Table 2 - Roles of human driver and driving automation system by level of driving automation   表2 -按驾驶自动化程度划分的人类驾驶员和驾驶自动化系统的角色

Automation Role of User Role of Driving Automation System

DRIVER PERFORMS THE DYNAMIC DRIVING TASK (DDT)    

DRIVER执行动态驱动任务(DDT)

Level 0 - No Driving Automation Driver (at all times):

• Performs the entire DDT Driving Automation System (if any):

• Does not perform any part of the DDT on a sustained basis (although other vehicle systems may provide warnings or support, such as momentary emergency intervention)

Level 1 - Driver Assistance Driver (at all times):

• Performs the remainder of the DDT not performed by the driving automation system

• Supervises the driving automation system and intervenes as necessary to maintain safe operation of the vehicle

• Determines whether/when engagement or disengagement of the driving automation system is appropriate

• Immediately performs the entire DDT whenever required or desired Driving Automation System (while engaged):

• Performs part of the DDT by executing either the longitudinal or the lateral vehicle motion control subtask

• Disengages immediately upon driver request

Level 2 - Partial Driving Automation

 Driver (at all times):

• Performs the remainder of the DDT not performed by the driving automation system

• Supervises the driving automation system and intervenes as necessary to maintain safe operation of the vehicle

• Determines whether/when engagement and disengagement of the driving automation system is appropriate

• Immediately performs the entire DDT whenever required or desired Driving Automation System (while engaged):

• Performs part of the DDT by executing both the lateral and the longitudinal vehicle motion control subtasks

• Disengages immediately upon driver request

AUTOMATED DRIVING SYSTEM (ADS) PERFORMS THE ENTIRE DYNAMIC DRIVING TASK (DDT)

自动驾驶系统执行整个动态驾驶任务(DDT)

Level 3 – Conditional Driving Automation

 Driver (while the ADS is not engaged):

• Verifies operational readiness of the ADS-equipped vehicle

• Determines when engagement of ADS is appropriate

• Becomes the DDT fallback-ready user when the ADS is engaged

DDT fallback-ready user (while the ADS is engaged):

• Is receptive to a request to intervene and responds by performing DDT fallback in a timely manner

• Is receptive to DDT performance-relevant system failures in vehicle systems and, upon occurrence, performs DDT fallback in a timely manner

• Determines whether and how to achieve a minimal risk condition

• Becomes the driver upon requesting disengagement of the ADS ADS (while not engaged):

• Permits engagement only within its ODD

ADS (while engaged):

• Performs the entire DDT

• Determines whether ODD limits are about to be exceeded and, if so, issues a timely request to intervene to the DDT fallback-ready user

• Determines whether there is a DDT performance-relevant system failure of the ADS and, if so, issues a timely request to intervene to the DDT fallback-ready user

• Disengages an appropriate time after issuing a request to intervene

• Disengages immediately upon driver request

Level 4 - High Driving Automation Driver/dispatcher (while the ADS is not engaged):

• Verifies operational readiness of the ADS-equipped vehicle

• Determines whether to engage the ADS

• Becomes a passenger when the ADS is engaged only if physically present in the vehicle

Passenger/dispatcher (while the ADS is engaged):

• Need not perform the DDT or DDT fallback

• Need not determine whether and how to achieve a minimal risk condition

• May perform the DDT fallback following a request to intervene

• May request that the ADS disengage and may achieve a minimal risk condition after it is disengaged

• May become the driver after a requested disengagement ADS (while not engaged):

• Permits engagement only within its ODD

ADS (while engaged):

• Performs the entire DDT

• May issue a timely request to intervene

• Performs DDT fallback and transitions automatically to a minimal risk condition when:

• A DDT performance-relevant system failure occurs or

• A user does not respond to a request to intervene or

• A user requests that it achieve a minimal risk condition

• Disengages, if appropriate, only after:

• It achieves a minimal risk condition or

• A driver is performing the DDT

• May delay user-requested

Level 5 - Full Driving Automation

 Driver/dispatcher (while the ADS is not engaged):

• Verifies operational readiness of the ADS-equipped vehicle

• Determines whether to engage the ADS

• Becomes a passenger when the ADS is engaged only if physically present in the vehicle

Passenger/dispatcher (while the ADS is engaged):

• Need not perform the DDT or DDT fallback

• Need not determine whether and how to achieve a minimal risk condition

• May perform the DDT fallback following a request to intervene

• May request that the ADS disengage and may achieve a minimal risk condition after it is disengaged

• May become the driver after a requested disengagement

ADS (while not engaged):

• Permits engagement of the ADS under all driver-manageable on-road conditions ADS (while engaged):

• Performs the entire DDT

• Performs DDT fallback and transitions automatically to a minimal risk condition when:

• A DDT performance-relevant system failure occurs or

• A user does not respond to a request to intervene or

• A user requests that it achieve a minimal risk condition

• Disengages, if appropriate, only after:

• It achieves a minimal risk condition or

• A driver is performing the DDT

• May delay a user-requested disengagement

Table 3, below, describes a user’s role with respect to an engaged driving automation system operating at a particular level of driving automation at a particular point in time. A user occupying a given vehicle can have one of three possible roles during a particular trip: 1) driver, 2) DDT fallback-ready user or 3) passenger. A remote user of a given vehicle (i.e., who is not seated in the driver’s seat of the vehicle during use) can also have one of three possible roles during a particular trip: 1) remote driver, 2) DDT fallback-ready user or 3) dispatcher.

下面的表3描述了用户在某一特定时间点在某一特定级别的驾驶自动化系统上所扮演的角色。在一个特定的旅程中，占用一个给定车辆的用户可以有三种可能的角色之一:1)司机，2)DDT后备用户或3)乘客。一个特定车辆的远程用户(即在使用过程中没有坐在驾驶座位上的人)在特定旅程中也可以有以下三种可能的角色:1)远程司机，2)DDT后备用户或3)调度员。

Table 3 - User roles while a driving automation system is engaged

表3 -驾驶自动化系统使用时的用户角色

NOTE: A vehicle equipped with a level 4 or 5 ADS may also support a driver role. For example, in order to complete a given trip, a user of a vehicle equipped with a level 4 ADS feature designed to operate the vehicle during high-speed freeway conditions will generally choose to perform the DDT when the freeway ends; otherwise the ADS will automatically perform DDT fallback and achieve a minimal risk condition as needed. However, unlike at level 3, this user is not a DDT fallback-ready user while the ADS is engaged. 注意:配备4级或5级ADS的车辆也可以支持驾驶员的角色。例如，为了完成给定的旅程，一辆配备了4级ADS功能的汽车的用户通常会在高速公路结束时选择执行DDT;否则，广告将自动执行DDT回退，并在需要时实现最小的风险条件。然而，与第3级不同的是，当广告被使用时，这个用户并不是DDT的后备用户。

5. LEVELS OR CATEGORIES OF DRIVING AUTOMATION

As discussed above, the level of driving automation is based on the functionality of the driving automation system, as determined by an allocation of roles in DDT and DDT fallback performance between that system and the (human) user (if any). The manufacturer of a driving automation system determines that system’s requirements, operational design domain (ODD), and operating characteristics, including the level of driving automation, as defined below. The manufacturer also defines the proper use of that system.

The lower two levels of driving automation (1-2) refer to cases in which the (human) driver continues to perform part of the DDT while the driving automation system is engaged.

The upper three levels of driving automation (3-5) refer to cases in which the Automated Driving System (ADS) performs the entire the DDT on a sustained basis while it is engaged.  

 

 

5.1 LEVEL or CATEGORY 0 - NO DRIVING AUTOMATION   1级或0级-无驾驶自动化

The performance by the driver of the entire DDT, even when enhanced by active safety systems.

整个DDT的性能由驾驶员决定，即使主动安全系统增强了性能。

5.2 LEVEL or CATEGORY 1 - DRIVER ASSISTANCE  一级或一级-驾驶员协助

The sustained and ODD-specific execution by a driving automation system of either the lateral or the longitudinal vehicle motion control subtask of the DDT (but not both simultaneously) with the expectation that the driver performs the remainder of the DDT.

NOTE: A level 1 feature performing either the lateral or the longitudinal vehicle motion control subtask of the DDT is capable of only limited OEDR within its dimension (lateral or longitudinal), meaning that there are some events that the driving automation system is not capable of recognizing or responding to. Therefore, the driver must supervise the driving automation system performance by completing the OEDR subtask of the DDT as well as performing the other dimension of vehicle motion control. See Figure 1 (discussing the three primary subtasks of the DDT).

驾驶自动化系统持续执行车辆横向或纵向运动控制任务(但不能同时执行)，并期望驾驶员执行剩余的运动控制任务。

注:1级特性进行横向或纵向车辆运动控制子任务的DDT的能力有限OEDR在其维度(横向或纵向),也就是说,有些事件的驾驶自动化系统不能识别或回应。因此，驾驶员必须通过完成DDT的OEDR子任务以及执行车辆运动控制的其他维度来监督驾驶自动化系统的性能。请参见图1(讨论DDT的三个主要子任务)。

5.3 LEVEL or CATEGORY 2 - PARTIAL DRIVING AUTOMATION  级或二类-部分驾驶自动化

The sustained and ODD-specific execution by a driving automation system of both the lateral and longitudinal vehicle motion control subtasks of the DDT with the expectation that the driver completes the OEDR subtask and supervises the driving automation system.

NOTE: A level 2 driving automation feature is capable of only limited OEDR, meaning that there are some events that the driving automation system is not capable of recognizing or responding to. Therefore the driver supervises the driving automation system performance by completing the OEDR subtask of the DDT. See Figure 1 (discussing the three primary subtasks of the DDT). 驾驶自动化系统对车辆横向运动控制和纵向运动控制的子任务进行持续和奇数特定的执行，期望驾驶员完成OEDR子任务并监督驾驶自动化系统。

注:2级驾驶自动化功能的OEDR是有限的，这意味着有些事件是驾驶自动化系统无法识别或响应的。因此，驾驶员通过完成DDT的OEDR子任务来监督驾驶自动化系统的性能。请参见图1(讨论DDT的三个主要子任务)。

5.4 LEVEL or CATEGORY 3 - CONDITIONAL DRIVING AUTOMATION  级或3类-条件驾驶自动化

The sustained and ODD-specific performance by an ADS of the entire DDT with the expectation that the DDT fallback-ready user is receptive to ADS-issued requests to intervene, as well as to DDT performance-relevant system failures in other vehicle systems, and will respond appropriately.

NOTE 1: The DDT fallback-ready user need not supervise a level 3 ADS while it is engaged but is expected to be prepared to resume the DDT when the ADS issues a request to intervene, such as when a DDT performance-relevant system failure occurs.

NOTE 2: A level 3 ADS’s DDT fallback-ready user is also expected to be receptive to evident DDT performance-relevant system failures in vehicle systems that do not necessarily trigger an ADS-issued request to intervene, such as a broken body or a suspension component.

NOTE 3: In the event of a DDT performance-relevant system failure in a level 3 ADS or in the event that the ADS will soon exit its ODD, the ADS will issue a request to intervene within sufficient time for a typical person to respond appropriately to the driving situation at hand.

NOTE 4: An “appropriate” response by a DDT fallback-ready user to a request to intervene may entail bringing the vehicle to a minimal risk condition or continuing to operate the vehicle after the ADS has disengaged.

EXAMPLE: An ADS feature capable of performing the entire DDT in low-speed, stop-and-go freeway traffic.

一个ADS对整个DDT的持续和特定的性能，期望DDT后备用户能够接受ADS发出的干预请求，以及其他车辆系统中与DDT性能相关的系统故障，并将作出适当的响应。

注1:DDT后备用户不需要监督3级广告，但当广告发出干预请求时，如发生与DDT性能相关的系统故障时，需要准备恢复DDT。

注2:3级ADS的DDT备用用户也应能接受明显的与DDT性能相关的系统故障，而这些故障不一定会触发ADS发出的干预请求，如车身损坏或悬挂组件。

注3:在发生DDT performance-relevant系统故障在三级广告或广告的事件将很快退出ODD,广告将会干预发出一个请求在足够的时间内对一个人来说适当的应对手头的驾驶情况。

注4:对于干预请求，DDT后备用户的“适当”回应可能包括将车辆置于最低风险状态，或在广告退出后继续操作车辆。

例如:ADS的一个功能是在高速公路低速走走停停的交通中执行整个DDT。

5.5

5.5 LEVEL or CATEGORY 4 - HIGH DRIVING AUTOMATION   级或4类高驾驶自动化

The sustained and ODD-specific performance by an ADS of the entire DDT and DDT fallback, without any expectation that a user will respond to a request to intervene.

NOTE 1: The user does not need to supervise a level 4 ADS feature or be receptive to a request to intervene while the ADS is engaged. A level 4 ADS is capable of automatically performing DDT fallback, as well as achieving a minimal risk condition if a user does not resume performance of the DDT. This automated DDT fallback and minimal risk condition achievement capability is the primary difference between level 4 and level 3 ADS features. This means that the user of an engaged level 4 ADS feature is a passenger who need not respond to requests to intervene or to DDT performance-relevant system failures.

NOTE 2: Level 4 ADS features may be designed to operate the vehicle throughout complete trips (e.g., a closed campus shuttle feature), or they may be designed to operate the vehicle during only part of a given trip, after ODD requirements are met (e.g., a high-speed freeway cruising feature), For example, in order to complete a given trip, a user of a vehicle equipped with a level 4 ADS feature designed to operate the vehicle during high-speed freeway conditions will generally choose to perform the DDT when the freeway ends; otherwise the ADS will automatically perform DDT fallback and achieve a minimal risk condition as needed. However, unlike at level 3, this user is not a DDT fallback-ready user while the ADS is engaged. (see Example 2, below).

EXAMPLE 1: A level 4 ADS feature capable of performing the entire DDT during valet parking (i.e., curb-to-door or vice versa) without any driver supervision.

EXAMPLE 2: A level 4 ADS feature capable of performing the entire DDT during sustained operation on a motorway or freeway (i.e., within its ODD). (Note: The presence of a user in the driver’s seat who is capable of performing the DDT is envisioned in this example, as driver performance of the DDT would have been necessary before entering, and would again be necessary after leaving, the motorway or freeway. Thus, such a feature would alert the user that s/he should resume vehicle operation shortly before exiting the ODD, but if the user fails to respond to such an alert, the ADS will nevertheless perform the DDT fallback and achieve a minimal risk condition automatically.)

EXAMPLE 3: A dispatcher may engage a level 4 ADS-DV, which is capable of following a pre-defined route within a confined geographical area (e.g., residential community, military base, university campus).

通过一个完整的DDT和DDT的广告的持续和特定的性能，没有任何期望用户会响应干预的请求。

注1:用户不需要监督4级广告功能，也不需要接受在广告投入时进行干预的请求。4级ADS能够自动执行DDT的回退，并在用户不恢复DDT性能的情况下实现最小的风险。自动DDT撤退和最低风险条件下的能力是4级和3级ADS功能的主要区别。这意味着使用4级广告功能的用户是不需要响应干预请求或与性能相关的系统故障的乘客。

注2:四级广告特性可能是运营车辆在设计完成旅行(举例来说,一个封闭的校园穿梭特性),也可以用来操作车辆只在给定行程的一部分,ODD的需求得到满足后(如高速公路巡航功能),例如,为了完成一个给定的旅行,在高速公路结束时，配备了4级ADS功能的车辆的用户通常会选择执行DDT;否则，广告将自动执行DDT回退，并在需要时实现最小的风险条件。然而，与第3级不同的是，当广告被使用时，这个用户并不是DDT的后备用户。(参见下面的示例2)。

例子1:4级ADS功能能够在代客泊车(即从路边到门口或从路边到门口)期间执行整个DDT，而不需要任何司机的监督。

例子2:关卡4的ADS能够在高速公路或高速公路的持续运行中执行整个DDT(游戏邦注:即在其奇数范围内)。(注:在这个例子中，可以想象驾驶座位上有一个能够使用DDT的人，因为司机在进入高速公路之前必须使用DDT，离开高速公路后也必须使用。因此，这样的功能会提醒用户，他/她应该在离开奇数之前不久恢复车辆操作，但如果用户没有响应这样的警报，广告将执行DDT回退，自动实现最小的风险条件。)

例3:调度员可能会使用4级ADS-DV，它能够在一个有限的地理区域内(如居民区、军事基地、大学校园)遵循预先定义的路线。

5.6 LEVEL [CATEGORY] 5 - FULL DRIVING AUTOMATION   级[类]5 -全驾驶自动化

The sustained and unconditional (i.e., not ODD-specific) performance by an ADS of the entire DDT and DDT fallback without any expectation that a user will respond to a request to intervene.

NOTE 1: “Unconditional/not ODD-specific” means that the ADS can operate the vehicle under all driver-manageable on-road conditions. This means, for example, that there are no design-based weather, time-of-day, or geographical restrictions on where and when the ADS can operate the vehicle. However, there may be conditions not manageable by a driver in which the ADS would be unable to complete a given trip (i.e., white-out snow storm, flooded roads, glare ice, etc.) until or unless the adverse conditions clear. At the onset of such unmanageable conditions the ADS would perform the DDT fallback to achieve a minimal risk condition (e.g., by pulling over to the side of the road and waiting for the conditions to change).

NOTE 2: In the event of a DDT performance-relevant system failure (of an ADS or the vehicle), a level 5 ADS automatically performs the DDT fallback and achieves a minimal risk condition

NOTE 3: The user does not need to supervise a level 5 ADS, nor be receptive to a request to intervene while it is engaged.

EXAMPLE: A vehicle with an ADS that, once programmed with a destination, is capable of operating the vehicle throughout complete trips on public roadways, regardless of the starting and end points or intervening road, traffic, and weather conditions.

5持续的和无条件的(也就是，不是特定于奇数的)执行一个完整的DDT和DDT的广告，而不期望用户会响应一个干预的请求。

注1:“无条件/非单双号”是指ADS可以在所有驾驶员可管理的道路条件下操作车辆。这意味着，例如，没有基于设计的天气，时间，或地理限制广告可以操作车辆的时间和地点。然而，在一些驾驶员无法控制的情况下，广告可能无法完成指定的行程(例如，白色的暴风雪、被水淹没的道路、耀眼的冰等)，直到或除非恶劣的条件消失。在出现这种难以控制的情况时，广告会采取DDT补救措施，以达到最低风险(例如，将车停在路边，等待情况发生变化)。

注2:如果发生与DDT性能相关的系统故障(ADS或车辆)，5级ADS会自动执行DDT回退，并实现最低风险条件

注3:用户不需要监督5级广告，也不需要接受在用户参与时进行干预的请求。

例如:一种带有广告的车辆，一旦设定了目的地，就可以在公共道路上行驶，而不受起点和终点的影响，也不受道路、交通和天气的影响。

6. SIGNIFICANCE OF OPERATIONAL DESIGN DOMAIN (ODD)  操作设计域的意义(ODD)

Conceptually, the role of a driving automation system vis-à-vis a user in performance of part or all of the DDT is orthogonal to the specific conditions under which it performs that role: A specific implementation of adaptive cruise control, for example, may be intended to operate only at high speeds, only at low speeds, or at all speeds.

For simplicity, however, J3016’s taxonomy collapses these two axes into a single set of levels of driving automation. Levels 1 through 4 expressly contemplate ODD limitations. In contrast, level 5 expressly disavows any such limitations.

Accordingly, accurately describing a feature (other than at level 5) requires identifying both its level of driving automation and its operational design domain (ODD). As provided in the definitions above, this combination of level of driving automation and ODD is called a usage specification, and a given feature satisfies a given usage specification.

Because of the wide range of possible ODDs, a wide range of possible features may exist in each level (e.g., level 4 includes parking, high-speed, low-speed, geo-fenced, etc.). For this reason, SAE J3016 provides less detail about the ODD attributes that may define a given feature than about the respective roles of a driving automation system and its user.

ODD is especially important to understanding why an ADS is not level 5 merely because it operates an ADS-dedicated vehicle. Unlike a level 5 ADS, a level 4 ADS has a limited ODD. Geographic or environmental restrictions on an ADS-DV may reflect the ODD limitations of its ADS (or they may reflect vehicle design limitations).

Figure 9 illustrates the orthogonality of ODD relative to levels of driving automation. 从概念上讲,驾驶自动化系统的作用性能相对于用户的部分或全部DDT是正交的具体情况下,它执行角色:自适应巡航控制系统的具体实现,例如,也许是为了操作只有在高速,只在低速或速度。

不过，为了简单起见，J3016的分类法将这两个轴合并为一组单独的驾驶自动化级别。等级1到等级4明确地考虑了奇数的限制。相比之下，第5级明确否认任何此类限制。

因此，准确地描述一个特征(level 5除外)需要同时识别其驾驶自动化水平和操作设计领域(ODD)。如上面的定义所述，这种驱动自动化级别和奇数的组合称为使用规范，给定的特性满足给定的使用规范。

因为可能性的范围很广，所以每个关卡都可能存在各种可能的功能(例如，第4个关卡包括停车、高速、低速、地理围栏等)。出于这个原因，SAE J3016提供的关于驱动自动化系统及其用户各自角色的详细信息比定义给定特性的奇数属性要少。

ODD对于理解为什么ADS不是第5级的特别重要，因为它运行的是一个专门的ADS车辆。与5级广告不同的是，4级广告有一个有限的奇数。对ADS- dv的地理或环境限制可能反映了其广告的ODD限制(或者反映了车辆设计的限制)。

图9说明了ODD相对于驾驶自动化水平的正交性。

Figure 10 - Illustrates the significance of ODD relative to the levels.

图10 -说明了奇数相对于水平的重要性。

Figure 11 - ODD relative to levels

图11 -奇数相对水平

7. DEPRECATED TERMS   弃用的条款

For the sake of clarity, this section identifies certain deprecated terms that are not used in this Recommended Practice either because they are functionally imprecise (and therefore misleading) and/or because they are frequently misused by application to lower levels of driving automation (i.e., levels 1 and 2) in which the driving automation system does not perform the entire DDT. 为了清晰,本节确定某些弃用的术语是不习惯在这个推荐的做法,因为他们在功能上是不准确的(因此误导)和/或因为他们经常被应用于低水平的滥用驾驶自动化(即水平1和2)的驾驶自动化系统不执行整个DDT

7.1 Autonomous, Self-Driving, Driverless, Unmanned, Robotic   自动驾驶，自动驾驶，无人驾驶，无人驾驶，机器人

Vernacular terms such as those above are sometimes used—inconsistently and confusingly—to characterize driving automation systems and/or vehicles equipped with them. Because automation is the use of electronic or mechanical devices to replace human labor, based on the Oxford English Dictionary, automation (modified by “driving” to provide context) is the appropriate term for systems that perform part or all of the DDT. The use of other terms can lead to confusion, misunderstanding, and diminished credibility.

7.1.1 Autonomous

This term has been used for a long time in the robotics and artificial intelligence research communities to signify systems that have the ability and authority to make decisions independently and self-sufficiently. Over time, this usage was casually broadened to not only encompass decision making, but to represent the entire system functionality, thereby becoming synonymous with automated. This usage obscures the question of whether a so-called “autonomous vehicle” depends on communication and/or cooperation with outside entities for important functionality (such as data acquisition and collection). Some driving automation systems may indeed be autonomous if they perform all of their functions independently and self-sufficiently, but if they depend on communication and/or cooperation with outside entities, they should be considered cooperative rather than autonomous. Some vernacular usages associate autonomous specifically with full driving automation (level 5), while other usages apply it to all levels of driving automation, and some state legislation has defined it to correspond approximately to any ADS at or above level 3 (or to any vehicle equipped with such an ADS).

Additionally, in jurisprudence, autonomy refers to the capacity for self-governance. In this sense, also, “autonomous” is a misnomer as applied to automated driving technology, because even the most advanced ADSs are not “self-governing.” Rather, ADSs operate based on algorithms and otherwise obey the commands of users.

For these reasons, this document does not use the popular term “autonomous” to describe driving automation.

7.1.2 Self-driving

The meaning of this term can vary based on unstated assumptions about the meaning of driving and driver. It is variously used to refer to situations in which no driver is present, to situations in which no user is performing the DDT, and to situations in which a driving automation system is performing any part of the DDT.

7.1.3 Driverless and Unmanned

These terms are frequently misused to describe any vehicle equipped with a level 2 or higher driving automation system. Because “driver” can have many meanings, “driverless” can confuse rather than clarify. (Under J3016’s definitions, an engaged level 3, 4, or 5 ADS displaces a (human) driver.) The term “unmanned” suggests the absence of a person in a vehicle, which can also be misleading because it does not distinguish between a vehicle remotely operated by a human driver and an ADS-operated vehicle in which there are no occupants that have the ability to operate the vehicle.

7.1.4 Robotic

This term is sometimes used to connote level 4 or 5 driving automation, such as a closed-campus ADS-DV or a “robotic taxi,” but it is technically vague because any automation technology could be considered to be “robotic,” and as such it conveys no useful information about the ADS or vehicle in question.

在描述自动驾驶系统和/或配备自动驾驶系统的车辆时，人们有时会不一致地、令人混淆地使用上述术语。根据《牛津英语词典》，自动化是使用电子或机械设备来取代人工劳动，因此自动化(通过“driving”来修饰以提供上下文)是对执行部分或全部DDT的系统的合适术语。使用其他术语会导致混淆、误解和降低可信度。

安装7.1.1自治

这个术语在机器人和人工智能研究领域已经使用了很长一段时间，用来表示有能力和权威独立自主地做出决定的系统。随着时间的推移，这种用法被随意地扩展到不仅包括决策制定，而且还代表整个系统功能，因此成为自动化的同义词。这种用法掩盖了一个问题，即所谓的“自动驾驶汽车”在重要功能(如数据采集和收集)上是否依赖于与外部实体的通信和/或合作。如果一些自动驾驶系统能够独立且自给自足地执行所有功能，那么它们可能确实是自主的，但如果它们依赖于与外部实体的通信和/或合作，那么它们就应该被视为协作而不是自主的。一些方言用法将自动驾驶与全自动驾驶(5级)联系起来，而其他用法将自动驾驶应用于所有级别的自动驾驶，一些州的立法将自动驾驶定义为接近于任何3级或以上的自动驾驶(或任何装备了自动驾驶的车辆)。

另外，在法学中，自治是指自治的能力。从这个意义上说，“自动”也不适用于自动驾驶技术，因为即使是最先进的ADSs也不是“自动管理的”。相反，ADSs是基于算法运行的，而不是服从用户的命令。

由于这些原因，本文档不使用“自动驾驶”这个流行术语来描述驾驶自动化。

7.1.2无人驾驶

这个术语的含义可能会因未说明的关于driving和driver含义的假设而有所不同。它被广泛地用于指没有司机在场的情况，没有用户执行DDT的情况，以及驾驶自动化系统执行DDT的任何部分的情况。

7.1.3无人驾驶和无人驾驶

这些术语经常被误用来描述任何配备了2级或更高驾驶自动化系统的车辆。因为“driver”可能有很多意思，“driverless”可能会让人混淆而不是澄清。(根据J3016的定义，敬业的3级、4级或5级广告取代了(人类)司机。)“无人驾驶”一词意味着车辆中没有人，这也可能具有误导性，因为它无法区分由人类驾驶员远程操作的车辆和没有人能够操作车辆的广告操作车辆。

7.1.4机器人

这个术语有时用来意味着4或5驾驶自动化水平,比如closed-campus ADS-DV或“机器人出租车,”但它在技术上是模糊的,因为任何自动化技术可以被认为是“机器人”,因此它不传达有用的信息的广告或车辆的问题。

7.2 Automated or Autonomous Vehicle   自动驾驶或自动驾驶车辆

This Recommended Practice recommends against using terms that make vehicles, rather than driving, the object of automation, because doing so tends to lead to confusion between vehicles that can be operated by a (human) driver or by an ADS and ADS-DVs, which are designed to be operated exclusively by an ADS. It also fails to distinguish other forms of vehicular automation that do not involve automating part or all of the DDT.

Moreover, a given vehicle may be equipped with a driving automation system that is capable of delivering multiple driving automation features that operate at different levels; thus, the level of driving automation exhibited in any given instance is determined by the feature(s) engaged.

As such, the recommended usage for describing a vehicle with driving automation capability is “level [1 or 2] driving automation system-equipped vehicle” or “level [3, 4, or 5] ADS-equipped vehicle.” The recommended usage for describing a vehicle with an engaged system (vs. one that is merely available) is “level [1 or 2] driving automation system-engaged vehicle” or “level [3, 4, or 5] ADS-operated vehicle.”

7这推荐实践建议不要使用术语,使汽车,而不是开车,自动化的对象,因为这样做会导致混淆的车辆,可以由一个(人类)司机或一个广告和ADS-DVs,由一个设计为专门经营广告。它还未能区分其他形式的车辆自动化,不涉及自动化DDT的部分或全部。

此外，给定的车辆可以配备驾驶自动化系统，该系统能够提供在不同水平上运行的多个驾驶自动化特征;因此，在任何给定情况下，驾驶自动化的水平都是由参与的功能决定的。

因此，推荐使用描述车辆与驾驶自动化能力是“水平[1或2]驾驶自动化系统装备的车辆”或“水平[3,4，或5]ads装备的车辆。推荐使用“[1或2级]驾驶自动化系统接合的车辆”或“[3、4或5级]ads操作的车辆”来描述系统接合的车辆(相对于仅可用的车辆)。

7.3 Control  控制

In colloquial discourse, the term “control” is sometimes used to describe the respective roles of a (human) driver or a driving automation system (e.g., “the driver has control”). The authors of this Recommended Practice strongly discourage, and have therefore deliberately avoided, this potentially problematic colloquial usage. Because the term “control” has numerous technical, legal, and popular meanings, using it without careful qualification can confuse rather than clarify. In law, for example, “control,” “actual physical control,” and “ability to control” can have distinct meanings that bear little relation to engineering control loops. Similarly, the statement that the (human) driver “does not have control” may unintentionally and erroneously suggest the loss of all human authority.

The preferred terms “DDT performance” (as explained in the definition of DDT above) and “operate” (also a defined term, above) reduce potential confusion by specifically describing what the (human) driver or driving automation system actually does in terms of performing part or all of the DDT. This Recommended Practice does use the terms lateral vehicle motion control and longitudinal vehicle motion control, both of which are explicitly defined in terms of specific engineering functions.

If “control” is to be used in a particular driving automation context, it should be carefully qualified. To this end, the one using the term “should first describe the control system they actually intend: the goals, inputs, processes, and outputs to the extent they are determined by a human designer and the authority of the human or computer agents to the extent they are not.” See Bryant Walker Smith, Engineers and Lawyers Should Speak the Same Robot Language, in Robot Law (2015), available at newlypossible.org. 在口语中，术语“控制”有时被用来描述(人类)司机或驾驶自动化系统各自的角色(例如，“司机有控制”)。这种推荐做法的作者强烈反对，并因此有意避免这种有潜在问题的口语用法。因为“控制”一词有许多技术、法律和通俗的含义，如果不仔细限定使用它，可能会造成混淆而不是澄清。例如，在法律上，“控制”、“实际物理控制”和“控制能力”可以有不同的含义，与工程控制回路没有什么关系。同样，(人类)驾驶员“没有控制权”的说法可能无意中错误地暗示失去了所有人类的权威。

首选术语“DDT性能”(见上文DDT的定义)和“操作”(也是已定义的术语，见上文)通过具体描述(人类)驾驶员或驾驶自动化系统在执行部分或全部DDT时的实际操作，来减少潜在的混淆。这个推荐的实践确实使用了横向车辆运动控制和纵向车辆运动控制这两个术语，这两个术语在特定的工程功能中都有明确的定义。

如果“控制”是在一个特定的驾驶自动化环境中使用，它应该经过仔细的限定。为此，使用术语“应该首先描述他们实际打算的控制系统:目标、输入、过程和输出(在一定程度上它们是由人类设计师和人类或计算机代理的权威(在一定程度上它们不是)决定的。《工程师和律师应该说同样的机器人语言》(2015)，可在newpossible.org上查阅。

8. ADDITIONAL DISCUSSION   额外的讨论

8.1 Level are assigned, rather than measured  等级是指定的，而不是测量的

It is not possible to describe or specify a complete test or set of tests which can be applied to a given ADS feature to conclusively identify or verify its level of driving automation. The level assignment rather expresses the design intention for the feature and as such tells potential users or other interested parties that the feature can be expected to function such that the roles of the user vs. the driving automation system while the feature is engaged are consistent with the assigned level, as defined in this document. The level assignment is typically based on the manufacturer’s knowledge of the feature’s/system’s design, development, and testing, which inform the level assignment. An ADS feature’s capabilities and limitations are communicated to prospective users through various means, such as in an owner’s manual, which explains the feature in detail, including how it should and should not be used, what limitations exist (if any), and what to do (if anything) in the event of a DDT performance-relevant system failure in the driving automation system or vehicle. 描述或指定一个完整的测试或一组测试是不可能的，它可以应用到特定的ADS功能，以最终确定或验证其驾驶自动化水平。作业水平,而表达设计意图的功能,因此告诉潜在用户或其他感兴趣的特性可以将功能,这样用户的角色和驾驶自动化系统虽然功能是符合指定的水平,在这个文件中定义。关卡分配通常是基于制造商对功能/系统的设计、开发和测试的了解，并以此作为关卡分配的依据。一个广告特性的功能和限制沟通潜在用户通过各种途径,如在一个用户手册,详细解释了功能,包括如何应该和不应该被使用,存在哪些局限性(如果有的话),以及做什么(如果有的话)在发生DDT performance-relevant车辆驾驶自动化系统或系统故障。

As such, the manifestation of one or more performance deficiencies in either the driving automation system or in the user’s use of it does not automatically change the level assignment. For example:

• An ADS feature designed by its manufacturer to be level 5 would not automatically be demoted to level 4 simply by virtue of encountering a particular road on which it is unable to operate the vehicle.

• The user of an engaged level 3 ADS feature who is seated in the driver’s seat of an equipped vehicle is the DDT fallback-ready user even if s/he is no longer receptive to a request to intervene because s/he has improperly fallen asleep. 因此，在驾驶自动化系统或用户使用它的一个或多个性能缺陷的表现不会自动改变级别分配。例如:

•由制造商设计的广告功能等级为5级，不会因为遇到一条无法操作车辆的特定道路而自动降为4级。

•使用3级ADS功能的用户坐在装备车辆的驾驶员座位上，是DDT后备用户，即使她/他不再接受干预请求，因为她/他不恰当地睡着了。

8.2 Levels are Mutually Exclusive 级别是相互排斥的

The levels in this taxonomy are intentionally discrete and mutually exclusive. As such, it is not logically possible for a given feature to be assigned more than a single level. For example, a low-speed driving automation feature described by the manufacturer as being capable of performing the complete DDT in dense traffic on fully access-controlled freeways cannot be both level 3 and level 4, because either it is capable of automatically performing the DDT fallback and achieving a minimal risk condition whenever needed, or it relies (at least sometimes) on the driver to respond to a request to intervene and either perform the DDT or achieve a minimal risk condition on his or her own.

It is, however, quite possible for a driving automation system to deliver multiple features at different levels, depending on the usage specification and/or user preferences. For example, a vehicle may be equipped with a driving automation system capable of delivering, under varying conditions, a level 1 ACC feature, a level 2 highway assistance feature, a level 3 freeway traffic jam feature, and a level 4 automated valet parking feature – in addition to allowing the user to operate the vehicle at level 0 with no driving automation features engaged. From the standpoint of the user, these various features engage sequentially, rather than simultaneously, even if the driving automation system makes use of much of the same underlying hardware and software technology to deliver all four driving automation features. 这种分类法中的级别是故意分离和相互排斥的。因此，从逻辑上讲，一个给定的功能不可能被分配到多个关卡中。例如,低速驾驶自动化制造商所描述的功能是能够执行完整的DDT在浓密的完全访问权限控制的已命名的高速公路上交通不能3级和4级,因为它能够自动执行DDT后退,只要需要,达到最小的风险状况或者，它依赖于(至少有时)驾驶员对干预请求的响应，或者执行DDT，或者实现自己的最小风险条件。

然而，驱动自动化系统很可能在不同的层次上交付多个特性，这取决于使用规范和/或用户偏好。例如,车辆可能会配备驾驶自动化系统交付的能力,在不同的条件下,1级ACC特性,二级公路援助功能,三级公路交通堵塞特性和四级自动代客泊车功能——除了允许用户操作车辆在0级没有驾驶自动化特性。从用户的角度来看，这些不同的功能是顺序连接的，而不是同时连接的，即使自动驾驶系统使用了大部分相同的底层硬件和软件技术来提供所有四种自动驾驶功能。

8.3 User request to perform the DDT when a level 3, 4 or 5 ADS is engaged  当3级、4级或5级广告被激活时，用户要求执行DDT

Vehicles equipped with an engaged level 3 ADS feature are expected to relinquish the DDT upon request by a DDT fallback-ready user. This expectation is a logical consequence of the DDT fallback-ready user’s need to be able to perform the DDT fallback whenever required, including in cases when a DDT performance-relevant vehicle system failure has occurred that the ADS may not be monitoring (such as a broken suspension component).

Some vehicles equipped with level 4 or 5 driving automation features may not be designed to allow for driver operation (i.e. ADS-DV). In these types of vehicles, passengers may be able to demand a vehicle stop by, for example, pulling an emergency stop lever, and in response, the ADS would achieve a minimal risk condition.

However, other vehicles equipped with level 4 or 5 driving automation features may also be designed for driver operation (i.e., at any lower level, including level 0). A user may request to operate these vehicles while the ADS is engaged without having been issued a request to intervene by the ADS. In these cases, the ADS may delay relinquishing of the DDT to ensure a smooth transition to the driver’s performance of the DDT, or to prevent a hazardous condition.

For example:

• A vehicle being operated by a level 4 ADS highway pilot feature that is negotiating a tight curve may not immediately disengage upon the user’s request, but may instead do so gradually as the user indicates through steering input that s/he is fully re-engaged in the DDT.

• A level 4 ADS feature designed to operate a vehicle in a high-speed convoy with small gaps between vehicles may delay relinquishing performance of the DDT to a user upon his or her request to resume driving until after the ADS has safely maneuvered the vehicle out of the convoy, since (human) drivers may not be capable of safely operating a vehicle in a close-coupled convoy. 配备了3级ADS功能的车辆应在DDT后备用户的要求下放弃使用DDT。这一预期是DDT备援用户需要在需要时执行DDT备援的逻辑结果，包括当与DDT性能相关的车辆系统出现故障，而广告可能没有监测到时(如悬架部件损坏)。

一些配备了4级或5级驾驶自动化功能的车辆可能在设计上不允许驾驶员操作(即ADS-DV)。在这些类型的车辆中，乘客可以要求车辆停下来，例如，拉一个紧急停止杠杆，而作为回应，广告将实现最小的风险条件。

然而,其他车辆配备4级或5驾驶自动化功能也可以用于司机操作(例如,在任何低水平,包括0级),用户可以请求操作这些车辆在广告投入不被广告发布请求干预。在这些情况下,DDT的广告可能会延迟放弃以确保顺利过渡到司机的DDT的性能,或防止危险的条件。

例如:

•由4级ADS高速公路驾驶员驾驶的车辆在通过一个狭窄的弯道时，可能不会根据用户的要求立即退出，但可能会逐渐退出，因为用户通过转向输入表明，他/她完全重新投入到DDT中。

•四级广告特性设计运营车辆在高速小车队车辆可能会延迟放弃DDT的性能差距在他或她的用户请求广告后继续开车,直到安全机动车辆的车队,因为(人类)司机可能无法安全地操作一个短背的车队一辆汽车。

8.4 Driving vs. DDT   驾驶vs. DDT

Driving entails a variety of decisions and actions, which may or may not involve a vehicle being in motion, or even being in an active lane of traffic. The overall act of driving can be divided into three types of driver effort: Strategic, Tactical, and Operational (Michon, 1985). Strategic effort involves trip planning, such as deciding whether, when and where to go, how to travel, best routes to take, etc. Tactical effort involves maneuvering the vehicle in traffic during a trip, including deciding whether and when to overtake another vehicle or change lanes, selecting an appropriate speed, checking mirrors, etc. Operational effort involves split-second reactions that can be considered pre-cognitive or innate, such as making micro-corrections to steering, braking and accelerating to maintain lane position in traffic or to avoid a sudden obstacle or hazardous event in the vehicle’s pathway.

The definition of DDT provided above (3.4) includes tactical and operational effort but excludes strategic effort. It is that portion of driving that specifically entails operating a vehicle in an active lane of traffic when the vehicle is either in motion or imminently so. (It should be noted that these terms—strategic, tactical and operational—may have different meanings in other contexts but are defined as above for the purposes of this document.) Indeed, this Recommended Practice defines “operate” to include both operational and tactical efforts.

Object and event detection, recognition, classification, and response (aka, OEDR) form a continuum of activities often cited in the driver workload literature. In the case of driving automation systems, OEDR also includes driving events associated with system actions or outcomes, such as undiagnosed driving automation system errors or state changes.

驾驶需要做出各种决定和行动，这些决定和行动可能涉及到车辆是否处于运动状态，甚至是否处于活跃的车道上。驾驶的整体行为可以分为三种类型的驾驶员努力:战略、战术和操作(Michon, 1985)。策略性的努力包括旅行计划，如决定是否去、何时去、去哪里、如何旅行、最佳路线等。战术努力包括在行驶过程中操纵车辆，包括决定是否及何时超车或变道，选择合适的速度，检查后视镜等。操作努力包括可被认为是预先认知或先天的瞬间反应，例如在交通中对转向、刹车和加速进行微小修正，以保持车道位置，或避免突然出现的障碍或道路上的危险事件。

上文(3.4)中DDT的定义包括战术和作战努力，但不包括战略努力。这是驾驶的一部分，特别需要在车辆正在行驶或即将行驶时，在活跃车道上操作车辆。(需要注意的是，这些术语——战略、战术和作战——在其他上下文中可能有不同的含义，但在本文档中如上定义。)事实上，这个推荐的实践定义了“操作”，包括操作和战术努力。

对象和事件检测、识别、分类和响应(又名OEDR)是驱动工作负载文献中经常引用的连续活动。对于驾驶自动化系统，OEDR还包括与系统操作或结果相关的驾驶事件，如未诊断的驾驶自动化系统错误或状态更改。

8.5 Comparison of J3016 driving automation levels with BASt and NHTSA levels   J3016驾驶自动化水平与BASt、NHTSA水平比较

Prior to the initial publication of J3016 in January 2014, there were two published documents that described levels of driving automation with respect to motor vehicles and/or driving: The US National Highway Traffic Safety Administration (NHTSA)’s “Preliminary Statement of Policy Concerning Automated Vehicles” (May 30, 2013) and the German Federal Highway Research Institute’s (Bundesanstalt für Strassenwesen, a.k.a. BASt) “Legal consequences of an increase in vehicle automation” Tom M. Gasser et al. (July 23, 2013). After thorough review of both documents, including discussions with both authoring organizations, SAE Task Force members were persuaded that the BASt levels were more in line with the Task Force’s operating principles, namely, that SAE J3016 should be:

• Descriptive rather than normative, which is to say it should provide functional definitions.

• Consistent with current industry practice.

• Consistent with prior art – we should start with what has already been done and change only what is necessary.

• Useful across disciplines, including engineering, law, media, public discourse.

• Clear and cogent, which is to say we should avoid or define ambiguous terms.

In keeping with these guiding principles, SAE largely adopted the BASt levels, but with several adjustments:

• Added a sixth level (namely, level 5 – full driving automation) not described in the BASt levels.

• Modified level names accordingly.

• Added supporting terms and definitions, such as DDT, minimal risk condition, etc.

• Described categorical distinctions that provide for a step-wise progression through the levels.

• Provided explanatory text and examples to aid the reader in understanding the levels, definitions, and their derivation.

在2014年1月J3016首次发布之前，有两份公开的文件描述了机动车和/或驾驶方面的驾驶自动化水平:美国国家公路交通安全管理局(NHTSA)的“关于自动驾驶汽车政策的初步声明”(2013年5月30日)和德国联邦公路研究所(Bundesanstalt für Strassenwesen，又名BASt)的“车辆自动化程度提高的法律后果”Tom M. Gasser等人(2013年7月23日)。经过对这两份文件的全面审查，包括与两家撰写机构的讨论，SAE工作组成员相信，BASt级别更符合工作组的工作原则，即SAE J3016应该是:

•描述性而非规范性，也就是说它应该提供功能定义。

•与当前行业实践一致。

•与现有技术一致-我们应该从已经做的开始，只改变必要的。

•适用于工程、法律、媒体、公共话语等学科。

•清晰而有说服力，也就是说我们应该避免或定义模棱两可的术语。

为了与这些指导原则保持一致，SAE在很大程度上采用了BASt级别，但进行了一些调整:

•增加了第6级(即5级——全自动驾驶)，没有在BASt级别中描述。

•修改相应的级别名称。

•增加支持性术语和定义，如DDT，最小风险条件等。

•描述了在关卡中逐步推进的分类区别。

•提供解释性的文本和例子，帮助读者理解层次，定义，及其推导。

After SAE J3016 was published in January, 2014, the International Organization of Motor Vehicle Manufacturers (Organisation Internationale des Constructeurs d’Automobiles, a.k.a., OICA) adopted the BASt levels and aligned them (in English) with SAE J3016, including adding a sixth level to represent “full driving automation.”

However, BASt/SAE/OICA levels differ more fundamentally from the levels described by the National Highway Traffic Safety Administration (NHTSA) in its “Preliminary Statement of Policy Concerning Automated Vehicles” (May 30, 2013). NHTSA’s levels were intended to provide preliminary policy guidance to U.S. state and local governments contemplating legislation and/or regulation related to “automated/autonomous vehicles.” As such, NHTSA’s level descriptions are written in loosely descriptive terms using normative language and therefore do not provide the degree of definitional and functional clarity that are ultimately required to support the technical and policy discussions that lead to standards, norms and/or legal requirements.

Moreover, NHTSA’s levels purport to apply to vehicles, rather than to driving automation, which, as explained above, leads to confusion. The NHTSA levels also include features and functions that do not serve to automate part or all of the DDT on a sustained basis, such as anti-lock brake systems (ABS), electronic stability control (ESC), and lane keeping assistance systems (LKAS). These intervention-type active safety systems are not driving automation system features, because, DDT performance (partial or complete) is not sustained between and across external events during driving. Rather, these active safety systems are momentarily activated during a specific driving safety hazard scenario and then quickly cut out again, and activation of such systems also does not change the driver’s role in terms of performing the DDT. (See Scope above.)

Finally, it should be noted that crash avoidance features, including intervention-type active safety systems, may be included in vehicles equipped with driving automation systems at any level. For ADS-equipped vehicles (i.e., levels 3-5) that perform the complete DDT, crash avoidance capability is part of ADS functionality.

2014年1月，SAE J3016发布后，国际汽车制造商组织(Organisation Internationale des Constructeurs d’automobiles，简称OICA)采用了BASt等级，并将其与SAE J3016进行了调整(英文)，包括增加了第六个等级，代表“全驾驶自动化”。

然而，BASt/SAE/OICA的水平与美国国家公路交通安全管理局(NHTSA)在其“自动驾驶汽车政策初步声明”(2013年5月30日)中所描述的水平有更根本的不同。NHTSA的标准旨在为美国各州和地方*制定与“自动驾驶汽车”相关的立法和/或法规提供初步政策指导。因此，NHTSA的等级描述是用规范语言写成的松散的描述性术语，因此不能提供支持最终制定标准、规范和/或法律要求所需的技术和政策讨论所需的定义程度和功能清晰度。

此外，NHTSA的标准据称只适用于汽车，而不适用自动驾驶系统，如上所述，这会导致人们的困惑。NHTSA的标准还包括一些不适合持续自动驾驶的部件和功能，如防抱死制动系统(ABS)、电子稳定控制系统(ESC)和车道保持辅助系统(LKAS)。这些干预型主动安全系统并不是驾驶自动化系统的特征，因为在驾驶过程中，DDT的性能(部分或全部)不会在外部事件之间或之间持续。相反，这些主动安全系统在特定的驾驶安全危险场景中会暂时激活，然后很快再次断开，而在执行DDT时，这些系统的激活也不会改变驾驶员的角色。(参见上面的范围。)

最后，应该注意的是，防撞功能，包括干预型主动安全系统，可能包括在任何水平上配备驾驶自动化系统的车辆。对于装备了ADS的车辆(如3-5级)，执行完整的DDT，碰撞躲避能力是ADS功能的一部分。

9. NOTES  说明

9.1 Revision Indicator  修订指示器

A change bar (l) located in the left margin is for the convenience of the user in locating areas where technical revisions, not editorial changes, have been made to the previous issue of this document. An (R) symbol to the left of the document title indicates a complete revision of the document, including technical revisions. Change bars and (R) are not used in original publications, nor in documents that contain editorial changes only. 位于文档左边的变更栏(l)是为了方便用户定位对前一期文档做过技术修改而非编辑性修改的地方。文件标题左侧的(R)符号表示文件的完整修订，包括技术修订。更改栏和(R)不用于原始出版物，也不用于仅包含编辑更改的文档。

PREPARED BY THE SAE ON-ROAD AUTOMATED VEHICLE STANDARDS COMMITTEE

由SAE道路自动驾驶汽车标准委员会编写