March 27, 2026 1 UL 3115 Outline of Investigation for Safety of Al-Based Products Issue Number: 2 March 27, 2026 SummaryofTopics This Second issue of the Outline of Investigation for Safety of Al-Based Products, UL 3115, dated March 27, 2026, covers safety evaluation requirements of Al-based products including both A/ embedded products and digital Alproducts. UL's Outlines of Investigation are copyrighted by UL LLC. Neither a printed nor electronic copy of an Outline of Investigation should be altered in any way. All of UL's Outlines of Investigation and all copyrights, ownerships, and rights regarding LLC. 2026ULLLC ULCOPYRIGHTEDMATERIAL-NOTAUTHORIZEDFORFURTHER REPRODUCTIONORDISTRIBUTIONWITHOUTPERMISSIONFROMULINC MARCH 27,2026 UL3115 No Text on This Page ULCOPYRIGHTEDMATERIAL-NOTAUTHORIZEDFORFURTHER REPRODUCTIONORDISTRIBUTIONWITHOUTPERMISSIONFROMULINC UL3115 MARCH27,2026 CONTENTS Foreword.. INTRODUCTION 1 Scope. 2 Components. .10 3 Units of Measurement ... 11 4 Referenced Publications... .11 5 Glossary... 13 AI SYSTEM SAFETY MANAGEMENT AND ASSURANCE PRINCIPLES General .. .14 AI SAFETY PRINCIPLES General. 16 ROBUSTNESS AND RELIABILITY General .16 Key Considerations 10 General Guidelines.. 17 11 Requirements and Guidelines.. .17 11.1 Data quality and diversity.... 11.2 Model stability and performance monitoring 19 11.3 Error handling and recovery mechanisms .. 19 11.4 Stress testing and adversarial attack resistance 11.5 Validation and verification procedures... ..20 RISK MANAGEMENT 12 Overview.. .21 13 Requirements and Guidelines .21 13.1 Risk identification (Map) .. 13.2 Risk assessment (Measure) .22 13.3 Risk mitigation (Manage), 22 13.4 Risk monitoring and review (Govern).. QUALITY MANAGEMENT 14 Overview.... 23 15 RequirementsandGuidelines .23 15.1 Establishment of a quality management system . .23 15.2 Design control and lifecycle planning........... .24 15.3 Data management within quality management system.... .25 15.4 Documentation and record-keeping... 25 15.5 Risk management integration ..... 15.6 Post-market monitoring and incident management.... 15.7 Accountability and governance ... 26 15.8 Product quality requirements for ai systems .... 15.9 User controllability ..... ULCOPYRIGHTEDMATERIAL-NOTAUTHORIZEDFORFURTHER REPRODUCTIONORDISTRIBUTIONWITHOUTPERMISSIONFROMULINC UL 3115 MARCH27,2026 15.10 Functional adaptability 27 15.11 Functional correctness .27 15.12 Robustness quality.... 15.13 Transparency quality .28 15.14 Intervenability quality. .28 AI-BASED FUNCTIONAL SAFETY 16 Overview ...28 17 Key Considerations .... 18 Requirements and Guidelines . .29 18.1 General.... .29 18.2 Functional safety classification for Al components .... ...31 18.4Al-specificfailure modeanalysis.. .32 18.5 Functional safety concepts and technical safety concepts for Al ..33 18.6 Verification and validation of Al safety functions .. 18.7 Runtime monitoring and degradation management 34 18.8 Structured development aligned with V-model..... FAIRNESS AND BIAS 19 Overview .... 20 Key Considerations .37 21 General Guidelines.. 37 22 Requirements and Guidelines .38 22.1 Bias identification.... 22.2 Bias mitigation strategies.. .38 22.3 Fairness testing...... ..39 22.4 Prompt and response verification for LLMs .39 22.5 Documentation and reporting for fairness and bias ... .40 DATA PRIVACY 23 Overview. .40 24 Key Considerations ...40 25 General Guidelines.. .41 26 Requirements and Guidelines . 41 26.1 Data collection and consent...... .41 26.2 Data minimization and purpose limitation. .42 26.3 Anonymization and pseudonymization .. .42 26.4 Secure storage and access control ..... .43 26.5 Data usage and responsible sharing .. 26.6 Data retention and deletion... .44 26.7 Adherence to data privacy regulations and standards .45 CONTROL AND OVERSIGHT 27 .45 28 Key Considerations .46 29 General Guidelines.. .46 30 Requirements and Guidelines .. .46 3o.1 User controls........... 30.2 Human intervention processes. .47 30.3 Alerting mechanisms.. ..48 ULC