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| 本文作者： 苏珊珊 | 2021-05-19 14:40 |
目前，国际上公认的主要有两大自动驾驶分级标准，分别由美国高速公路安全管理局（NHTSA）和国际自动机工程师学会（SAE）于2013年、2014年首次提出。
值得注意的是，SAE的自动驾驶分级标准（即SAE J3016） 已经于2016年得到了美国交通运输部DOT（NHTSA为其下属部门）的正式认可——DOT出台的指导性文件《联邦自动车辆政策（Federal automatic Vehicles Policy）》提到，制造商有责任“根据SAE International公布的定义确定其系统的AV（自动驾驶车辆）级别”。
现在，SAE所定义的自动驾驶分级已经成了业内最通用的参照标准，许多国家的自动驾驶分级均参考自SAE J3016。
我国工信部于去年宣布完成的《汽车驾驶自动化分级》推荐性国家标准，即与SAE的分级类似，同样基于DDT、ODD等条件的不同，将驾驶自动化的程度分为L0-L5级。
自2014年首次公布，SAE J3016与时俱进，截至目前，已经分别于2016年、2018年、2021年发布了三次更新。
上月底，SAE联合ISO合作发布了最新版本的分级标准。
最新版本的SAE J3016新增多个术语，并对原来一些容易产生误解的概念做了进一步的改进和澄清，同时也对一些术语进行了更具逻辑性的分组归类。
根据SAE官方的说法，此次改动主要包括以下7处：
1、进一步明确了SAE L3和SAE L4之间的区别，包括预备接管的用户角色、SAE L3级自动驾驶自动fallback的可能性、SAE L4级自动驾驶向车内用户发出警报的可能性；
2、针对两种不同的远程支持功能，新增了附加术语和定义——远程协助和远程驾驶。与此同时，执行这些不同功能的用户被划分为：远程协助员和远程驾驶员；
3、SAE L1和L2级驾驶自动化系统已被命名为“驾驶员支持系统（Driver Support Systems）”，与SAE L3-L5级所用术语“自动驾驶系统（Automated Driving Systems）”相对应；
4、详细阐述了持续性驾驶自动化（sustained driving automation）的分类，是如何与更广义的辅助驾驶和主动安全功能相匹配的；
5、给出了“不将警示和瞬时驾驶干预系统纳入自动驾驶分级”的理由；
6、车辆类型被划分为常规车辆（Conventional Vehicle）、双模车辆（Dual-mode Vehicle）和ADS专用车辆（ADS-dedicated Vehicle），并给出了相应的定义；
7、定义并详细阐述了故障缓解策略（failure mitigation strategy）的概念。
不过，通过与2018年版本的原文档进行对比，新智驾发现：2021年的更新远不止以上这些，所做的改动多达11168处，其中比较重要的改动主要集中在第3章DEFINITION（定义）。
为此，新智驾从中提炼出了二十处左右的重大改动，并列于下文，与诸君共享。
注：新智驾公众号对话框回复“SAE更新”即可下载2018及2021年的完整版SAE J3016。
1、章节3.21 OPERATIONAL DESIGN DOMAIN (ODD)，相比原来增加了NOTE 1、EXAMPLE 1 和 EXAMPLE 5。
NOTE 1: While Level 3 and 4 ADS features/vehicles are designed to operate exclusively within their respective ODDs, some ODD conditions are subject to rapid change during on-road operation (e.g., inclement weather, obscured lane lines). Such transient changes in the operating environment do not necessarily represent an “ODD exit,” as the ADS determines when such a change in conditions requires fallback performance (whether by the fallback- ready user or ADS).
虽然L3和L4级ADS功能/车辆的设计只适用于在各自的ODDs范围内运行，但在道路运行过程中，一些ODD情况会迅速变化（例如，恶劣的天气、模糊的车道线）。操作环境中的这种瞬变变化不一定代表“退出ODD”，因为ADS决定了在这些变化中何时才需要执行fallback（无论是由预备接管用户执行，还是由ADS执行）。
EXAMPLE 1: A Level 1 ACC driver support feature is designed to provide longitudinal vehicle motion control support to the driver on fully access-controlled freeways under fair weather conditions.
L1级ACC（自适应巡航技术）驾驶员支持功能，设计用于在晴朗的天气条件下，为驾驶员在受控通道高速公路上提供纵向的车辆运动控制的支持。
EXAMPLE 5: A level 3 ADS highway feature with an ODD requirement of clearly visible lane lines encounters a short stretch of roadway with obscured lane lines. The ADS feature is able to compensate for brief periods of faded or missing lane markings through other means (e.g., sensor fusion, digital map, lead vehicle following) and continues to operate the vehicle for a brief period before the lane lines again become clearly visible. A short while later, the lane lines again become obscured and remain so for longer duration, causing the ADS feature to issue a request to intervene to the fallback-ready user.
当一项ODD要求有清晰可见的车道线的L3级ADS高速公路功能，遇上了一小段车道线模糊的道路，ADS功能能够通过其他手段（如传感器融合、数字地图、前车跟踪）对短时间内褪色或丢失的车道标记进行补偿，并在车道线再次清晰可见之前继续操作车辆一小段时间。之后，如果车道线再次变得模糊，并持续较长时间的话，就会导致ADS功能向预备接管用户发出干预请求。
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2、章节3.25 REQUEST TO INTERVENE （干预请求），将该术语所描述的范围限定在了L3级自动驾驶，同时补充了大段注解。
具体来看，即释义部分从原来的：
Notification by an ADS to a fallback-ready user indicating that……
由自动驾驶系统发送给预备接管用户的通知，意味着……
变成了：
An alert provided by a Level 3 ADS to a fallback-ready user indicating that……
由L3级自动驾驶系统向预备接管用户发出的警报，意味着……
新增NOTE：
As previously noted in this document, it may be possible for a passenger in a Level 4 or 5 ADS-operated vehicle to also resume manual operation of the vehicle under certain conditions, provided that the vehicle and feature are designed for this (e.g., a dual-mode vehicle or a conventional vehicle with a Level 4 sub-trip feature). However, even when alerted by the ADS to take over vehicle operation, a passenger of such a vehicle is not required to do so to ensure competent operation, as Level 4 and 5 ADS features/vehicles are capable of automatically achieving a minimal risk condition when necessary. Thus, such an alert to a passenger of a Level 4 or 5 ADS-operated vehicle is not a “request to intervene” as defined herein for Level 3 ADS-equipped vehicles.
如文档前面所述，由L4或L5级ADS操作的车辆中的乘客，也可以在某些特定条件下，恢复的车辆的人工操作，前提是车辆和功能是为此而设计的（如，双模汽车或有着L4级sub-trip功能的常规车辆）。不过，即使被ADS提醒接管车辆，该车辆的乘客也不需要这样做以确保合格的操作，因为L4和L5级ADS功能/车辆能够在必要时自动实现风险最小化。因此，对于由L4或L5级ADS操作的车辆的乘客而言，这样的警报并不是搭载L3级自动驾驶系统的车辆中所定义的“干预请求”。
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3、章节3.30 USAGE SPECIFICATION （使用规范），新增EXAMPLE 1 ：
A Level 2 feature provides lateral and longitudinal vehicle motion control support to the driver on fully access-controlled freeways.
L2级功能，为司机在封闭的高速公路上，提供横向和纵向的车辆运动控制支持。
EXAMPLE 3则在原来的基础上增加了一些细节，由原来的：
Level 4 driving automation in designated urban centers.
在指定的市中心使用的L4级自动化驾驶。
变成：
A Level 4 ADS-DV operates at low speeds in designated urban centers.
在指定的市中心进行低速行驶的L4级自动驾驶专用车辆。
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4、章节3.31 [HUMAN] USER（指在自动驾驶中的人类角色），从原来的4个（1 – driver, 2 – passenger, 3 – DDT fallback-ready user, and 4 – driverless operation dispatcher）变成了5个（1 - driver, 2 - passenger, 3 - DDT fallback-ready user, 4 - driverless operation dispatcher, and 5 - remote assistant），新增的一项为“远程协作员”。
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该章节对以上人类角色术语一一进行了解释和举例，并进行了部分调整，具体有以下几点：
1）3.31.1 [HUMAN] DRIVER，NOTE的内容由原来的：
In a vehicle equipped with a driving automation system, a driver may assume or resume performance of part or all of the DDT from the driving automation system during a given trip.
在装有驾驶自动化系统的车辆中，驾驶员可以在给定的行程中承担或恢复执行部分或全部的自动驾驶系统DDT。
变成：
This definition of ‘driver’ does not include a robotic test device designed to exercise steering, braking, and acceleration during certain dynamic test maneuvers.
“驾驶员”的定义不包括设计用于在某些动态测试工况中练习转向、刹车和加速的机器人测试装置。
此外，3.31.1章节下面所列的细分术语，也从原来的[CONVENTIONAL] DRIVER （传统驾驶员）和 REMOTE DRIVER（远程驾驶员），更新为 IN-VEHICLE DRIVER （车舱内驾驶员 ）和 REMOTE DRIVER（远程驾驶员）。
从释义上看， IN-VEHICLE DRIVER （车舱内驾驶员 ）和原来的[CONVENTIONAL] DRIVER （传统驾驶员）并无不同，均指：可以车内手动操作制动、加速、转向和变速器齿轮选择输入装置以操作车辆的驾驶员。
只不过， IN-VEHICLE DRIVER在原来的基础上新增了NOTE 2、NOTE 3。
NOTE 2: “Conventional driver” is an acceptable synonym for in-vehicle driver.
“Conventional driver”可以被接受为in-vehicle driver的同义词。
NOTE 3: In a conventional or dual-mode vehicle equipped with a driving automation system, an in-vehicle driver, who may be a passenger or a fallback-ready user during ADS engagement, may assume or resume performance of part or all of the DDT from the driving automation system during a given trip.
在配备了驾驶自动化系统的常规或双模车辆中，车内驾驶员(可能是乘客，也可能是ADS启用时的预备接管用户)可以在给定的行程中执行或恢复执行驾驶自动化系统的部分或全部DDT。
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2）3.31.3 [DDT] FALLBACK-READY USER章节中，进一步细分出了两个子术语 IN-VEHICLE FALLBACK-READY USER（车内预备接管用户）和 REMOTE FALLBACK-READY USER（远程预备接管用户），此处详见新增术语部分。
与此同时，[DDT] FALLBACK-READY USER这一术语删掉了EXAMPLE，但相似的情景描述被用作新增子术语的举例。
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3）3.31.4 DRIVERLESS OPERATION DISPATCHER（无人驾驶操作调度员），新增NOTE：
NOTE: A dispacher(s) may also perform other fleet operations functions.
调度员也可以执行其他的车队运营功能。
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4）3.31.5 REMOTE ASSISTANT 为新增术语，详见新增术语部分。
5、2018版被分别列为独立章节的CONVENTIONAL VEHICLE、 [ADS-EQUIPPED] DUAL-MODE VEHICLE、ADS-DEDICATED VEHICLE (ADS-DV) 被归类至章节3.32 [MOTOR] VEHICLE 处，做了更具逻辑性的分组，即车辆被明确划分为了常规车辆、双模车辆和ADS专用车辆三种类型。
其中，[ADS-EQUIPPED] DUAL-MODE VEHICLE、ADS-DEDICATED VEHICLE (ADS-DV) 的具体内容有所调整：
1）3.32.2 [ADS-EQUIPPED] DUAL-MODE VEHICLE（【配备自动驾驶系统】双模车辆），为了配合文档其他地方的术语调整进行了部分改动，并新增 NOTE 3 。
具体来看，2021版尤其强调了双模车辆必须是在给定ODD内的常规操作工况下进行无人操作，以及双模车辆在进行无人操作时，驾驶员也可以坐在驾驶位上。
2021版：
An ADS-equipped vehicle designed to enable either driverless operation under routine/normal operating conditions within its given ODD (if any), or operation by an in-vehicle driver, for complete trips.
一种搭载了ADS的车辆，可以在给定ODD（如果有的话）的常规/正常操作条件下进行无人驾驶操作，也可以由车内驾驶员进行操作，从而完成整个行程。
NOTE 1: When operated by the ADS, dual-mode vehicles enable driverless operation, although a human driver could also be present in the driver's seat.
由ADS操作时，双模车辆可以实现无人驾驶操作，与此同时驾驶员也可以坐在驾驶座上。
NOTE 2: An ADS sub-trip feature that is usable during only part of a trip, such as a feature designed to perform the complete DDT during traffic jams on freeways, would not be sufficient to classify its host vehicle as a dual-mode vehicle because it would not be capable of driverless operation for a complete trip.
一项只可在部分行程中使用的自动驾驶系统sub-trip功能（如，可以在高速公路发生交通堵塞时执行全部DDT的功能），不足以将车辆归类为双模车辆，因为它不能在行驶全程进行无人驾驶操作。
NOTE 3: A vehicle equipped with a Level 5 feature in which at any time the driver can choose to engage the feature, or can choose to operate the vehicle manually, would be classified as a dual-mode vehicle.
当一辆具备L5级自动驾驶功能的汽车的驾驶员，可以在任何时候选择启用自动驾驶功能，或选择人工操作车辆时，那么这辆车就可以被归类为双模车辆。
2018版：
A type of ADS-equipped vehicle designed for both driverless operation and operation by a conventional driver for complete trips.
一种配备ADS的车辆，既可用于无人驾驶操作，也可由传统驾驶员操作完成整个行程。
NOTE 1: An ADS-equipped dual-mode vehicle may be designed such that it can be dispatched in driverless operation.
一辆装备ADS的双模车辆，可以被设计用于无人驾驶操作。
NOTE 2: An ADS feature that is usable during only part of a trip, such as a feature designed to perform the complete DDT during traffic jams on freeways, would not be sufficient to classify its host vehicle as a dual-mode vehicle because it would not be capable of driverless operation for a complete trip.
一项只可在部分行程中使用的ADS功能，（如，可以在高速公路发生交通堵塞时执行全部DDT的功能），不足以将车辆归类为双模车辆，因为它不能在行驶全程进行无人驾驶操作。
2）3.32.3 ADS-DEDICATED VEHICLE (ADS-DV)（自动驾驶系统专用车辆）的释义由原来的：
A vehicle designed to be operated exclusively by a level 4 or level 5 ADS for all trips within its given ODD limitations (if any)
在给定的ODD限制内（如果有的话），全部行程都由L4或L5级ADS进行专门的操作的车辆。
调整为：
An ADS-equipped vehicle designed for driverless operation under routine/normal operating conditions during all trips within its given ODD (if any)
一种搭载了ADS的车辆，可以在给定的ODD内（如果有的话），实现常规/正常运行条件下的全程的无人驾驶操作。
即2018版定义的 ADS-DV 专指设计用于L4、L5级自动驾驶的车辆，而最新版则指出只要是搭载了ADS系统（L3-L5）的车辆即为ADS-DV。
基于这一改动，2018版本中，将ADS-DV 定义为无人驾驶车辆的NOTE 2 不再成立，故被删去。
这一定义范围的变动，早在2018版的NOTE 1中就已有迹可循：
After considerable debate, the restriction of ADS-DV to driving automation levels 4 and 5, only, remains unchanged in this version of J3016. Further discussion of possibly including level 3 with a remote fallbackready user into this definition will be addressed in the next revision of J3016 which will be done jointly with ISO.
经过多方争论，ADS-DV对L4和L5的驾驶自动化级别的限制在此次版本中保持不变。关于可能将带有远程预备接管用户的L3纳入此定义的进一步讨论将在J3016的下一个修订版中进行，该修订版将与ISO共同完成。
2021版本的NOTE 1 同样对此次改动作出了说明：
In contrast to previous versions of this document, which specified that an ADS-DV was limited to Levels 4 and 5, this revised definition of an ADS-DV also allows for the possibility of a Level 3 ADS-DV if the remote fallback-ready user can be receptive to both ADS-issued requests to intervene and to evident DDT performance-relevant system failures in the vehicle. Once either of these conditions occurs, the remote fallback-ready user begins to perform the DDT fallback in (virtually) real time using wireless means. (See also 3.24 and 3.22.)
与本文档之前的版本不同，之前的版本规定ADS-DV只能限制在L4和L5级，这一次修订后的ADS-DV定义则考虑了L3级ADS-DV的可能性，前提是远程预备接管用户既能接受ADS发出的干预请求，也能对车辆发生的与DDT操作相关的系统故障作出响应。一旦这些情况发生，远程预备接管用户就要开始通过无线的方式，（几近）实时地执行DDT fallback。
2021版的NOTE 2，则在原来NOTE 3 的基础上进行了修改：
更新版本：
An ADS-DV might be designed without user interfaces designed to be operable by an in-vehicle driver, such as braking, accelerating, steering, and transmission gear selection input devices, or it might be designed so that these devices are inoperative under routine/normal operating conditions.
ADS-DV的车内可能会没有为车内驾驶员设计的可操作的用户界面，如制动、加速、转向和变速器齿轮选择输入装置，也可能会被设计成这些设备在常规/正常操作条件下不起作用。
2018版本：
An ADS-DV might be designed without user interfaces designed to be operable by a conventional human driver, such as braking, accelerating, steering, and transmission gear selection input devices.
ADS-DV的车内可能会没有为传统人类驾驶员设计的可操作的用户界面，如制动、加速、转向和变速器齿轮选择输入装置。
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6、第4章 TAXONOMY OF DRIVING AUTOMATION（驾驶自动化的分类），其中的表格1和表格3较之前有所调整。
1）Table 1 - Summary of levels of driving automation（驾驶自动化级别总结），将L1-L2级自动驾驶，进一步明确归类为 Driver Support （驾驶员支持），L3-L5级别的自动驾驶功能则被归类为Automated Driving （自动驾驶）。
值得注意的是，2018版的文件中已经初步定义了 Driver Support 所指代的即为L1、L2级别自动驾驶功能，而此次更新的版本不仅在提及L1、L2级自动驾驶时多次使用了这一描述（2018版仅在定义该术语时提及），还在总结表格中进一步明确了其与指代L3-L5级自动驾驶的Automated Driving的对应关系。
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2）Table 3 - User roles while a driving automation system is engaged （驾驶自动化系统中的用户角色），L4、L5的Remote User（远程用户）在原来的 Driverless operation dispatcher（无人驾驶操作调度程序）的基础上增加了一个新角色：remote assistant（远程协助员），与前文的调整相对应。
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7、第5章 LEVELS OR CATEGORIES OF DRIVING AUTOMATION（自动驾驶的级别或分类），详述了各级别自动驾驶具体所指的内容，其中L1、L3、L4、L5各级的内容都有所调整，进一步厘清了自动驾驶的功能分级。
1）章节5.2 Level or Category 1 - Driver Assistance（L1级，驾驶员辅助），新增NOTE 2、NOTE 3，进一步诠释了现在常用的两个名词 driver assistance、ADAS所指代的具体功能和情况，同时还指出在某些技术文件中ADAS一词的使用范围过于宽泛。
NOTE 2: The term “driver assistance” as a modifier is also commonly used to describe automotive features that are not considered to be driving automation system features, because they do not provide sustained performance of part or all of the DDT.
作为修饰语的“驾驶员辅助”一词通常也用于描述不被认为是驾驶自动化系统功能的汽车功能，因为它们不能持续执行部分或全部的DDT。
NOTE 3: The term “Advanced Driver Assistance Systems” (ADAS) is commonly used to describe a broad range of features, including those that provide warnings and/or momentary intervention, such as forward collision warning (FCW) systems, lane keeping assistance (LKA) systems, and automatic emergency braking (AEB) systems, as well as some convenience features that involve Level 1 driver support features, such as ACC and certain parking assistance features. As such, the term ADAS is too broad and imprecise for use in a technical definitions document.
“高级驾驶员辅助系统”(ADAS)一词通常用于描述一系列功能，包括提供预警和/或瞬时干预的功能，如前向碰撞预警(FCW)系统、车道保持辅助(LKA)系统和自动紧急制动(AEB)系统，以及一些涉及L1驾驶员支持功能的便利功能，如ACC和某些泊车辅助功能。因此，ADAS一词在技术定义文件中使用过于宽泛和不精确。
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2）章节5.4 Level or Category 3 - Conditional Driving Automation （L3，有条件的驾驶自动化），新增NOTE 1、NOTE 6。
NOTE 1: Unlike Level 1 and 2 driver support features, all Level 3 and 4 ADS features are designed to monitor and enforce their ODD limitations while engaged, and to prevent engagement or operation outside of their prescribed ODD.
与Level 1和Level 2的驾驶员支持功能不同，所有Level 3和Level 4自动驾驶功能的设计目的，都是为了可以在系统运转时监视和强制执行其ODD限制，并防止使用或操作超出其规定的ODD。
NOTE 6: Although automated DDT fallback performance is not expected of Level 3 ADS features, a Level 3 feature may be capable of performing the DDT fallback and achieving a minimal risk condition under certain, limited conditions.
虽然自动化的DDT fallback 操作不属于L3级ADS功能，但L3级自动驾驶功能可能能够执行DDT fallback，并在某些有限条件下实现风险最小化。
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3）章节 5.5 Level or Category 4 - High Driving Automation（L4，高度驾驶自动化），其中释义、
NOTE 2均有更新，且调整部分均与用户对于干预请求的响应相关。
其中释义部分，由原来的：
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 .
在不期望用户响应干预请求的情况下，由包含所有DDT和DDT fallback的ADS执行的持续和特定ODD的操作。
更新为：
The sustained and ODD-specific performance by an ADS of the entire DDT and DDT fallback .
由包含所有DDT和DDT fallback的ADS执行的持续和特定ODD的操作。
另外，NOTE 2 补充了部分新内容，即下文加粗部分：
……Unlike at Level 3, the Level 4 feature user is not a DDT fallback-ready user while the ADS is engaged (see Example 2 below), and thus is not expected to respond to a request to intervene in order to perform the fallback. Nevertheless, in the case that a Level 4 sub-trip feature reaches its ODD limit, the ADS may issue an alert to the passenger that s/he should resume driving in order to complete their trip. (Note that in this latter case, the alert in question is not a request to intervene, because it does not signal the need for fallback performance.)
（……和 L3 不同的是，在启用自动驾驶系统时，L4级自动驾驶的用户角色并不是DDT 预备接管用户，因此，该用户不需要响应干预请求，对车辆进行接管。不过，在L4级的sub-trip功能触及ODD边界的情况下，自动驾驶系统可能会向乘客发出警报，要求她/他恢复驾驶以完成行程。（要注意的是，在后者的情况下，问题警报并不是一种干预请求，因为它并不意味着需要进行接管。）
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4）章节 5.6 Level or Category 5 - Full Driving Automation（L5，完全驾驶自动化），同样在释义部分删掉了“without any expectation that a user will respond to a request to intervene（不指望用户响应干预请求）”。
由原来的：
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.
在不期望用户响应干预请求的情况下，由包含所有DDT和DDT fallback的ADS执行的持续和无条件的（即，不是ODD特定的）操作。
调整为：
The sustained and unconditional (i.e., not ODD-specific) performance by an ADS of the entire DDT and DDT fallback.
由包含所有DDT和DDT fallback的ADS执行的持续和无条件的（即，非特定ODD）操作。
与此同时，NOTE 1也修改并增加了部分内容，更加强调了L5级自动驾驶不仅可以处理人类驾驶员可以应对的道路状况，也可以处理世界上其他的所有路面状况。
具体调整如加粗部分所示：
2018版：
“Unconditional/not ODD-specific” means that the ADS can operate the vehicle under all driver-manageable road conditions within its region of the world.
“无条件/非特定ODD”意味着ADS可以在其所在世界范围内的所有驾驶员可控的道路条件下操作车辆。
2021版：
“Unconditional/not ODD-specific” means that the ADS can operate the vehicle on-road anywhere within its region of the world and under all road conditions in which a conventional vehicle can be reasonably operated by a typically skilled human driver.
“无条件/非特定ODD”意味着ADS可以在其所在世界范围内的任何道路上，以及在所有常规车辆能够被老练的驾驶员合理操作的道路条件下，对车辆进行操作。
最后，NOTE 3 关于干预请求的部分也有所删改。
由原来的：
The user does not need to supervise a level 5 ADS, nor be receptive to a request to intervene while it is engaged.
用户既不需要监管L5级自动驾驶，也不需要在系统启用时接受干预请求。
删减为：
The user does not need to supervise a Level 5 ADS.
用户不需要监管L5级自动驾驶。
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8、章节8.6 DDT Fallback versus Failure Mitigation Strategy（动态驾驶任务接管 VS 故障缓解策略）略有删改，主要是将L2级自动驾驶排除在该章节所描述的范围外。
改动和删减的地方如下文加粗部分所示。
2018版：
Vehicles equipped with level 2 and level 3 driving automation features may have an additional failure mitigation strategy designed to bring the vehicle to a controlled stop wherever the vehicle happens to be, if the driver fails to supervise the feature’s performance (level 2), or if the fallback-ready user fails to perform the fallback when prompted (level 3). For example, if the fallback-ready user of a level 3 traffic jam feature fails to respond to a request to intervene after traffic clears (an out-of-ODD condition), the vehicle may have a failure mitigation strategy designed to bring the vehicle to a controlled stop in its present lane of travel and turn on the hazard lamps. Figure 12 displays a sample use case sequence.
如果驾驶员无法监管自动驾驶功能的操作（L2），或者如果预备接管用户没能在提示时执行fallback（L3），搭载了L2或L3级驾驶自动化功能的车辆就可能会采取一种额外的故障缓解策略，让车辆在任何地方都能被控制停止。例如，如果在交通恢复通畅（一种ODD之外的情境）后，用于应对交通阻塞的L3级自动驾驶功能中的预备接管用户没能响应干预请求，那么车辆就会采取故障缓解策略，控制车辆在当前行驶车道上停下，并打开危险提示灯。图12显示了一个示例用例序列。
2021版：
ADS-equipped vehicles may have an additional failure mitigation strategy designed to bring the vehicle to a controlled stop wherever the vehicle happens to be. For example, if the in-vehicle fallback-ready user of a Level 3 sub-trip traffic jam feature fails to respond to a request to intervene after traffic clears (an out-of-ODD condition), the vehicle may have a failure mitigation strategy designed to bring the vehicle to a controlled stop in its present lane of travel and turn on the hazard lamps. Figure 13 displays a sample use case sequence.
搭载了ADS的车辆可能会有一种额外的故障缓解策略，可以让车辆在任何地方都能被控制停止。例如，如果L3级的 sub-trip交通堵塞功能中的车内预备接管用户，没能在交通恢复通畅（一种ODD之外的情境）后响应干预请求，那么车辆可能就会采取故障缓解策略，控制车辆在当前行驶车道上停下，并打开危险提示灯。图13显示了一个示例用例序列。
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9、新增章节： 8.13 Placing this Document in the Broader Context of Driver Assistance, Driving Automation, and Active Safety Features（将本文档置于驾驶员辅助、自动驾驶和主动安全功能更广泛的背景下）。
In the broadest view of driver assistance and driving automation, various features can be categorized according to three overarching operational concepts (referred to as “Principles of Operation”) described in the technical paper, “The Principles of Operation Framework: A Comprehensive Classification Concept for Automated Driving Functions.” Features that provide status information (e.g., state of electric propulsion system charge, oil pressure, weather conditions, etc.), or that alert drivers to actual or potential hazards (e.g., lane departure or blind spot warnings) fall under Principle of Operation A (status alerts and warnings). Features that provide sustained automation of part or all of the DDT fall under Principle of Operation B (Sustained driving automation). And features that provide momentary, intermittent vehicle motion control action (not sustained—e.g., automatic emergency braking) fall under Principle of Operation C (crash avoidance intervention). A given vehicle may be equipped with several features that operate according to different Principles of Operation.
从驾驶员辅助和驾驶自动化的最广泛的角度来看，各种功能都可以根据技术文档《操作框架的原则：自动驾驶功能的综合分类概念》中描述的三个总体操作概念（称为：操作原则）进行分类。提供状态信息（例如，电力推进系统的充电状态、油压、天气状况等）或提醒司机实际或潜在危险（例如，车道偏离或盲点警告）的功能属于操作原则A（状态警报和警告）。提供部分或全部DDT的持续自动化的功能属于操作原则B（持续驾驶自动化）。提供短暂的、间歇性的车辆运动控制动作（非持续的——例如，自动紧急制动）的功能属于操作原则C（避免碰撞干预）。一辆给定的车辆可能会配备若干功能，且这些功能会按照不同的操作原则进行操作。
This document provides a taxonomy for driving automation system features that fall under Principle of Operation B according to the aforementioned categories. Driving automation system features perform part or all of the DDT on a sustained basis and, as such, fundamentally alter or eliminate the role of the driver in operating the vehicle. Features that fall into Principles of Operation A or C are not classifiable under the taxonomy described in this document, either because they do not directly affect vehicle motion control (A), or because they do not provide sustained performance of part or all of the DDT (C). It should be noted, however, that an individual feature may incorporate the functionality according to more than one Principle of Operation, such as a crash avoidance feature (C) that provides a warning to the driver (A) when it is engaged. Similarly, the crash avoidance capabilities otherwise provided by features that fall under Principle of Operation C on vehicles operated by human drivers are nevertheless performed as part of the sustained driving automation (B) provided by ADS-operated vehicles. For example, automatic emergency braking (AEB), which automatically brakes the vehicle to avoid a collision with a vehicle/object in its forward path, is not a standalone feature on an ADS-DV. However, emergency braking in response to the actions of other road users and to objects and events in traffic is included in the ADS’s overall driving automation capabilities.
本文档根据上述分类，进行了归属于操作原则B的驾驶自动化系统功能的分类。驾驶自动化系统的功能是持续地执行部分或全部DDT，因而，从根本上改变或消除了驾驶员在驾驶车辆中的作用。属于操作原则A或C的功能，在本文档的描述中没有被分类，因为他们既不直接影响车辆运动控制（A）,也不执行持续的部分或全部DDT（C）。不过，值得注意的是，一个单独的功能也可以根据多个操作原则合并功能，如对司机进行警报提示（A）的避免碰撞功能（C）。类似地，人类所驾驶的车辆上的避免碰撞能力，虽然属于操作原则C，但也可以表现为由ADS操作车辆提供的持续性驾驶自动化（B）的部分。例如，自动紧急制动（AEB）可以自动刹车以避免与前进道路上的车辆/物体发生碰撞，但这并不是ADS-DV的独立功能。不过，为了避开其他道路使用者的行动以及交通物体、事件的紧急刹车，是包含在ADS整体的驾驶自动化能力中的。
此次更新版本共新增11个术语，具体如下：
3.7.1 MANEUVER-BASED FEATURE
A driving automation system feature equipped on a conventional vehicle that either:
一种安装在常规车辆上的驾驶自动化系统功能，要么：
1.Supports the driver by executing a limited set of lateral and/or longitudinal vehicle motion control actions sufficient to fulfil a specific, narrowly defined use case (e.g., parking maneuver), while the driver performs the rest of the DDT and supervises the Level 1 or Level 2 feature’s performance (i.e., Level 1 or Level 2 driver support features);
通过执行一组有限的横向和/或纵向的车辆运动控制动作来满足特定的、狭义的用例（如，停车机动），以支持驾驶员执行其余的DDT（动态驾驶任务），并对L1或L2级自动驾驶功能的操作进行监管（即L1或L2的驾驶员支持功能）；
or
2. Executes a limited set of lateral and longitudinal vehicle motion control actions, as well as associated object and event detection and response (OEDR) and all other elements of the complete DDT in order to fulfil a specific, narrowly defined use case without human supervision (Level 3 or 4 ADS features).
要么，在没有人类监管的情况下，执行一组有限的横向和纵向的车辆运动控制动作，以及相关的OEDR（目标和事件探测与响应）和其余所有的DDT，以完成一项特定的、狭义的用例（L3或L4级自动驾驶功能）。
EXAMPLE 1: A Level 1 parking assistance feature automatically performs the lateral vehicle motion control actions necessary to parallel park a vehicle, while the driver performs the longitudinal vehicle motion control actions and supervises the feature.
EXAMPLE 2: A Level 2 parking assistance feature automatically performs the lateral and longitudinal vehicle motion control actions necessary to parallel park a vehicle under the supervision of the driver.
EXAMPLE 3: A Level 3 highway overtaking assistance feature automatically performs the lateral and longitudinal vehicle motion control actions, as well as associated OEDR, necessary to pass a slower-moving vehicle on a multi-lane highway when activated by the driver or fallback-ready user.
3.7.2 SUB-TRIP FEATURE （sub-trip 功能）
A driving automation system feature equipped on a conventional vehicle that requires a human driver to perform the complete DDT for at least part of every trip.
一种搭载在传统车辆上的驾驶自动化系统功能，要求人类驾驶员在每次行驶过程中的至少部分时间内，实现全部的DDT操作。
NOTE: Sub-trip features require a human driver to operate the vehicle between the point-of-origin and the boundary of the feature’s ODD and/or after leaving the feature’s ODD until the destination is reached (i.e., trip completion).
EXAMPLE 1: A Level 1 adaptive cruise control (ACC) feature performs longitudinal vehicle motion control functions to support the driver in maintaining consistent headway to a lead vehicle in its lane when travelling at higher speeds.
EXAMPLE 2: A Level 2 highway feature performs lateral and longitudinal vehicle motion control functions to support the driver in maintaining position within its lane of travel, as well as consistent headway to a lead vehicle in its lane when travelling at higher speeds.
EXAMPLE 3: A Level 3 traffic jam feature performs the complete DDT on a fully access-controlled freeway in dense traffic, but requires a human driver to operate the vehicle upon ODD exit (e.g., when traffic clears, as well as before entering the congested freeway, and again upon exiting it).
EXAMPLE 4: During a given vehicle trip, a user with a Level 4 automated parking feature dispatches the vehicle in driverless operation for the purpose of finding a parking space in a nearby designated parking facility. Following a period of shopping, the user retrieves the vehicle via dispatch in order to begin his/her trip home.
3.7.3 FULL-TRIP FEATURE （full-trip 功能）
ADS features that operate a vehicle throughout complete trips.
可以在整个行驶过程中操作车辆的自动驾驶功能。
EXAMPLE 1: A Level 4 ADS-DV is dispatched in driverless operation for purposes of providing ride-hailing services to customers located within its geo-fenced area of operation.
EXAMPLE 2: A Level 5 dual-mode vehicle is dispatched in driverless operation by its owner to go to a designated airport, pick up several family members, and bring them home. All vehicle occupants remain passengers throughout the return trip.
3.11 FAILURE MITIGATION STRATEGY（故障缓解策略）
A vehicle function (not an ADS function) designed to automatically bring an ADS-equipped vehicle to a controlled stop in path following either: (1) prolonged failure of the fallback-ready user of a Level 3 ADS feature to perform the fallback after the ADS has issued a request to intervene, or (2) occurrence of a system failure or external event so catastrophic that it incapacitates the ADS, which can no longer perform vehicle motion control in order to perform the fallback and achieve a minimal risk condition. (See 8.6.)
一种车辆功能（不是自动驾驶功能），设计用于使搭载了自动驾驶系统的车辆可以在以下路径中被控制停止：（1）L3级自动驾驶系统请求干预，但经过较长的时间后，预备接管用户没有执行接管；或（2）发生了灾难性的系统故障或外部事件，以致于自动驾驶系统无法通过控制车辆动作以执行fallback，达到最小风险状态。
NOTE: Some vehicles equipped with Level 2 driver support features may be designed to brake a vehicle to a full stop if the driver fails to indicate his/her continued supervision of feature performance during engagement. Although that is similar in function to a failure mitigation strategy as defined above, the term “failure mitigation strategy” is reserved for ADS features that do not require driver supervision.
3.13 FLEET OPERATIONS [FUNCTIONS] （车队运营）
The activities that support the management of a fleet of ADS-equipped vehicles in driverless operation, which may include, without limitation:
在无人驾驶操作中，支持自动驾驶车队管理的活动，包括但不限于：
• Ensuring operational readiness.
• Dispatching ADS-equipped vehicles in driverless operation (i.e., engaging the ADSs prior to placing the vehicles in service on public roads).
• Authorizing each trip (e.g., payment, trip route selection).
• Providing fleet asset management services to vehicles while in-use (e.g., managing emergencies, summoning or providing remote assistance as needed, responding to customer requests and break-downs).
• Serving as the responsible agent vis-a-vis law enforcement, emergency responders and other authorities for vehicles while in use.
• Disengaging the ADS at the end of service.
• Performing vehicle repair and maintenance as needed.
3.23 REMOTE ASSISTANCE（远程协助）
Event-driven provision, by a remotely located human (see 3.31.5), of information or advice to an ADS-equipped vehicle in driverless operation in order to facilitate trip continuation when the ADS encounters a situation it cannot manage.
在无人驾驶操作中，由远程人员为装有ADS（自动驾驶系统）的车辆提供事件驱动的信息或建议，以便在ADS遇到无法控制的情况时继续行驶。
NOTE 1: Remote assistance does not include real-time DDT or fallback performance by a remote driver. Rather, the ADS performs the complete DDT and/or fallback, even when assisted by a remotely located human.
NOTE 2: Remote assistance may include providing an ADS with revised goals and/or tasks.
NOTE 3: The remote assistance function does not include providing strategic instruction regarding selection of destinations or trip initiation timing (i.e., dispatch functions), even if the same person performs both remote assistance and dispatching functions.
EXAMPLE 1: A Level 4 ADS-DV encounters an unannounced area of road construction within its ODD. The ADS-DV communicates to a remotely located human that it is unable to proceed around the construction. The remotely located human provides a new pathway for the vehicle to follow around the construction zone that allows the ADS-DV to automatically proceed and complete its trip.
EXAMPLE 2: A Level 4 ADS-DV detects an object in its lane that appears to be too large to drive over and stops. A remote assistant uses the vehicle’s cameras to identify that the object is an empty bag that can be safely driven through/over, and provides the instruction to the ADS-DV to proceed.
3.24 REMOTE DRIVING （远程驾驶）
Real-time performance of part or all of the DDT and/or DDT fallback (including, real-time braking, steering, acceleration, and transmission shifting), by a remote driver.
部分或全部的DDT和/或DDT fallback（包括实时刹车、转向、加速和变速器换挡）的实时操作，都由远程驾驶员完成。
NOTE 1: A receptive remote fallback-ready user becomes a remote driver when s/he performs the fallback.
NOTE 2: The remote driver performs or completes the OEDR and has the authority to overrule the ADS for purposes of lateral and longitudinal vehicle motion control.
NOTE 3: Remote driving is not driving automation.
NOTE 4: Remote driving of a vehicle by a human is sometimes referred to as “teleoperation.” However, “teleoperation” is not defined consistently in the literature, and thus, to avoid confusion, is not used herein.
3.26 ROUTINE/NORMAL [ADS] OPERATION （自动驾驶系统常规操作）
Operation of a vehicle by an ADS within its prescribed ODD, if any, while no DDT performance-relevant system failure is occurring.
ADS在其规定的ODD（如果有的话）范围内操作车辆，且没有发生与DDT的操作相关的系统故障。
NOTE: Routine/normal ADS operation includes vehicle responses to objects and events that are safety- and time-critical, as well as vehicle responses to the same that are not safety- and time-critical.
3.31.3.1 IN-VEHICLE FALLBACK-READY USER （车内预备接管用户）
A fallback-ready user of a conventional vehicle with an engaged Level 3 ADS feature who is seated in the driver’s seat.
一位坐在车内驾驶员座位上的预备接管用户，且这辆车具备L3级的自动驾驶功能。
EXAMPLE: A Level 3 ADS sub-trip feature designed to perform the DDT in congested traffic on certain freeways encounters emergency responders who are rerouting traffic to the exit due to a serious crash; the ADS issues a request to intervene. The in-vehicle fallback-ready user becomes a driver and performs the fallback by manually operating the vehicle.
3.31.3.2 REMOTE FALLBACK-READY USER （远程预备接管用户）
A fallback-ready user of a Level 3 ADS-equipped vehicle in driverless operation who is not in the driver’s seat.
指在无人驾驶操作中，没有坐在车内驾驶员座位上的预备接管用户，且该车辆搭载了L3级自动驾驶系统。
EXAMPLE: A Level 3 ADS-DV encounters a crash scene for which emergency personnel are re-routing traffic; the ADS issues a request to intervene. The remote fallback-ready user becomes a remote driver and performs the fallback by remotely operating the vehicle.
3.31.5 REMOTE ASSISTANT （远程协助员）
A human(s) who provides remote assistance to an ADS-equipped vehicle in driverless operation.
在无人驾驶操作中，为自动驾驶车辆提供远程协助的人。
NOTE: A remote assistant(s) may also perform other fleet operations functions.
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