1 Scope
This document specifies the safety requirements for autonomous and semi-autonomous machines (ASAM) used in earthmoving and mining operations, and for autonomous or semi-autonomous machine systems (ASAMS). This document defines safety guidelines for machines and their associated systems and infrastructure (both hardware and software) and provides guidance on the safe use of machines and systems in specified functional environments during their lifecycle. This document also defines the terms and definitions associated with ASAMS.
This document applies to earthmoving machinery products as defined in ISO 6165 and to autonomous and semi-autonomous machines used as mobile mining machinery in opencast or underground, as well as to other types of autonomous or semi-autonomous machines used on construction sites.
The general safety requirements for mobile earthmoving and mining machines and for their operators, trainers or passengers on board are defined in other documents (e.g. ISO 20474, ISO 19296). This document addresses other specific hazards associated with ASAMS when used as intended.
This document does not apply to remote control capabilities (specified by ISO 15817) or automation features of specific functions, unless these are used as part of the ASAMS.
2 Normative reference documents
The contents of the following documents constitute essential provisions of this document by means of normative citations in the text. Where a reference is dated, only the version corresponding to that date applies to this document; where a reference is not dated, the latest version (including all change orders) applies to this document.
GB/T 14781-2014 Earth moving machinery - Steering requirements for wheeled machines (ISO 5010:2007,1DT)
GB/T 15706-2012 General Principles for Safety Design of Machinery - Risk Assessment and Risk Reduction (ISO 12100:2010, IDT)
GB/T 19929-2014 Earth moving machinery - Performance requirements and test force method for braking systems of tracked machines (ISO 10265:2008, IDT)
ISO 2867 Earth moving machinery - Access systems
Note: GB/T 17300-2017 Earth moving machinery Access devices (ISO 2867: 2011, IDT)
ISO 3450:2011 Earth moving machinery - Braking systems for wheeled or high-speed rubber tracked machines - Performance requirements and test methods
(Earth-moving machinery - Wheeled or high-speed rubber-tracked machines - Performance requirements and test procedures for braking systems)
Note: GB/T21152-2018 Earth moving machinery - Performance requirements and test methods for braking systems of wheeled or high-speed rubber tracked machines (ISO3450:2011, MOD)
ISO6165 Earth moving machinery - Basic types Identification and terms and definitions
Note: GB/T 8498-2017 Earthmoving machinery - Basic type identification terms and definitions (ISO 6165:2012, IDT)
ISO9533 Earth moving Machinery - Machine mounted audible travel alarms and forward horns - Test methods and performance criteria
Note: GB/T 21155-2015 Earth moving machinery - Audible warning devices for travelling vehicles and front horn - Test methods and performance criteria (ISO 9533:2010, IDT)
3 terms, definitions and abbreviations
Sub
3.1 Terms and definitions
The terms defined in ISO 12100 and ISO 6165 and the following terms and definitions apply to this document.
4 Safety requirements and/or protective/risk reduction measures
4.1 General requirements
ASAMS shall comply with the safety requirements and/or protective/risk reduction measures of this chapter.
In addition, for relevant but non-significant hazards not addressed in this document, ASAMS shall be designed in accordance with the principles of GB/T 15706-2012.
A risk assessment process for ASAMS should be completed in accordance with the principles of ISO 12100. As part of the risk assessment process, all identified risks should be reduced to an acceptable level of risk. General information on the ASAMS risk assessment is given in Appendix B. The results of the risk assessment should be formally documented.
Safety-related components of the control system should comply with the appropriate functional safety performance level, see ISO 13849, ISO 19014, IEC 62061 or IEC 61508.
The general safety requirements given in ISO 20474 apply to earthmoving machinery ASAMs and those given in ISO 19296 apply to underground mining machinery ASAMs. if the machine is not equipped with an on-board operator position, the requirements relating to the on-board operator do not apply.
ASAMS shall comply with the electromagnetic compatibility requirements specified in ISO 13766-1 and ISO 13766-2, except for components used in low electromagnetic radiation environments (e.g. server rooms, office areas) which shall comply with the electromagnetic compatibility requirements specified in the IEC 61000 series of standards.
4.2 Stopping systems
4.2.1 General requirements
All ASAMs shall have measures for entering the stop state from a safe distance, at a distance.
4.3 Warning devices and safety signs
4.3.1 Visual display devices
The operating mode of the machine shall be indicated and it is recommended that the indicating devices listed in Table 1 be used.The ASAM shall also have a means of indicating that the machine is in an access mode in which the machine will not move without the intervention of the on-board operator.
4.4 Fire protection
If required by the risk assessment, a fire protection system should be provided. The method of its activation (e.g. automatic or remote) shall be determined by the risk assessment.
4.5 Machine access systems
For all areas on the ASAM that are accessed at least once every 30 d, an access system conforming to the requirements of ISO 2867 shall be provided.
4.6 Braking and steering
4.7 Adapting to environmental conditions
Based on the risk assessment, the ASAMS shall be able to adapt to changes in environmental conditions provided they are within the limits set by the magnet. These may include speed adjustments by the operator or using automated systems, disabling operations, closing zones or other adjustments necessary to maintain safe operation. 4.8: On-board power supply
4.8.1: Overview
ASAM's on-board autonomous electronic systems may place additional demands on machine systems beyond the needs of non-autonomous machines. It is particularly important that the ASAMS manufacturer or integrator considers these additional power requirements.
4.8.2 Requirements
The electrical and electronic system of the ASAM shall comply with the general requirements for electrical and electronic systems in ISO 20474-1 or ISO 19296, as applicable.
5 Positioning and orientation (POSE)
5.1 Overview
6 Digital Terrain Maps (DTM)
6.1 Overview
In applications where DTMs are used to maintain safe operating conditions, it is desirable to monitor their effectiveness.
7 Perception
7.1 Overview
A sensing system consists of sensing sensors that capture information about the ASAM's surroundings and then pass the information on to algorithms to obtain the relevant information required for detection, localisation and identification (classification). The purpose of the machine sensing system is to provide the information required to safely control the machine without the need to interact with the operator.
Where testing capabilities and calibration capabilities are required to ensure that the sensing system is operating in accordance with system requirements, the ASAMS integrator should provide such capabilities.
7.2 Risks and failure modes
7.2.1 Non-detection or delayed detection of objects
8 Navigation systems
8.1 Overview
ASAM's navigation systems can use the absolute or relative position of the ASAM to navigate a predetermined path or dynamically determine a path to meet the objectives of ASAMS. System requirements will depend on the application and risk assessment. The navigation accuracy will also depend on factors such as the speed and position of the machine.
8.2 Risks
Risks associated with ASAM navigation include collisions or damage to ASAMs with other machines, infrastructure and personnel within the AOZ. This can be caused by inaccurate positioning and orientation information, incompatible coordinate systems, inaccurate navigation controls, poor planning or inaccurate DTMs.
9 Mission planning
9.1 Overview
The functionality of mission planning used by ASAMS varies greatly, depending on the type of machine and its application. This chapter defines the risks and provides general requirements for mission planning.
9.2 Risks
10 Communication and networking
11 ASAM supervisory systems
12 AOZ access, permissions and security
12.1 Permissions and security
Depending on the risk assessment, management controls or engineering controls shall be established to prevent unauthorised access to the AOZ and to manage the egress from the AOZ.
Each machine and person operating in the AOZ shall be monitored or escorted by a supervised person or vehicle when required by the risk assessment.
13 ASAMS site operating procedures
13.1 General requirements
Supervisors and operators should be informed of the system functions and the specific tasks to be performed, including hazards and risks, the control measures to be applied and the work steps required to complete the tasks safely and correctly.
Additional site planning related information is provided in Appendix C. Supervision related information is provided in Appendix F.
13.2 Incident recording
Safety related incident data should be stored and recoverable. Note that there may be local or national regulations that require reporting of incidents.
13.3 Commissioning
Commissioning of ASAMS is appropriate to address the items listed in Appendix G.
14 Operational hazard control
The system integrator should document any additional personal protective equipment (PPE) required by ASAMS. It is appropriate that the design and application of the operational protocols adequately address the matters listed in Appendix H.
15 Validation of safety requirements and/or protection/risk reduction measures
One or a combination of the following methods should be used to verify that the requirements of this document have been incorporated into the design and integration of the ASAMS: a) Measurement
b) Visual inspection;
c) Testing, analysis or simulation, as applicable;
d) by evaluating the supplier's measurement, visual inspection or test documentation.
16 Conformity assessment
Conformity with the individual requirements of this document can be assessed by the site manager, the ASAMS integrator or the manufacturer of the ASAM and other subsystems. Appendix I provides tables that may be used to illustrate compliance with individual requirements.
It is advisable for each party to create its own conformity assessment list and to provide this information for the products it supplies.
17 Information on use
17.1 Safety labelling and machine marking
Safety labelling and machine marking should comply with the requirements of basic machine safety standards such as ISO 20474-1 and ISO 19296.
17.2 User manual
Appendix A (informative) list of significant hazards
Appendix B (informative) Safety and risk management procedures
Appendix C (informative) Integration of ASAMS into the site planning process
Appendix D (Informative) Access Control System
Appendix E (Informative) Change Management Mining Example
Appendix F (informative) Supervision
Appendix G (informative) Commissioning
Appendix H (informative) Operational hazard control
Appendix I (informative) Form to verify compliance with requirements
Bibliography
1 Scope
2 Normative reference documents
3 terms, definitions and abbreviations
4 Safety requirements and/or protective/risk reduction measures
5 Positioning and orientation (POSE)
6 Digital Terrain Maps (DTM)
7 Perception
8 Navigation systems
9 Mission planning
10 Communication and networking
11 ASAM supervisory systems
12 AOZ access, permissions and security
13 ASAMS site operating procedures
14 Operational hazard control
15 Validation of safety requirements and/or protection/risk reduction measures
16 Conformity assessment
17 Information on use
Appendix A (informative) list of significant hazards
Appendix B (informative) Safety and risk management procedures
Appendix C (informative) Integration of ASAMS into the site planning process
Appendix D (Informative) Access Control System
Appendix E (Informative) Change Management Mining Example
Appendix F (informative) Supervision
Appendix G (informative) Commissioning
Appendix H (informative) Operational hazard control
Appendix I (informative) Form to verify compliance with requirements
Bibliography
1 Scope
This document specifies the safety requirements for autonomous and semi-autonomous machines (ASAM) used in earthmoving and mining operations, and for autonomous or semi-autonomous machine systems (ASAMS). This document defines safety guidelines for machines and their associated systems and infrastructure (both hardware and software) and provides guidance on the safe use of machines and systems in specified functional environments during their lifecycle. This document also defines the terms and definitions associated with ASAMS.
This document applies to earthmoving machinery products as defined in ISO 6165 and to autonomous and semi-autonomous machines used as mobile mining machinery in opencast or underground, as well as to other types of autonomous or semi-autonomous machines used on construction sites.
The general safety requirements for mobile earthmoving and mining machines and for their operators, trainers or passengers on board are defined in other documents (e.g. ISO 20474, ISO 19296). This document addresses other specific hazards associated with ASAMS when used as intended.
This document does not apply to remote control capabilities (specified by ISO 15817) or automation features of specific functions, unless these are used as part of the ASAMS.
2 Normative reference documents
The contents of the following documents constitute essential provisions of this document by means of normative citations in the text. Where a reference is dated, only the version corresponding to that date applies to this document; where a reference is not dated, the latest version (including all change orders) applies to this document.
GB/T 14781-2014 Earth moving machinery - Steering requirements for wheeled machines (ISO 5010:2007,1DT)
GB/T 15706-2012 General Principles for Safety Design of Machinery - Risk Assessment and Risk Reduction (ISO 12100:2010, IDT)
GB/T 19929-2014 Earth moving machinery - Performance requirements and test force method for braking systems of tracked machines (ISO 10265:2008, IDT)
ISO 2867 Earth moving machinery - Access systems
Note: GB/T 17300-2017 Earth moving machinery Access devices (ISO 2867: 2011, IDT)
ISO 3450:2011 Earth moving machinery - Braking systems for wheeled or high-speed rubber tracked machines - Performance requirements and test methods
(Earth-moving machinery - Wheeled or high-speed rubber-tracked machines - Performance requirements and test procedures for braking systems)
Note: GB/T21152-2018 Earth moving machinery - Performance requirements and test methods for braking systems of wheeled or high-speed rubber tracked machines (ISO3450:2011, MOD)
ISO6165 Earth moving machinery - Basic types Identification and terms and definitions
Note: GB/T 8498-2017 Earthmoving machinery - Basic type identification terms and definitions (ISO 6165:2012, IDT)
ISO9533 Earth moving Machinery - Machine mounted audible travel alarms and forward horns - Test methods and performance criteria
Note: GB/T 21155-2015 Earth moving machinery - Audible warning devices for travelling vehicles and front horn - Test methods and performance criteria (ISO 9533:2010, IDT)
3 terms, definitions and abbreviations
Sub
3.1 Terms and definitions
The terms defined in ISO 12100 and ISO 6165 and the following terms and definitions apply to this document.
4 Safety requirements and/or protective/risk reduction measures
4.1 General requirements
ASAMS shall comply with the safety requirements and/or protective/risk reduction measures of this chapter.
In addition, for relevant but non-significant hazards not addressed in this document, ASAMS shall be designed in accordance with the principles of GB/T 15706-2012.
A risk assessment process for ASAMS should be completed in accordance with the principles of ISO 12100. As part of the risk assessment process, all identified risks should be reduced to an acceptable level of risk. General information on the ASAMS risk assessment is given in Appendix B. The results of the risk assessment should be formally documented.
Safety-related components of the control system should comply with the appropriate functional safety performance level, see ISO 13849, ISO 19014, IEC 62061 or IEC 61508.
The general safety requirements given in ISO 20474 apply to earthmoving machinery ASAMs and those given in ISO 19296 apply to underground mining machinery ASAMs. if the machine is not equipped with an on-board operator position, the requirements relating to the on-board operator do not apply.
ASAMS shall comply with the electromagnetic compatibility requirements specified in ISO 13766-1 and ISO 13766-2, except for components used in low electromagnetic radiation environments (e.g. server rooms, office areas) which shall comply with the electromagnetic compatibility requirements specified in the IEC 61000 series of standards.
4.2 Stopping systems
4.2.1 General requirements
All ASAMs shall have measures for entering the stop state from a safe distance, at a distance.
4.3 Warning devices and safety signs
4.3.1 Visual display devices
The operating mode of the machine shall be indicated and it is recommended that the indicating devices listed in Table 1 be used.The ASAM shall also have a means of indicating that the machine is in an access mode in which the machine will not move without the intervention of the on-board operator.
4.4 Fire protection
If required by the risk assessment, a fire protection system should be provided. The method of its activation (e.g. automatic or remote) shall be determined by the risk assessment.
4.5 Machine access systems
For all areas on the ASAM that are accessed at least once every 30 d, an access system conforming to the requirements of ISO 2867 shall be provided.
4.6 Braking and steering
4.7 Adapting to environmental conditions
Based on the risk assessment, the ASAMS shall be able to adapt to changes in environmental conditions provided they are within the limits set by the magnet. These may include speed adjustments by the operator or using automated systems, disabling operations, closing zones or other adjustments necessary to maintain safe operation. 4.8: On-board power supply
4.8.1: Overview
ASAM's on-board autonomous electronic systems may place additional demands on machine systems beyond the needs of non-autonomous machines. It is particularly important that the ASAMS manufacturer or integrator considers these additional power requirements.
4.8.2 Requirements
The electrical and electronic system of the ASAM shall comply with the general requirements for electrical and electronic systems in ISO 20474-1 or ISO 19296, as applicable.
5 Positioning and orientation (POSE)
5.1 Overview
6 Digital Terrain Maps (DTM)
6.1 Overview
In applications where DTMs are used to maintain safe operating conditions, it is desirable to monitor their effectiveness.
7 Perception
7.1 Overview
A sensing system consists of sensing sensors that capture information about the ASAM's surroundings and then pass the information on to algorithms to obtain the relevant information required for detection, localisation and identification (classification). The purpose of the machine sensing system is to provide the information required to safely control the machine without the need to interact with the operator.
Where testing capabilities and calibration capabilities are required to ensure that the sensing system is operating in accordance with system requirements, the ASAMS integrator should provide such capabilities.
7.2 Risks and failure modes
7.2.1 Non-detection or delayed detection of objects
8 Navigation systems
8.1 Overview
ASAM's navigation systems can use the absolute or relative position of the ASAM to navigate a predetermined path or dynamically determine a path to meet the objectives of ASAMS. System requirements will depend on the application and risk assessment. The navigation accuracy will also depend on factors such as the speed and position of the machine.
8.2 Risks
Risks associated with ASAM navigation include collisions or damage to ASAMs with other machines, infrastructure and personnel within the AOZ. This can be caused by inaccurate positioning and orientation information, incompatible coordinate systems, inaccurate navigation controls, poor planning or inaccurate DTMs.
9 Mission planning
9.1 Overview
The functionality of mission planning used by ASAMS varies greatly, depending on the type of machine and its application. This chapter defines the risks and provides general requirements for mission planning.
9.2 Risks
10 Communication and networking
11 ASAM supervisory systems
12 AOZ access, permissions and security
12.1 Permissions and security
Depending on the risk assessment, management controls or engineering controls shall be established to prevent unauthorised access to the AOZ and to manage the egress from the AOZ.
Each machine and person operating in the AOZ shall be monitored or escorted by a supervised person or vehicle when required by the risk assessment.
13 ASAMS site operating procedures
13.1 General requirements
Supervisors and operators should be informed of the system functions and the specific tasks to be performed, including hazards and risks, the control measures to be applied and the work steps required to complete the tasks safely and correctly.
Additional site planning related information is provided in Appendix C. Supervision related information is provided in Appendix F.
13.2 Incident recording
Safety related incident data should be stored and recoverable. Note that there may be local or national regulations that require reporting of incidents.
13.3 Commissioning
Commissioning of ASAMS is appropriate to address the items listed in Appendix G.
14 Operational hazard control
The system integrator should document any additional personal protective equipment (PPE) required by ASAMS. It is appropriate that the design and application of the operational protocols adequately address the matters listed in Appendix H.
15 Validation of safety requirements and/or protection/risk reduction measures
One or a combination of the following methods should be used to verify that the requirements of this document have been incorporated into the design and integration of the ASAMS: a) Measurement
b) Visual inspection;
c) Testing, analysis or simulation, as applicable;
d) by evaluating the supplier's measurement, visual inspection or test documentation.
16 Conformity assessment
Conformity with the individual requirements of this document can be assessed by the site manager, the ASAMS integrator or the manufacturer of the ASAM and other subsystems. Appendix I provides tables that may be used to illustrate compliance with individual requirements.
It is advisable for each party to create its own conformity assessment list and to provide this information for the products it supplies.
17 Information on use
17.1 Safety labelling and machine marking
Safety labelling and machine marking should comply with the requirements of basic machine safety standards such as ISO 20474-1 and ISO 19296.
17.2 User manual
Appendix A (informative) list of significant hazards
Appendix B (informative) Safety and risk management procedures
Appendix C (informative) Integration of ASAMS into the site planning process
Appendix D (Informative) Access Control System
Appendix E (Informative) Change Management Mining Example
Appendix F (informative) Supervision
Appendix G (informative) Commissioning
Appendix H (informative) Operational hazard control
Appendix I (informative) Form to verify compliance with requirements
Bibliography
Contents of GB/T 41862-2022
1 Scope
2 Normative reference documents
3 terms, definitions and abbreviations
4 Safety requirements and/or protective/risk reduction measures
5 Positioning and orientation (POSE)
6 Digital Terrain Maps (DTM)
7 Perception
8 Navigation systems
9 Mission planning
10 Communication and networking
11 ASAM supervisory systems
12 AOZ access, permissions and security
13 ASAMS site operating procedures
14 Operational hazard control
15 Validation of safety requirements and/or protection/risk reduction measures
16 Conformity assessment
17 Information on use
Appendix A (informative) list of significant hazards
Appendix B (informative) Safety and risk management procedures
Appendix C (informative) Integration of ASAMS into the site planning process
Appendix D (Informative) Access Control System
Appendix E (Informative) Change Management Mining Example
Appendix F (informative) Supervision
Appendix G (informative) Commissioning
Appendix H (informative) Operational hazard control
Appendix I (informative) Form to verify compliance with requirements
Bibliography
