ISO 21815-1:2022
(Main)Earth-moving machinery — Collision warning and avoidance — Part 1: General requirements
Earth-moving machinery — Collision warning and avoidance — Part 1: General requirements
This document provides terminology and general guidance on the principles of collision warning and collision avoidance systems for: — earth moving machinery as defined in ISO 6165, — mobile underground mining machinery as defined in ISO 19296, and — road construction machinery as defined in ISO 22242. This document provides general requirements for detection of objects, warnings to the operator, automatic intervention control to avoid collision, and test procedures. It is intended to be used in conjunction with the other parts of the ISO 21815 series, which provide detailed guidance and requirements for collision warning and collision avoidance systems and determining risk areas and risk levels. The specific requirements and definitions for particular types of machines are defined in the use case parts of the ISO 21815 series. This document covers collision avoidance by speed reduction or motion inhibit: it does not cover avoidance by automatic manoeuvring (e.g. steering) away from the intended object. The systems described in this document are only intended to assist the operator of the machine. The responsibility for safe operation of the machine remains with the operator of the machine. This document is not applicable to collision warning and collision avoidance systems installed to the machine before the date of its publication.
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INTERNATIONAL ISO
STANDARD 21815-1
First edition
2022-01
Earth-moving machinery — Collision
warning and avoidance —
Part 1:
General requirements
Reference number
ISO 21815-1:2022(E)
© ISO 2022
---------------------- Page: 1 ----------------------
ISO 21815-1:2022(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2022
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on
the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below
or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii
© ISO 2022 – All rights reserved
---------------------- Page: 2 ----------------------
ISO 21815-1:2022(E)
Contents Page
Foreword .v
Introduction . vi
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 2
4 Performance requirements . .4
4.1 General requirements . 4
4.1.1 General . 4
4.1.2 Electro-magnetic compatibility (EMC) . 4
4.1.3 Environmental condition requirements . 4
4.1.4 Functional safety . . . 4
4.1.5 Risk assessment . 4
4.1.6 Analysis on machine modification . 5
4.2 Requirements on CxS . 5
4.2.1 General . 5
4.2.2 Detection of intended objects . 5
4.2.3 Collision risk levels and CxS actions . 5
4.2.4 System limitations . 5
4.3 Outline of process flow for CxS . 6
4.4 False CxS actions . 6
4.5 Operating state transition of CxS . 6
4.5.1 General . 6
4.5.2 Switching between normal mode and stand-by mode . 6
4.5.3 Switching between normal mode to override mode . 7
4.5.4 Status information . 7
4.6 Self-checking, status indication and failure warning . 7
4.7 Protection against unauthorized modification of system functions . 8
5 System classification .8
5.1 General . 8
5.2 System capability types . 8
5.2.1 Take-off inhibition CxS (TIC) . 8
5.2.2 Swing inhibition CxS (SIC) . 8
5.2.3 Manoeuvring speed CxS (MSC) . 8
5.2.4 Travel speed CxS (TSC) . . 8
5.3 System types . 9
5.4 Types of detection . 9
5.5 Description of systems . 9
6 Test procedures . 9
6.1 General . 9
6.2 Test condition . 9
6.2.1 Test environment condition . 9
6.2.2 Test surface conditions . 9
6.3 Subject machine conditions . 10
6.4 Specification of test objects . 10
6.5 Performance test . 10
6.5.1 General . 10
6.5.2 Test object installation . 10
6.5.3 Subject machine . 10
6.5.4 Test result judgement criteria . 10
6.6 False positive CxS action test . 10
7 CxS information for use .11
7.1 Information for the operator . 11
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ISO 21815-1:2022(E)
7.2 Information about residual risks . 11
Annex A (informative) Machine interaction scenario common examples .12
Annex B (informative) Comparison of system functions .14
Annex C (informative) Example of operator’s manual .15
Bibliography .17
iv
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ISO 21815-1:2022(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.
ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the
different types of ISO documents should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives).
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of
any patent rights identified during the development of the document will be in the Introduction and/or
on the ISO list of patent declarations received (see www.iso.org/patents).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO's adherence to
the World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT), see
www.iso.org/iso/foreword.html.
This document was prepared by Technical Committee ISO/TC 127, Earth-moving machinery,
Subcommittee SC 2, Safety, ergonomics and general requirements, in collaboration with Technical
Committee ISO/TC 82, Mining, ISO/TC 82, Mining, Subcommittee SC 8, Advanced automated mining
systems, ISO/TC 195, Building construction machinery and equipment and ISO/TC 195 Building
construction machinery and equipment , Subcommittee SC 3 Drilling and foundation machinery and
equipment.
A list of all parts in the ISO 21815 series can be found on the ISO website.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www.iso.org/members.html.
v
© ISO 2022 – All rights reserved
---------------------- Page: 5 ----------------------
ISO 21815-1:2022(E)
Introduction
This document is a type-C standard as stated in ISO 12100.
This document is of relevance, in particular, for the following stakeholder groups representing the
market players with regard to machinery safety:
— machine manufacturers (small, medium and large enterprises);
— health and safety bodies (regulators, accident prevention organisations, market surveillance etc.).
Others can be affected by the level of machinery safety achieved with the means of the document by the
above-mentioned stakeholder groups:
— machine users/employers (small, medium and large enterprises);
— machine users/employees (e.g. trade unions, organizations for people with special needs);
— service providers, e.g. for maintenance (small, medium and large enterprises);
— consumers (in case of machinery intended for use by consumers).
The above-mentioned stakeholder groups have been given the possibility to participate at the drafting
process of this document.
In addition, this document is intended for standardization bodies elaborating type-C standards.
The requirements of this document can be supplemented or modified by a type-C standard.
For machines which are covered by the scope of a type-C standard and which have been designed and
built according to the requirements of that standard, the requirements of that type-C standard take
precedence.
The machinery concerned and the extent to which hazards, hazardous situations or hazardous events
are covered are indicated in the Scope of this document.
When requirements of this type-C standard are different from those which are stated in type-A or
type-B standards, the requirements of this type-C standard take precedence over the requirements of
the other standards for machines that have been designed and built according to the requirements of
this type-C standard.
Increasing use of detection systems and avoidance technology in the area of earth-moving machinery
has been supporting operators to safely operate machines in the field of mining and construction. At
the same time, there are demands to set standards for machines and systems detecting, alerting and
intervening to mitigate collision risk.
There are currently two existing standards in the field: ISO 16001 and ISO 17757. These standards
provide guidance for visibility aids and object detection systems and for autonomous and semi-
autonomous machines, however, there is currently no standard that describes collision risk awareness,
warning signals and collision avoidance actions of the machinery operated by humans when there is a
risk of collision.
Collision warning and avoidance systems are developing technologies and algorithms are not yet
mature and well understood. This document is intended to foster innovation and accelerate the pace of
improvements in new collision warning and avoidance technologies. The performance requirements of
this document are technology-neutral and do not specify technologies to make the requirements.
The systems described in this document are intended to assist the operator of the machine. As current
technologies are unable to achieve full collision warning/avoidance in every situation, the responsibility
for safe operation of the machine remains with the operator of the machine.
vi
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ISO 21815-1:2022(E)
This document is a part of the ISO 21815 series relating to: communication interfaces, collision risk
areas and collision risk levels, specific requirements for collision warning and collision avoidance
systems, and specific use case requirements.
vii
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INTERNATIONAL STANDARD ISO 21815-1:2022(E)
Earth-moving machinery — Collision warning and
avoidance —
Part 1:
General requirements
1 Scope
This document provides terminology and general guidance on the principles of collision warning and
collision avoidance systems for:
— earth moving machinery as defined in ISO 6165,
— mobile underground mining machinery as defined in ISO 19296, and
— road construction machinery as defined in ISO 22242.
This document provides general requirements for detection of objects, warnings to the operator,
automatic intervention control to avoid collision, and test procedures. It is intended to be used
in conjunction with the other parts of the ISO 21815 series, which provide detailed guidance and
requirements for collision warning and collision avoidance systems and determining risk areas and
risk levels. The specific requirements and definitions for particular types of machines are defined in
the use case parts of the ISO 21815 series.
This document covers collision avoidance by speed reduction or motion inhibit: it does not cover
avoidance by automatic manoeuvring (e.g. steering) away from the intended object.
The systems described in this document are only intended to assist the operator of the machine. The
responsibility for safe operation of the machine remains with the operator of the machine.
This document is not applicable to collision warning and collision avoidance systems installed to the
machine before the date of its publication.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies.
ISO 3450:2011, Earth-moving machinery — Wheeled or high-speed rubber-tracked machines —
Performance requirements and test procedures for brake systems
ISO 12100:2010, Safety of machinery — General principles for design — Risk assessment and risk reduction
ISO 13766-1, Earth-moving and building construction machinery — Electromagnetic compatibility (EMC)
of machines with internal electrical power supply — Part 1: General EMC requirements under typical
electromagnetic environmental conditions
ISO 13766-2, Earth-moving and building construction machinery — Electromagnetic compatibility (EMC)
of machines with internal electrical power supply — Part 2: Additional EMC requirements for functional
safety
ISO 13849 (all parts), Safety of machinery — Safety-related parts of control systems
1
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ISO 21815-1:2022(E)
ISO 19014-1, Earth-moving machinery — Functional safety — Part 1: Methodology to determine safety-
related parts of the control system and performance requirements
ISO 19014-3, Earth-moving machinery — Functional safety — Part 3: Environmental performance and test
requirements of electronic and electrical components used in safety-related parts of the control system
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO 12100 and the following apply.
ISO and IEC maintain terminology databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at https:// www .electropedia .org/
3.1
interaction
situation where a machine encounters an intended object (3.5) when moving or about to move, placing
itself or the operator at risk, or exposing the intended objects to risk
3.2
warning
transmission of alert information by visual, audible or other means of signals
Note 1 to entry: Warning is targeted to the operator and also can be for people located in close proximity to the
machine in addition to operator.
3.3
evasive action
action initiated by the operator to attempt to prevent or avoid a foreseeable collision
EXAMPLE Braking, steering.
3.4
interventional collision avoidance action
automatic action initiated by a collision avoidance system (CAS) (3.9) to attempt to prevent or avoid a
foreseeable collision
EXAMPLE Braking, inhibiting motion, slowing down.
3.5
intended object
object, such as a person, machine, vehicle or obstacle, which is intended to be detected by a collision
warning system (CWS) (3.8) or a collision avoidance system (CAS) (3.9) when in the collision risk area (3.7)
3.6
collision risk level
value that is assigned each intended object (3.5) to determine if a collision is foreseeable
Note 1 to entry: Collision risk levels are described in ISO 21815-3 and a future part of the ISO 21815 series
dedicated to risk area and risk level for track movement and swing/rotation.
3.7
collision risk area
space analysed to determine the collision risk level (3.6)
3.8
collision warning system
CWS
system which detects intended objects (3.5) in the collision risk area (3.7), determines the collision risk
level (3.6) and provides a warning (3.2) to the operator
2
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ISO 21815-1:2022(E)
3.9
collision avoidance system
CAS
system which detects intended objects (3.5) in the collision risk area (3.7), determine the collision risk
level (3.6) and provides interventional collision avoidance action (3.4)
3.10
CxS
collision warning system (CWS) (3.8) or collision avoidance system (CAS) (3.9) or a system providing both
3.11
detection
acknowledgement of intended objects (3.5) by a CxS (3.10)
3.12
CxS action
collision warning system (CWS) (3.8) providing warning (3.2) to the operator or collision avoidance
system (CAS) (3.9) taking interventional collision avoidance action (3.4)
3.13
false positive CxS action
unnecessary or inappropriate CxS action (3.12)
Note 1 to entry: This can be caused by incorrect determination of the collision risk level (3.6).
3.14
false negative CxS action
lack of necessary or appropriate CxS action (3.12)
Note 1 to entry: This can be caused by incorrect determination of the collision risk level (3.6).
3.15
CxS device
CxD
device with sensors providing CxS (3.10) functions to detect intended objects (3.5) in the proximity of
the machine, determine the collision risk level (3.6), warn the operator of the presence of the intended
object for a collision warning system (CWS) (3.8), and/or provide signals to the machine control system
via a communication interface to initiate the appropriate interventional collision avoidance action (3.4)
on the machine for a collision avoidance system (CAS) (3.9)
Note 1 to entry: CxS device is described as CxD in other parts of the ISO 21815 series.
Note 2 to entry: Proximity detection system (PDS) is a colloquial industry term for a physical device providing
CWS or CAS functionality.
3.16
normal mode
operational mode whereby a CxS (3.10) is active and ready to provide all functions of the CxS, including
warning (3.2) information and interventional collision avoidance action (3.4)
3.17
stand-by mode
operational mode selected by an authorized person, whereby a CxS (3.10) can be active, but warning
(3.2) information or interventional collision avoidance action (3.4) or both are not provided by the
system, and returns to normal mode (3.16) by an authorized person
3.18
override mode
operational mode selected by the operator, whereby a CxS (3.10) can be active, but warning (3.2)
information or interventional collision avoidance action (3.4) or both are suspended temporarily and
return automatically to normal mode (3.16) after a certain condition
3
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ISO 21815-1:2022(E)
3.19
system integrator
entity, providing a whole system by integrating the machine, the interface and the CxS (3.10) devices
4 Performance requirements
4.1 General requirements
4.1.1 General
Machinery and systems shall comply with the safety requirements and/or protective/risk reduction
measures of this document. In addition, the machine and systems shall be designed according to the
principles of ISO 12100:2010 for relevant but not significant hazards which are not dealt with by this
document.
This document specifies the principles of operation, basic functionality, system requirements and
general test requirements for collision warning and collision avoidance systems. The ISO 21815 series
intends to support the operator to safely operate the machine.
The ISO 21815 series is not intended to require plug-and-play capability between CxS devices and
machines. Technical details not described in this document should be agreed upon between the CxS
device manufacturer, the machine manufacturer and system integrator, as applicable.
4.1.2 Electro-magnetic compatibility (EMC)
A CxS device providing CWS capability shall be in conformance with ISO 13766-1. A CxS device that
provides CAS capability shall be in conformance with both ISO 13766-1 and ISO 13766-2. The EMC
testing of the CxS device may be performed treating the CxS device as an electronic sub-assembly or
with the CxS device incorporated into the machine.
NOTE The addition of a CxS device could negatively impact conformance of the machine to ISO 13766-1 or
ISO 13766-2 and can require a combined re-evaluation of the CxS-equipped machine.
4.1.3 Environmental condition requirements
Safety-related parts (SRP) of a CxS device providing CAS capability identified according to the definition
in ISO 19014-1 or the ISO 13849 series shall meet the requirements of ISO 19014-3.
4.1.4 Functional safety
The consequence of adding CxS device shall be analysed using a risk assessment.
The addition of a CxS device with CWS or CAS capability shall not negatively impact the performance
level achieved (e.g. the ISO 19014 series, ISO 15998, the ISO 13849 series) of the safety control system of
the original machine.
NOTE The addition of CxS device could require a combined re-evaluation of the CxS device-equipped
machine.
4.1.5 Risk assessment
A risk assessment for a CxS device-equipped machine shall be completed according to the principles of
ISO 12100 by the system integrator. All identified risks shall be mitigated to acceptable risk levels as
part of the risk assessment process. The results of the risk assessment shall be formally documented.
4
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ISO 21815-1:2022(E)
4.1.6 Analysis on machine modification
The addition of CxS device shall require an analysis to be completed as it could negatively impact the
original machine’s safety and performance characteristics (guidance can be found in standards, e.g. the
ISO 20474 series, ISO 19296).
4.2 Requirements on CxS
4.2.1 General
The CxS shall detect intended objects (e.g. people, other machines, vehicles, and obstacles) within the
collision risk area and provide CxS action as defined below:
— CWS shall provide a warning to instruct the operator to maintain the machine in a stationary state
if an intended object is present or to immediately apply evasive action.
— CAS shall provide interventional collision avoidance action without requiring an operator action.
NOTE 1 The collision risk areas can be in front, beside or behind machines along the travel path of the machine.
For excavators and other machines where all or part of the machine can rotate, the risk area also includes the
area where the machine can rotate. A detailed guideline of a collision risk area and for the collision risk level
assessment are described in the othe
...
FINAL
INTERNATIONAL ISO/FDIS
DRAFT
STANDARD 21815-1
ISO/TC 127/SC 2
Earth-moving machinery — Collision
Secretariat: ANSI
warning and avoidance —
Voting begins on:
2021-09-30
Part 1:
Voting terminates on:
General requirements
2021-11-25
Member bodies are requested to consult relevant national interests in ISO/TC
82, ISO/TC 195, ISO/TC 82/SC 8, ISO/TC 195/SC 3 before casting their ballot
to the e-Balloting application.
RECIPIENTS OF THIS DRAFT ARE INVITED TO
SUBMIT, WITH THEIR COMMENTS, NOTIFICATION
OF ANY RELEVANT PATENT RIGHTS OF WHICH
THEY ARE AWARE AND TO PROVIDE SUPPOR TING
DOCUMENTATION.
IN ADDITION TO THEIR EVALUATION AS
Reference number
BEING ACCEPTABLE FOR INDUSTRIAL, TECHNO-
ISO/FDIS 21815-1:2021(E)
LOGICAL, COMMERCIAL AND USER PURPOSES,
DRAFT INTERNATIONAL STANDARDS MAY ON
OCCASION HAVE TO BE CONSIDERED IN THE
LIGHT OF THEIR POTENTIAL TO BECOME STAN-
DARDS TO WHICH REFERENCE MAY BE MADE IN
NATIONAL REGULATIONS. © ISO 2021
---------------------- Page: 1 ----------------------
ISO/FDIS 21815-1:2021(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2021
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on
the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below
or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii
© ISO 2021 – All rights reserved
---------------------- Page: 2 ----------------------
ISO/FDIS 21815-1:2021(E)
Contents Page
Foreword .v
Introduction . vi
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 2
4 Performance requirements . .4
4.1 General requirements . 4
4.1.1 General . 4
4.1.2 Electro-magnetic compatibility (EMC) . 4
4.1.3 Environmental condition requirements . 4
4.1.4 Functional safety . . . 4
4.1.5 Risk assessment . 4
4.1.6 Analysis on machine modification . 5
4.2 Requirements on CxS . 5
4.2.1 General . 5
4.2.2 Detection of intended objects . 5
4.2.3 Collision risk levels and CxS actions . 5
4.2.4 System limitations . 5
4.3 Outline of process flow for CxS . 6
4.4 False CxS actions . 6
4.5 Operating state transition of CxS . 6
4.5.1 General . 6
4.5.2 Switching between normal mode and stand-by mode . 6
4.5.3 Switching between normal mode to override mode . 7
4.5.4 Status information . 7
4.6 Self-checking, status indication and failure warning . 7
4.7 Protection against unauthorized modification of system functions . 8
5 System classification .8
5.1 General . 8
5.2 System capability types . 8
5.2.1 Take-off inhibition CxS (TIC) . 8
5.2.2 Swing inhibition CxS (SIC) . 8
5.2.3 Manoeuvring speed CxS (MSC) . 8
5.2.4 Travel speed CxS (TSC) . . 8
5.3 System types . 9
5.4 Types of detection . 9
5.5 Description of systems . 9
6 Test procedures . 9
6.1 General . 9
6.2 Test condition . 9
6.2.1 Test environment condition . 9
6.2.2 Test surface conditions . 9
6.3 Subject machine conditions . 10
6.4 Specification of test objects . 10
6.5 Performance test . 10
6.5.1 General . 10
6.5.2 Test object installation . 10
6.5.3 Subject machine . 10
6.5.4 Test result judgement criteria . 10
6.6 False positive CxS action test . 10
7 CxS information for use .11
7.1 Information for the operator . 11
iii
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---------------------- Page: 3 ----------------------
ISO/FDIS 21815-1:2021(E)
7.2 Information about residual risks . 11
Annex A (informative) Machine interaction scenario common examples .12
Annex B (informative) Comparison of system functions .14
Annex C (informative) Example of operator’s manual .15
Bibliography .17
iv
© ISO 2021 – All rights reserved
---------------------- Page: 4 ----------------------
ISO/FDIS 21815-1:2021(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.
ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the
different types of ISO documents should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives).
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of
any patent rights identified during the development of the document will be in the Introduction and/or
on the ISO list of patent declarations received (see www.iso.org/patents).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO's adherence to
the World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT), see
www.iso.org/iso/foreword.html.
This document was prepared by Technical Committee ISO/TC 127, Earth-moving machinery,
Subcommittee SC 2, Safety, ergonomics and general requirements, in collaboration with Technical
Committee ISO/TC 82, Mining, ISO/TC 82, Mining, Subcommittee SC 8, Advanced automated mining
systems, ISO/TC 195, Building construction machinery and equipment and ISO/TC 195 Building
construction machinery and equipment , Subcommittee SC 3 Drilling and foundation machinery and
equipment.
A list of all parts in the ISO 21815 series can be found on the ISO website.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www.iso.org/members.html.
v
© ISO 2021 – All rights reserved
---------------------- Page: 5 ----------------------
ISO/FDIS 21815-1:2021(E)
Introduction
This document is a type-C standard as stated in ISO 12100.
This document is of relevance, in particular, for the following stakeholder groups representing the
market players with regard to machinery safety:
— machine manufacturers (small, medium and large enterprises);
— health and safety bodies (regulators, accident prevention organisations, market surveillance etc.).
Others can be affected by the level of machinery safety achieved with the means of the document by the
above-mentioned stakeholder groups:
— machine users/employers (small, medium and large enterprises);
— machine users/employees (e.g. trade unions, organizations for people with special needs);
— service providers, e.g. for maintenance (small, medium and large enterprises);
— consumers (in case of machinery intended for use by consumers).
The above-mentioned stakeholder groups have been given the possibility to participate at the drafting
process of this document.
In addition, this document is intended for standardization bodies elaborating type-C standards.
The requirements of this document can be supplemented or modified by a type-C standard.
For machines which are covered by the scope of a type-C standard and which have been designed and
built according to the requirements of that standard, the requirements of that type-C standard take
precedence.
The machinery concerned and the extent to which hazards, hazardous situations or hazardous events
are covered are indicated in the Scope of this document.
When requirements of this type-C standard are different from those which are stated in type-A or
type-B standards, the requirements of this type-C standard take precedence over the requirements of
the other standards for machines that have been designed and built according to the requirements of
this type-C standard.
Increasing use of detection systems and avoidance technology in the area of earth-moving machinery
has been supporting operators to safely operate machines in the field of mining and construction. At
the same time, there are demands to set standards for machines and systems detecting, alerting and
intervening to mitigate collision risk.
There are currently two existing standards in the field: ISO 16001 and ISO 17757. These standards
provide guidance for visibility aids and object detection systems and for autonomous and semi-
autonomous machines, however, there is currently no standard that describes collision risk awareness,
warning signals and collision avoidance actions of the machinery operated by humans when there is a
risk of collision.
Collision warning and avoidance system is a developing technology and algorithms are not yet mature
and well understood. This document is intended to foster innovation and accelerate the pace of
improvements in new collision warning and avoidance technologies. The performance requirements of
this document are technology-neutral and do not specify technologies to make the requirements.
The systems described in this document are intended to assist the operator of the machine. As current
technologies are unable to achieve full collision warning/avoidance in every situation, the responsibility
for safe operation of the machine remains with the operator of the machine.
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ISO/FDIS 21815-1:2021(E)
This document is a part of the ISO 21815 series relating to: communication interfaces, collision risk
areas and collision risk levels, specific requirements for collision warning and collision avoidance
systems, and specific use case requirements.
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FINAL DRAFT INTERNATIONAL STANDARD ISO/FDIS 21815-1:2021(E)
Earth-moving machinery — Collision warning and
avoidance —
Part 1:
General requirements
1 Scope
This document provides terminology and general guidance on the principles of collision warning and
collision avoidance systems for:
— earth moving machinery as defined in ISO 6165,
— mobile underground mining machinery as defined in ISO 19296, and
— road construction machinery as defined in ISO 22242.
This document provides general requirements for detection of objects, warnings to the operator,
automatic intervention control to avoid collision, and test procedures. It is intended to be used
in conjunction with the other parts of the ISO 21815 series, which provide detailed guidance and
requirements for collision warning and collision avoidance systems and determining risk areas and
risk levels. The specific requirements and definitions for particular types of machines are defined in
the use case parts of the ISO 21815 series.
This document covers collision avoidance by speed reduction or motion inhibit: it does not cover
avoidance by automatic manoeuvring (e.g. steering) away from the intended object.
The systems described in this document are only intended to assist the operator of the machine. The
responsibility for safe operation of the machine remains with the operator of the machine.
This document is not applicable to collision warning and collision avoidance systems installed to the
machine before the date of its publication.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies.
ISO 3450:2011, Earth-moving machinery — Wheeled or high-speed rubber-tracked machines —
Performance requirements and test procedures for brake systems
ISO 12100:2010, Safety of machinery — General principles for design — Risk assessment and risk reduction
ISO 13766-1, Earth-moving and building construction machinery — Electromagnetic compatibility (EMC)
of machines with internal electrical power supply — Part 1: General EMC requirements under typical
electromagnetic environmental conditions
ISO 13766-2, Earth-moving and building construction machinery — Electromagnetic compatibility (EMC)
of machines with internal electrical power supply — Part 2: Additional EMC requirements for functional
safety
ISO 13849 (all parts), Safety of machinery — Safety-related parts of control systems
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ISO/FDIS 21815-1:2021(E)
ISO 19014-1, Earth-moving machinery — Functional safety — Part 1: Methodology to determine safety-
related parts of the control system and performance requirements
ISO 19014-3, Earth-moving machinery — Functional safety — Part 3: Environmental performance and test
requirements of electronic and electrical components used in safety-related parts of the control system
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO 12100 and the following apply.
ISO and IEC maintain terminology databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at https:// www .electropedia .org/
3.1
interaction
situation where a machine encounters an intended object (3.5) when moving or about to move, placing
itself or the operator at risk, or exposing the intended objects to risk
3.2
warning
transmission of alert information by visual, audible or other means of signals
Note 1 to entry: Warning is targeted to the operator and also can be for people located in close proximity to the
machine in addition to operator.
3.3
evasive action
action initiated by the operator to attempt to prevent or avoid a foreseeable collision
EXAMPLE Braking, steering.
3.4
interventional collision avoidance action
automatic action initiated by a collision avoidance system (CAS) (3.9) to attempt to prevent or avoid a
foreseeable collision
EXAMPLE Braking, inhibiting motion, slowing down.
3.5
intended object
object, such as a person, machine, vehicle or obstacle, which is intended to be detected by a collision
warning system (CWS) (3.8) or a collision avoidance system (CAS) (3.9) when in the collision risk area (3.7)
3.6
collision risk level
value that is assigned each intended object (3.5) to determine if a collision is foreseeable
Note 1 to entry: Collision risk levels are described in ISO 21815-3 and a future part of the ISO 21815 series
dedicated to risk area and risk level for track movement and swing/rotation.
3.7
collision risk area
space analysed to determine the collision risk level (3.6)
3.8
collision warning system
CWS
system which detects intended objects (3.5) in the collision risk area (3.7), determines the collision risk
level (3.6) and provides a warning (3.2) to the operator
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ISO/FDIS 21815-1:2021(E)
3.9
collision avoidance system
CAS
system which detect intended objects (3.5) in the collision risk area (3.7), determine the collision risk
level (3.6) and provides interventional collision avoidance action (3.4)
3.10
CxS
collision warning system (CWS) (3.8) or collision avoidance system (CAS) (3.9) or a system providing both
3.11
detection
acknowledgement of intended objects (3.5) by a CxS (3.10)
3.12
CxS action
collision warning system (CWS) (3.8) providing warning (3.2) to the operator or collision avoidance
system (CAS) (3.9) taking interventional collision avoidance action (3.4)
3.13
false positive CxS action
unnecessary or inappropriate CxS action (3.12)
Note 1 to entry: This can be caused by incorrect determination of the collision risk level (3.6).
3.14
false negative CxS action
lack of necessary or appropriate CxS action (3.12)
Note 1 to entry: This can be caused by incorrect determination of the collision risk level (3.6).
3.15
CxS device
CxD
device with sensors providing CxS (3.10) functions to detect intended objects (3.5) in the proximity of
the machine, determine the collision risk level (3.6), warn the operator of the presence of the intended
object for a collision warning system (CWS) (3.8), and/or provide signals to the machine control system
via a communication interface to initiate the appropriate interventional collision avoidance action (3.4)
on the machine for a collision avoidance system (CAS) (3.9)
Note 1 to entry: CxS device is described as CxD in other parts of the ISO 21815 series.
Note 2 to entry: Proximity detection system (PDS) is a colloquial industry term for a physical device providing
CWS or CAS functionality.
3.16
normal mode
operational mode whereby a CxS (3.10) is active and ready to provide all functions of the CxS, including
warning (3.2) information and interventional collision avoidance action (3.4)
3.17
stand-by mode
operational mode selected by an authorized person, whereby a CxS (3.10) can be active, but warning
(3.2) information or interventional collision avoidance action (3.4) or both are not provided by the
system, and returns to normal mode (3.16) by an authorized person
3.18
override mode
operational mode selected by the operator, whereby a CxS (3.10) can be active, but warning (3.2)
information or interventional collision avoidance action (3.4) or both are suspended temporarily and
return automatically to normal mode (3.16) after a certain condition
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ISO/FDIS 21815-1:2021(E)
3.19
system integrator
entity, providing a whole system by integrating the machine, the interface and the CxS (3.10) devices
4 Performance requirements
4.1 General requirements
4.1.1 General
Machinery and systems shall comply with the safety requirements and/or protective/risk reduction
measures of this document. In addition, the machine and systems shall be designed according to the
principles of ISO 12100:2010 for relevant but not significant hazards which are not dealt with by this
document.
This document specifies the principles of operation, basic functionality, system requirements and
general test requirements for collision warning and collision avoidance systems. The ISO 21815 series
intends to support the operator to safely operate the machine.
The ISO 21815 series is not intended to require plug-and-play capability between CxS devices and
machines. Technical details not described in this document should be agreed upon between the CxS
device manufacturer, the machine manufacturer and system integrator, as applicable.
4.1.2 Electro-magnetic compatibility (EMC)
A CxS device providing CWS capability shall be in conformance with ISO 13766-1. A CxS device that
provides CAS capability shall be in conformance with both ISO 13766-1 and ISO 13766-2. The EMC
testing of the CxS device may be performed treating the CxS device as an electronic sub-assembly or
with the CxS device incorporated into the machine.
NOTE The addition of a CxS device can negatively impact conformance of the machine to ISO 13766-1 or
ISO 13766-2 and can require a combined re-evaluation of the CxS-equipped machine.
4.1.3 Environmental condition requirements
Safety-related parts (SRP) of a CxS device providing CAS capability identified according to the definition
in ISO 19014-1 or the ISO 13849 series shall meet the requirements of ISO 19014-3.
4.1.4 Functional safety
The consequence of adding CxS device shall be analysed using a risk assessment.
The addition of a CxS device with CWS or CAS capability shall not negatively impact the performance
level achieved (e.g. the ISO 19014 series, ISO 15998, the ISO 13849 series) of the safety control system of
the original machine.
NOTE The addition of CxS device can require a combined re-evaluation of the CxS device-equipped machine.
4.1.5 Risk assessment
A risk assessment for a CxS device-equipped machine shall be completed according to the principles of
ISO 12100 by the system integrator. All identified risks shall be mitigated to acceptable risk levels as
part of the risk assessment process. The results of the risk assessment shall be formally documented.
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ISO/FDIS 21815-1:2021(E)
4.1.6 Analysis on machine modification
The addition of CxS device shall require an analysis to be completed as it could negatively impact the
original machine’s safety and performance characteristics (guidance can be found in standards, e.g. the
ISO 20474 series, ISO 19296).
4.2 Requirements on CxS
4.2.1 G
...
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