxicology and biochemistry. AMA Arch. Indust. Health 21:132.
[39 FR 23502, June 27, 1974, as amended at 43
FR 19624, May 5, 1978; 43 FR 28472, June 30,
1978; 45 FR 35282, May 23, 1980; 54 FR 24334,
June 7, 1989; 58 FR 35310, June 30, 1993; 61 FR
5508, Feb. 13, 1996; 61 FR 9245, Mar. 7, 1996; 63
FR 1286, Jan. 8, 1998; 63 FR 33468, June 18,
1998; 70 FR 1141, Jan. 5, 2005; 71 FR 16672,
16673, Apr. 3, 2006]

§ 1910.1020 Access to employee exposure and medical records.
(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

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Occupational Safety and Health Admin., Labor
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-forservice) basis. Each employer shall assure that the preservation and access
requirements of this section are complied with regardless 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 representa-

§ 1910.1020

tive 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-

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§ 1910.1020

29 CFR Ch. XVII (7–1–06 Edition)
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:
(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:

ray examinations taken for the purposes of establishing a base-line or detecting 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 nonoccupational situations.
(9) Health Professional means a physician, occupational health nurse, industrial hygienist, toxicologist, or epidemiologist, providing medical or

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Occupational Safety and Health Admin., Labor
(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:
(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 pre-

§ 1910.1020

served 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
(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
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).

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§ 1910.1020

29 CFR Ch. XVII (7–1–06 Edition)
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.
(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

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 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 X-ray.
(v) Whenever a record has been previously provided without cost to an
employee or designated representative,
the employer may charge reasonable,
non-discriminatory
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

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Occupational Safety and Health Admin., Labor
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 under the circumstances
indirectly to identify specific employees (exact age, height, weight, race,

§ 1910.1020

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

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§ 1910.1020

29 CFR Ch. XVII (7–1–06 Edition)

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 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.
(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

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Occupational Safety and Health Admin., Labor
non-contractual 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 representatives has a legiti-

§ 1910.1020

mate 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

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§ 1910.1020

29 CFR Ch. XVII (7–1–06 Edition)

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.
(3) Whenever an employer either is
ceasing to do business and there is no
successor employer to receive and
maintain the records, or intends to dispose of any records required to be preserved for at least thirty (30) years, the
employer shall:
(i) Transfer the records to the Director of the National Institute for Occupational Safety and Health (NIOSH) if
so required by a specific occupational
safety and health standard; or
(ii) Notify the Director of NIOSH in
writing of the impending disposal of
records at least three (3) months prior
to the disposal of the records.
(4) Where an employer regularly disposes of records required to be preserved for at least thirty (30) years, the
employer may, with at least (3) months
notice, notify the Director of NIOSH on
an annual basis of the records intended
to be disposed of in the coming year.
(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)
I, lllll (full name of worker/patient),
hereby authorize llllll (individual or
organization holding the medical records) to

release to llllll (individual or organization authorized to receive the medical information), the following medical information from my personal medical records:
llllllllllllllllllllllll
llllllllllllllllllllllll
(Describe generally the information desired
to be released)
I give my permission for this medical information to be used for the following purpose:
llllllllllllllllllllllll
llllllllllllllllllllllll
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.)
llllllllllllllllllllllll
llllllllllllllllllllllll
llllllllllllllllllllllll
llllllllllllllllllllllll
llllllllllllllllllllllll
Full name of Employee or Legal Representative
llllllllllllllllllllllll
Signature of Employee or Legal Representative
llllllllllllllllllllllll
llllllllllllllllllllllll
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

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Occupational Safety and Health Admin., Labor
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 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 to-

§ 1910.1025

ward 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 non-prescription
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]

§ 1910.1025

Lead.

(a) Scope and application. (1) This section applies to all occupational exposure to lead, except as provided in
paragraph (a)(2).

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