ISO/TR 17427-9:2015

TECHNICAL ISO/TR
REPORT 17427-9
First edition
2015-11-01
Intelligent transport systems —
Cooperative ITS —
Part 9:
Compliance and enforcement aspects
Systèmes intelligents de transport — Systèmes intelligents de
transport coopératifs —
Partie 9: Conformité et aspects relatifs à l’application
Reference number
ISO/TR 17427-9:2015(E)
©
ISO 2015

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ISO/TR 17427-9:2015(E)

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ISO/TR 17427-9:2015(E)

Contents Page
Foreword .iv
Introduction .vi
1 Scope . 1
2 Terms and definitions . 1
3 Abbreviations and acronyms . 2
4 How to use this Technical Report . 2
4.1 Acknowledgements . 2
4.2 Guidance . 2
4.3 ITS and ‘compliance and enforcement aspects’ . 3
4.3.1 Compliance . 3
4.3.2 Enforcement . 3
4.3.3 Compliance and enforcement within the context of C-ITS . 3
4.4 C-ITS compliance and enforcement aspects issues . 3
4.4.1 Private vehicles . 3
4.4.2 Commercial vehicles . 5
4.4.3 Surveillance devices . 7
4.4.4 Comparative systems . 7
5 What are the key compliance and enforcement aspects issues .10
5.1 General .10
5.1.1 Application to C-ITS .10
5.2 International approaches .10
5.2.1 United States.10
5.2.2 Europe .11
5.2.3 Australia .11
5.2.4 Other countries .12
6 Policy questions and options .12
6.1 Option 1: Continue current approach .12
6.2 Option 2: Amend current road rules .12
6.3 Option 3: Create guidelines or principles for manufacturers .12
6.4 Option 4: Examine technology options as they develop .12
7 Summary of findings.13
Bibliography .16
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ISO/TR 17427-9:2015(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 on the meaning of ISO specific terms and expressions related to conformity
assessment, as well as information about ISO’s adherence to the WTO principles in the Technical
Barriers to Trade (TBT) see the following URL: Foreword - Supplementary information
The committee responsible for this document is ISO/TC 204, Intelligent transport systems.
ISO 17427 consists of the following parts, under the general title Intelligent transport systems —
Cooperative ITS:
— Part 2: Framework overview [Technical Report]
— Part 3: Concept of operations (ConOps) for ‘Core’ systems [Technical Report]
— Part 4: Minimum system requirements and behaviour for core systems [Technical Report]
— Part 6: Core systems risk assessment methodology [Technical Report]
— Part 7: Privacy aspects [Technical Report]
— Part 8: Liability aspects [Technical Report]
— Part 9: Compliance and enforcement aspects [Technical Report]
— Part 10: Driver distraction and information display [Technical Report]
The following parts are under preparation:
— Part 1: Roles and responsibilities in the context of co-operative ITS architechtures(s)
— Part 5: Common approaches to security [Technical Report]
— Part 11: Compliance and enforcement aspects [Technical Report]
— Part 12: Release processes [Technical Report]
— Part 13: Use case test cases [Technical Report]
— Part 14: Maintenance requirements and processes [Technical Report]
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ISO/TR 17427-9:2015(E)

This Technical Report provides an informative consideration of ‘Compliance and Enforcement Aspects’
for Cooperative Intelligent Transport Systems (C-ITS). It is intended to be used alongside ISO 17427-1,
ISO/TR 17465-1, other parts of the ISO 17465 series and ISO 21217. Detailed specifications for the
application context will be provided by other ISO, CEN and SAE deliverables, and communications
specifications will be provided by ISO, IEEE and ETSI.
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ISO/TR 17427-9:2015(E)

Introduction
Intelligent transport systems (ITS) (2.7) are transport systems in which advanced information,
communication, sensor and control technologies, including the internet, are applied to increase safety,
sustainability, efficiency, and comfort.
A distinguishing feature of ‘ITS’ are their communication with outside entities.
Some ITS systems operate autonomously, for example, ‘adaptive cruise control’ uses radar/lidar/and/or
video to characterize the behaviour of the vehicle in front and adjust its vehicle speed accordingly. Some
ITS systems are informative, for example, ‘Variable Message Signs’ at the roadside, or transmitted into
the vehicle, provide information and advice to the driver. Some ITS systems are semi-autonomous, in
that they are largely autonomous, but rely on ‘static’ or ‘broadcast’ data, for example, GNSS (2.6) based
‘SatNav’ systems operate autonomously within a vehicle but are dependent on receiving data broadcast
from satellites in order to calculate the location of the vehicle.
Cooperative Intelligent Transport Systems (C-ITS) are a group of ITS technologies where service provision
is enabled by, or enhanced by, the use of “live”, present situation related, dynamic data/information
from other entities of similar functionality [for example from one vehicle to other vehicle(s)], and/or
between different elements of the transport network, including vehicles and infrastructure [for example
from the vehicle to an infrastructure managed system or from an infrastructure managed system to
vehicle(s)]. Effectively, these systems allow vehicles to “talk” to each other and to the infrastructure.
These systems have significant potential to improve the transport network.
A distinguishing feature of ‘C-ITS’ is that data is used across application/service boundaries.
It will be immediately clear to the reader that such systems present possibilities for ‘Compliance and
Enforcement’. However such issues are highly sensitive, bound closely with issues of personal privacy,
and may have a major impact on the whole public acceptance of cooperative ITS.
Further Technical Reports in this series are expected to follow. Please also note that these TRs are
expected to be updated from time to time as the C-ITS evolves.
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TECHNICAL REPORT ISO/TR 17427-9:2015(E)
Intelligent transport systems — Cooperative ITS —
Part 9:
Compliance and enforcement aspects
1 Scope
This Technical Report identifies potential critical compliance and enforcement aspects issues that
C-ITS service provision may face or introduce; to consider strategies for how to identify, control, limit or
mitigate such issues. The objective of this Technical Report is to raise awareness of and consideration
of such issues and to give pointers, where appropriate, to standards deliverables existing that provide
specifications for all or some of these aspects. This Technical Report does not provide specifications for
solutions of these issues.
2 Terms and definitions
2.1
application
app
software application
2.2
application service
service provided by a service provider accessing data from the in-vehicle system (within the vehicle), in
the case of C-ITS (2.4), via a wireless communications network, or provided on-board the vehicle as the
result of software (and potentially also hardware and firmware) installed by a service provider or to a
service provider’s instruction
2.3
compliance
assurance that equipment or a service behaves within a set of predetermined, declared and
accepted parameters
2.4
cooperative ITS
C-ITS
group of ITS technologies where service provision is enabled, or enhanced by, the use of ‘live’, present
situation related, data/information from other entities of similar functionality (for example, from one
vehicle to other vehicle(s)), and/or between different elements of the transport network, including
vehicles and infrastructure (for example, from the vehicle to an infrastructure managed system or
from an infrastructure managed system to vehicle(s))
2.5
enforcement
regulatory measures to ensure observance with certain requirements
2.6
global navigation satellite system
GNSS
several networks of satellites that transmit radio signals containing time and distance data that can be
picked up by a receiver, allowing the user to identify the location of its receiver anywhere around the globe
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ISO/TR 17427-9:2015(E)

2.7
intelligent transport systems
ITS
transport systems in which advanced information, communication, sensor and control technologies,
including the internet, are applied to increase safety, sustainability, efficiency, and comfort
2.8
jurisdiction
government, road or traffic authority which makes and enforce regulations
EXAMPLE Country, state, city council, road authority, government department (customs, treasury,
transport), etc.
2.9
type approval
certificate of conformity granted to a product that meets a minimum set of regulatory, technical and
safety requirements, generally, by regulation required before certain products are allowed to be sold
Note 1 to entry: Often called ‘Homologation’.
3 Abbreviations and acronyms
ANPR automatic number plate recognition
C-ITS cooperative intelligent transport systems, cooperative ITS
ITS intelligent transport systems (2.7)
TR technical report
TTA Transport Ticketing Authority
4 How to use this Technical Report
4.1 Acknowledgements
Much of the inspiration for this Technical Report and its considerations and content originate from the
reports l “Cooperative ITS Regulatory Policy Issues” and “Cooperative Intelligent Transport Systems
Policy Paper” National Transport Commission, Australia. And this source is acknowledged and thanked.
References [9] and [10].
Contribution from the European Commission project EETS is also acknowledged.
See Bibliography for further details.
4.2 Guidance
This Technical Report is designed to provide guidance and a direction for considering the issues
concerning compliance (2.3) and enforcement (2.5) aspects associated with the deployment of C-ITS
service provision. It does not purport to be a list of all potential compliance and enforcement aspects
factors, which will vary according to the application service (2.2) being provided, the regime of the
jurisdiction (2.8), the location of the instantiation, and to the form of the instantiation; nor does it
provide definitive specification for the solution of these issues. Rather, this Technical Report discusses
and raises awareness of the major compliance and enforcement aspects issues to be considered, and
provides guidance and direction for considering and managing compliance and enforcement aspects in
the context of future and instantiation specific deployments of C-ITS.
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4.3 ITS and ‘compliance and enforcement aspects’
Whilst they share the common framework of being regulatory measures, ‘compliance’ and ‘enforcement’
within the context of C-ITS are two very different, though in some cases closely linked, paradigms.
4.3.1 Compliance
Compliance is defined by the Oxford English dictionary as ‘the state or fact of according with or meeting
rules or standards’.
4.3.2 Enforcement
Enforcement is defined by the Oxford English dictionary as ‘the act of compelling observance of or
compliance with a law, rule, or obligation’.
4.3.3 Compliance and enforcement within the context of C-ITS
Within the context of C-ITS, the term ‘compliance’ may therefore simply be applied to the assurance that
equipment or a service behaves within a set of predetermined, declared and accepted parameters.
‘Enforcement’ may be considered to be regulatory measures to ensure observance with certain
requirements.
While this at one end of the spectrum may imply that those who provide defective equipment or services
(non-compliance) will face unpleasant consequences, so as to encourage them not to so by default, at
the other end of the spectrum enforcement may also, and in a different paradigm, mean that specific
C-ITS services, or information from C-ITS services, could be developed to penalise drivers that err from
driving regulations.
4.4 C-ITS compliance and enforcement aspects issues
That compliance, and enforcement of compliance, for equipment and to defined systems specification
is required is probably doubted by few, including drivers. Indeed, compliance assurance through
certification (see ISO/TR 17427-11) and/or type approval (2.9) of equipment and application (2.1)
systems, will help to provide confidence to drivers. Type approval regulations will also provide assurance
to drivers. Such measures will normally therefore encourage the take-up of systems so approved.
However, particularly in a situation where the driver will have need or requirement to purchase
equipment and/or subscribe to ITS service provision, to then find that this equipment will/may
subsequently be used in enforcement measures to penalise him for violation of driving regulations will
be a sure deterrent to dissuade him from buying/subscribing and using C-ITS application services. If
the equipment is mandated, it will be a sure way to encourage the driver to switch the system off or
otherwise disable it.
At some time in the future, if drivers become more used to being automatically controlled, or it becomes
socially acceptable as a norm, the use of C-ITS systems for enforcement to driving regulations may
become acceptable, but it seems highly likely that this is not the case at the time of developing this
Technical Report.
Jurisdictions will therefore have to make a decision as to whether to try to enforce such measures to
enforce regulations, which may well seriously affect their electability, or leave the choice of use to the
market place. In this latter case, there is a high probability of drivers not using C-ITS systems, and
the safety of life improvements, and improvements to the efficiency of the traffic system, achievable
through the use of C-ITS, being lost as a result.
4.4.1 Private vehicles
The issues and potential effects were summed up in the US Privacy Policy Framework:
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“were a National…. (C-ITS)……Program to be proposed that would use …(C-ITS)…. as a surveillance tool
for law enforcement purposes, ‘concerns with regard to privacy and civil liberties would be raised by the
public and its representatives and advocates, which would threaten the implementation of such a Program.
The primary purposes of ….(C-ITS)…are to enhance transportation safety and mobility through improving
driver situational awareness, to help avoid and/or mitigate crashes and to use technology to optimize
anonymous traffic monitoring and control strategies. The program is being developed, and policy-makers
are making decisions, with these purposes in mind. To expand the program beyond these purposes to include
punitive uses of the….(C-ITS) system for enforcing traffic or other laws would cast doubt regarding the true
intent of the initiative. If a National Program were used to facilitate or automate enforcement, many would
likely seek ways to disable the ….(C-ITS)… communications system on their vehicles, or to purchase or retain
an older, non-equipped vehicle. This would negatively impact not only their safety, but also the safety of
other road users, because a ….(C-ITS)….-disabled or non-equipped vehicle and would no longer be sending or
[14]
receiving safety data.”’
A further consideration is that there will be a long period during which more technologically advanced
cars share the road with those that do not have C-ITS devices. Does compliance and enforcement activity
need to take a different approach to these different groups? Would more advanced cars be held to a
higher standard (because their breaches could potentially be more easily detected) and will this
discourage the take-up of advantageous technology? Some stakeholders already report public concern
[9]
that they could be fined for speeding based on roadside detection of C-ITS signals from the vehicle,
and there seems to be widespread fear of misuse.
As an example, police in Washington have set up a ‘net’ of ANPR detectors, tracking movements around
the city, which have apparently moved from initially capturing wanted criminals or unregistered
vehicles to a range of other purposes.
“Police also have begun using them as a tool to prevent crime. By positioning them in nightclub parking lots,
for example, police can collect information about who is there. If members of rival gangs appear at a club,
police can send patrol cars there to squelch any flare-ups before they turn violent. After a crime, police can
gather a list of potential witnesses in seconds.
Beyond the technology’s ability to track suspects and non-criminals alike, it has expanded beyond police
work. Tax collectors in Arlington bought their own units and use the readers to help collect money owed
to the county. Chesterfield County, in Virginia, uses a reader it purchased to collect millions of dollars in
[22]
delinquent car taxes each year, comparing the cars on the road against the tax rolls”.
There have also been some examples in the US of private use, for example, by banks searching for
[23]
delinquent borrowers.
It seems clear that in respect of the private car driver, enforcement would likely be a disincentive to
take-up of the technology. Do limits need to be placed on the use of data from safety systems in order
not to penalise those who take them up? The principle that ITS policy should ‘be consistent with broader
transport network objectives’ needs to be taken into account in considerations of the use of C-ITS
technology for enforcement.
Most concerns centre around keeping of information about members of the public who have not
committed an offence. Many existing systems such as point-to-point are explicitly designed not to
retain information if there is no suspected offence, in order to avoid this concern. Regimes are in place
to limit the use of data from other systems, such as tolling. Surveillance device legislation in various
states provides rules around the use of tracking devices, including for enforcement purposes.
In addition, there is a question over how C-ITS data would be used in the aftermath of a crash. Data
could be captured within the vehicle or elsewhere within the system (e.g. by a roadside unit). There
may be value in making this data available in order to analyse crash causation, which could be
extremely valuable in helping to set appropriate speed limits on particular stretches of road or improve
road infrastructure. However, this data could also be used to convict a driver, for example, of negligent
driving. If historical data is retained then this could also be used (e.g. to show that a driver had a history
of driving in a reckless manner).
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There may be potential to counter-weight the increased surveillance made possible by C-ITS with
incentives and rewards for its use where compliant behaviour is demonstrated (for example, reduced
insurance costs).
While the advent of C-ITS provides opportunities for compliance and enforcement, it may be far more
beneficial, rather than seek to use these enforcement opportunities, to promote opportunities to assist
drivers in achieving compliance with road laws, for example, through intelligent speed warnings, which
can assist and encourage drivers to keep to the speed limit, or by physically speed control at risk or danger
zones (such as school crossings, blind spots, etc.) using the justification and incentive that the technology
helps prevent violation of regulations and therefore assist avoiding enforcement and its penalties.
4.4.2 Commercial vehicles
It is important here to separate out private road usage from commercial road usage. For, while
enforcement of private vehicle drivers may prove unpopular, enforcement that commercial vehicles
respect the road rules is likely to be very popular with the population at large, and regulatory control is
far more accepted in the commercial vehicle sector.
Automatic reporting, and in some cases control, by C-ITS application systems, can also be very popular
with fleet operators, because it may allow better and less bureaucratic access to the road network,
especially for large vehicles. For example, many of these opportunities have already been tested and
are in growing use in Australia, under its ‘Intelligent Access Programme’ (IAP).
The IAP is a certified intelligent transport system recognized in law and developed in partnership
between all Australian road agencies. The IAP has been operational since 2008. The IAP was developed by
Australian Governments in response to current and emerging policy challenges, including the following:
— a growing population, public and private transport and freight task;
— community expectations about the use, availability and safety of the road network;
— road safety through the interaction of people, vehicles and infrastructure;
— sustainability and environmental impact in managing greenhouse emissions;
— security and associated responses in transport.
In common with many countries, Australia faces constrained infrastructure budgets, being impacted
by an ever increasing maintenance demand, including in urban areas a declining ability to build new
infrastructure. At the same time there are expectations of increased and unrestrained mobility of people,
goods and assets including, pressure from the road transport industry to permit operation of larger,
heavier vehicles. Increases in freight volumes have been higher than truck travel growth rates because
of the trend towards larger trucks and higher payloads. Heavier articulated trucks are replacing small
rigid trucks. Along with freight issues, Australia is facing challenges in increasing traffic congestion
resulting from the interaction of demand and lack of capacity in the movement of people, goods and
assets; road safety issues through the interaction of people, vehicles and infrastructure and a drive to
dramatically decrease road casualties; sustainability and environmental impact issues in managing
greenhouse emissions; security and associated responses in transport. Whilst traditional reforms have
served Australia well, authorities required smart solutions to move forward. The IAP is an effective,
[20]
efficient, non-intrusive approach that delivers unparalleled assurance and productivity gains.
One of the many benefits of the IAP is its ability to accurat
...