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Automation mania in the time of Automation mania in the time of Reason: considerations for complex Reason: considerations for complex transportation systems transportation systems Stephen Popkin, Ph.D. Volpe National Transportation Systems


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Automation mania in the time of Automation mania in the time of Reason: considerations for complex Reason: considerations for complex transportation systems transportation systems

Stephen Popkin, Ph.D. Volpe National Transportation Systems Center U.S. Department of Transportation

18 November 2010

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Volpe Center Human Factors Volpe Center Human Factors

*

  • 35 Federal Staff, 16 holding a PhD
  • $13M project work per year
  • 4 generation workforce, 2/3 women
  • Projects span all modes
  • Separate laboratory building
  • CRADA with MIT, open to others
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Center of Innovation Mission Center of Innovation Mission

  • Quantitative Analysis of Relationships Between Human

Behavior and Transportation Safety, Health and Productivity

– Human-Systems Interface and Habitability – Human-Centered Automation – Human Performance Assessment – Experimental Design and Statistical Analysis – Information Management & Display Evaluation – Organizational Behavior

  • In Support of Planning, Rule Making, Systems

Evaluation and Specification, and Other Federal Agency Requirements

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Automation Mania Automation Mania Automation Mania

There is no such thing as an unmanned system

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Apple Computer Is Usually Good at This Apple Computer Is Usually Good at This

  • Ability to design and launch very successful products like

the Iphone, Itouch and Ipad

  • Tapped into emerging confluence of user needs and

developed infrastructure both in creating the foundational technologies and incremental inprovements

  • Not all products have been a success, however, mostly

due to a lack of infrastructure and user needs and/or understanding (Apple Newton)

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Growing Concerns with Introduction of Growing Concerns with Introduction of Automation/Capability Automation/Capability

  • Washington Post: Airport 'pat-downs' cause

growing passenger backlash

  • Web/Facebook Capable Cars

– “GoCarShare to use Facebook for car sharing”

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More Concern Over Automated Systems More Concern Over Automated Systems

  • WP: U.S. Power Plants at risk of attach by computer work

like Stuxnet (Oct 1)

  • WP: Warning labels on cell phones (Sept 22)
  • WSJ: Automation Erodes Pilot Skills (Nov 11)

Reliance on automated systems may be eroding the flying skills of pilots, contributing to about 60 percent of the accidents reviewed by an FAA research team. “Operating flight-control computers can distract pilots from ‘managing the flight path of the airplane,’ Abbott said. In addition, ‘pilots sometimes abdicate too much responsibility to the automated systems.’ She added that sometimes pilots don't get enough practice in hand-flying and will hesitate to take control away from the computer in an emergency.”

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Living in the Age of Reason Living in the Age of Reason

Adapted from J. Reason

“Man cannot make principles, he can only discover them” Thomas Paine from the Age of Reason: Hazards Losses Active Failures Latent Conditions Successive Layers consider increased safeguards (barriers) within and across different dimensions or levels of the Sociotechnical mode

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Economic, Social, Legal, & Regulatory Context Organizational/Management/Labor Infrastructure Individual/Team Behavior Physical System

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In addition to Reason, One Needs Mores In addition to Reason, One Needs Mores

Adapted from N. Moray

Socio-technical System Provides Context

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Goals for Automation Technology Goals for Automation Technology

  • Safe Introduction of New automation

Technologies

  • Upgrade of Existing Technologies Without

Compromising Safety

  • Efficient Implementation of Technology

How we introduce technology can directly How we introduce technology can directly affect human error, safety and success. affect human error, safety and success.

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Thoughts on Automation Thoughts on Automation

  • It is improper to think that a system has to be

either fully automated or fully manual.

  • It is also improper to apply a level of automation

uniformly to a whole information processing and control system.

  • Most information/control systems may be

subdivided into four stages:

– (1) information acquisition, – (2) information analysis, – (3) response decision, and – (4) response implementation.

(Parasuraman, Sheridan, & Wickens, 2000)

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Levels of Automation Levels of Automation

  • 1. The computer offers no assistance; the human must do it all.
  • 2. The computer suggests alternative ways to do the task.
  • 3. The computer advises one way to do the task ….or:
  • 4. ….executes that suggestion if the human approves, or
  • 5. ….allows the human a restricted time to veto before automatic

execution, or

  • 6. ….executes the suggestion automatically, then informs the human,
  • r
  • 7. ….executes the suggestion automatically, then informs the human
  • nly if queried.
  • 8. The computer selects the method, executes the task, and ignores

the human.

(Parasuraman, Sheridan, & Wickens, 2000)

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Examples Examples Examples

  • Positive Train Control (Make It So)
  • Operator Impairment Monitors (Good Medicine)
  • Quieter Car (Personal Rights)
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Train Control: Traditional v. PTC Systems Train Control: Traditional v. PTC Systems

________ ___ ________ _______ ___ September 31, 2009 Dark Territory Analysis – Part I

Source: telephonecomponents.com

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September 17, 2009 PTC R&D Programs 15 Alaska RR CAS

Currently there are few PTC system deployments around the country with different railroad employing variety of specifications (vital and non-vital overlay) in many operating modes including development, testing, and revenue service. 469 miles – Revenue service 450 miles – testing 1374 miles – Development

UPRR VTMS 1 Freight UPRR VTMS 1 TTCI V-PTC BNSF ETMS II METRA ETMS AMTRAK ACSES BNSF ETMS II BNSF ETMS I AMTRAK ITCS OHIO CENTRAL OCRS NS OTC CSXT CBTM

Current Rail Corridors of PTC Systems Current Rail Corridors of PTC Systems

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September 17, 2009 PTC R&D Programs 16

Colored by Railroads Class I – Mainline Intercity/Commuter Rail (marked with dark line)

Congressional Mandated PTC Routes Congressional Mandated PTC Routes

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Alertness Monitoring Alertness Monitoring

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Roadway Roadway-

  • Quieter Cars and the

Quieter Cars and the Safety of Blind Pedestrians Safety of Blind Pedestrians

PROBLEM: Pedestrian Safety Enhancement Act 2009 (Jan 2009/April 2009) requires DOT “…to study and establish a motor vehicle safety standard that provides for a means of alerting blind and other pedestrians of motor vehicle operation.” OBJECTIVE: Phase 1 described safety issue, requirements for blind pedestrians’ safe mobility, identified potential countermeasures. Phase 2 developing specifications for synthetic vehicle sound countermeasures while operating in EV mode below 20 mph. RESEARCH: Collected and analyzed vehicle acoustic measurements by ambient noise conditions, developed detectability requirements for synthetic vehicle sounds, conducted human-subjects testing to measure the detectability of synthetic vehicle sounds for specification requirements.

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A Way Forward to Support Well A Way Forward to Support Well Designed and Integrated Automation Designed and Integrated Automation

  • Human Systems Integration
  • Evaluation Methodology
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Introducing Technology with HSI Introducing Technology with HSI

Human Systems Integration (HSI) Is the Formal Systems Engineering Discipline that Ensures Consideration of the Human in Operating a System

  • Disciplined, Unified, and Interactive Approach
  • Incorporate Human Considerations Into System Design
  • Domains are Interdependent and Addressed Together
  • Improve Total System Performance Not Just One

Element

  • Reduce Total Cost of Ownership
  • Incorporates Processes and Structures to Improve

Performance by Improving Performance of All the Parts

  • f the System, Including Human activities
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Accident Avoidance Safety Hazard Avoidance Ergonomics Personnel Protection Damage Control Physical Environment Personnel Services Living Conditions Quality of Life Quality of Work Skill Development Individual / Team Training Concepts Initial & Follow-

  • n Training

Organic Training Simulations / Delivery Systems Embedded Training Distance Learning Virtual Environments Intelligent Tutoring Knowledge, Skills and Attitudes Personnel Classification Selection Recruiting Retention Career Progression Skill Mix/ Special Skills Occupational Standards Distribution Workload Normal Operations & Emergency Activity (Quality / Quantity) Operators, Maintainers & Support All Personnel Workforce Structure Human Performance Human Interfaces Human Error Avoidance Top Down Analysis Design for Usability Design for Maintainability

Safety Personnel Survivability Habitability Training Personnel Manpower Human Factors Engineering

HSI Domain Considerations HSI Domain Considerations HSI Domain Considerations

Environment Hazard Avoidance Occupational Health Hazard Avoidance Risk Mitigation Medical

Health

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HSI End Results HSI End Results

HSI Is the Component of HSI Is the Component of Systems Engineering Systems Engineering That Focuses on the HUMAN That Focuses on the HUMAN

Manpower Human Factors Habitability P e r s

  • n

n e l Training System Safety Occupational Health Retention Q O L Environment QOS

Scheduling

Personnel Survivability

Recruiting

  • Manpower/Personnel: Recruiting, Retention
  • Training
  • Environment, Safety, Occupational Health
  • Human Factors: Quality of Service
  • Personnel Survivability
  • Habitability: Quality of Life
  • Manpower/Personnel: Recruiting, Retention

Manpower/Personnel: Recruiting, Retention

  • Training

Training

  • Environment, Safety, Occupational Health

Environment, Safety, Occupational Health

  • Human Factors: Quality of Service

Human Factors: Quality of Service

  • Personnel Survivability

Personnel Survivability

  • Habitability: Quality of Life

Habitability: Quality of Life

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HSI Process HSI Process

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HSI Practiced HSI Practiced HSI Practiced

  • Department of Defense

– US Army (MANPRINT) – US Navy – US Air Force (HSI Brooks AFB)

  • Department of Transportation

– FAA – Maritime Administration – FHWA

  • Department of Homeland Security

– Public Safety Architectures

  • HSI is A Big Part of Investigations by NTSB
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Case Example Case Example Case Example

  • USCG Deepwater Program

– VUAV Development and Fielding

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Coast Guard Considered Coast Guard Considered Coast Guard Considered

  • Design and HFE
  • Personnel (Aviators or Not, Intell Specs, etc.)
  • Manpower (How Many to Operate? CG-Wide?)
  • Training
  • Safety (Collision Avoidance, National Airspace)
  • Other
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FRA HSI Research Priorities FRA HSI Research Priorities FRA HSI Research Priorities

  • Moving-map applications
  • Crew station/Control and Display configurations
  • CTIL will serve as evaluation test-bed for the

integration of new cab technology in ways that maximize human capabilities.

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  • Evaluation Utilization Framework Context

– Implementation evaluation – Impact evaluation – Sustainability evaluation – Stakeholder involvement

Evaluation Methodology

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  • Utilization

– How can/will X use this system or program

  • Implementation

– What kinds of organizational structures are in place to support implementation?

  • Transfer

– How will knowledge transfer from the introduction or pilot site to other sites?

  • Diffusion

– What methods can be used to communicate about the system or program to the public or industry?

  • Translation

– How can system or related communications be shaped to make them more accessible to the target audiences?

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Ottoson, J. & Hawe, P., Eds. (2009). Knowledge utilization, diffusion, implementation, transfer, and translation: Implications for evaluation. New Directions for Evaluation, 124.

Evaluation Theoretical Lenses

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Activities Outputs Outcomes Impacts

Funded Activity “Family” E.g.

  • Scientific

Research

  • Technology

Development Deliverables/ Products Technical Report(s) Application of Research Data Use Adoption of Guidelines, Standards or Regulations Forecasting Model(s) Reduced Accidents & Injuries Unintended Consequences Positive Knowledge Gains Negative Environmental Effects Changing Practices Improved Safety Culture

Generic Logic Model

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Safety Culture

Shared values, actions, and norms that demonstrate a collective commitment to emphasize safety over competing goals and demands Psychological

“How people feel”

Values, Attitudes & Perceptions

Behavioral

“What people do”

Actions & Behaviors

Situational

“Organizational factors”

Policies, Procedures & Management Systems

Three-Part Model of Safety Culture Adapted from Cooper (2000)

Example: Safety Culture Benefit from Evaluative Methods

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Program Department Outcomes

Rules Revision All Operating 30% reduction in reportable injuries Drop in liability claims EAGLES Station Services (Hi Supervision) 80% drop in injury rates 76% drop in reportable injuries ISROP Mechanical 50% drop in injury rates (all injuries) CAB Road (Lo Supervision) 72% drop in L.E. decertification rates 69% drop in HF derailment rates STEEL Switching (Moderate Supervision) 62% drop in yard derailment rates

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Safety Council Context Safety Council Context1

1

  • The Department of Transportation is a cabinet-level executive department of the United

States government that took 92 years to establish; it was first considered in 1808.

  • DOT’s mission was to develop and coordinate policies that will provide an efficient and

economical national transportation system, with due regard for need, the environment, and national defense.

  • DOT is the primary agency in the federal government with the responsibility for shaping

and administering policies and programs to protect and enhance the safety, adequacy, and efficiency of the transportation system and services.

  • The Office of the Secretary oversees eleven independently funded Operating

Administrations

1 US DOT Office of the Historian Web Page

FAA FMCSA FTA FRA MARAD NHTSA Office of the Secretary PHMSA FHWA

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Needs assessment Design Implementation Impact / Outcome Sustainability

Safety Council Process Model Safety Council Process Model

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Safety Council Safety Council Conops Conops

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Current Mission, Vision and Strategic Goals Current Mission, Vision and Strategic Goals

  • Vision

– To be widely recognized as the world’s leader for safety in transportation.

  • Mission

– To serve as DOT’s safety advocate and to bring together each part of DOT in addressing transportation safety as a critical national health issue

  • Strategic Goals

– To identify, prioritize and address top current safety issues in DOT. – To encourage the development, implementation, and evaluation of proactive initiatives that improve safety and safety culture in transportation. – To share data, best practices, and strategies for continuous improvement of DOT’s safety programs. – To provide a forum for anticipating and addressing top emerging safety issues in DOT.

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Developmental Evaluation Approach and Results

  • Hours of Service/Fatigue
  • Operator Impairment / Distraction
  • Risk Management (SMS)
  • Regulatory Enforcement and

Compliance Approaches

  • Equipment, Infrastructure and

Technology

  • Safety Data Management and

Reporting

  • Aging Operators / Demographics
  • Outreach, Communications and

Coordination  All Stakeholders Major Themes / Issues Identified To Date

■ Establish V.1 Safety Council Principals

and principles

■ Conduct interviews with Principals ■ Feed back results for validation ■ Empower Principals ■ Incorporate results into Safety Council

implementation (formalize Roadmap)

■ Regularly check in with Principals and

chair informally

■ Periodically provide opportunity for

formal feedback

■ Constantly provide feedback on results

and actions

Clusters

Evaluation Approach

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Questions? Questions?