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.

1. Applied Safety Science and
Engineering Techniques (ASSETTM)
The Evolution of Hazard Based Safety Engineering into the
Framework of a Safety Management Process

2. Applied Safety Science and Engineering Techniques (ASSET TM )
Applied Safety Science and Engineering
Techniques (ASSETTM)
The Evolution of Hazard Based Safety Engineering
into the Framework of a Safety Management Process
Applied Safety Science and Engineering Techniques (ASSET TM) 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.
Basic relationships are explored among hazards, exposure and harm to persons,
property and the environment. Various potential approaches to protect against harm
are then explored in the framework of safety management, systems engineering,
quality management systems, concurrent engineering, human factors and other
relevant principles.
This ASSET safety management process has potential application in virtually any
industry and product segment to support informed decisions on solutions to difficult
safety issues, using sound safety science and engineering experience and judgment.
This paper covers the ASSET safety management process, its guiding principles and
objectives.
ASSET Objective
The objective of the ASSET Process of Safety Management is to utilize Applied
Safety Science and Engineering Techniques (ASSET TM), together with existing standards,
codes and regulations, to achieve, maintain and continuously improve the safety of
products, processes and services for safer living and working environments. ASSET TM
is a trademark of UL LLC.
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3. Applied Safety Science and Engineering Techniques (ASSET TM )
Background National Lab, 2011 Today’s Engineering of identified standards, codes and/or
This 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 assessment
Techniques (ASSETTM): Taking Hazard Based itself is also established, including
With essential technical input and
Safety Engineering (HBSE) to the Next boundaries, and scope alignment on
development of Bob Davidson and
Level, 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 safety
Compliance 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 this
Engineers (IEEE) Product Safety if a product, process or service – in the
ASSET work has earned a 2011 IEEE Region 1
Engineering Society, and had established context of its application – does not fall
Award (Northeastern US) in the category
the case and set the stage for ASSET. completely within the scope of existing
of Technological Innovation (Industry or
safety standards. Another gap may exist
A similar paper was published by the Government): For significant Patents, for
whereby a product, process or service
American Society of Safety Engineers discovery of new devices, development of
falls within the scope of a safety
in 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 may
of their Engineering Practice Specialty.
ASSET also reflects concepts of the
ASSET Application introduce a safety hazard, and not
be anticipated or addressed by the
ANSI/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 Standards
the ISO Technical Advisory Group (TAG) and the design, evaluation, compliance,
ASSET provides a process and
on 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 functions
applied and presented in recent safety of products, processes or services;
and responsibilities including safety
conferences 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/codes
Tree Analysis} / FMEA {Failure Modes and of existing standards; and evaluating
developers and product and program
Effects Analysis} Safety Analysis Model for product features such as materials and
safety managers. ASSET can also help
Lithium-ion Batteries"), ASEAN/ ACCSQ constructions, functions, technologies or
to integrate and address the needs of
2010 ("ASEAN-US Enhanced Partnership applications not anticipated or covered
various stakeholders including
Workshop 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 agencies
to Li-Ion Battery (LIB) Hazards"), as well by existing standards and the need
and the public.
as ICPHSO 2011 (International Consumer for additional requirements to meet
Product 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 alternative
Engineering & Fault Tree Analysis”).The by first establishing the scope of the protective measures not anticipated
ASSET Safety Management process was product, process, or service in question. by the standard but which can achieve
presented for the IEEE and Argonne This scope is then compared to the scope an equivalent level of safety to the
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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 IMPROVEMENT
Figure 1: ASSET Process of Safety Management
protective measures specified in the ASSET Safety Safety Engineering (HBSE) was originally
standard, thereby meeting the safety Management Process conceived by HP/Agilent, and targeted
objective 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 and
repeated “spec-checks”, whereby the hazard-based safety engineering
office equipment.
initially identified requirements are principles and safety science into
assessed 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 / risk
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5. Applied Safety Science and Engineering Techniques (ASSET TM )
assessment principles and processes, components, subsystems, environment This stage has goals to establish the
for example those found in publications and boundaries with interfaces and safety objective(s); determine the need
including but not limited to ISO/IEC Guide interactions; intended implementation, for protective measures; identify the
51, 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; analyze
ANSI/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 the
the 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 Measures
service to be evaluated for potential a sub-process developed to determine
degrees of reasonable foreseeable misuse The goal of this stage is to determine
harm; identify and analyze hazards and
and associated guidance; other whether protective measures are
potential sources of harm; identify,
conditions or factors of potential adequate and effective by evaluating
analyze and evaluate protective measures
impact; and applicable standards, whether and how protective measures
to 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 that
determination of whether or not an Identify / Analyze Hazards
are being relied upon and need to be
acceptable level of safety is achieved;
The goals of the stage are to identify controlled; and evaluating those safety
understand and apply methods to
potential types and sources of harm attributes. In order to determine if
maintain and continuously improve
(hazards); determine how harm can occur the goal of this stage is achieved, key
safety. This can help explain, apply and
such as hazardous situations, hazardous questions are asked which include
enhance 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 hazards
and 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, and
and each stage has different needs objectives been determined?
consideration of extent and exposure of
and significance for the assessment of harm; and determine if the applicable • Have the protective measures
different products, processes, services standards, codes and/or regulations intended to address the hazards
in different applications. The following address the identified hazards, or if there and achieve the safety objectives
provides 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 been
Determine Scope / Context Protective Measures conducted to demonstrate that the
protective measures are capable
The goals of this stage are to determine In this stage, protective measures
of achieving the safety objectives
and 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 and
process 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 that
identified requirements. Relevant topics by developers of standards, codes and are relied upon for the protective
include the subject of the assessment, regulations, designed by a manufacturer measure to meet the safety
including systems aspects of materials, or identified by an evaluator. objectives been identified?
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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 and
Through this point in the ASSET achieved, the goal is to ensure that
codes, and assessment of new/emerging
process, these stages generally involve safety is then maintained by establishing
technologies that may either benefit or
activities such as hazard based safety controls throughout the life cycle,
threaten safety.
engineering, safety research, safety up the supply chain, to ensure that
design, conformity assessment and new safety is maintained; monitoring field Identify Opportunities for Improvement
standards development. It is also noted performance down the supply chain The goal of this stage is to monitor and
that 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 safety
may effectively begin at this stage. up; and periodically reviewing and standards and the processes, methods
Decision Gate: Acceptable Level assessing results and deciding on and tools used to determine whether and
of Safety Achieved? appropriate actions. how safety is achieved and maintained.
Decision Gate: Present Level These opportunities are then assessed
There are two basic outcomes of this
of Safety Maintained? to decide on action, which may involve
safety decision. If it is determined that
revisiting earlier process stages.
an acceptable level of safety has been Similar to the prior decision gate, there
achieved, then there is a need to control, are also two basic outcomes of this safety Activities involved in this stage of the
monitor and review to maintain safety. decision. If determined that the present ASSET process include improvements in
However, if an acceptable level of safety level of safety is being maintained, then regulations, standards and codes, as well
has not been achieved, there is a different there is a need to continue to control, as improvements in safety assessment
need to assess and decide on action. monitor, and review. However, if the processes, methods and tools.
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7. Applied Safety Science and Engineering Techniques (ASSET TM )
Meeting the Objective
The stated objective of the ASSET process of safety management is to utilize Applied
Safety Science and Engineering Techniques (ASSET TM) together with existing standards,
codes and regulations to achieve, maintain and continuously improve the safety of
products, processes and services for safer living and working environments.
By this we mean to determine and achieve an acceptable level of safety, based on
specific safety objectives; maintain that present level of safety throughout the entire
lifecycle of the product, process or service, under all anticipated conditions, considering
upstream (suppliers) and downstream (users and all affected) the supply chain; and
continually 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 various
entities, including injury or health risk to persons, harm to property or the environment
and even continuity of critical operations and functions. Sources are categorized in
terms of energy or matter/substance that may be harmful, from different sources in
various forms, conversions or conditions. The standard HBSE tools of the 3-block energy
transfer model for injury and HBSE process to evaluate a safeguard and standard injury
fault tree are adapted and expanded.
Then the most effective protective measure strategies can be determined, with
appropriate identification, evaluation and control of safety attributes - the very
properties and characteristics of protective measures relied upon to achieve, maintain
and 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, at
progressive stages of development. This can help identify the degree of confidence in
the decision and the relative need and value of additional inputs or analysis. ASSET can
also 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 at
thomas.p.lanzisero@ul.com.
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8. Applied Safety Science and Engineering Techniques (ASSET TM )
Acknowledgment
The author wishes to acknowledge the indispensible technical and strategic
contributions 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 applying
ASSET analysis to example products and prepare to address difficult safety issues using
a multi-disciplined, team-oriented approach, supported by science as well as your own
experience and judgment.
References
Risk management - Principles and guidelines, ISO 31000, First edition, 2009-11-15
Risk management - Risk assessment techniques, IEC ISO 31010, Edition 1.0, 2009-11
Risk management - Vocabulary, ISO Guide 73, First Edition, 2009
Risk 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, 1999
Guidelines for safety related risk assessment and risk reduction for low voltage equipment, IEC Guide 116, Edition 1.0, 2010-08
Hazard Based Safety Engineering, Student Guide, 2nd Ed (B.03), Hewlett-Packard Company,
Agilent Technologies, Inc., Underwriters Laboratories Inc., 2001
Hazard Based Safety Engineering (HBSE) UL Supplement, Underwriters Laboratories Inc., 2003
Risk Assessment Guidelines for Consumer Products, Official Journal of the European Union: OJ L22 Vol 53, 26
January 2010, Part IV, Appendix 5
Dependability Management, Part 3 Application Guide - Section 9 Risk Analysis of Technological Systems, IEC 60300-3-9, First Edition
Safety of machinery - Risk assessment - Part 1: Principles, ISO 14121-1:2007
Medical devices - Application of risk management to medical devices, EN ISO 14971
W. Hammer, Product Safety Management and Engineering, 2nd ed, 1993
Fault Tree Handbook, NUREG-0492, Nuclear Regulatory Commission, Washington D.C., 1981
Fault Tree Handbook with Aerospace Applications, NASA, Washington D.C., 2002
Potential Failure Mode and Effects Analysis in Design (Design FMEA), SAE J1739, 2009
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