User Manual for ATC Human Factors Checklist
Preface | About the Authors | Table of Contents | Executive Summary | To Request a Copy
Preface
Air traffic control (ATC) specialists are often responsible for shaping the development and evaluation of new air traffic systems. This important task requires making many decisions about the design and operation of displays, controls, and supporting software functions. This handbook and accompanying checklist have been designed to help operations specialists address these human factors issues. This handbook provides background material on the role of human factors in the acquisition process, the capabilities and limitations of humans as information processors and the evaluation of displays and controls. It also includes discussions of issues of particular interest to air traffic control, such as the benefits and limitations of automation, and methods of workload assessment. Application of the information presented in this handbook will help to minimize the probability of human error in human-system interactions and increase the efficiency of human-system performance. These are two paramount goals of the FAA's National Plan for Civil Aviation Human Factors: An Initiative for Research and Application (March, 1995). This material is provided solely for guidance and is intended to be used by ATC specialists as they see fit.
This work was sponsored by the Federal Aviation Administration's Office of the Chief Scientific and Technical Advisor for Human Factors (AAR-100). We are grateful to Lawrence Cole, Glen Hewitt, Thomas McCloy, William White, and John Zalenchak for their support and technical advice.
During the first several months of this project, we conducted a survey to identify topics that should be included in this document. We are extremely grateful to the people who so graciously gave us the benefit of their time, thought, and experience.
Interviews were held in the following locations with the personnel listed, to whom we wish to express our appreciation:
Data Distribution Facility, Gaithersburg, MD:
Larry Roberts, NAS Implementation (AMNI) Seattle ARTCC
FAA Headquarters (ATR), Washington, DC:
Terry Bass, Terry Brown, and Terry Schomberg
Oklahoma City, OK:
FAA Academy: Claude Schuldt
Civil Aeromedical Institute (CAMI): Carol Manning, Mark Rodgers, Henry Mertens, Mark Touchstone
Denver ARTCC, Longmont, CO:
Mo Hart, Center TRACON Tower Automation System (CTAS)/
CTAS System Development Team
Seattle ARTCC, Auburn, WA:
Dave Taylor, Denise Harrell, John Warner, Peter Maunsell, Carl Jensen, Glen Wood, Tom Rieger, Mike Marler, Larry Roberts
SeattleTacoma (SEATAC) Tower:
Art Vail
We are especially grateful to Fred Heistuman (Seattle ARTCC, NAS Implementation Office) for his gracious support during our visit to the Center.
We also would like to thank the following members of the VSCS System Requirements Team for their very helpful feedback and their responses to our questionnaires: Jeff Call (ATR320), Hoyt Diamond (Indianapolis ARTCC), Joel Hicks (ATR320), Terry Jackson (Kansas City ARTCC), Richard Jensen (Seattle ARTCC), Edward Kunz (DSM), Chris McMahon (Boston ARTCC), Gary Nigro (AEA512), Robert Potter (Denver ARTCC), and Charles Ullmann (SATCS).
Additional questionnaires were collected from the following individuals, to whom we wish to express our gratitude: Robert Greene, Paul Krois, Gary Powell, Wayne Tobey, and James Yohman (CTA), and Rod Hurlbert (Denver ARTCC).
A group discussion of human factors issues associated with system design and development was held with the following CTA human factors personnel, who support the VSCS System Requirements Team (SRT): Valerie Dykstra, James Epley, Mark Guidi, and Brian Legan. We are grateful for their enthusiastic participation and thoughtful comments.
During the months of preparing the text and checklist, we relied on reviews by Renate RoskeHofstrand (NYMA), James Yohman (CTA), Robert Humbertson (Booz×Allen & Hamilton), Kelly Harwood (CTA), Rust Potter (FAA Technical Center), Leslie Carter (CTA), and Paula Van Balen (Harris Corporation). Discussions with these reviewers were extremely helpful and productive.
We thank Stephanie Levy (EG&G Dynatrend) for her painstaking construction of the document and endless hours of talented editorial and publication support. We also thank Sherwin Han (EG&G Dynatrend) for his review of the checklist.
We are also grateful to those who contributed photographs to the text: Paula Nouragas (FAA Technical Center), Ed Peters (Measurement Systems, Inc.), Pat Tomasetti (FAA Public Affairs), Tirey Vickers (Air Traffic Control Association), and Marilyn Welles (MITRE).
The writers wish to express their sincere thanks to Robert Hawley (Booz×Allen & Hamilton, Program Manager) and Jordan Multer (Volpe Center, Technical Project Monitor) for their managerial support and to John Crosby (Booz×Allen & Hamilton, Graphic Designer/Editor) who cheerfully kept track of important details and helped ensure that things ran smoothly.
Finally, even the most complex and efficient machine is only as good as its power source. Cynthia Smith Karon (Booz×Allen & Hamilton) was our power source. Her remarkable technical, organizational, and editorial talents combined with her dedication and attention to detail contributed significantly to the quality of this document. Her joyful energy and enthusiasm were contagious and remained undaunted, even through the most trying of circumstances. We are indebted to Cyndy in more ways than she will ever know.
About the Authors
Kim M. Cardosi received a Ph.D. in Experimental Psychology from Brown University in 1985 where her area of research was visual perception. She received a private pilot certificate in 1989. In 1988, Dr. Cardosi received the Research and Special Programs' Administrator's Award for Superior Achievement for her work in cockpit and cabin crew coordination. In 1993 she received the same award for work in human factors in air traffic control. Dr. Cardosi has conducted numerous studies on pilot-controller voice communications and simulation studies of prototype equipment for air traffic control. She is currently the manager of the air traffic control human factors program at the Volpe National Transportation Systems Center in Cambridge, Massachusetts.
Elizabeth D. Murphy received an M.A. in Industrial/Organizational Psychology from George Mason University in 1983 and is currently pursuing a Ph.D. in Cognitive and Experimental Psychology at the University of Maryland. Ms. Murphy has over 11 years of experience in human factors analysis and design of automated systems and environments for the Federal Aviation Administration (FAA) and the National Aeronautics and Space Administration (NASA). Her areas of expertise include cognitive psychology, air traffic control human factors, cognitive modeling, workload and performance, and computer-human interaction. She has co-authored more than 30 scientific papers and is currently a senior human factors specialist with CTA INCORPORATED in Rockville, Maryland.
Glen Hewitt is currently serving as a Scientific and Technical Advisor for Human Factors in FAA Research and Acquisitions. Previously, he conducted human factors support for system operational test and evaluation as a Senior Principal Scientist with the Atlantic Research Corporation. Prior to that, he served with the Department of Defense where he conducted manpower and force planning, modelling, and analyses, and was instrumental in the development and implementation of Manpower and Personnel Integration (MANPRINT) and Human System Integration (HSI) programs. In 1987, he fulfilled a Fellowship program in Human Factors and Operations Research with the RAND Corporation. He is the author of a number of articles, handbooks, and guides on human factors applications and programs. He is a graduate of both the Army's Command and General Staff College (Planning and Analysis) and the Navy's Naval Command College (Policy and Economic Decision Making). He is a Certified System Professional from the International Certified Computer Professionals. He holds a BS in Engineering from the United States Military Academy and an MS in Systems Management and Safety from the University of Southern California.
John S. Werner received his Ph.D. in Experimental Psychology from Brown University in 1979. He has conducted postdoctoral research at the Institute for Human Factors in Soesterberg, The Netherlands; the Department of Neurophysiology at the University of Freiberg, Germany; and the Institute of Ophthalmology at the University of London. Dr Werner is a Fellow of the American Psychological Association and the Optical Society of America. He has received awards from the American Academy of Optometry, the American Psychological Association, and the Alexander von Humboldt Foundation in Bonn, Germany. Dr Werner's primary research interests are the physiological mechanisms of human vision, particularly color vision, and their changes correlated with age (from birth to senescence) and exposure to light. He has co-authored several books and more than 80 scientific papers. He is currently a Professor of Psychology at the University of Colorado, Boulder.
Daniel J. Hannon received a Ph.D. in Experimental Psychology from Brown University in 1991 where he studied visual perception, with a particular emphasis on the perception of color. He conducted postdoctoral research on age-related declines in visual perception and cognition at Syracuse University. Dr. Hannon began working in cockpit and air traffic control human factors in 1993 as a research scientist for Battelle Memorial Institute and later as an engineering psychologist with the Volpe National Transportation Systems Center in Cambridge, Massachusetts. His current research pursuits include the development of cockpit displays for the depiction of terrain and aeronautical charts, and the use of color on air traffic control displays.
Donna Anastasi received an MS in Industrial and Systems Engineering from the Georgia Institute of Technology in 1986. Her area of expertise is user-system interface design and evaluation. She was the primary author of the Style Guide for the User-System Interface of the Air Force Mission Support System. Ms. Anastasi is currently a group engineer at CTA INCORPORATED in Bedford, Massachusetts and serves as the team leader for an on-site evaluation of a user-system interface at Lockheed Saunders.
Brian Hill received an MA in Human Factors and Applied Experimental Psychology from the University of Dayton in 1990. His areas of specialization include requirements analysis, operational testing and evaluation, site implementation, and training. He has worked on evaluations of the Initial Sector Suite (ISS) and Tower Control Complex (TCC). Mr. Hill is currently at CTA INCORPORATED in McLean, Virginia where he is a senior engineer serving as the technical manager of the team supporting the FAA's Operational Engineering Group for the Voice Switching and Control System (VSCS).
Jerry Guttman received an MA in Industrial psychology from Western Kentucky University in 1985. His areas of specialization include measurement of air traffic controller performance, computer-human interface and display design. He has co-authored a number of technical reports, primarily on airspace complexity and its effect on controller performance, and on laboratory evaluations of air traffic controller performance. While contributing to this document Mr. Guttman was at CTA INCORPORATED; he is currently a Technical Program Manager with Princeton Economics Research Incorporated (PERI).
Paola Amaldi received an MS in Cognitive Engineering from the University of Pittsburgh. She helped to develop controller performance and workload measures in support of the FAA's Multiple Parallel Approach Program. Ms. Amaldi is currently participating in a work-study program abroad while pursuing a Ph.D.
Table of Contents
Chapter 1. Introduction
1.1 Purpose
1.2 Definitions
1.3 Key Points
1.4 Sources
1.5 Use of This Handbook and Checklist
1.6 Document Overview
1.7 Call for Comments
1.8 References and Suggestions for Further Reading
1.9 Endnotes
Chapter 2. Human Factors in Systems Acquisition
2.1 Introduction
2.2 Early and Continuous Focus Upon Human Factors Considerations
2.3 Documenting Human Factors Considerations - Developing a Human Factors Plan
2.4 Context of Human Factors Plan
2.5 Contents of Human Factors Plan
2.6 Information References
2.7 Assistance
Appendix 2a. Checklist Items
Chapter 3. Visual perception
3.1 Basics of Visual Perception
3.2 Color Perception
3.3 References and Suggestions for Further Reading
Chapter 4. Auditory Perception and Speech Communication
4.1 Auditory Perception
4.2 Speech Perception
4.3 Pilot-Controller Communications
4.4 References and Suggestions for Further Reading
4.5 Endnotes
Chapter 5. Human Information Processing
5.1 Basics of Human Information Processing
5.2 Human Information Processing Capabilities and Limitations
5.3 Attention
5.4 Memory and Forgetting
5.5 Problem Solving and Decision Making
5.6 Summary of Implications for Design and Evaluation
5.7 References and Suggestions for Further Reading
Appendix 5a. Checklist Items
Chapter 6. Issues in ATC Automation
6.1 To Automate or Not to Automate
6.2 Potential Effects of ATC Automation
6.3 User-Centered Automation
6.4 Evaluation Issues
6.6 References and Suggestions for Further Reading
Appendix 6a. Checklist Items
Chapter 7. Computer-Human Interface (CHI) Considerations
7.1 Overview
7.2 Visual Displays
7.3 Auditory Displays
7.4 Input Devices
7.5 Controller-Computer Interaction
7.6 Future CHI Issues
7.7 References and Suggestions for Further Reading
7.8 Endnotes
Appendix 7a. Checklist Items
Chapter 8. Workload and Performance Measurement in the ATC Environment
8.1 Introduction
8.2 Issues in Workload and Performance Measurement
8.3 Evaluating Changes Introduced by Design Products
8.4 References
Appendix 8a. Checklist Items
Chapter 9. Workstation and Facility Design and Evaluation
9.1 Introduction
9.2 Design Requirements and Controller Performance
9.3 User-Centered Workstation Design
9.4 Design of Control Room Consoles and Seating
9.5 Design of Communication Equipment
9.6 Environmental Design
9.7 References
Appendix 9a. Checklist Items
Chapter 10. Human Factors Testing and Evaluation
10.1 Introduction
10.2 To Test or Not to Test
10.3 Human Performance Measurement
10.4 Test Methods
10.5 Analysis of Test Results
10.6 References
10.7 Endnotes
Appendix 10a. Checklist Items
Appendix A-Human Factors Considerations for Color Displays for ATC
Appendix B-Master Checklist
Appendix C-Glossary of Terms
Appendix D-Acronyms List
Index
Executive Summary
Air traffic control (ATC) specialists are often responsible for shaping the development and evaluation of new air traffic systems. This important task requires making many decisions about the design and operation of displays, controls, and supporting software functions. This document presents human factors issues that should be considered in the design and evaluation of air traffic control (ATC) systems and subsystems. It provides background material on the role of human factors in the acquisition process, the capabilities and limitations of humans as information processors and the evaluation of displays and controls. It also includes discussions of issues of particular interest to air traffic control, such as the benefits and limitations of automation, and methods of workload assessment. Application of the information presented in this handbook will help to minimize the probability of human error in human-system interactions, limit the consequences of these errors, and increase the efficiency of human-system performance. These are paramount goals of the FAA's National Plan for Civil Aviation Human Factors: An Initiative for Research and Application (March, 1995).
The introduction to this document, presented in Chapter 1, provides an overview of the scope of this document, how it was constructed, and how it should be used. Chapter 2 discusses the role of the science of human factors in the system acquisition process from the specification of requirements to the evaluation of prototype systems. The chapter concludes with information on how to develop a human factors plan.
Chapters 3 and 4 provide an introduction to visual and auditory perception. Since all of the critical information that controllers take in comes either through the eyes or the ears, it is important to understand these processes. The capabilities and limitations of human vision and how these abilities change with age are discussed in detail in Chapter 3. Topics include: acuity, form vision, flicker, depth perception, and color perception. Chapter 4 discusses the capabilities and limitations of the auditory system with a particular focus on speech perception and controller-pilot voice communications.
How we process the information that is taken in through our senses is discussed in Chapter 5. Because the controller's job centers on processing information, planning, and making decisions under time pressure, it is important that systems support and complement these critical processes. Topics discussed in Chapter 5 include: the time required for information processing activities, attention, memory and forgetting, problem solving, and decision making.
How the increased use of ATC automation can be expected to change the controllers' tasks is discussed in Chapter 6, Issues in ATC Automation. The purpose of this chapter is to assist the ATC specialists in their specification of requirements in terms of which tasks should be automated and how these functions should be automated. The differences between a "technology-centered" and a "user-centered" approach to automation is discussed as well as the potential benefits and drawbacks of automation.
A overview of issues in computer-human interface (CHI) is presented in Chapter 7. This chapter focusses on visual and auditory displays, and the devices and methods of data entry. It includes information on symbology, the use of color, flicker, visual and auditory alerts, keyboards, touchscreens, trackballs and other input devices, menus, formats for data-entry, and error messages.
How workload is defined and measured is critical in an evaluation. Chapter 8 discusses workload and performance measurement in the ATC environment. It surveys the methods currently used to measure workload and discusses the advantages and limitations of each of these methods. This information should be used not only to select the workload measures used in an evaluation, but also to interpret the results of workload evaluations.
An ATC workstation includes all the items located within the controller's work space: the main display and control console, auxiliary displays, communications equipment, work surfaces, seating, and storage. If designed properly, ATC workstations and facility environments can promote the controller's safety, health, job performance, and job satisfaction. Proper design results from an understanding of the operational realities and the application of basic human factors principles. Chapter 9 examines the key human factors issues in workstation and facility design.
Chapter 10 discusses human factors testing and evaluation. It provides information on: how human performance is measured, the different types of tests available (e.g., questionnaires, laboratory experiments, simulation studies), how to determine which is the most appropriate type of test, and how test results should be analyzed and interpreted.
Because each chapter is meant to be able to stand alone and not require knowledge of previous chapters, a thorough reader will notice some redundancy. Where a specific topic is covered in more detail in another chapter, it is noted.
Most chapters in this document conclude with a list of checklist items. These items are compiled in the accompanying document, Human Factors Checklist for the Design and Evaluation of ATC Systems. The goal of these checklist items is to point air traffic controllers and other operations specialists to questions that they may wish to consider in their evaluation of new systems or subsystems, or a new component of an existing system. The numbers in parentheses at the end of each checklist item refer to the section of the handbook that discusses the issue. This mapping allows the checklist user to learn about the basis for the item, why it is important, and the implications of compromise. This material is provided solely for guidance and is intended to be used by ATC specialists as they see fit.
If you would like a copy of this handbook and checklist on CD, please send your name, address, and one sentence description of your work to:
Kim Cardosi
Center of Innovation for Human Factors Research and System Applications, RVT-80
Volpe National Transportation Systems Center
Cambridge, MA 02142-1093
e-mail: kim.cardosi@dot.gov
