Human-System Integration in the System Development Process

A NEW LOOK

Committee on Human-System Design Support for Changing Technology

Richard W. Pew and Anne S. Mavor, Editors

Committee on Human Factors

Division of Behavioral and Social Sciences and Education

National Research Council

NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES

THE NATIONAL ACADEMIES PRESS

Washington, D.C.
www.nap.edu



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Human-System Integration in the System Development Process: A New Look Human-System Integration in the System Development Process A NEW LOOK Committee on Human-System Design Support for Changing Technology Richard W. Pew and Anne S. Mavor, Editors Committee on Human Factors Division of Behavioral and Social Sciences and Education National Research Council NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES THE NATIONAL ACADEMIES PRESS Washington, D.C. www.nap.edu

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Human-System Integration in the System Development Process: A New Look THE NATIONAL ACADEMIES PRESS 500 Fifth Street, N.W. Washington, D.C. 20001 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. The study was supported by Award Nos. W911NF-05-0150 and FA5650-06-1-6610 between the National Academy of Sciences and the U.S. Department of the Army and the U.S. Department of the Air Force. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the view of the organizations or agencies that provided support for this project. Library of Congress Cataloging-in-Publication Data Human-system integration in the system development process : a new look / Committee on Human-System Design Support for Changing Technology ; Richard W. Pew and Anne S. Mavor, editors. p. cm. Includes bibliographical references and index. ISBN-13: 978-0-309-10720-4 (hardback : alk. paper) ISBN-10: 0-309-10720-2 (hardback : alk. paper) 1. Human engineering. 2. Systems engineering. 3. User interfaces (Computer systems) I. Pew, Richard W. II. Mavor, Anne S. III. Committee on Human-System Design Support for Changing Technology. TA166.H84 2007 620.8'2—dc22 2007012835 Additional copies of this report are available from The National Academies Press, 500 Fifth Street, N.W., Lockbox 285, Washington, D.C. 20055; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); Internet, http://www.nap.edu Printed in the United States of America Copyright 2007 by the National Academy of Sciences. All rights reserved. Cover images: (1) The Air Force MQ-1 Predator (unmanned aerial system) produced by General Atomics Aeronautical Systems. (2) Controllers in the Combined Air Operations Center at an air base on the Arabian Peninsula monitor the status of ongoing missions supporting Operation Iraqi Freedom. The CAOC was the nerve center for all U.S. Central Command air operations when the first air strike occurred early March 20, 2003. (3) A general-purpose intravenous infusion pump designed primarily for hospital use with secondary, limited feature use by patients at home. (The marketed name is the Symbiq™ IV Pump.) (4) Vehicle screening for port security. Cover credits: Unmanned aerial system: Photo Courtesy of U.S. Army taken August 10, 2005. Combined Air Operations Center: Photo by Ministry of Defence-Royal Air Force Sgt. Gareth Davies. Courtesy of U.S. Air Force. Symbiq™ IV Pump: Photograph courtesy of Hospira, Inc. Suggested citation: National Research Council. (2007). Human-System Integration in the System Development Process: A New Look. Committee on Human-System Design Support for Changing Technology, R.W. Pew and A.S. Mavor, Eds. Committee on Human Factors, Division of Behavioral and Social Sciences and Education. Washington, DC: The National Academies Press.

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Human-System Integration in the System Development Process: A New Look THE NATIONAL ACADEMIES Advisers to the Nation on Science, Engineering, and Medicine The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Wm. A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Wm. A. Wulf are chairman and vice chairman, respectively, of the National Research Council. www.national-academies.org

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Human-System Integration in the System Development Process: A New Look COMMITTEE ON HUMAN-SYSTEM DESIGN SUPPORT FOR CHANGING TECHNOLOGY RICHARD W. PEW (Chair), BBN Technologies, Cambridge, MA NIGEL BEVAN, University of York, London BARRY W. BOEHM, Computer Science Department, University of Southern California NANCY J. COOKE, Department of Psychology, Arizona State University SHELLEY EVENSON, School of Design, Carnegie Mellon University DAVID GRAEBER, Boeing Phantom Works, Seattle, WA EDMOND W. ISRAELSKI, Abbott Laboratories, Abbott Park, IL BRIAN M. KLEINER, Grado Department of Industrial and Systems Engineering, Virginia Polytechnic Institute MICHAEL MULLER, IBM Research, Cambridge, MA FRANK E. RITTER, College of Information Sciences and Technology, Pennsylvania State University EMILIE ROTH, Roth Cognitive Engineering, Brookline, MA THOMAS F. SANQUIST, Battelle Seattle Research Center, Pacific Northwest National Laboratory, Seattle, WA ANNE S. MAVOR, Study Director KRISTEN A. BUTLER, Research Assistant MATTHEW D. McDONOUGH, Senior Program Assistant

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Human-System Integration in the System Development Process: A New Look COMMITTEE ON HUMAN FACTORS WILLIAM S. MARRAS (Chair), Institute for Ergonomics, The Ohio State University DEBORAH A. BOEHM-DAVIS, Department of Psychology, George Mason University, Fairfax, VA DONALD FISHER, Department of Mechanical and Industrial Engineering, University of Massachusetts, Amherst JONATHAN GRUDIN, Microsoft Research, Redmond, WA PETER HANCOCK, Department of Psychology, University of Central Florida, Orlando DANIEL R. ILGEN, Department of Psychology and Department of Management, Michigan State University, East Lansing KURT KRAIGER, Department of Psychology, Colorado State University, Fort Collins JOHN LEE, Department of Mechanical and Industrial Engineering, University of Iowa, Iowa City RAJA PARASURAMEN, Department of Psychology, George Mason University, Fairfax, VA RICHARD W. PEW, BBN Technologies, Cambridge, MA ROBERT G. RADWIN, Department of Biomedical Engineering, University of Wisconsin, Madison WENDY A. ROGERS, Department of Psychology, Georgia Institute of Technology, Atlanta THOMAS B. SHERIDAN, Massachusetts Institute of Technology JOEL S. WARM, Department of Psychology, University of Cincinnati GREGORY L. ZACHARIAS, Charles River Analytics Inc., Cambridge, MA ANNE S. MAVOR, Director

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Human-System Integration in the System Development Process: A New Look Acknowledgments We are grateful to the many individuals who have made a significant contribution to the committee’s work by providing information through briefings at our meetings. A complete list of these contributors and their affiliations appears in Appendix A. In the course of preparing the report, each member of the committee took an active role in drafting sections of chapters, leading discussions, and reading and commenting on successive drafts. We are deeply indebted to them for their hard work, their wiliness in critically weighting a variety of diverse perspectives, and their good spirit in working in concert to produce this volume. It has been a great pleasure and a learning experience to work with all of them. Committee member biographies appear in Appendix B. Staff at the National Research Council (NRC) made important contributions to our work in many ways. We would like to extend our thanks to Kristen Butler, research assistant, for her support of the committee through her research, her writing, and her extensive work on the report manuscript. Thanks are also due to Matthew McDonough, senior project assistant, who was indispensable in organizing meetings, arranging travel, assembling agenda books, assisting committee members, and preparing the final report for publication. We are also indebted to Christine McShane, who edited the report. We are most grateful to our sponsors for their insights, encouragement, and support throughout the process. John Lockett, Human Research and Engineering Directorate, Army Research Laboratory, recognized the need for this study and provided early support in getting the committee

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Human-System Integration in the System Development Process: A New Look established. Maris Vikmanis and Edward Martin, Air Force Research Laboratory, added their support once the committee process was under way. This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the NRC’s report review committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their review of this report: Jonathan Grudin, Adaptive Systems and Interaction Group, Microsoft Research, Redmond, WA; Patricia M. Jones, Human Factors Research and Technology Division, NASA Ames Research Center, Moffett Field, CA; Alex Kirlik, Human Factors Department, University of Illinois at Urbana-Champaign; David C. Nagel, Independent Consultant, Ascona Group, Los Gatos, CA; Christopher Nemeth, Cognitive Technologies Laboratory, The University of Chicago; Mary Beth Rosson, Department of Information Sciences and Technology, Pennsylvania State University; and Andrew Sage, System Engineering and Operations Research Department, George Mason University. Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations, nor did they see the final draft of the report before its release. The review of this report was overseen by Thomas B. Sheridan, Engineering and Applied Psychology, Emeritus, Massachusetts Institute of Technology. Appointed by the NRC, he was responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution. Richard W. Pew, Chair Anne S. Mavor, Study Director Committee on Human-System Design Support for Changing Technology

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Human-System Integration in the System Development Process: A New Look Contents     Executive Summary   1      Principles for Successful System Development,   2      Policy Recommendations,   4      Research Agenda,   5      The Future,   7 1   Introduction   9      The Problem,   11      Charge and Scope,   16      The Context,   18      Themes,   23      Report Organization,   27 PART I:  HUMAN-SYSTEM INTEGRATION IN THE CONTEXT OF SYSTEM DEVELOPMENT     2   The System Development Process   31      Principles for Successful System Development,   32      The Evolving Nature of System Requirements,   33      Principles-Based Comparison of Alternative Process Models,   34      The Incremental Commitment Model,   36      Views of the Incremental Commitment Model,   39      Project Experience with ICM Principles,   51      Conclusion,   53

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Human-System Integration in the System Development Process: A New Look 3   Human-System Integration and the System Development Process   55      Human-System Integration in the Incremental Commitment Model,   57      Communicating HSI Issues and Opportunities through Shared Representations,   61      Conclusion,   66      Appendix 3-A,   67 4   Managing Risks   75      Identifying and Analyzing Risk,   78      Handling Options Assessment,   85      Executing Risk Mitigation,   88 5   Case Studies   91      Unmanned Aerial Systems,   92      Port Security,   97      “Next-Generation” Intravenous Infusion Pump,   105 PART II:  HUMAN-SYSTEM INTEGRATION METHODS IN SYSTEM DEVELOPMENT     6   Defining Opportunities and Context of Use   135      Organizational and Environmental Context,   139      Field Observations and Ethnography,   150      Task Analysis,   157      Cognitive Task Analysis,   161      Participatory Analysis,   169      Contextual Inquiry,   175      Event Data Analysis,   177 7   Defining Requirements and Design   189      Usability Requirements,   191      Work Domain Analysis,   197      Workload Assessment,   207      Participatory Design,   210      Contextual Design,   216      Physical Ergonomics,   217      Situation Awareness,   223      Methods for Mitigating Fatigue,   226      Scenarios,   230      Personas,   233

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Human-System Integration in the System Development Process: A New Look      Prototyping,   235      Models and Simulations,   240 8   Methods for Evaluation   253      Risk Analysis,   253      Analysis of Human Error,   256      Usability Evaluation Methods,   265 PART III:  THE FUTURE: SCENARIOS, CONCLUSIONS, AND RECOMMENDATIONS     9   Scenarios for the Future   277      An Integrated Methodology,   278      Knowledge-Based Planning for Human-System Integration,   286      User Participation,   288 10   Conclusions and Recommendations   296      Research and Policy Recommendations,   301     References   331 Appendixes     A  Sponsors and Contributors   357 B  Biographical Sketches of Committee Members and Staff   358 Index   365

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