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CIMIA 2021 IOP Publishing
Journal of Physics: Conference Series 1884 (2021) 012037 doi:10.1088/1742-6596/1884/1/012037

Mechanical Safety Risk Analysis of Smart Factory

Zhou Cheng1,2, Ju Likai1*, Cao Min2, Zhang Xiangyan2

1
Nanjing University of Science and Technology Engineering Training Centre
2
Nanjing University of Science and Technology School of Mechanical Engineering

Abstract: In view of the mechanical safety risks of industrial robots, AGVs and other mobile
devices that are widely used in smart factories, a mechanical safety risk analysis of smart
factories method is carried out. First, it analyzes the mechanical safety risks of CNC machine
tools, industrial robots, AGVs, and warehouses in smart factories. Then, a specific seal
production workshop is taken as an example. It conducts a mechanical safety risk analysis and
gives a safety plan to reduce the risk. The mechanical safety of the personalized seal workshop
has achieved sufficient risk reduction. This article can provide a certain reference for conducting
mechanical safety risk analysis during the construction of smart factories.

1. Introduction
With the integration and innovation of a new generation of information technology and advanced
manufacturing technology, a new round of industrial revolution represented by intelligent
manufacturing has emerged in the world, and intelligent manufacturing is causing tremendous changes
in the manufacturing industry. Smart factory is the carrier to realize smart manufacturing. Compared
with existing factories, smart factory pays more attention to the automation and flexibility of product
manufacturing. It uses a large number of mobile devices such as industrial robots and AGVs. The use
of these mobile devices brings new mechanical safety risk. For example, in June 2015, when workers in
the Volkswagen factory in Germany were installing and debugging the robot, the robot suddenly "shot"
and hit the worker's chest and crushed it on the metal plate, causing the worker to die on the spot; in
August, an industrial robot accidentally started on an assembly line of an American auto parts
manufacturer and assembled the parts on the head of a maintenance technician, causing his skull to be
crushed and killed on the spot [1]. These events all warn us that smart factories need more stringent safety
requirements to match them to ensure their healthy development.

2. Mechanical Safety of Smart Factory

Equipment is the basis for realizing smart factories. Smart factory equipment can be roughly divided
into three types: production equipment, production facilities, and auxiliary equipment. Production
equipment refers to equipment directly involved in the production process. Common production
equipment mainly includes CNC machine tools, 3D printing equipment, special equipment and so on.
Production facilities refer to machines or devices used to serve or support the work of production
equipment，including warehouses, industrial robots, and AGVs. Auxiliary equipment refers to the
general name of equipment or devices in the workshop except production equipment and production
facilities. This kind of equipment does not participate in the processing process directly, but serves the
production process. Such as three coordinate measuring machine, spectrometer. Whether it is an
industrial robot, an AGV, or a complete set of logistics and warehousing facilities, they are all typical
digital equipment with specific functions. Most of them are a combination of information technology,
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CIMIA 2021 IOP Publishing
Journal of Physics: Conference Series 1884 (2021) 012037 doi:10.1088/1742-6596/1884/1/012037

computer technology, intelligent sensor technology, intelligent analysis technology and other
innovations. The complexity goes without saying, the uncertainty also increases, and the security issues
become more prominent.
The safety of smart factories includes functional safety, physical safety, and information safety.
Physical safety is to reduce the damage caused by mechanical safety, fire, chemical hazards and other
factors [2]. Among them, mechanical safety is the most likely risk in all dangerous states. Mechanical
safety refers to the ability of a machine to perform its intended functions without causing damage to the
human body or endangering health when the risk is sufficiently reduced during its life cycle. Mechanical
safety risks in smart factories are mainly caused by direct contact with the human body when production
equipment (such as CNC machine tools) and production facilities (such as industrial robots, AGVs) are
running. It may cause extrusion, collision, impact, shearing, entanglement, twisting, Throwing, cutting,
cutting, puncturing and other consequences.
Safety tasks often start with risk analysis. How to identify and analyze mechanical safety hazards in
smart factories has become the first problem to be solved. The purpose of risk analysis is to identify
hazards and estimate hazards. Risk analysis provides the information needed for risk evaluation, and
ultimately determines whether risks need to be reduced.

3. Mechanical Safety Risk Analysis of Smart Factory

Conduct risk analysis on CNC machine tools, industrial robots, AGVs, and warehouses that are prone
to mechanical safety risks in smart factories. Risk analysis mainly includes the determination of various
limits of the machine, hazard identification and risk estimation process, the core of which is risk
estimation.

3.1 Machine Limit Determination

The determination of machine restrictions includes use restrictions, space restrictions, time restrictions
and other restrictions [3]. Among them, use restriction refers to the purpose and scope of use of the
machine; space restriction refers to the space required for installation, disassembly, repair, and
maintenance of the machine; time restriction refers to the service life of the machine. For example, when
identifying the danger of industrial robots, use restrictions include the operation of industrial robots in
different operating modes, and the operation of equipment by operators of different levels; space
restrictions mainly consider the operating range of industrial robots, human-computer interaction
methods and space requirements; The time limit mainly considers the life limit of certain components
or parts in the use of industrial robots; other restrictions are factors that may have a greater impact on
safety in addition to the above restrictions, such as the use environment of industrial robots.

3.2 Hazard Identification

After determining the machine limits, it is necessary to systematically identify foreseeable hazards,
dangerous situations, etc. Document [3] Appendix B gives detailed hazard sources and possible results.
For different types of machinery, it is necessary to refer to the relevant standards of the machinery at the
same time.

3.2.1 CNC Machine Tools

CNC machine tools are important production equipment in smart factories and have certain advantages
in the processing of complex, precise, small batch, and multi-variety parts. The mechanical safety
hazards of CNC machine tools mainly include extrusion, cutting and winding [4]. The main mechanical
safety risk analysis of CNC machine tools is shown in Table 1.

Table 1 Mechanical safety risk analysis of CNC machine tools and measures to be taken
Hazard Type Hazard Risk Level Measures to be Taken
Description
Danger of The distance High Risk 1. Set up a protective door with interlocking

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CIMIA 2021 IOP Publishing
Journal of Physics: Conference Series 1884 (2021) 012037 doi:10.1088/1742-6596/1884/1/012037

crushing or between the device;

collision workpiece and 2. After the protective door is opened, each
the tool holder is axis of the machine tool can only be kept in
not adjusted, and motion by manual continuous operation;
the tool holder 3. Monitor the overspeed, steering and stop
collides with the status of the rotating spindle;
workpiece 4. Each start Before the machine tool, confirm
causing injury. that the machine tool accessories, machined
parts and tools are all fixed and reliable.
Cutting Injuries caused High Risk 1. Set up a protective door with interlocking
hazard by people coming device;
into contact with 2. After the protective door is opened, each
stationary, axis of the machine tool can only be kept in
moving sharp motion by manual continuous operation;
tools or burrs of 3. When the workpiece is rotating or the tool
machined parts. is rotating, it is forbidden to operate with
gloves;
4. Machine tool Do not change the handle and
perform measurement, adjustment and
cleaning work during work;
5. Put down the protective baffle during
processing, and do not directly use hands
when removing chips.
Entanglement Rotating tools, High Risk 1. Set up a protective door with interlocking
danger spindles, device;
leadscrews, 2. After the protective door is opened, each
processed parts, axis of the machine tool can only be kept in
etc. may cause motion by manual continuous operation;
hazards such as 3. The lead screw must be covered by a
twisting hands retractable protective door;
and getting hair 4. Pay attention to the protective equipment
in use correctly.
Danger of Unclamped tools High Risk 1. Set up a protective door with interlocking
injury from and workpieces device;
flying objects fly out and hurt 2. Monitor the overspeed, steering and stop
people; chips fly status of the rotating spindle;
out and hurt 3. Pay attention to the correct use of protective
people equipment.

3.2.2 Industrial Robot

An industrial robot is a multi-joint manipulator or a multi-degree-of-freedom machine device oriented
to the industrial field. It can realize various functions based on its own power and control capabilities
according to pre-designed instructions. The mechanical safety hazards of industrial robots mainly
include extrusion, collision [5-6]. The main mechanical safety risk analysis of industrial robots is shown
in Table 2.
Table 2 Mechanical safety risk analysis of industrial robots and measures to be taken
Hazard Type Hazard Description Risk Level Measures to be Taken
Danger of When a worker stands near High Risk 1. In the process of manual
crushing or the robot arm during teaching, the operating speed
collision teaching, the robot arm hits is limited, so that personnel
the operator. may avoid injury, and the low
speed causes limited injury to
worker

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CIMIA 2021 IOP Publishing
Journal of Physics: Conference Series 1884 (2021) 012037 doi:10.1088/1742-6596/1884/1/012037

Danger of Restart after the interruption High Risk 1. After interrupting the
crushing or of operation. When automatic operation of the
collision restarting, it is in automatic robot, choose to return to the
mode. The robot arm selects established path
a shorter return path, which 2. Reduce the speed of the
may be uncontrolled and process of returning to the
cause a collision. established path
Danger of When the maintainer High Risk 1. The metal parts of the robot
electric shock touched the robot, the wires are grounded to avoid electric
were damaged, which shock
caused the metal parts of the
robot to become live, which
caused the contact personnel
to get an electric shock.
Danger of When the trapped person High Risk 1. An indication mark is added
crushing or was rescued, the rescuer near the brake release button
collision pressed the wrong brake to let the operator know the
release button, and the function of the button
falling of the robotic arm
caused the trapped person to
be more squeezed

3.2.3 AGV
AGV refers to a transport vehicle that can travel along a prescribed guidance path through
electromagnetic or optical automatic guidance devices, with safety protection and various transfer
functions. The mechanical safety hazards of AGV mainly include extrusion, collision [7-8]. The main
mechanical safety risk analysis of AGV is shown in Table 3.

Table 3 AGV machinery safety main risk analysis and measures to be taken
Hazard Type Hazard Description Risk Level Measures to be Taken
Danger of crushing or AGV starts abnormally High Risk 1. Safety inspection
collision when receiving before operation;
unplanned signals 2. Periodic inspection
and maintenance of
the robot;
3. Alarm for abnormal
robot behavior;
4.Emergency stop
function of the robot
Danger of crushing or Workers strayed into the High Risk 1. Photoelectric far
collision AGV moving area avoidance obstacle;
2. Photoelectric near
obstacle avoidance;
3.Mechanical
obstacle avoidance;
4. Obstacle avoidance
indicator;
5. Emergency stop.
Danger of crushing or The operating High Risk 1. The space layout is
collision environment changes far away from or
beyond the scope of reduces the source of
normal work environmental
requirements, causing impact;

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CIMIA 2021 IOP Publishing
Journal of Physics: Conference Series 1884 (2021) 012037 doi:10.1088/1742-6596/1884/1/012037

operating failures or 2.The operating

wrong behaviors environment
monitoring and early
warning
Danger of crushing or The safe stopping time Medium Risk 1. Intrinsically safe
collision is too long and the design, set enough
avoidance is not timely safety distance; or
short enough chain
response time
2. Robot emergency
stop

3.2.4 Warehouse
The warehouse uses high shelves, pallets, elevators, shuttles and other equipment to achieve high-level
storage, which improves the space utilization rate. It can realize automatic and efficient access through
RFID and other technologies. The mechanical safety hazards of the warehouse mainly include extrusion,
collision, and involvement [9-10]. The main mechanical safety risk analysis of the warehouse is shown in
Table 4.
Table 4 Analysis of main risks of mechanical safety of warehouses and measures to be taken
Hazard Hazard Description Risk Level Measures to be Taken
Type
Danger of When the lifting working, If High Risk 1. Install a safety fence;
crushing workers accidentally enter 2. Install a safety gate, cut off the
or in. It may cause extrusion. power supply of the regional
collision movement mechanism when
personnel enter.
Danger of During the movement of the High Risk 1. Install the safety door system,
crushing shuttle, if workers install the safety door system at the
or accidentally enter in, it may entrance and exit of each storey,
collision cause crush injuries when the personnel open the door,
cut off the power supply of the
shuttle
Danger of In the process of conveying High Risk 1. Install safety grating and shield
crushing materials on the conveyor photoelectric to isolate safe area and
or belt, if workers accidentally non-safe area to prevent people from
collision enter in, it may cause entering dangerous area.
collision
Danger of Maintainers are at risk of High Risk 1. Set fence around the platform;
fall from falling during the 2. Use non-slip floor on the platform
height maintenance of the and stairs
warehouse

4. Mechanical Safety Risk Analysis Case of Smart Factory

4.1 Introduction to The Production Workshop of Personalized Seal

The layout of a specific seal production workshop is shown in Figure 1. The seal production workshop
is mainly composed of PLC, automated warehouse, AGV, CNC lathe, carving machine, loading and
unloading robot, assembly robot. The automated warehouse is mainly used for the storage of stamp
blanks and finished products; AGV is mainly used for the circulation of materials between stations;
loading and unloading robots, CNC lathes, and carving machine are mainly used for loading and
unloading and machining; assembly robots are mainly used for the assemble of seals.

5
CIMIA 2021 IOP Publishing
Journal of Physics: Conference Series 1884 (2021) 012037 doi:10.1088/1742-6596/1884/1/012037

automated loading and carving

warehouse CNC lathe unloading robot machine

assembly robot

AGV
Fig.1 Layout of the seal production workshop

4.2 Risk Estimation Method

There are many risk estimation methods, and the risk map method is chosen as the mechanical safety
risk estimation method of the personalized seal production line. The risk graph is based on a decision
tree, and its schematic diagram is shown in Figure 2. Each node in the graph represents a risk parameter
(severity, exposure, probability of occurrence of dangerous events, possibility of avoidance), and each
branch of the node represents A level of parameter (for example, mild or severe) [3]. The equipment risk
index score (PLR) is multiplied by the scores of the severity (S), exposure (F), probability of occurrence
of hazardous events (O), and likelihood of avoidance (A).Which is：
PLR=S×F×O×A （1）
The higher the PLR score, the higher the risk. In this case Smax =4，Fmax =5，Omax =3，
Amax =3,PLRmax =180。
probability of occurrence of likelihood of risk
severity (S) exposure (F)
hazardous events (O) avoidance (A) coefficient
S1,slight F1,F2 O1,O2 A1,A2
1

A1,A2
2
start

F1,seldom O2,low A2,impossible

3

S2,serious A2,impossible
4

F2,frequent O2,low A2,impossible

5

A2,impossible
6
Fig.2 Risk diagram used for risk estimation

Taking severity (S) as an example, the description of each score is as follows:

Severity (S) is the consequence of the identified danger, S is the severity of possible injury, and the

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CIMIA 2021 IOP Publishing
Journal of Physics: Conference Series 1884 (2021) 012037 doi:10.1088/1742-6596/1884/1/012037

scores are as follows:

S=1: scratches, which can be cured by ambulance Abrasions or similar injuries;
S=2: Serious scratches, abrasions, stab wounds that require medical care by a professional doctor;
S=3: Injuries that cannot be recovered normally, it is difficult to continue working after healing;
S=4: Unrecoverable, even if it is possible to heal, it is very difficult to continue working after healing.

4.3 Risk Estimation Process

The equipment with mechanical safety risks in the personalized seal production line mainly includes
warehouses, mobile AGVs, CNC lathes, engraving machines, loading and unloading robots, and
assembly robots. Here take a warehouse as an example to illustrate the risk assessment process, as shown
in Table 5.
Table5 Risk assessment process
Picture Dang Type of Danger The Initial Risk Risk
er Danger description level
Zone

During the
Work
Dangero movement of
space
us point the shuttle, if
s and
workers
aroun Collision 96 Middle
accidentally
d
enter in, it may
machi
cause crush
nes
injuries
Risk estimation Risk estimation Whether
(initial risk) (after risk to
Risk reduction recommendations reduction) continue
to reduce
the risk
Security S F O A PLR Install safety light curtains on the S F O A PLR Not
Solution periphery of the warehouse, if needed
s workers enter in, the warehouse stops
working; at the same time, it is
equipped with an interlocking device
4 4 2 3 96 2 2 1 1 4
safety door, when the door is opened,
the warehouse stops working.

The risk index scores of other equipment are there：PLR of Moving AGV =54,PLR of numerical
control lathe =72,PLR of carving machine =72, PLR of loading and unloading robot =108, PLR of
assembly robot =72。

4.4 Security Protection Plan

Safety protection is a method of isolating the dangerous source of the machinery from the operator
through fixed, enclosed protection and/or interlocking devices. According to the results of the analysis
and estimation, the schematic diagram of the safety protection plan of the personalized seal production
line is shown in Figure 3. The specific measures are as follows:
(1) Install safety light curtains on the periphery of the warehouse. When workers enter, the warehouse
stops working; at the same time, it is equipped with a safety door with interlocking device. When the
door is opened, the warehouse stops working.
(2) Install a non-contact magnetic induction switch on the door of the CNC lathe to detect the status
of the safety door. When the safety door is not closed in place, the CNC lathe cannot start running.

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CIMIA 2021 IOP Publishing
Journal of Physics: Conference Series 1884 (2021) 012037 doi:10.1088/1742-6596/1884/1/012037

(3) Install a non-contact magnetic induction switch on the safety door of the carving machine to
detect the switch status of the safety door. When the safety door is not closed in place, the carving
machine cannot start operation.
(4) Install laser scanners at the front and rear of the loading and unloading robot to cover the working
area of the robot as a presence detection, and the robot stops working when an object is detected.
(5) Install laser scanners at the front and rear of the assembly robot to cover the working area of the
robot as a presence detection, and the robot decelerates when an object is detected.

Safety control system

stacker laser scanner
laser scanner contactless
locking force inductive switch
switch

numerical carving
control machine
lathe
AGV

automated
warehouse - INTERLOCK TYPES-
LOCKING

MAGNETIC

LIGHT CURTAIN
safety light SHEET METAL
curtain safety eye

Fig.3 Schematic diagram of security protection scheme

5. Conclusion
The smart factory is the carrier to realize smart manufacturing. The industrial robots, AGV and other
mobile devices used in a large number of smart factories have brought new mechanical safety risks. The
mechanical safety risks of CNC machine tools, industrial robots, AGVs, and warehouses in smart
factories are analyzed. Taking the personalized seal production workshop as an example, the risk map
method is used as a risk estimation tool to analyze the existing mechanical safety risks and give a safety
plan to reduce the risk. After taking certain safety measures, the mechanical safety of the personalized
seal workshop has been achieved by reducing the risk.

Acknowledgments
This research was supported financially by Nanjing University of Science and Technology, China,
research project: National Key R&D Program(number:2017YFF020720).

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