Applied Safety Science and Engineering Techniques (ASSET)


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Applied Safety Science and Engineering Techniques (ASSETTM) merge hazard based safety engineering and safety science principles in an overall framework of a safety
management process to achieve, maintain and continuously improve safety. The ASSET process has been synthesized from current, industry-standard risk assessment and risk management guidelines, including recent International Organization for
Standardization (ISO), International Electrotechnical Commission (IEC) and American National Standards Institute (ANSI) publications.

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Applied Safety Science and Engineering Techniques (ASSET)

  1. 1. Applied Safety Science andEngineering Techniques (ASSETTM)The Evolution of Hazard Based Safety Engineering into theFramework of a Safety Management Process
  2. 2. Applied Safety Science and Engineering Techniques (ASSET TM )Applied Safety Science and EngineeringTechniques (ASSETTM)The Evolution of Hazard Based Safety Engineeringinto the Framework of a Safety Management ProcessApplied Safety Science and Engineering Techniques (ASSET TM) merge hazard basedsafety engineering and safety science principles in an overall framework of a safetymanagement process to achieve, maintain and continuously improve safety. TheASSET process has been synthesized from current, industry-standard risk assessmentand risk management guidelines, including recent International Organization forStandardization (ISO), International Electrotechnical Commission (IEC) and AmericanNational Standards Institute (ANSI) publications.Basic relationships are explored among hazards, exposure and harm to persons,property and the environment. Various potential approaches to protect against harmare then explored in the framework of safety management, systems engineering,quality management systems, concurrent engineering, human factors and otherrelevant principles.This ASSET safety management process has potential application in virtually anyindustry and product segment to support informed decisions on solutions to difficultsafety issues, using sound safety science and engineering experience and judgment.This paper covers the ASSET safety management process, its guiding principles andobjectives.ASSET ObjectiveThe objective of the ASSET Process of Safety Management is to utilize AppliedSafety Science and Engineering Techniques (ASSET TM), together with existing standards,codes and regulations, to achieve, maintain and continuously improve the safety ofproducts, processes and services for safer living and working environments. ASSET TMis a trademark of UL 2
  3. 3. Applied Safety Science and Engineering Techniques (ASSET TM )Background National Lab, 2011 Today’s Engineering of identified standards, codes and/orThis paper follows the introductory paper, Challenges – Tomorrow’s Solutions regulations that may potentially apply.Applied Safety Science and Engineering Technical Conference and Exhibition. The scope and context of the assessmentTechniques (ASSETTM): Taking Hazard Based itself is also established, including With essential technical input andSafety Engineering (HBSE) to the Next boundaries, and scope alignment on development of Bob Davidson andLevel, which was presented at the 2010 all three counts is sought. In this early strategic leadership of Dan Bejnarowicz,International Symposium on Product stage and throughout the process, ASSET was developed in the safetyCompliance Engineering (ISPCE) of the potential gaps need to be identified and management process framework.Institute of Electrical and Electronics bridged. A gap may exist for example, Notification has just been made that thisEngineers (IEEE) Product Safety if a product, process or service – in the ASSET work has earned a 2011 IEEE Region 1Engineering Society, and had established context of its application – does not fall Award (Northeastern US) in the categorythe case and set the stage for ASSET. completely within the scope of existing of Technological Innovation (Industry or safety standards. Another gap may existA similar paper was published by the Government): For significant Patents, for whereby a product, process or serviceAmerican Society of Safety Engineers discovery of new devices, development of falls within the scope of a safetyin their Safety Health and Environment applications or exemplary contributions standard, but involves features, functions,(SH&E) Standards Digest, a publication to industry or government. technologies or applications that mayof their Engineering Practice Specialty.ASSET also reflects concepts of the ASSET Application introduce a safety hazard, and not be anticipated or addressed by theANSI/ASSE Z690 series, the US national The ASSET process has application in requirements in the standard.adoption of ISO 31000, ISO/IEC 31010 and areas including the development of safety standards, codes, and regulations,ISO Guide 73, initiating membership on ASSET and Standardsthe ISO Technical Advisory Group (TAG) and the design, evaluation, compliance, ASSET provides a process andon Risk Management. certification and safety management methodology for complementing of products, processes and services.Certain ASSET principles have been existing standards in evaluating the As such, ASSET applies to functionsapplied and presented in recent safety of products, processes or services; and responsibilities including safetyconferences including the 2009 NASA assisting in the evaluation of products, designers, regulatory compliance,Aerospace Battery Workshop ("FTA {Fault processes or services not within the scope product safety certifiers, standards/codesTree Analysis} / FMEA {Failure Modes and of existing standards; and evaluating developers and product and programEffects Analysis} Safety Analysis Model for product features such as materials and safety managers. ASSET can also helpLithium-ion Batteries"), ASEAN/ ACCSQ constructions, functions, technologies or to integrate and address the needs of2010 ("ASEAN-US Enhanced Partnership applications not anticipated or covered various stakeholders includingWorkshop on Hazard-Based Engineering by existing standards. In these situations regulators, AHJs, standards developers,Principles for the Electrical and Electronic ASSET can be applied to help identify trade and professional organizations,Equipment: A Risk-Based Approach Applied hazards not anticipated or covered consumer groups, government agenciesto Li-Ion Battery (LIB) Hazards"), as well by existing standards and the need and the ICPHSO 2011 (International Consumer for additional requirements to meetProduct Health and Safety Organization, For example, relevant safety the safety objective or intent of the“Hazard Analysis: Hazard Based Safety requirements are generally determined standards, and help identify alternativeEngineering & Fault Tree Analysis”).The by first establishing the scope of the protective measures not anticipatedASSET Safety Management process was product, process, or service in question. by the standard but which can achievepresented for the IEEE and Argonne This scope is then compared to the scope an equivalent level of safety to thepage 3
  4. 4. Applied Safety Science and Engineering Techniques (ASSET TM ) START DETERMINE SCOPE / CONTEXT IDENTIFY / ANALYZE HAZARDS ASSESS / DECIDE ON ACTION SPECIFY / IDENTIFY / DESIGN PROTECTIVE MEASURES EVALUATE PROTECTIVE MEASURES NO ACCEPTABLE LEVEL OF SAFETY ACHIEVED? YES CONTROL / MONITOR / REVIEW NO PRESENT LEVEL OF SAFETY MAINTAINED? YES IDENTIFY OPPORTUNITIES FOR IMPROVEMENTFigure 1: ASSET Process of Safety Managementprotective measures specified in the ASSET Safety Safety Engineering (HBSE) was originallystandard, thereby meeting the safety Management Process conceived by HP/Agilent, and targetedobjective of the standard. typical types of hazards and forms of The ASSET process of safety management was developed as the evolution of injury involving electronics products,In fact, the ASSET process stages include such as information technology andrepeated “spec-checks”, whereby the hazard-based safety engineering office equipment.initially identified requirements are principles and safety science intoassessed at each stage. an overall framework of a safety The ASSET process is based on a number management process. Hazard Based of acknowledged risk management / riskpage 4
  5. 5. Applied Safety Science and Engineering Techniques (ASSET TM )assessment principles and processes, components, subsystems, environment This stage has goals to establish thefor example those found in publications and boundaries with interfaces and safety objective(s); determine the needincluding but not limited to ISO/IEC Guide interactions; intended implementation, for protective measures; identify the51, IEC Guide 116, ISO 31000, ISO/IEC 31010, operation, use, users and others affected; potential protective measure strategies,ISO 14121, ISO 14971, IEC 60300-3-9 and conditions and requirements for categories and mechanisms; analyzeANSI/ASSE Z690. installation; recommended procedures and prioritize protective measures;This process involves stages to formulate for maintenance and repair; potential and specify, design and implement thethe right types of questions to identify effects of packing, shipping and storage; protective measures.the scope of the product, system or reasonably foreseeable misuse by using Evaluate Protective Measuresservice to be evaluated for potential a sub-process developed to determine degrees of reasonable foreseeable misuse The goal of this stage is to determineharm; identify and analyze hazards and and associated guidance; other whether protective measures arepotential sources of harm; identify, conditions or factors of potential adequate and effective by evaluatinganalyze and evaluate protective measures impact; and applicable standards, whether and how protective measuresto reduce the risk of harm such as risk codes and/or regulations. meet specific safety objectives;of injury from products; assist in the identifying safety attributes thatdetermination of whether or not an Identify / Analyze Hazards are being relied upon and need to beacceptable level of safety is achieved; The goals of the stage are to identify controlled; and evaluating those safetyunderstand and apply methods to potential types and sources of harm attributes. In order to determine ifmaintain and continuously improve (hazards); determine how harm can occur the goal of this stage is achieved, keysafety. This can help explain, apply and such as hazardous situations, hazardous questions are asked which includeenhance existing requirements, and help and harmful events, and the severity of the following:address emerging technologies, products the harm; sort consequences by the level •  Have all the hazardsand applications. of severity, in which initial consequence been identified?This ASSET process was developed to evaluation is akin to worst case scenario,address a broad spectrum of applications •  Have the safety (risk reduction) with guidance on severity factors, andand each stage has different needs objectives been determined? consideration of extent and exposure ofand significance for the assessment of harm; and determine if the applicable •  Have the protective measuresdifferent products, processes, services standards, codes and/or regulations intended to address the hazardsin different applications. The following address the identified hazards, or if there and achieve the safety objectivesprovides a brief look at each ASSET are gaps that need to be addressed. been identified and designed?process stage and its objectives. Specify / Identify / Design •  Have tests and evaluations beenDetermine Scope / Context Protective Measures conducted to demonstrate that the protective measures are capableThe goals of this stage are to determine In this stage, protective measures of achieving the safety objectivesand attempt to align the scope and are specified, identified or designed, with acceptable results?context of the following: the product, depending on the given function andprocess or service to be assessed, the responsibility being fulfilled. For example, •  Have the constructions,assessment itself and the initially a protective measure may be specified components and materials thatidentified requirements. Relevant topics by developers of standards, codes and are relied upon for the protectiveinclude the subject of the assessment, regulations, designed by a manufacturer measure to meet the safetyincluding systems aspects of materials, or identified by an evaluator. objectives been identified?page 5
  6. 6. Applied Safety Science and Engineering Techniques (ASSET TM ) •  Have their safety-related This may involve revisiting earlier process present level of safety is not being characteristics (safety attributes), stages or discontinuing. maintained, there is a different need to factors which may degrade those assess and decide on action. Again, this This point of the ASSET process characteristics, and the tests and generally involves conformance and may involve revisiting earlier process evaluations needed to determine compliance activities. stages or discontinuing. their adequacy been identified? Control / Monitor / Review This point of the ASSET process generally •  Have the necessary evaluations to Maintain Safety involves activities including certification, / tests been performed with market and conformity surveillance, At this stage, if determined that an acceptable results? follow-up for certification mark integrity, acceptable level of safety has been updates in regulations, standards andThrough this point in the ASSET achieved, the goal is to ensure that codes, and assessment of new/emergingprocess, these stages generally involve safety is then maintained by establishing technologies that may either benefit oractivities such as hazard based safety controls throughout the life cycle, threaten, safety research, safety up the supply chain, to ensure thatdesign, conformity assessment and new safety is maintained; monitoring field Identify Opportunities for Improvementstandards development. It is also noted performance down the supply chain The goal of this stage is to monitor andthat the evaluation of certain protective and factors that may impact safety identify the opportunity, or the need,measures, including life safety devices, by means of surveillance and follow for improvement in safety and safetymay effectively begin at this stage. up; and periodically reviewing and standards and the processes, methodsDecision Gate: Acceptable Level assessing results and deciding on and tools used to determine whether andof Safety Achieved? appropriate actions. how safety is achieved and maintained. Decision Gate: Present Level These opportunities are then assessedThere are two basic outcomes of this of Safety Maintained? to decide on action, which may involvesafety decision. If it is determined that revisiting earlier process acceptable level of safety has been Similar to the prior decision gate, thereachieved, then there is a need to control, are also two basic outcomes of this safety Activities involved in this stage of themonitor and review to maintain safety. decision. If determined that the present ASSET process include improvements inHowever, if an acceptable level of safety level of safety is being maintained, then regulations, standards and codes, as wellhas not been achieved, there is a different there is a need to continue to control, as improvements in safety assessmentneed to assess and decide on action. monitor, and review. However, if the processes, methods and 6
  7. 7. Applied Safety Science and Engineering Techniques (ASSET TM )Meeting the ObjectiveThe stated objective of the ASSET process of safety management is to utilize AppliedSafety Science and Engineering Techniques (ASSET TM) together with existing standards,codes and regulations to achieve, maintain and continuously improve the safety ofproducts, processes and services for safer living and working environments.By this we mean to determine and achieve an acceptable level of safety, based onspecific safety objectives; maintain that present level of safety throughout the entirelifecycle of the product, process or service, under all anticipated conditions, consideringupstream (suppliers) and downstream (users and all affected) the supply chain; andcontinually seek and assess opportunities for improvement,based on the availability,need or demand for improvements.ASSET stresses the importance of assessing the sources, causes and conditions of harm,as HBSE always has, as well as the risk of harm including severity, likelihood, extent,exposure of harm. ASSET also addresses different forms of potential harm to variousentities, including injury or health risk to persons, harm to property or the environmentand even continuity of critical operations and functions. Sources are categorized interms of energy or matter/substance that may be harmful, from different sources invarious forms, conversions or conditions. The standard HBSE tools of the 3-block energytransfer model for injury and HBSE process to evaluate a safeguard and standard injuryfault tree are adapted and expanded.Then the most effective protective measure strategies can be determined, withappropriate identification, evaluation and control of safety attributes - the veryproperties and characteristics of protective measures relied upon to achieve, maintainand improve this level of safety.The ASSET process supports informed decisions using the best available information,data and other resources, based on the best available knowledge and experience, atprogressive stages of development. This can help identify the degree of confidence inthe decision and the relative need and value of additional inputs or analysis. ASSET canalso serve as a tool for effective communication and interaction to share information,as needed by various stakeholders.For more information about the Applied Safety Science and Engineering Techniques(ASSET TM) white paper, please contact Thomas Lanzisero, Senior Research Engineer 7
  8. 8. Applied Safety Science and Engineering Techniques (ASSET TM )AcknowledgmentThe author wishes to acknowledge the indispensible technical and strategiccontributions of Robert J. Davidson, Jr. and Daniel E. Bejnarowicz of UL University.ASSET is now the subject of a 2-day workshop to put your skills to the test by applyingASSET analysis to example products and prepare to address difficult safety issues usinga multi-disciplined, team-oriented approach, supported by science as well as your ownexperience and judgment.ReferencesRisk management - Principles and guidelines, ISO 31000, First edition, 2009-11-15Risk management - Risk assessment techniques, IEC ISO 31010, Edition 1.0, 2009-11Risk management - Vocabulary, ISO Guide 73, First Edition, 2009Risk Management Series: ANSI/ASSE Z690.1-2011 Vocabulary for Risk Management (identical national adoption of ISO Guide 73:2009); ANSI/ASSE Z690.2-2011 Risk Management -Principles and Guidelines (identical national adoption of ISO 31000:2009); ANSI/ASSE Z690.3-2011 Risk Assessment Techniques (identical national adoption of ISO/IEC 31010:2009)Safety aspects, Guidelines for their inclusion in standards, ISO IEC Guide 51, Second edition, 1999Guidelines for safety related risk assessment and risk reduction for low voltage equipment, IEC Guide 116, Edition 1.0, 2010-08Hazard Based Safety Engineering, Student Guide, 2nd Ed (B.03), Hewlett-Packard Company, Agilent Technologies, Inc., Underwriters Laboratories Inc., 2001Hazard Based Safety Engineering (HBSE) UL Supplement, Underwriters Laboratories Inc., 2003Risk Assessment Guidelines for Consumer Products, Official Journal of the European Union: OJ L22 Vol 53, 26 January 2010, Part IV, Appendix 5Dependability Management, Part 3 Application Guide - Section 9 Risk Analysis of Technological Systems, IEC 60300-3-9, First EditionSafety of machinery - Risk assessment - Part 1: Principles, ISO 14121-1:2007Medical devices - Application of risk management to medical devices, EN ISO 14971W. Hammer, Product Safety Management and Engineering, 2nd ed, 1993Fault Tree Handbook, NUREG-0492, Nuclear Regulatory Commission, Washington D.C., 1981Fault Tree Handbook with Aerospace Applications, NASA, Washington D.C., 2002Potential Failure Mode and Effects Analysis in Design (Design FMEA), SAE J1739, 2009UL and the UL logo are trademarks of UL LLC © 2012. No part of this document may be copied or distributed without the prior writtenconsent of UL LLC 2012.© 2010 IEEE. Personal use of this material is permitted. However, permission to reprint/publish this material for advertising orpromotional purposes or for creating new collective works for resale or distribution to servers or lists, or to reuse any copyrightedcomponent of this work in other works must be obtained from the 8