Designation: E2920 − 14
Standard Guide for
Recording Occupational Injuries and Illnesses1
This standard is issued under the fixed designation E2920; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
1. Scope bility of regulatory limitations prior to use. This standard is not
1.1 This guide is intended to establish definitions and a substitute for any legally required injury and illness record-
criteria for recording occupational injuries and illnesses to be keeping obligations.
used for measuring safety performance, evaluating safety
2. Referenced Documents
program performance, and improving consistency when com-
paring international performance. A measurement system is 2.1 ASTM Standards:2
desired that is precise and accurate, difficult to manipulate, E1542 Terminology Relating to Occupational Health and
significant and meaningful for safety program evaluation, and Safety
appropriate for accountability purposes in a global environ-
ment. 3. Terminology
1.2 Objectives of the occupational injury and illness mea- 3.1 Definitions: For definitions of some terms used in this
surement guide are as follows: guide, refer to Terminology E1542.
1.2.1 Provide a uniform and objective framework for re- 3.1.1 contractor, n—person or business that provides goods
cording work related injuries and illnesses, or services for an enterprise but works for, is directly super-
1.2.2 Facilitate use of injury and illness rates as a means of vised by, and is paid by a separate person or business.
evaluating programs designed to control such injuries and 3.1.1.1 contractor—nested, n—person who performs rou-
illnesses, and tine services for an enterprise but works for, is directly
1.2.3 Establish a basis for meaningful comparison of injury supervised by, and is paid by a separate person or business.
and illness rates across industries and countries. Examples include on-site guard, logistics, or maintenance
services.
1.3 In this guide, definitions and procedures necessary to
maintain work-related injury and illness records and incidence 3.1.1.2 contractor—independent, n—person who works for,
rates are covered. is directly supervised by, and is paid by one person or business
but performs services at various other businesses. Examples
1.4 Key elements of this guide include work relationship, include persons engaged in temporary projects such as machine
definition of injuries and illnesses, levels of severity of rigging, ventilation installation, or construction. Other ex-
occupational incidents, accountability for contractor amples are copy machine repair and package delivery.
relationships, and specifications for injury and illness rate
3.1.1.3 contractor—employer supervised, n—person who is
calculations.
directly supervised by an employer on a day-to-day basis but is
1.5 Units—The values stated in English (or Imperial) units paid indirectly through an agency or third party. Examples
are to be regarded as the standard. The values given in include daily workers and temporary workers.
parentheses are mathematical conversions to SI units that are 3.1.2 employee, n—person who works for another in return
provided for information only. for payment. As used in this guide, the term includes employer-
1.6 This standard does not purport to address all of the supervised contractors, but does not include independent or
safety concerns, if any, associated with its use. It is the nested contractors.
responsibility of the user of this standard to establish appro- 3.1.2.1 Discussion—As used in this guide, the term “em-
priate safety and health practices and determine the applica- ployee” includes contractors that are directly supervised by the
employer. Temporary workers and workers with individual
1
This guide is under the jurisdiction of ASTM Committee E34 on Occupational
2
Health and Safety and is the direct responsibility of Subcommittee E34.80 on For referenced ASTM standards, visit the ASTM website, www.astm.org, or
Industrial Heath. contact ASTM Customer Service at service@astm.org. For Annual Book of ASTM
Current edition approved Jan. 1, 2014. Published January 2014. DOI:10.1520/ Standards volume information, refer to the standard’s Document Summary page on
E2920-14. the ASTM website.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
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E2920 − 14
contract relationships may be included in this category. Inde- 5.1.2 Test 2—Was there a direct connection between the
pendent and nested contractors are not included in the term exposure and the resulting employee condition? Did the
“employee.” exposure either trigger the onset of symptoms or contribute to
3.1.3 illness, n—occurrence of physical or mental harm or the severity of the case?
disease that develops over time in the course of work not as the 5.1.2.1 If the answer is “no,” then the case is not work
result of a single or instantaneous event. related.
3.1.4 injury, n—occurrence of physical or mental harm in 5.1.2.2 If the answer is “yes,” then the case is connected to
the course of work as a result of a single or instantaneous work and may be considered work related if the other two tests
event. are satisfied.
5.1.2.3 Alternatively, for Test 2, ask: “would the case have
3.1.5 Level One cases—Level One cases are those cases that
occurred at the same time and with the same degree of severity
satisfy the work relationship and severity criteria of this guide.
without the work exposure identified in 5.1.1 above?”
3.1.6 Level Two cases—Level Two cases are those cases (1) If the answer is “yes,” then the case is not work related.
currently required to be reported by countries, states, and other (2) If the answer is “no,” then the case is connected to work
jurisdictions. and may be considered work related if the other two tests are
3.1.7 work related, adj—those cases that arise from activi- satisfied.
ties within the scope of employment or are related to a 5.1.3 Test 3—At the time of the incident/exposure, was the
condition of employment, or both. activity the employee engaged in, or the environmental fac-
tor(s) that contributed to the case, subject to the general
4. Significance and Use
authority/control of the employer?
4.1 This guide is intended to define work-related injuries 5.1.3.1 If the answer is “no,” then the case is not work
and illnesses in a way that can be easily understood and related.
measured across countries. These injuries and illnesses can be 5.1.3.2 If the answer is “yes,” then the case may be
used to evaluate, compare, and continually improve manage- considered work related if the other two tests are met.
ment systems and programs related to worker safety and
5.1.3.3 When applying Test 3, even if the tests in 5.1.1 and
health. Although several levels of severity may be defined, the
5.1.2 are met, do not consider the case work related if the
primary objective is to identify cases with meaningful connec-
exposure was so personal in nature as to negate its relevance
tion to work and cases with such potential consequence that
for prevention purposes. Examples:
they have value for prevention purposes. The resultant data and
(1) Employee throws back out from common cold related
incidence rates should improve global benchmarking consis-
sneeze (normal body movement).
tency.
(2) Employee injures herself while preparing her own food
4.2 This guide defines recording criteria for Level One or drink.
cases—cases that have a clear connection to the workplace and (3) Employee injures himself while conducting personal
consequences that are significant for driving injury and illness grooming.
prevention and efforts.
NOTE 1—Employees can be doing something other than a specific work
4.3 While not mandated by this guide, recording of Level task and still be subject to the employer’s authority/control. This includes
Two cases is encouraged and will still be mandatory in many support functions connected to work processes and operations, adminis-
jurisdictions. Level Two cases are those cases currently re- trative functions connected to work, and normal living activities that
quired to be reported by countries, states, and other jurisdic- routinely take place at work if the employer has the authority to regulate
how those living activities are conducted.
tions.
5.1.4 Injuries and illnesses of complex or multiple origins
5. Work Relationship including musculoskeletal conditions and certain occupational
5.1 An injury or illness to an employee is considered to be diseases such as hearing loss are considered work related if the
work related if it meets the following three tests: above work-related criteria contributed sufficiently to the
5.1.1 Test 1—Was the case related to a condition of employ- condition to increase the severity level of the condition or
ment and therefore within the general scope of employment? trigger the onset of the condition.
Specifically, was the employee: 5.1.5 Examples of injury and illness exposures that are
(1) Being paid at the time of the injury and illness provided in Appendix X1.
exposure, or
5.2 The following factors, although sometimes useful when
(2) Required by his or her employer to do the job or task,
investigating or evaluating a case, are not used to determine
or both, or
work relationship or level of severity:
(3) Performing the activity because the performance of the
job mandated that the activity be undertaken? 5.2.1 Whether or not a worker receives compensation for
5.1.1.1 If the answer is “no” to all three conditions, then the wages lost as a result of the effects of an injury or illness;
case is not work related. 5.2.2 Whether an employee receives disability payments;
5.1.1.2 If the answer to any of these three questions is “yes,” 5.2.3 Whether time off work is prescribed;
then the case is “in scope” and may be considered work related 5.2.4 The type of treatment provided;
if the following additional two tests are satisfied. 5.2.5 Who was at fault.
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6. Severity recording and reporting of occupational illnesses is critical to safety and
health improvement.
6.1 The following severity criteria are incorporated into this
guide: 6.1.2 Level Two—Injury or illness that is recorded pursuant
6.1.1 Level One—This guide is intended to capture “core” to regulatory, operational, or program requirements.
injuries and illnesses that result in death, are life threatening, 6.1.2.1 Level Two injuries and illnesses are not governed by
life altering, or so serious that they require immediate medical this guide but are listed here for clarification of the difference
intervention for recovery. from Level One injuries or illnesses. Level Two injuries and
6.1.1.1 Level One injuries would consist of any of the illnesses may or may not include Level One incidents depend-
following: ing on each country’s regulatory reporting requirements. When
(1) Fatality; differences exist between Level One criteria (this guide) and
(2) Amputation (involving bone); Level Two criteria (regulations or company requirements), two
(3) Spinal cord injury; sets of records will need to be maintained. In most countries,
(4) Herniated disc of the cervical, lumbar, or thoracic Level One incidents will be a subset of Level Two incidents.
spinal region, or combinations thereof; 6.1.2.2 Examples of Level Two injuries and illnesses that
(5) Concussion or cerebral hemorrhage, or both; may be required to be recorded in some countries but not
(6) Loss of consciousness; according to Level One criteria include the following:
(7) Injury to internal organs; (1) Commuting injuries,
(8) Fractured bone or tooth; (2) Minor injuries that result in temporary job
(9) Cartilage, tendon, ligament, or muscle tear; reassignment, and
(10) Dislocation of any joint; (3) Temporary muscle soreness.
(11) Laceration or puncture requiring wound closure, such
7. Recording Work-Related Injuries and Illnesses
as sutures or surgical glue;
(12) Musculoskeletal disorder requiring surgery or result- 7.1 For purposes of consistent reporting of injury and illness
ing in permanent impairment; experience, employers shall record all work-related Level One
(13) Third-degree burn or second-degree burn greater than injuries and illnesses that occur to employees, including
3 in. (7.6 cm) in diameter, or both; employer-supervised contractors.
(14) Punctured eardrum; and
(15) Injury to the eye requiring services of a physician 8. Incident Rates
(other than preventive treatment). 8.1 Comparison of safety performance using injury or
6.1.1.2 Level One illnesses would consist of any of the illness experience, or both, requires normalization using a
following: standard denominator.
(1) Fatality that results from prolonged exposure;
8.2 Fatality, injury, and illness rates are expressed in inci-
(2) Occupational dermatitis with blistering or cracking, or
dents per 1 000 000 work hours.
both, covering an area of skin greater than 3 in. (7.6 cm) in
8.2.1 The rate calculation uses the following formula:
diameter;
(3) Occupationally acquired human immunodeficiency vi- Number of Level One injuries and/or illnesses 3 1 000 000
(1)
rus (HIV), hepatitis B or C; Number of hours worked
(4) Occupationally acquired cancer; 8.2.2 The number of injuries or illnesses, or both, in the
(5) Occupationally acquired lung disease; numerator of Eq 1 and the number of hours worked in Eq 1
(6) Occupationally acquired infectious disease; must cover the same time period and the same population of
(7) Occupationally acquired disease of the liver, spleen, employees.
kidney, heart, brain, nervous system, pancreas, thyroid, or other 8.2.3 If the number of hours worked is not available, it may
vital organ; and be calculated from number of employees using customary
(8) Confirmed work-related threshold shift greater than 10 equivalents. For example, for a 40 hour per week, 50 week per
dB (averaged at 2000, 3000, and 4000 Hz) resulting in a total year nominal work schedule, work hours may be determined
shift in that same ear of more than 25 dB from audiometric by multiplying the number of full-time equivalent (FTE)
zero. workers times 2000 hours per year. For other time periods,
NOTE 2—This guide has separate criteria for recording occupational proportionality shall be applied.
illnesses. There is general agreement that gaining consistency in recording 8.2.4 See Appendix X2 for an example of a reporting form.
occupational illnesses will be more difficult than for occupational injuries.
The intent of this separation is to keep the cases reported in the injury 9. Keywords
category as accurate and consistent as possible to facilitate comparison of
injury rates. That said, this guide reflects the belief that improved 9.1 illnesses; injuries; occupational
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APPENDIXES
(Nonmandatory Information)
X1. EXAMPLES OF APPLYING THE CONCEPTS TO REAL WORLD SITUATIONS
INTRODUCTION
This Annex contains cases, examples, and explanatory material that illustrate the recording concepts
of the guide. The examples are grouped according to the order of the guide’s sections. This is a
non-mandatory appendix that is expected to evolve and expand over time as new questions and
situations arise.
Work Relationship—The core set of global outcome metrics are limited to those cases that have a
clear connection to work. Work relationship can be determined with the following ASTM recording
Criteria that includes a Three-Step Analysis.
X1.1 ASTM Criteria—A Three-Step Decision Making X1.2.1.10 Injuries that occur to employee while telecom-
Process muting if the injury is related to the work and not to the general
home environment.
X1.2 Application of the Criteria to Real World Examples X1.2.1.11 Injuries experienced by employees as a result of
X1.2.1 The following cases are considered work related: violating cardinal rules/ignoring administrative controls/
X1.2.1.1 They occur while the employee is performing a making mistakes.
work task (for example, production employee engaged in X1.2.2 The following cases are not considered work related:
manufacturing operations). X1.2.2.1 Cases that occur on company property or while the
X1.2.1.2 They occur while the employee is engaged in worker is engaged in a work activity, but would have occurred
normal activities that occur at work in between specific work at the same time and at the same level of severity even if the
tasks (talking to supervisor, selecting tools, etc.). employee was elsewhere and not engaged in a work activity
X1.2.1.3 The injured/ill worker is engaged in work required (epileptic seizure; diabetic seizure, some heart attacks, etc.).
travel. Do not include the employee’s commute to and from X1.2.2.2 Injuries or illnesses that are related to commuting
home. “Commuting” is distinguished from work-related travel to or from a place of employment outside of work hours.
by the location and distance of the trip. Work-related travel X1.2.2.3 Cases that result solely from normal body move-
normally takes place when the employee must travel outside of ments unrelated to work (sneezing, coughing, bending over to
their normal geographic area of operation. In situations where tie a shoe, etc.).
it is unclear, an easy way to distinguish is to consider work X1.2.2.4 Cases that result solely from personal tasks per-
trips that require an overnight stay to be work-related travel. formed outside of assigned work hours.
X1.2.1.4 The injured/ill worker is going between customers X1.2.2.5 Cases that result solely from preparing or consum-
or other work stops (this excludes the initial commute from ing food, unless provided by the employer.
home to the first stop and the return commute from the last stop X1.2.2.6 Cases that occur in a travel hotel unrelated to
to home). work.
X1.2.1.5 Employee trips and falls while walking down a X1.2.2.7 Cases where the employee is present at the site as
hallway unencumbered at work. a member of the general public, unrelated to their status as an
X1.2.1.6 Employee slips on wet floor in company cafeteria. employee.
X1.2.1.7 Employee slips on ice in company parking lot. X1.2.2.8 Domestic violence that sometimes takes place at
X1.2.1.8 The employee experiences work aggravation of a work.
pre-existing personal condition. For example: X1.2.2.9 Intentionally self-inflicted injuries.
(1) Employee unloading trucks places stress on a knee X1.2.2.10 Injuries that occur to employees telecommuting if
already weakened by a degenerative knee condition. the injury is caused by the general home environment and not
(2) Workplace chemical exposure synergistically aggra- related to work.
vates lung condition of employee who smokes cigarettes. X1.2.2.11 Aggravation of a minor (non-recordable) work-
X1.2.1.9 Onset of the employee’s ergonomic symptoms are related injury at home.
triggered by an event or exposure related to a condition of X1.2.2.12 Injuries that occur when the employee is housed
employment (work activity or related exposure) and the case on the employer’s premises and injured while off duty, such as
would not have occurred at the same time, same degree of when an employee on an offshore oil rig is hurt in the sleeping
severity without that exposure. quarters between shifts.
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X2. REPORTING FORM
X2.1 Table X2.1 is an example of a reporting form. TABLE X2.1 Reporting Form
Enterprise Name:
Time Period
Work Hours:
Number RateA
Level One Injuries
Level One Illnesses
Total Level One Cases
A
Number of Level One injuries and/or illnesses 3 1 000 000
Number of hours worked
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