ASTM E2920-2014 Standard Guide for Recording Occupational Injuries and Illnesses《职业伤害与疾病记录的标准指南》.pdf

1、Designation: E2920 14Standard Guide forRecording Occupational Injuries and Illnesses1This standard is issued under the fixed designation E2920; the number immediately following the designation indicates the year oforiginal adoption or, in the case of revision, the year of last revision. A number in

2、parentheses indicates the year of last reapproval. Asuperscript epsilon () indicates an editorial change since the last revision or reapproval.1. Scope1.1 This guide is intended to establish definitions andcriteria for recording occupational injuries and illnesses to beused for measuring safety perf

3、ormance, evaluating safetyprogram performance, and improving consistency when com-paring international performance. A measurement system isdesired that is precise and accurate, difficult to manipulate,significant and meaningful for safety program evaluation, andappropriate for accountability purpose

4、s in a global environ-ment.1.2 Objectives of the occupational injury and illness mea-surement guide are as follows:1.2.1 Provide a uniform and objective framework for re-cording work related injuries and illnesses,1.2.2 Facilitate use of injury and illness rates as a means ofevaluating programs desi

5、gned to control such injuries andillnesses, and1.2.3 Establish a basis for meaningful comparison of injuryand illness rates across industries and countries.1.3 In this guide, definitions and procedures necessary tomaintain work-related injury and illness records and incidencerates are covered.1.4 Ke

6、y elements of this guide include work relationship,definition of injuries and illnesses, levels of severity ofoccupational incidents, accountability for contractorrelationships, and specifications for injury and illness ratecalculations.1.5 UnitsThe values stated in English (or Imperial) unitsare to

7、 be regarded as the standard. The values given inparentheses are mathematical conversions to SI units that areprovided for information only.1.6 This standard does not purport to address all of thesafety concerns, if any, associated with its use. It is theresponsibility of the user of this standard t

8、o establish appro-priate safety and health practices and determine the applica-bility of regulatory limitations prior to use. This standard is nota substitute for any legally required injury and illness record-keeping obligations.2. Referenced Documents2.1 ASTM Standards:2E1542 Terminology Relating

9、to Occupational Health andSafety3. Terminology3.1 Definitions: For definitions of some terms used in thisguide, refer to Terminology E1542.3.1.1 contractor, nperson or business that provides goodsor services for an enterprise but works for, is directly super-vised by, and is paid by a separate perso

10、n or business.3.1.1.1 contractornested, nperson who performs rou-tine services for an enterprise but works for, is directlysupervised by, and is paid by a separate person or business.Examples include on-site guard, logistics, or maintenanceservices.3.1.1.2 contractorindependent, nperson who works fo

11、r,is directly supervised by, and is paid by one person or businessbut performs services at various other businesses. Examplesinclude persons engaged in temporary projects such as machinerigging, ventilation installation, or construction. Other ex-amples are copy machine repair and package delivery.3

12、.1.1.3 contractoremployer supervised, nperson who isdirectly supervised by an employer on a day-to-day basis but ispaid indirectly through an agency or third party. Examplesinclude daily workers and temporary workers.3.1.2 employee, nperson who works for another in returnfor payment.As used in this

13、guide, the term includes employer-supervised contractors, but does not include independent ornested contractors.3.1.2.1 DiscussionAs used in this guide, the term “em-ployee” includes contractors that are directly supervised by theemployer. Temporary workers and workers with individual1This guide is

14、under the jurisdiction of ASTM Committee E34 on OccupationalHealth and Safety and is the direct responsibility of Subcommittee E34.80 onIndustrial Heath.Current edition approved Jan. 1, 2014. Published January 2014. DOI:10.1520/E2920-14.2For referenced ASTM standards, visit the ASTM website, www.ast

15、m.org, orcontact ASTM Customer Service at serviceastm.org. For Annual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States1contract r

16、elationships may be included in this category. Inde-pendent and nested contractors are not included in the term“employee.”3.1.3 illness, noccurrence of physical or mental harm ordisease that develops over time in the course of work not as theresult of a single or instantaneous event.3.1.4 injury, no

17、ccurrence of physical or mental harm inthe course of work as a result of a single or instantaneousevent.3.1.5 Level One casesLevel One cases are those cases thatsatisfy the work relationship and severity criteria of this guide.3.1.6 Level Two casesLevel Two cases are those casescurrently required to

18、 be reported by countries, states, and otherjurisdictions.3.1.7 work related, adjthose cases that arise from activi-ties within the scope of employment or are related to acondition of employment, or both.4. Significance and Use4.1 This guide is intended to define work-related injuriesand illnesses i

19、n a way that can be easily understood andmeasured across countries. These injuries and illnesses can beused to evaluate, compare, and continually improve manage-ment systems and programs related to worker safety andhealth. Although several levels of severity may be defined, theprimary objective is t

20、o identify cases with meaningful connec-tion to work and cases with such potential consequence thatthey have value for prevention purposes. The resultant data andincidence rates should improve global benchmarking consis-tency.4.2 This guide defines recording criteria for Level Onecasescases that hav

21、e a clear connection to the workplace andconsequences that are significant for driving injury and illnessprevention and efforts.4.3 While not mandated by this guide, recording of LevelTwo cases is encouraged and will still be mandatory in manyjurisdictions. Level Two cases are those cases currently

22、re-quired to be reported by countries, states, and other jurisdic-tions.5. Work Relationship5.1 An injury or illness to an employee is considered to bework related if it meets the following three tests:5.1.1 Test 1Was the case related to a condition of employ-ment and therefore within the general sc

23、ope of employment?Specifically, was the employee:(1) Being paid at the time of the injury and illnessexposure, or(2) Required by his or her employer to do the job or task,or both, or(3) Performing the activity because the performance of thejob mandated that the activity be undertaken?5.1.1.1 If the

24、answer is “no” to all three conditions, then thecase is not work related.5.1.1.2 If the answer to any of these three questions is “yes,”then the case is “in scope” and may be considered work relatedif the following additional two tests are satisfied.5.1.2 Test 2Was there a direct connection between

25、theexposure and the resulting employee condition? Did theexposure either trigger the onset of symptoms or contribute tothe severity of the case?5.1.2.1 If the answer is “no,” then the case is not workrelated.5.1.2.2 If the answer is “yes,” then the case is connected towork and may be considered work

26、 related if the other two testsare satisfied.5.1.2.3 Alternatively, for Test 2, ask: “would the case haveoccurred at the same time and with the same degree of severitywithout the work exposure identified in 5.1.1 above?”(1) If the answer is “yes,” then the case is not work related.(2) If the answer

27、is “no,” then the case is connected to workand may be considered work related if the other two tests aresatisfied.5.1.3 Test 3At the time of the incident/exposure, was theactivity the employee engaged in, or the environmental fac-tor(s) that contributed to the case, subject to the generalauthority/c

28、ontrol of the employer?5.1.3.1 If the answer is “no,” then the case is not workrelated.5.1.3.2 If the answer is “yes,” then the case may beconsidered work related if the other two tests are met.5.1.3.3 When applying Test 3, even if the tests in 5.1.1 and5.1.2 are met, do not consider the case work r

29、elated if theexposure was so personal in nature as to negate its relevancefor prevention purposes. Examples:(1) Employee throws back out from common cold relatedsneeze (normal body movement).(2) Employee injures herself while preparing her own foodor drink.(3) Employee injures himself while conducti

30、ng personalgrooming.NOTE 1Employees can be doing something other than a specific worktask and still be subject to the employers authority/control. This includessupport functions connected to work processes and operations, adminis-trative functions connected to work, and normal living activities that

31、routinely take place at work if the employer has the authority to regulatehow those living activities are conducted.5.1.4 Injuries and illnesses of complex or multiple originsincluding musculoskeletal conditions and certain occupationaldiseases such as hearing loss are considered work related if the

32、above work-related criteria contributed sufficiently to thecondition to increase the severity level of the condition ortrigger the onset of the condition.5.1.5 Examples of injury and illness exposures that areprovided in Appendix X1.5.2 The following factors, although sometimes useful wheninvestigat

33、ing or evaluating a case, are not used to determinework relationship or level of severity:5.2.1 Whether or not a worker receives compensation forwages lost as a result of the effects of an injury or illness;5.2.2 Whether an employee receives disability payments;5.2.3 Whether time off work is prescri

34、bed;5.2.4 The type of treatment provided;5.2.5 Who was at fault.E2920 1426. Severity6.1 The following severity criteria are incorporated into thisguide:6.1.1 Level OneThis guide is intended to capture “core”injuries and illnesses that result in death, are life threatening,life altering, or so seriou

35、s that they require immediate medicalintervention for recovery.6.1.1.1 Level One injuries would consist of any of thefollowing:(1) Fatality;(2) Amputation (involving bone);(3) Spinal cord injury;(4) Herniated disc of the cervical, lumbar, or thoracicspinal region, or combinations thereof;(5) Concuss

36、ion or cerebral hemorrhage, or both;(6) Loss of consciousness;(7) Injury to internal organs;(8) Fractured bone or tooth;(9) Cartilage, tendon, ligament, or muscle tear;(10) Dislocation of any joint;(11) Laceration or puncture requiring wound closure, suchas sutures or surgical glue;(12) Musculoskele

37、tal disorder requiring surgery or result-ing in permanent impairment;(13) Third-degree burn or second-degree burn greater than3 in. (7.6 cm) in diameter, or both;(14) Punctured eardrum; and(15) Injury to the eye requiring services of a physician(other than preventive treatment).6.1.1.2 Level One ill

38、nesses would consist of any of thefollowing:(1) Fatality that results from prolonged exposure;(2) Occupational dermatitis with blistering or cracking, orboth, covering an area of skin greater than 3 in. (7.6 cm) indiameter;(3) Occupationally acquired human immunodeficiency vi-rus (HIV), hepatitis B

39、or C;(4) Occupationally acquired cancer;(5) Occupationally acquired lung disease;(6) Occupationally acquired infectious disease;(7) Occupationally acquired disease of the liver, spleen,kidney, heart, brain, nervous system, pancreas, thyroid, or othervital organ; and(8) Confirmed work-related thresho

40、ld shift greater than 10dB (averaged at 2000, 3000, and 4000 Hz) resulting in a totalshift in that same ear of more than 25 dB from audiometriczero.NOTE 2This guide has separate criteria for recording occupationalillnesses. There is general agreement that gaining consistency in recordingoccupational

41、 illnesses will be more difficult than for occupational injuries.The intent of this separation is to keep the cases reported in the injurycategory as accurate and consistent as possible to facilitate comparison ofinjury rates. That said, this guide reflects the belief that improvedrecording and repo

42、rting of occupational illnesses is critical to safety andhealth improvement.6.1.2 Level TwoInjury or illness that is recorded pursuantto regulatory, operational, or program requirements.6.1.2.1 Level Two injuries and illnesses are not governed bythis guide but are listed here for clarification of th

43、e differencefrom Level One injuries or illnesses. Level Two injuries andillnesses may or may not include Level One incidents depend-ing on each countrys regulatory reporting requirements. Whendifferences exist between Level One criteria (this guide) andLevel Two criteria (regulations or company requ

44、irements), twosets of records will need to be maintained. In most countries,Level One incidents will be a subset of Level Two incidents.6.1.2.2 Examples of Level Two injuries and illnesses thatmay be required to be recorded in some countries but notaccording to Level One criteria include the followi

45、ng:(1) Commuting injuries,(2) Minor injuries that result in temporary jobreassignment, and(3) Temporary muscle soreness.7. Recording Work-Related Injuries and Illnesses7.1 For purposes of consistent reporting of injury and illnessexperience, employers shall record all work-related Level Oneinjuries

46、and illnesses that occur to employees, includingemployer-supervised contractors.8. Incident Rates8.1 Comparison of safety performance using injury orillness experience, or both, requires normalization using astandard denominator.8.2 Fatality, injury, and illness rates are expressed in inci-dents per

47、 1 000 000 work hours.8.2.1 The rate calculation uses the following formula:Number of Level One injuries and/or illnesses 3 1 000 000Number of hours worked(1)8.2.2 The number of injuries or illnesses, or both, in thenumerator of Eq 1 and the number of hours worked in Eq 1must cover the same time per

48、iod and the same population ofemployees.8.2.3 If the number of hours worked is not available, it maybe calculated from number of employees using customaryequivalents. For example, for a 40 hour per week, 50 week peryear nominal work schedule, work hours may be determinedby multiplying the number of

49、full-time equivalent (FTE)workers times 2000 hours per year. For other time periods,proportionality shall be applied.8.2.4 See Appendix X2 for an example of a reporting form.9. Keywords9.1 illnesses; injuries; occupationalE2920 143APPENDIXES(Nonmandatory Information)X1. EXAMPLES OF APPLYING THE CONCEPTS TO REAL WORLD SITUATIONSINTRODUCTIONThisAnnex contains cases, examples, and explanatory material that illustrate the recording conceptsof the guide. The examples are grouped according to the order of the guides sections. This is anon-mandatory appendix that