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Chapter 3 Automation

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Chapter 3 AutomationChap

    Table of contents

    3 Automation ......................................................................................................................... 3-3 3.1 General ......................................................................................................................... 3-3 3.2 Design and evaluation .................................................................................................. 3-8 3.3 System response and feedback ...................................................................................... 3-9

    3.4 Interface ......................................................................................................................3-10 3.5 User acceptance and trust ............................................................................................3-11

    3.6 Modes .........................................................................................................................3-12 3.7 Monitoring ..................................................................................................................3-14 3.8 Fault management .......................................................................................................3-18 3.9 False alarms ................................................................................................................3-20 3.10 Training .....................................................................................................................3-21 3.11 Function allocation/levels of automation ....................................................................3-23

    -25 3.12 Information automation .............................................................................................3

    3.13 Adaptive automation..................................................................................................3-28

    3.14 Decision aids .............................................................................................................3-30 3.15 Control automation ....................................................................................................3-35 Glossary ................................................................................................................................ 3-36

    -37 References ............................................................................................................................ 3Index ..................................................................................................................................... 3-45

    Table of exhibits

    Exhibit 3.11 Levels of automation, from high to low………………………………………...3-24

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    HFDS 2002 Chapter 3 Automation

    3 Automation

    3 Automation

    Definition. Automation is the independent accomplishment of a

    function by a device or system that was formerly carried out by a

    human. [Source: National Research Council (NRC), 1998; Parasuraman & Riley, 1997]

    3.1 General

3.1.1 Minimum automation human factors requirements. An

    automated system should

    a. provide sufficient information to keep the user informed

    of its operating mode, intent, function, and output;

    b. inform the user of automation failure or degradation;

    c. inform the user if potentially unsafe modes are manually

    selected;

    d. not interfere with manual task performance; and

    e. allow for manual override. [Source: Veridian (AHCI), 1998; Billings, 1997]

    ; 3.1.2 Place user in command. Automated systems shall prevent

    the removal of the user from the command role. [Source: Billings, 1997]

    Discussion. The reasoning behind this rule is twofold.

    First, it is ultimately the user who is responsible for the task.

    Second, automation is subject to failure. Therefore, it is the

    user, not the automation who must be in control of the

    system with the automation playing a subservient role. [Source: Billings, 1997]

; 3.1.3 Automate only to improve performance. Functions shall

    be automated only if they improve system performance without

    reducing human involvement, situation awareness, or human

    performance in carrying out the intended task. [Source: Billings, 1991]

    Discussion. The introduction of automation is often

    intended to reduce workload and augment performance;

    however, this is not always the result. Automation can

    lead to distraction from the primary task, increased

    workload, boredom, or complacency. Automation can

    also have psychosocial impacts, influencing job

    satisfaction or self worth. [Source: Bowers, Deaton, Oser, Prince & Kolb, 1995; Danaher, 1980; Edwards, 1976; Parasuraman, Molloy, Mouloua, & Hilburn, 1996; Wiener, 1989; Wiener & Curry, 1980]

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3.1.4 Automate with good reason. Automation should be used

    to support the user(s) where appropriate (human-centered automation), not implemented simply because the technology is available (technology-centered automation). [Source: Billings, 1997]

; 3.1.5 Enable users to carry out tasks. Automation shall help or

    enable the users to carry out their responsibilities and tasks safely, efficiently, and effectively. [Source: Billings, 1991]

    Definitions. Carrying out a task effectively means

    producing the desired result. Carrying out a task

    efficiently means that the desired result is produced with a

    minimum of waste (usually in relation to time).

; 3.1.6 Provide a clear relationship with user tasks. The

    relationships between display, control, decision aid, and information structure and user tasks and functions shall be clear to the user. [Source: Nuclear Regulatory Commission (NUREG-0700), 1996; Nuclear Regulatory Commission (NUREG/CR-6105), 1994]

    Discussion. The user needs to be able to see clearly how

    the display or decision aid, and so on, facilitates the

    completion of the necessary task.

; 3.1.7 Ensure active user involvement in operation. Users shall

    be given an active role through relevant and meaningful tasks in the operation of a system regardless of the level of automation being employed. [Source: AHCI, 1998; Billings, 1991]

    Discussion. User awareness of system state cannot be

    sustained passively. Active involvement is essential for

    operators to exercise their responsibilities and be able to

    respond to emergencies. Reducing active involvement

    may be detrimental to the user’s understanding of

    important information, may lead to longer response times

    in case of emergencies, or, in the long term, may lead to

    loss of relevant knowledge or skills. [Source: Galster, Duley, Masalonis, & Parasuraman, 2001; Garland & Hopkin, 1994; Hopkin, 1988; Sarter & Woods, 1992 (as found in Scerbo, 1996); Wickens, 1992 (as found in Scerbo, 1996)]

3.1.8 Make procedures suitable to user expertise. Procedures

    employed in automation should be appropriate to the user’s level of expertise with the system. [Source: Defense Information Systems Agency (DISA), 1996]

    Example. Shortcuts such as function keys can be

    provided for the more experienced users, whereas novice

    users can still use standard procedures.

    HFDS 2002 Chapter 3 Automation

     3.1.9 Implement based on goals for system. How automation is

    implemented should be determined by the explicit goals of the system, not by comparison between automated and manual systems. [Source: Wiener & Curry, 1980]

    Discussion. When automation is implemented, explicit

    goals of the system need to be kept in mind, thus, an

    automated system does not need to perform a task the

    same way as it was performed manually to be effective.

     3.1.10 Avoid increasing demands for cognitive resources.

    Automation should not increase the demands for cognitive resources (thinking or conscious mental processes). [Source: Bainbridge, 1983; Parasuraman & Riley, 1997; Wiener & Curry, 1980; Woods, 1996]

    Discussion. Automation that increases the demand for

    cognitive resources is poorly designed. Expert users in

    complex, dynamic systems have been observed to cope

    with poorly designed automation by using only a subset of

    the available functionality, especially during periods of

    high workload. [Source: Woods, 1996]

     3.1.11 Avoid extreme workload levels. Extreme levels of

    workload (low or high) due to automation use should be avoided. [Source: Hilburn, Jorna, Byrne, & Parasuraman, 1996; NRC, 1993; Warm, Dember, & Hancock, 1996; Wiener, 1988]

    Discussion. Extreme levels of workload can be caused by

    poorly designed automation. Poorly designed automation

    can cause extreme workload levels by increasing

    workloads when they are already high (for example, for

    pilots, during the high workload flight phases of take-off

    and landing) and decreasing workloads that are already

    low (for example, providing a pilot with the ability to

    engage autopilot during the low workload cruise phase

    of a flight). Automation is often introduced to reduce

    workload. However, reduction of workload may not

    always be advantageous, for example, if workload is

    already low. [Source: Hilburn et al., 1996; Parasuraman & Mouloua, 1996]

    ; 3.1.12 Prevent distraction from operations. User interaction

    with automation shall not require the user to take significant amounts of attention away from the primary task. [Source: Danaher, 1980]

    Discussion. When automation requires the user or one

    member of the user team to devote a significant amount of

    attention to adjusting or monitoring the automation, this

    removes the user away from minute-to-minute operations,

    thereby taking the user out of the loop. This can be

    especially dangerous if an abnormal situation occurs that

    needs to be remedied quickly. [Source: Danaher, 1980]

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3.1.13 Avoid interruption at inappropriate times. Automation

    should not interrupt at inappropriate times such as during periods of high workload or during critical moments in a process. [Source: Woods, 1996]

    Discussion. An interruption during high workload or at a

    critical moment can cause a delay in the user’s ability to

    respond to a malfunction, leading to a potential failure. If

    the user is attending to a malfunction in an automated task

    and is interrupted, the interruption depletes the user’s

    mental resources causing him to be less capable of

    averting the potential failure. For example, in the cockpit,

    certain automation functions might be stopped from

    interrupting during the takeoff and landing portions of

    flight.

3.1.14 Make tasks easier to perform. An automated task should

    be less difficult to perform than the manual task it replaces. [Source: AHCI, 1998]

3.1.15 Guide the use of automation. Standard operating

    procedures and company policies should guide users in the appropriate use of automation, although the user should be ultimately responsible to make the decision to use or not use the automation. [Source: Billings, 1997; Parasuraman & Riley, 1997]

; 3.1.16 Provide easy data access. Data that are needed by the

    user shall be easily accessible. [Source: NUREG/CR-6105, 1994; NUREG-0700, 1996]

    Discussion. User requirements can serve as a guide of

    whether the data are available at all times, accessible at

    the users’ discretion, or not at all if the user does not need

    information.

3.1.17 Prompt for data entry format. The automated system

    should prompt users as to the correct data entry format. [Source: Billings, 1996]

    Example. If the automated system requires that the data

    be entered in all capital letters, it should specifically tell

    the user to enter the data in capital letters.

3.1.18 Make it error resistant and error tolerant. Automation

    should be error resistant and error tolerant. [Source: Billings, 1991]

    Discussion. To make a system error resistant is to make

    it difficult for a user to make an error. Simplicity in

    design and the provision of clear information are tools to

    improve error resistance. Error tolerance is the ability to

    mitigate the effects of human errors that are committed.

    Error tolerance can be improved by adding monitoring

    capabilities to the automation. Electronic checklists also

    have the potential to improve error resistance by providing

    reminders of items that need to be completed. [Source: Billings, 1991]

    HFDS 2002 Chapter 3 Automation

    ; 3.1.19 Make system behavior predictable. Automated systems

    shall behave predictably so that the user knows the purpose of the automation and how the operation will be affected by that automation. [Source: Billings, 1991, 1996]

    Discussion. The predictability of an automated system

    allows the user to know what to expect when the

    automation is functioning correctly. This makes it easier

    for the user to recognize when the system is not

    functioning. [Source: Billings, 1996]

    ; 3.1.20 Ensure safe operations are within human capacity.

    Systems shall not be so reliant on automation or on human skills degraded by automation use that human users can no longer safely recover from emergencies or operate the system manually if the automation fails. [Source: Billings, 1996; NRC, 1998]

    Discussion. A balance is needed between the efficiency

    created by automation, the need for the operator to be able

    to recover from emergencies, and control the system

    manually in case the automation fails.

     3.1.21 Provide means of user override. The automation should

    not be able to veto user actions leaving the user without means to override or violate the rules that govern the automation unless there is not enough time for the user to make a decision. [Source: Garland & Hopkin, 1994; Inagaki, 1999]

    Discussion. Problems with automation can occur when

    the automated options do not apply to a situation and the

    user is restricted to the options provided by the

    automation.

    ; 3.1.22 Provide interaction consistency. The way that

    automation systems interact with their users shall reflect a high degree of consistency within and between systems. [Source: NUREG-0700, 1996]

    Discussion. There are many possible types of interaction,

    such as menu selection, direct manipulation, and form-

    filling. (See Chapter 8 on computer-human interfaces for

    more information on interaction). An example of

    inconsistent interaction would be having one system

    require filling in forms as the interaction method, whereas

    another system requires menu-driven interaction.

     3.1.23 Make systems easy to understand and use. Automated

    systems and associated integrated information displays should be intuitive, easy to understand, and easy to use. [Source: Billings, 1991; Sarter & Woods, 1994; Woods, 1996]

    Discussion. System operations that are easily

    interpretable or understandable by the user can facilitate

    the detection of improper operation and the diagnosis of

    malfunctions. [Source: Wiener & Curry, 1980]

     3.1.24 Make systems simple to learn. Automation should be

    simple for the users to learn. [Source: Billings, 1991; Wiener & Curry, 1980]

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     3.1.25 Provide means to check input and setup data.

    Automated systems should provide a way to check automation setup and to check information used as input for the automated system. [Source: Wiener & Curry, 1980; Wickens, 2000]

    Discussion. Automation failures are often due to setup

    error. Although the automated system itself could check

    some of the setup, independent error-checking equipment

    or procedures may be needed. The user needs to be able

    to distinguish whether a failure occurred due to the

    automation setup or due to an inaccuracy in the input

    information. An automation failure could have been

    caused by a malfunction of an algorithm or by the input of

    inaccurate data. For example, if the automated system

    relies on primary radar and secondary radar as inputs and

    uses an algorithm to predict conflicts, a failure could arise

    from faulty data from either the primary or secondary

    radar or from the algorithm that combines this information. [Source: Wiener & Curry, 1980; Wickens, 2000]

    3.2 Design and evaluation

     3.2.1 Involve users in design. Users should be involved in the

    design of an automated tool. [Source: Amalberti, 1999; Billings, 1997; Parasuraman, Sheridan, & Wickens, 2000]

    Discussion. Input from the user is essential in defining

    information requirements.

     3.2.2 Design based on human-centered goals and functions.

    Design of automation should begin by choosing the human-centered criteria (goals) of the system and then defining the functions that the system will perform. [Source: Wiener & Curry, 1980]

    Discussion. Defining the goals and functions of an

    automated system may require the use of task analysis.

    ; 3.2.3 Consider effect on coordination. When new automation is

    introduced, the designers shall consider the possibility of negative effects on team coordination. [Source: Wiener, 1989]

    Discussion. Automation may deplete team interaction

    and cooperation unless all parties are provided with

    information that allows them to be actively involved in the

    task. Automation can cause physical difficulty in seeing

    what the other team member is doing, reduce the ability to

    cross monitor, change traditional roles and responsibilities,

    and change the manner in which team members attempt to

    help one another. [Source: Danaher, 1980; Rudisill, 1994]

    HFDS 2002 Chapter 3 Automation

; 3.2.4 Assess overall impact. The overall impact of automation

    shall be thoroughly examined before implementation to ensure

    that changes do not result in additional complexities, loss of

    situational awareness, or possibilities for error. [Source: Woods, 1996]

    Discussion. Automation of some user tasks may result in

    the user processing less information or processing

    information at less depth. A diminished understanding

    and appreciation for the overall situation may result. [Source: Garland & Hopkin, 1994]

     3.2.5 Validate system design. Contextually valid human-in-the-

    loop experiments and simulations should be conducted to validate

    and refine automated system design. [Source: NRC, 1998]

; 3.2.6 Evaluate interactions with other functions. Possible

    interactions with other tools, system functions, and user tasks

    shall be evaluated when new automation is designed. [Source: NRC, 1998]

; 3.2.7 Test as a whole. New automation components shall be

    tested with the complete system, including other automated

    components of the system, to ensure they function together as an

    effective whole. [Source: NRC, 1998]

; 3.2.8 Test normal and failure modes. Automated systems shall

    be tested under normal modes of operation and under failure

    modes of the automation. [Source: NRC, 1998; Wickens, 2000]

; 3.2.9 Test before implementation. Automated systems shall be

    tested in a realistic operational environment with representative

    users before implementation to ensure that operator performance is

    not compromised and workload is not increased. [Source: Drury, 1998]

    3.3 System response and feedback

3.3.1 Visualize consequences of decisions. The user should be

    able to visualize the consequences of a decision, whether made

    by the user or the automated system. [Source: Billings, 1996]

3.3.2 Provide brief and unambiguous command response.

    Automated system responses to user commands should be brief and

    unambiguous. [Source: Billings, 1997]

3.3.3 Keep users aware of function. The automated system

    should keep the user aware on a continuing basis of the function

    (or malfunction) of each automated system and the results of that

    function (or malfunction). [Source: Billings, 1996]

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3.3.4 Provide effective feedback. Automation should provide

    the user with effective feedback on its actions and the purpose of

    these actions. [Source: Woods, 1996]

    Discussion. When feedback is poor, automation is

    considered silent. Silent automation may result in

    coordination and system failures. Users may be surprised

    by the behavior of silent automation. [Source: Woods, 1996]

    3.4 Interface

     3.4.1 Keep it simple. The automation interfaces should represent

    the simplest design consistent with functions and tasks of the users. [Source: NUREG-0700, 1996]

    Discussion. Simplicity for the user is achieved by

    attaining compatibility between the design and human

    perceptual, physical, cognitive, and dynamic motor

    responsiveness capabilities. (See Chapter 8 on computer-

    human interfaces for more information on interface

    design.) [Source: NUREG-0700, 1996]

; 3.4.2 Provide interface consistency. Human interfaces in

    automation programs and systems shall have a high degree of

    consistency. [Source: NUREG-0700, 1996]

    Discussion. Consistency can be obtained by presenting

    information in predictable locations and keeping elements

    of screens such as headers, fields, and labels consistent in

    appearance and relative location throughout a system or

    application. (See Chapter 8 on computer-human

    interfaces for more information on interface design.) [Source: Shneiderman, 1998]

3.4.3 Be consistent with user expectations. Automated systems

    and interfaces should be consistent with the expectations and

    understandings of users. [Source: Billings, 1991, 1996]

; 3.4.4 Make interface structure logical. Automation interfaces

    shall reflect an obvious logic based on user task needs and

    capabilities. [Source: NUREG/CR-6105, 1994; NUREG-0700, 1996]

; 3.4.5 Make location status obvious. Interfaces and navigation

    aids shall make it easy for users to know where they are in the data

    space. [Source: NUREG/CR-6105, 1994; NUREG-0700, 1996]

3.4.6 Use spatial representations where possible. Where

    possible, spatial representations of information should be used

    instead of verbal or textual displays in high workload situations. [Source: Barnes, 1981]

    Discussion. Although humans are often better able to

    attend to spatial representations, it is not always easy or

    even possible to create spatial representations of

    information. [Source: Barnes, 1981]

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