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1. HOW TO MAKE AUTOMATED
SYSTEMS TEAM PLAYERS
Klaus Christoffersen and David D. Woods
Interface (noun): an arbitrary line of demarcation set up in order to apportion the blame for
malfunctions.
(Kelly-Bootle, 1995, p. 101).
HUMAN-AUTOMATION COOPERATION:
WHAT HAVE WE LEARNED?
Advances in technology and new levels of automation have had many effects
in operational settings. There have been positive effects from both an economic
and a safety point of view. Unfortunately, operational experience, field research,
simulation studies, incidents, and occasionally accidents have shown that new
and surprising problems have arisen as well. Breakdowns that involve the inter-
action of operators and computer-based automated systems are a notable and
dreadful path to failure in these complex work environments.
Over the years, Human Factors investigators have studied many of the “natural
experiments” in human-automation cooperation – observing the consequences in
cases where an organization or industry shifted levels and kinds of automation.
One notable example has been the many studies of the consequences of new
levels and types of automation on the flight deck in commercial transport aircraft
(from Wiener & Curry, 1980 to Billings, 1996). These studies have traced how
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Advances in Human Performance and Cognitive Engineering Research, Volume 2,
pages 1–12.
Copyright © 2002 by Elsevier Science Ltd.
All rights of reproduction in any form reserved.
ISBN: 0-7623-0864-8
episodes of technology change have produced many surprising effects on many
aspects of the systems in question.
New settings are headed into the same terrain (e.g. free flight in air traffic
management, unmanned aerial vehicles, aero-medical evacuation, naval opera-
tions, space mission control centers, medication use in hospitals). What can we
offer to jump start these cases of organizational and technological change from
more than 30 years of investigations on human-automation cooperation
(from supervisory control studies in the 1970s to intelligent software agents in
the 1990s)?
Ironically, despite the numerous past studies and attempts to synthesize the
research, a variety of myths, misperceptions, and debates continue. Furthermore,
some stakeholders, aghast at the apparent implications of the research on human-
automation problems, contest interpretations of the results and demand even
more studies to replicate the sources of the problems.
Escaping from Attributions of Human Error versus Over-Automation
Generally, reactions to evidence of problems in human-automation cooperation
have taken one of two directions (cf. Norman, 1990). There are those who argue
that these failures are due to inherent human limitations and that with just a
little more automation we can eliminate the “human error problem” (e.g. “clear
misuse of automation . . . contributed to crashes of trouble free aircraft”, La
Burthe, 1997). Others argue that our reach has exceeded our grasp – that the
problem is over-automation and that the proper response is to revert to lesser
degrees of automated control (often this position is attributed to researchers by
stakeholders who misunderstand the research results – e.g. (“. . . statements
made by . . . Human Factors specialists against automation ‘per se’ ”, La Burthe,
1997). We seem to be locked into a mindset of thinking that technology and
people are independent components – either this electronic box failed or that
human box failed.
This opposition is a profound misunderstanding of the factors that influence
human performance (hence, the commentator’s quip quoted in the epigraph).
The primary lesson from careful analysis of incidents and disasters in a
large number of industries is that many accidents represent a breakdown in
coordination between people and technology (Woods & Sarter, 2000). People
cannot be thought about separately from the technological devices that are
supposed to assist them. Technological artifacts can enhance human expertise
or degrade it, “make us smart” or “make us dumb” (Norman, 1993).
The bottom line of the research is that technology cannot be considered in
isolation from the people who use and adapt it (e.g. Hutchins, 1995). Automation
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and people have to coordinate as a joint system, a single team (Hutchins, 1995;
Billings, 1996). Breakdowns in this team’s coordination is an important path
towards disaster. The real lessons of this type of scenario and the potential for
constructive progress comes from developing better ways to coordinate the
human and machine team – human-centered design (Winograd & Woods, 1997).
The overarching point from the research is that for any non-trivial level
of automation to be successful, the key requirement is to design for fluent,
coordinated interaction between the human and machine elements of the system.
In other words, automation and intelligent systems must be designed to
participate in team play (Malin et al., 1991; Malin, 1999).
The Substitution Myth
One of the reasons the introduction of automated technologies into complex
work environments can fail or have surprising effects is an implicit belief on
the part of designers that automation activities simply can be substituted for
human activities without otherwise affecting the operation of the system. This
belief is predicated on an assumption that the tasks performed within the system
are basically independent. However, when we look closely at these environ-
ments, what we actually see is a network of interdependent and mutually adapted
activities and artifacts (e.g. Hutchins, 1995). The cognitive demands of the work
domain are not met simply by the sum of the efforts of individual agents working
in isolation, but are met through the interaction and coordinated efforts of
multiple people and machine agents.
Adding or expanding the role of automation changes the nature of the
interactions in the system, often affecting the humans’ role in profound ways
(one summary is in Woods & Dekker, 2000). For example, the introduction of
a partially autonomous machine agent to assist a human operator in a high
workload environment is, in many respects, like adding a new team member.
This entails new coordination demands for the operator – they must ensure that
their own actions and those of the automated agent are synchronized and
consistent. Designing to support this type of coordination is a post-condition
of more capable, more autonomous automated systems. However meeting this
post-condition receives relatively little attention in development projects. The
result can be automation which leaves its human partners perplexed, asking
Wiener’s (1989) now familiar questions: what is it doing? why is it doing that?
what is it going to do next?
As designers, we clearly want to take advantage of the power of computa-
tional technologies to automate certain kinds of cognitive work. However,
we must realize that the introduction of automation into a complex work
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environment is equivalent to the creation of a new cognitive system of distrib-
uted human and machine agents and new artifacts. We must also realize
the coordination across agents in the system is at least as important as the
performance of the individual agents taken in isolation, especially when
situations deviate from textbook cases. The attention we give to designing
support for this coordination as incidents evolve and escalate can be the
determining factor in the success or failure of the human-machine system
(Woods & Patterson, 2000).
How to Design for Coordination: Observability And Directability
More sophisticated automated systems or suites of automation represent an
increase in autonomy and authority (Woods, 1996). Increasing the autonomy
and authority of machine agents is not good or bad in itself. The research results
indicate that increases in this capability create the demand for greater
coordination. The kinds of interfaces and displays sufficient to support human
performance for systems with lower levels of autonomy or authority are no
longer sufficient to support effective coordination among people and more
autonomous machine agents. When automated systems increase autonomy or
authority without new tools for coordination, we find automation surprises
contributing to incidents and accidents (for summaries see Woods, 1993; Woods,
Sarter & Billings, 1997; Woods & Sarter, 2000).
The field research results are clear – the issue is not the level of autonomy
or authority, but rather the degree of coordination. However, the design impli-
cations of this result are less clear. What do research results tell us about how
to achieve high levels of coordination between people and machine agents?
What is necessary for automated systems to function as cooperative partners
rather than as mysterious and obstinate black boxes? The answer, in part, can
be stated simply as – Cooperating automation is both observable and directable.
OBSERVABILITY: OPENING UP THE BLACK BOX
One of the foundations of any type of cooperative work is a shared represen-
tation of the problem situation (e.g. Grosz, 1981; McCarthy et al., 1991). In
human-human cooperative work, a common finding is that people continually
work to build and maintain a “common ground” of understanding in order to
support coordination of their problem solving efforts (e.g. Patterson et al., 1999).
We can break the concept of a shared representation into two basic (although
interdependent) parts: (1) a shared representation of the problem state, and
(2) representations of the activities of other agents. The first part, shared
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representation of the problem situation, means that the agents need to maintain
a common understanding of the nature of the problem to be solved. What type
of problem is it? Is it a difficult problem or a routine problem? Is it high priority
or low priority? What types of solution strategies are appropriate? How is the
problem state evolving? The second part, shared representation of other agents’
activities, involves access to information about what other agents are working
on, which solution strategies they are pursuing, why they chose a particular
strategy, the status of their efforts (e.g. are they having difficulties? why? how
long will they be occupied?), and their intentions about what to do next.
Together with a set of stable expectations about the general strategies and
behavior of other agents across contexts, mutual knowledge about the current
situation supports efficient and effective coordination among problem solving
agents (Patterson et al., 1999). Agents can anticipate and track the problem
solving efforts of others in light of the problem status and thus coordinate their
own actions accordingly. The communicative effort required to correctly inter-
pret others’ actions can be greatly reduced (e.g. short updates can replace lengthy
explanations). The ability to understand changes in the state of the monitored
process is facilitated (e.g. discerning whether changes are due to a new problem
or to the compensatory actions of others). An up to date awareness of the
situation also prepares agents to assist one another if they require help.
Notice how much of the knowledge discussed here is available at relatively
low cost in “open” work environments involving multiple human agents. For
example, in older, hardwired control centers, individual controllers can often
infer what other controllers are working on just by observing which displays
or control panels they are attending to. In the operating room, surgical team
members can observe the activities of other team members and have relatively
direct, common access to information about the problem (patient) state. The
open nature of these environments allows agents to make intelligent judgments
about what actions are necessary and when they should be taken, often without
any explicit communication. However, when we consider automated team
members, this information no longer comes for free – we have to actively design
representations to generate the shared understandings which are needed to
support cooperative work.
Data Availability Does Not Equal Informativeness
Creating observable machine agents requires more than just making data about
their activities available (e.g. O’Regan, 1992). As machine agents increase
in complexity and autonomy, simple presentations of low-level data become
insufficient to support effective interaction with human operators. For example,
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many early expert systems “explained” their behavior by providing lists of the
individual rules which had fired while working through a problem. While
the data necessary to interpret the system’s behavior was, in a literal sense,
available to operators, the amount of cognitive work required to extract a useful,
integrated assessment from such a representation was often prohibitive. A more
useful strategy was to provide access to the intermediate computations and
partial conclusions that the machine agent generated as it worked on a problem.
These were valuable because they summarized the machine agent’s conception
of the problem and the bases for its decisions at various points during the
solution process.
In general, increases in the complexity and autonomy of machine agents
requires a proportionate increase in the feedback they provide to their human
partners about their activities. Representations to support this feedback process
must emphasize an integrated, dynamic picture of the current situation, agent
activities, and how these may evolve in the future. Otherwise, mis-assessments
and miscommunications may persist between the human and machine agents
until they become apparent through resulting abnormal behavior in the process
being controlled. For example, the relatively crude mode indicators in the current
generation of airliner cockpits have been implicated in at least one major air
disaster. It is clearly unacceptable if the first feedback pilots receive about a
miscommunication with automation is the activation of the ground proximity
alarm (or worse).
Human agents need to be able to maintain an understanding of the problem
from the machine agent’s perspective. For instance, it can be very valuable to
provide a representation of how hard the machine agent is having to work
to solve a problem. Is a problem proving especially difficult? Why? If the
automated agent has a fixed repertoire of solution tactics, which have been
tried? Why did they fail? What other options are being considered? How
close is the automation to the limits of its competence? Having this sort
of information at hand can be extremely important to allow a human agent to
intervene appropriately in an escalating critical situation.
Providing effective feedback to operators in complex, highly automated
environments represents a significant challenge to which there are no ready-
made solutions. Answering this challenge for the current and future generations
of automation will require fundamentally new approaches to designing
representations of automation activity (e.g. Sarter, 1999; Sklar & Sarter, 1999;
Nikolic & Sarter, 2001). While the development of these approaches remains
to be completed, we can at least sketch some of the characteristics of these
representation strategies (Woods & Sarter, 2000). The new concepts will
need to be:
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• Event-based: representations will need to highlight changes and events
in ways that the current generation of state-oriented display
techniques do not.
• Future-oriented: in addition to historical information, new techniques will
need to include explicit support for anticipatory reasoning,
revealing information about what should/will happen next
and when.
• Pattern-based: operators must be able to quickly scan displays and pick
up possible abnormalities or unexpected conditions at a
glance rather than having to read and mentally integrate
many individual pieces of data
DIRECTABILITY: WHO OWNS THE PROBLEM?
Giving human agents the ability to observe the automation’s reasoning processes
is only one side of the coin in shaping machine agents into team players. Without
also giving the users the ability to substantively influence the machine agent’s
activities, their position is not significantly improved. One of the key issues
which quickly emerges in trying to design a cooperative human-machine system
is the question of control. Who is really in charge of how problems are solved?
As Billings (1996) pointed out, as long as some humans remain responsible
for the outcomes, they must also be granted effective authority and therefore
ultimate control over how problems are solved. Giving humans control over
how problems are solved entails that we, as designers, view the automation as
a resource which exists to assist human agents in the process of their problem
solving efforts.
While automation and human activities may integrate smoothly during
routine situations, unanticipated problems are a fact of life in complex work
environments such as those where we typically find advanced automation. It
is impossible in practice, if not in principle, to design automated systems
which account for every situation they might encounter. While entirely novel
problems may be quite rare, a more common and potentially more troublesome
class of situations are those which present complicating factors on top of
typical, “textbook” cases (cf. studies of brittleness of automated systems
include Roth et al., 1987; Guerlain et al., 1996; Smith et al., 1997). These cases
challenge the assumptions on which the pre-defined responses are based, calling
for strategic and tactical choices which are, by definition, outside the scope
of the automation’s repertoire. The relevant question is, when these sorts of
problems or surprises arise, can the joint system adapt successfully?
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Traditionally, one response to this need has been to allow human operators
to interrupt the automation and take over a problem manually. Conceiving of
control in this way, an all-or-nothing fashion, means that the system is limited
to operating in essentially one of two modes – fully manual or fully automatic.
This forces people to buy control of the problem at the price of the considerable
computational power and many potentially useful functions which the automa-
tion affords. What is required are intermediate, cooperative modes of interaction
which allow human operators to focus the power of the automation on particular
sub-problems, or to specify solution methods that account for unique aspects
of the situation which the automated agent may be unaware of. In simple
terms, automated agents need to be flexible and they need to be good at taking
direction.
Part of the reason that directability is so important is that the penalties for
its absence tend to accrue during those critical, rapidly deteriorating situations
where the consequences can be most severe. One of the patterns that we see
in the dynamic behavior of complex human-machine systems during abnormal
situations is an escalation in the cognitive and coordinative demands placed on
human operators (Woods & Patterson, 2000). When a suspicious or anomalous
state develops, monitoring and attentional demands increase; diagnostic activi-
ties may need to be initiated; actions to protect the integrity of the process may
have to be undertaken and monitored for success; coordination demands increase
as additional personnel/experts are called upon to assist with the problem;
others may need to be informed about impacts to processes under their control;
plans must be modified, contingencies considered; critical decisions need to be
formulated and executed in synchronization with other activities. All of this can
occur under time pressure (Klein et al., 2000).
These results do not imply that automation work only as a passive adjunct
to the human agent. This is to fall right back into the false dichotomy of people
versus automation. Clearly, it would be a waste of both humans’ and automa-
tion’s potential to put the human in the role of micro-managing the machine
agent. At the same time however, we need to preserve the ability of human
agents to act in a strategic role, managing the activities of automation in ways
that support the overall effectiveness of the joint system. As was found for the
case of observability, one of the main challenges is to determine what levels
and modes of interaction will be meaningful and useful to practitioners. In some
cases human agents may want to take very detailed control of some portion of
a problem, specifying exactly what decisions are made and in what sequence,
while in others they may want only to make very general, high level correc-
tions to the course of the solution in progress. Accommodating all of these
possibilities is difficult and requires careful iterative analysis of the interactions
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between system goals, situational factors, and the nature of the machine agent.
However, this process is crucial if the joint system is to perform effectively in
the broadest possible range of scenarios (Roth et al., 1997; Dekker & Woods,
1999; Guerlain et al., 1999; Smith et al., 2000; Smith, in press).
In contrast to this, technology-driven designs tend to isolate the activities of
humans and automation in the attempt to create neatly encapsulated, pseudo-
independent machine agents. This philosophy assumes that the locus of expertise
in the joint human-machine system lies with the machine agent, and that
the human’s role is (or ought to be)1largely peripheral. Such designs give
de facto control over how problems are solved to the machine agent. However,
experience has shown that when human agents are ultimately responsible for
the performance of the system, they will actively devise means to influence it.
For example, pilots in highly automated commercial aircraft have been known
to simply switch off some automated systems in critical situations because they
have either lost track of what the automation is doing, or cannot reconcile the
automation’s activities with their own perception of the problem situation.
Rather than trying to sort out the state of the automation, they revert to manual
or direct control as a way to reclaim understanding of and control over the
situation. The uncooperative nature of the automated systems forces the pilots
to buy this awareness and control at the price of abandoning the potentially
useful functions that the automation performs, thus leaving them to face the
situation unaided.
Whither Automated Agents? Invest in Design for Team Play
Repeatedly, performance demands and resource pressures lead mission organi-
zations to invest in increasing the autonomy and authority of automated systems.
Because of unquestioned assumptions that people and automated systems are
independent and inter-changeable, organizations fail to make parallel investments
in design for observability and directability. Often in the process of recruiting
resources for new levels of automation, advocates vigorously promote the claim
that the more autonomous the machine, the less the required investment in team
play and the greater the savings for the organization.
The operational effects of this pattern of thinking are strikingly consistent.
Inevitably, situations arise requiring team play; inevitably, the automation is
brittle at the boundaries of its capabilities; inevitably, coordination breakdowns
occur when designs fail to support collaborative interplay; and inevitably,
operational personnel must scramble to work around clumsy automation which
is ill-adapted to the full range of problems or to working smoothly with
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other agents. Meanwhile, cycling in the background, commentators from various
perspectives bicker about crediting one or another agent as the sole cause of
system failures (Woods & Sarter, 2000).
We have no need to witness or document more of these natural experiments
in strong, silent, difficult to direct automation. Experience has provided us with
ample evidence for the shallowness, error, and sterility of these conventional
beliefs. If we simply drop the blinders of the Substitution Myth, the scene
comes into clear focus (Woods & Tinapple, 1999). The analysis of past natural
experiments reveals ways to go forward. Because of increasing capabilities of
automated systems, the design issue is collaboration within the joint human-
machine system as this joint system copes with the variety and dynamics of
situations that can occur. For this joint human-machine system to operate
successfully, automated agents need to be conceived and designed as “team
players”. Two of the key elements needed to support this coordinated cognitive
work are observability and directability.
SUMMARY
When designing a joint system for a complex, dynamic, open environment,
where the consequences of poor performance by the joint system are potentially
grave, the need to shape the machine agents into team players is critical.
Traditionally, the assumption has been that if a joint system fails to perform
adequately, the cause can be traced to so-called “human error.” However,
if one digs a little deeper, they find that the only reason many of these
joint systems perform adequately at all is because of the resourcefulness and
adaptability that the human agents display in the face of uncommunicative
and uncooperative machine agents. The ability of a joint system to perform
effectively in the face of difficult problems depends intimately on the ability
of the human and machine agents to coordinate and capitalize upon the unique
abilities and information to which each agent has access.
For automated agents to become team players, there are two fundamental
characteristics which need to be designed in from the beginning: observability
and directability. In other words, users need to be able to see what the automated
agents are doing and what they will do next relative to the state of the process,
and users need to be able to re-direct machine activities fluently in instances
where they recognize a need to intervene. These two basic capabilities are the
keys to fostering a cooperative relationship between the human and machine
agents in any joint system.
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NOTE
1. Recall that intelligent automation has often been introduced as an attempt to replace
“inefficient” or “error-prone” human problem solvers.
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