SAE自动驾驶分级原文.pdf

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1. SCOPE

2. REFERENCES

2.1 Applicable Documents

3. DEFINITIONS

3.1 ACTIVE SAFETY SYSTEM (SAE J3063:NOV2015)

3.2 AUTOMATED DRIVING SYSTEM (ADS)

3.3 ADS-DEDICATED VEHICLE (ADS-DV)

3.4 DRIVING AUTOMATION

3.5 DRIVING AUTOMATION SYSTEM or TECHNOLOGY

3.6 [DRIVING AUTOMATION SYSTEM] FEATURE or APPLICATION

3.7 DRIVING MODE

3.8 DYNAMIC DRIVING TASK (DDT)

Figure 1 - Schematic view of driving task showing DDT portion

3.9 [DYNAMIC DRIVING TASK (DDT)] FALLBACK

Figure 2 - Use case sequence at Level 3 showing ADS engaged, a vehicle failure and the user resuming control

Figure 3 - Use case sequence at Level 3 showing ADS engaged, and ADS failure and the user resuming control

Figure 4 - Use case sequence at Level 3 showing ADS engaged, exiting the ODD and the user resuming control

Figure 5 - Use case sequence at Level 4 showing ADS engaged, an ADS failure and the system achieving a minimal risk condition

Figure 6 - Use case sequence at Level 4 showing ADS engaged, approaching ODD exit and the system achieving a minimal risk condition

3.10 LATERAL VEHICLE MOTION CONTROL

3.11 LONGITUDINAL VEHICLE MOTION CONTROL

Figure 7 - Diagram showing vehicle axes of motion (SAE J670:JAN2008)

3.12 MINIMAL RISK CONDITION

3.13 (DDT PERFORMANCE-RELEVANT) SYSTEM FAILURE

3.14 MONITOR

3.14.1 MONITOR THE USER

3.14.2 MONITOR THE DRIVING ENVIRONMENT

3.14.3 MONITOR VEHICLE PERFORMANCE (FOR DDT PERFORMANCE-RELEVANT SYSTEM FAILURES)

3.14.4 MONITOR DRIVING AUTOMATION SYSTEM PERFORMANCE

3.15 OBJECT AND EVENT DETECTION AND RESPONSE (OEDR)

3.16 OPERATE [A MOTOR VEHICLE]

3.17 OPERATIONAL DESIGN DOMAIN (ODD)

3.18 RECEPTIVITY (OF THE USER)

3.19 REQUEST TO INTERVENE

3.20 SUPERVISE (DRIVING AUTOMATION SYSTEM PERFORMANCE)

3.21 SUSTAINED (OPERATION OF A VEHICLE)

3.22 TRIP

3.23 USAGE SPECIFICATION

3.24 (HUMAN) USER

3.24.1 DRIVER

3.24.1.1 (CONVENTIONAL) DRIVER

3.24.1.2 REMOTE DRIVER

3.24.2 PASSENGER

3.24.3 (DDT) FALLBACK-READY USER

3.24.4 (ADS-EQUIPPED VEHICLE) DISPATCHER

3.25 VEHICLE

4. TAXONOMY OF DRIVING AUTOMATION

Table 1 - Summary of levels of driving automation

Figure 8 - Simplified logic flow diagram for assigning driving automation level to a feature

Table 2 - Roles of human driver and driving automation system by level of driving automation

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

5. LEVELS or CATEGORIES OF DRIVING AUTOMATION

5.1 LEVEL or CATEGORY 0 - NO DRIVING AUTOMATION

5.2 LEVEL or CATEGORY 1 - DRIVER ASSISTANCE

5.3 LEVEL or CATEGORY 2 - PARTIAL DRIVING AUTOMATION

5.4 LEVEL or CATEGORY 3 - CONDITIONAL DRIVING AUTOMATION

5.5 LEVEL or CATEGORY 4 - HIGH DRIVING AUTOMATION

5.6 LEVEL [CATEGORY] 5 - FULL DRIVING AUTOMATION

6. SIGNIFICANCE OF OPERATIONAL DESIGN DOMAIN (ODD)

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

Figure 11 - ODD relative to levels

7. DEPRECATED TERMS

7.1 Autonomous, Self-Driving, Driverless, Unmanned, Robotic

7.1.1 Autonomous

7.1.2 Self-driving

7.1.3 Driverless and Unmanned

7.1.4 Robotic

7.2 Automated or Autonomous Vehicle

7.3 Control

8. ADDITIONAL DISCUSSION

8.1 Level are assigned, rather than measured

8.2 Levels are Mutually Exclusive

8.3 User request to perform the DDT when a level 3, 4 or 5 ADS is engaged

8.4 Driving vs. DDT

8.5 Comparison of J3016 driving automation levels with BASt and NHTSA levels

9. NOTES

9.1 Revision Indicator

Downloaded from SAE International by Lin Liu, Thursday, November 24, 2016 SURFACE VEHICLE RECOMMENDED PRACTICE J3016™ SEP2016 Issued Revised Superseding J3016 JAN2014 2014-01 2016-09 (R) Taxonomy and Definitions for Terms Related to Driving Automation Systems for On-Road Motor Vehicles RATIONALE This Recommended Practice provides a taxonomy describing the full range of levels of driving automation in on-road motor vehicles and includes functional definitions for advanced levels of driving automation and related terms and definitions. This Recommended Practice does not provide specifications, or otherwise impose requirements on, driving automation systems. Standardizing levels of driving automation and supporting terms serves several purposes, including: • Clarifying the role of the (human) driver, if any, during driving automation system engagement. • Answering questions of scope when it comes to developing laws, policies, regulations, and standards. • Providing a useful framework for driving automation specifications and technical requirements. • Providing clarity and stability in communications on the topic of driving automation, as well as a useful short-hand that saves considerable time and effort. This document has been developed according to the following guiding principles, namely, it should: • Be descriptive and informative rather than normative. • Provide functional definitions. • Be consistent with current industry practice. • Be consistent with prior art to the extent practicable. • Be useful across disciplines, including engineering, law, media, public discourse. • Be clear and cogent and, as such, it should avoid or define ambiguous terms. The current revision contains updates that reflect lessons learned from various stakeholder discussions, as well as from research projects conducted in Europe and the United States by the AdaptIVe Consortium and by the Crash Avoidance Metrics Partnership (CAMP) Automated Vehicle Research (AVR) Consortium, respectively. __________________________________________________________________________________________________________________________________________ SAE Technical Standards Board Rules provide that: “This report is published by SAE to advance the state of technical and engineering sciences. The use of this report is entirely voluntary, and its applicability and suitability for any particular use, including any patent infringement arising therefrom, is the sole responsibility of the user.” SAE reviews each technical report at least every five years at which time it may be revised, reaffirmed, stabilized, or cancelled. SAE invites your written comments and suggestions. Copyright © 2016 SAE International All rights reserved. No part of this publication may be reproduced, stored in a retrieval system or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior written permission of SAE. SAE hereby grants a limited, royalty free license to any interested person or entity to print or download from the SAE International website, and then store and display, a single copy of this publication in paper form or in electronic form on a website, computer, or e-room for reference, reading or review by any interested person or entity provided this notice appears on the publication and the publication cannot be, or is prohibited from being, removed, recorded, copied, downloaded, printed, or transmitted. TO PLACE A DOCUMENT ORDER: SAE WEB ADDRESS: Tel: 877-606-7323 (inside USA and Canada) Tel: +1 724-776-4970 (outside USA) Fax: 724-776-0790 Email: CustomerService@sae.org http://www.sae.org SAE values your input. To provide feedback on this Technical Report, please visit http://standards.sae.org/J3016_201609

Downloaded from SAE International by Lin Liu, Thursday, November 24, 2016 Page 2 of 30 SAE INTERNATIONAL These revisions, while substantial, preserve the original SAE J3016:JAN2014 level names, numbers, and functional distinctions, as well as the supporting terms. However, this version of J3016: J3016™ SEP2016 • Clarifies and rationalizes taxonomical differentiator(s) for lower levels (levels 0-2). • Clarifies the scope of the J3016 driving automation taxonomy (i.e., explains to what it does and does not apply). • Modifies existing, and adds new, supporting terms and definitions. • Adds more rationale, examples, and explanatory text throughout. Italicized terms used in this Recommended Practice are also defined herein. 1. SCOPE This Recommended Practice provides a taxonomy for motor vehicle driving automation systems that perform part or all of the dynamic driving task (DDT) on a sustained basis and that range in level from no driving automation (level 0) to full driving automation (level 5). It provides detailed definitions for these six levels of driving automation in the context of motor vehicles (hereafter also referred to as “vehicle” or “vehicles”) and their operation on roadways. These level definitions, along with additional supporting terms and definitions provided herein, can be used to describe the full range of driving automation features equipped on motor vehicles in a functionally consistent and coherent manner. “On-road” refers to publicly accessible roadways (including parking areas and private campuses that permit public access) that collectively serve users of vehicles of all classes and driving automation levels (including no driving automation), as well as motorcyclists, pedal cyclists, and pedestrians. The levels apply to the driving automation feature(s) that are engaged in any given instance of on-road operation of an equipped vehicle. As such, although a given vehicle may be equipped with a driving automation system that is capable of delivering multiple driving automation features that perform at different levels, the level of driving automation exhibited in any given instance is determined by the feature(s) that are engaged. This document also refers to three primary actors in driving: the (human) driver, the driving automation system, and other vehicle systems and components. These other vehicle systems (or the vehicle in general terms) do not include the driving automation system in this model, even though as a practical matter a driving automation system may actually share hardware and software components with other vehicle systems, such as a processing module(s) or operating code. The levels of driving automation are defined by reference to the specific role played by each of the three primary actors in performance of the DDT. “Role” in this context refers to the expected role of a given primary actor, based on the design of the driving automation system in question and not necessarily to the actual performance of a given primary actor. For example, a driver who fails to monitor the roadway during engagement of a level 1 adaptive cruise control (ACC) system still has the role of driver, even while s/he is neglecting it. Active safety systems, such as electronic stability control and automated emergency braking, and certain types of driver assistance systems, such as lane keeping assistance, are excluded from the scope of this driving automation taxonomy because they do not perform part or all of the DDT on a sustained basis and, rather, merely provide momentary intervention during potentially hazardous situations. Due to the momentary nature of the actions of active safety systems, their intervention does not change or eliminate the role of the driver in performing part or all of the DDT, and thus are not considered to be driving automation. It should, however, 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.

SAE INTERNATIONAL 2. REFERENCES Downloaded from SAE International by Lin Liu, Thursday, November 24, 2016 J3016™ SEP2016 Page 3 of 30 The following publications form a part of this specification to the extent specified herein. Unless otherwise indicated, the latest issue of SAE publications shall apply. 2.1 Applicable Documents J670 J3063 Vehicle Dynamics Terminology (J670:JAN2008). Active Safety Systems Terms & Definitions (J3063:NOV2015). 49 U.S.C. § 30102(a)(6) (definition of motor vehicle). Gasser, Tom et al. “Legal consequences of an increase in vehicle automation”, July 23, 2013, available at http://bast.opus.hbz-nrw.de/volltexte/2013/723/pdf/Legal_consequences_of_an_increase_in_vehicle_automation.pdf. Michon, J.A., 1985. A CRITICAL VIEW OF DRIVER BEHAVIOR MODELS: WHAT DO WE KNOW, WHAT SHOULD WE DO? In L. Evans & R. C. Schwing (Eds.). Human behavior and traffic safety (pp. 485-520). New York: Plenum Press, 1985. Crash Avoidance Metrics Partnership – Automated Vehicle Research Consortium, “Automated Vehicle Research for Enhanced Safety – Final Report,” (in publication). National Highway Traffic Safety Administration. “Preliminary Statement of Policy Concerning Automated Vehicles,”, May 30, 2013, available at http://www.nhtsa.gov/About+NHTSA/Press+Releases/U.S.+Department+of+Transportation+Releases+ Policy+on+Automated+Vehicle+Development. Smith, Bryant Walker. Engineers and Lawyers Should Speak the Same Robot Language, in ROBOT LAW (2015), available at https://newlypossible.org. 3. DEFINITIONS 3.1 ACTIVE SAFETY SYSTEM (SAE J3063:NOV2015) Active safety systems are vehicle systems that sense and monitor conditions inside and outside the vehicle for the purpose of identifying perceived present and potential dangers to the vehicle, occupants, and/or other road users, and automatically intervene to help avoid or mitigate potential collisions via various methods, including alerts to the driver, vehicle system adjustments, and/or active control of the vehicle subsystems (brakes, throttle, suspension, etc.). NOTE: For purposes of this report, systems that meet the definition of active safety systems are considered to have a design purpose that is primarily focused on improving safety rather than comfort, convenience or general driver assistance. Active safety systems warn or intervene during a high risk event or maneuver. 3.2 AUTOMATED DRIVING SYSTEM (ADS) The hardware and software that are collectively capable of performing the entire DDT on a sustained basis, regardless of whether it is limited to a specific operational design domain (ODD); this term is used specifically to describe a level 3, 4, or 5 driving automation system. NOTE: In contrast to ADS, the generic term “driving automation system” (see 3.5) refers to any level 1-5 system or feature that performs part or all of the DDT on a sustained basis. Given the similarity between the generic term, “driving automation system,” and the level 3-5-specific term, “Automated Driving System,” the latter term should be capitalized when spelled out and reduced to its acronym, ADS, as much as possible, while the former term should not be.

SAE INTERNATIONAL 3.3 ADS-DEDICATED VEHICLE (ADS-DV) Downloaded from SAE International by Lin Liu, Thursday, November 24, 2016 J3016™ SEP2016 Page 4 of 30 A vehicle designed to be operated exclusively by a level 4 or level 5 ADS for all trips. NOTE 1: An ADS-DV is a truly “driverless” vehicle. However, the term “driverless vehicle” is not used herein because it has been, and continues to be, widely misused to refer to any vehicle equipped with a driving automation system, even if that system is not capable of always performing the entire DDT and thus involves a (human) driver for part of a given trip. This is the only category of ADS-operated vehicle that requires neither a conventional nor remote driver during routine operation. NOTE 2: An ADS-DV might be designed without user interfaces, such as braking, accelerating, steering, and transmission gear selection input devices designed to be operable by a human driver. NOTE 3: A level 4 ADS-DV by design does not operate outside of its ODD (subject to note 4 below). NOTE 4: ADS-DVs might be operated temporarily by a conventional or remote driver: 1) to manage transient deviations from the ODD, 2) to address a system failure or 3) while in a marshalling yard before being dispatched. EXAMPLE 1: A level 4 ADS-DV designed to operate exclusively within a corporate campus where it picks up and discharges passengers along a specific route specified by the ADS-DV dispatcher. EXAMPLE 2: A level 4 ADS-DV designed to operate exclusively within a geographically prescribed central business district where it delivers parts and supplies using roads (but not necessarily routes) specified by the ADS- DV dispatcher. EXAMPLE 3: A level 5 ADS-DV capable of operating on all roads that are navigable by a human driver. The user simply inputs a destination, and the ADS-DV automatically navigates to that destination. 3.4 DRIVING AUTOMATION The performance of part or all of the DDT on a sustained basis. 3.5 DRIVING AUTOMATION SYSTEM or TECHNOLOGY The hardware and software that are collectively capable of performing part or all of the DDT on a sustained basis; this term is used generically to describe any system capable of level 1-5 driving automation. NOTE: In contrast to this generic term for any level 1-5 system, the specific term for a level 3-5 system is “Automated Driving System (ADS).” Given the similarity between the generic term, “driving automation system,” and the level 3-5-specific term, “Automated Driving System,” the latter term should be capitalized when spelled out and reduced to its acronym, ADS, as much as possible, while the former term should not be. (See 3.2) 3.6 [DRIVING AUTOMATION SYSTEM] FEATURE or APPLICATION A driving automation system’s design-specific functionality at a specific level of driving automation within a particular ODD. NOTE 1: A given driving automation system may have multiple features, each associated with a particular level of driving automation and ODD. NOTE 2: Each feature satisfies a usage specification. NOTE 3: Features may be referred to by generic names (e.g., automated parking) or by proprietary names. EXAMPLE 1: A level 3 ADS feature that performs the DDT, excluding DDT fallback, in high-volume traffic on fully access- controlled freeways. EXAMPLE 2: A level 4 ADS feature that performs the DDT, including DDT fallback, in a specified geo-fenced urban center.

SAE INTERNATIONAL 3.7 DRIVING MODE Downloaded from SAE International by Lin Liu, Thursday, November 24, 2016 J3016™ SEP2016 Page 5 of 30 A type of vehicle operation with characteristic DDT requirements (e.g., expressway merging, high-speed cruising, low- speed traffic jam, etc.). NOTE: In the previous version of this document, the term driving mode was used more extensively. In this updated version, operational design domain is the preferred term for many of these uses. 3.8 DYNAMIC DRIVING TASK (DDT) All of the real-time operational and tactical functions required to operate a vehicle in on-road traffic, excluding the strategic functions such as trip scheduling and selection of destinations and waypoints, and including without limitation: 1. Lateral vehicle motion control via steering (operational); 2. Longitudinal vehicle motion control via acceleration and deceleration (operational); 3. Monitoring the driving environment via object and event detection, recognition, classification, and response preparation (operational and tactical) 4. Object and event response execution (operational and tactical); 5. Maneuver planning (tactical); and 6. Enhancing conspicuity via lighting, signaling and gesturing, etc. (tactical). NOTE 1: For simplification and to provide a useful shorthand term, subtasks (3) and (4) are referred to collectively as object and event detection and response (OEDR) (see 3.15). NOTE 2: In this document, reference is made to “complete(ing) the DDT.” This means fully performing all of the subtasks of the DDT, whether by the (human) driver, by the driving automation system, or by both. NOTE 3: Figure 1 displays a schematic view of the driving task. For more information on the differences between operational, tactical, and strategic functions of driving, see 8.4. Figure 1 - Schematic view of driving task showing DDT portion

Downloaded from SAE International by Lin Liu, Thursday, November 24, 2016 J3016™ SEP2016 SAE INTERNATIONAL For purposes of DDT performance, level 1 encompasses automation of part of the innermost loop (i.e., either lateral vehicle motion control functionality or longitudinal vehicle motion control functionality and limited OEDR associated with the given axis of vehicle motion control); level 2 encompasses automation of the innermost loop (lateral and longitudinal vehicle motion control and limited OEDR associated with vehicle motion control), and levels 3-5 encompass automation of both inner loops (lateral and longitudinal vehicle motion control and complete OEDR). Note that DDT performance does not include strategic aspects of driving (e.g., determining whether, when and where to travel). Page 6 of 30 3.9 [DYNAMIC DRIVING TASK (DDT)] FALLBACK The response by the user or by an ADS to either perform the DDT or achieve a minimal risk condition after occurrence of a DDT performance-relevant system failure(s) or upon ODD exit. NOTE 1: The DDT and the DDT fallback are distinct functions, and the capability to perform one does not necessarily entail the ability to perform the other. Thus, a level 3 ADS, which is capable of performing the entire DDT within its operational design domain (ODD), may not be capable of performing the DDT fallback in all situations that require it and thus will issue a request to intervene to the DDT fallback-ready user when necessary. NOTE 2: At level 3, an ADS is capable of continuing to perform the DDT for at least several seconds after providing the fallback-ready user with a request to intervene. The DDT fallback-ready user is then expected to achieve a minimal risk condition if s/he determines it to be necessary. NOTE 3: At levels 4 and 5, the ADS must be capable of performing the DDT fallback, as well as achieving a minimal risk condition. Level 4 and 5 ADS-equipped vehicles that are designed to also accommodate operation by a driver (whether conventional or remote) may allow a user to perform the DDT fallback if s/he chooses to do so. However, a level 4 or 5 ADS need not be designed to allow a user to perform DDT fallback and, indeed, may be designed to disallow it in order to reduce crash risk (see 8.3). NOTE 4: While a level 4 or 5 ADS is performing the DDT fallback, it may be limited by design in speed and/or range of lateral and/or longitudinal vehicle motion control (i.e., it may enter so-called “limp-home mode”). EXAMPLE 1: A level 1 adaptive cruise control (ACC) feature experiences a system failure that causes the feature to stop performing its intended function. The human driver performs the DDT fallback by resuming performance of the complete DDT. EXAMPLE 2: A level 3 ADS feature that performs the entire DDT during traffic jams on freeways is not able to do so when it encounters a crash scene and therefore issues a request to intervene to the DDT fallback-ready user. S/he responds by taking over performance of the entire DDT in order to maneuver around the crash scene. (Note that in this example, a minimal risk condition is not needed or achieved.) EXAMPLE 3: A level 4 ADS-dedicated vehicle (ADS-DV) that performs the entire DDT within a geo-fenced city center experiences a DDT performance-relevant system failure. In response, the ADS-DV performs the DDT fallback by turning on the hazard flashers, maneuvering the vehicle to the road shoulder and parking it, before automatically summoning emergency assistance. (Note that in this example, the ADS-DV automatically achieves a minimal risk condition.)

Downloaded from SAE International by Lin Liu, Thursday, November 24, 2016 SAE INTERNATIONAL The following Figures 2 through 6 illustrate DDT fallback at various levels of driving automation. J3016™ SEP2016 Page 7 of 30 Figure 2 - Use case sequence at Level 3 showing ADS engaged, a vehicle failure and the user resuming control Figure 3 - Use case sequence at Level 3 showing ADS engaged, and ADS failure and the user resuming control Figure 4 - Use case sequence at Level 3 showing ADS engaged, exiting the ODD and the user resuming control

SAE INTERNATIONAL Downloaded from SAE International by Lin Liu, Thursday, November 24, 2016 J3016™ SEP2016 Page 8 of 30 Figure 5 - Use case sequence at Level 4 showing ADS engaged, an ADS failure and the system achieving a minimal risk condition Figure 6 - Use case sequence at Level 4 showing ADS engaged, approaching ODD exit and the system achieving a minimal risk condition 3.10 LATERAL VEHICLE MOTION CONTROL The DDT subtask comprising the activities necessary for the real-time, sustained regulation of the y-axis component of vehicle motion. NOTE: Lateral vehicle motion control includes the detection of the vehicle positioning relative to lane boundaries and application of steering and/or differential braking inputs to maintain appropriate lateral positioning. 3.11 LONGITUDINAL VEHICLE MOTION CONTROL The DDT subtask comprising the activities necessary for the real-time, sustained regulation of the x-axis component of vehicle motion. NOTE: Longitudinal vehicle motion control includes maintaining set speed as well as detecting a preceding vehicle in the path of the subject vehicle, maintaining an appropriate gap to the preceding vehicle and applying propulsion or braking inputs to cause the vehicle to maintain that speed or gap.

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