Human Factors

in the
Design and Evaluation
of
Central Control Room
Operations
Neville A. Stanton
Paul Salmon
Daniel Jenkins
Guy Walker
CRC Press
Taylor & Francis G roup
Boca Raton London New York
CRC Press is an i mpri nt of the
Taylor & Francis Group, an i nf orma business
Contents
List of Figures xvii
List of Tables xxiii
Preface xxvii
The Authors xxix
Chapter 1 Introduction to Human Factors and Ergonomics 1
Chapter 2 Competencies 7
2.1 Outline 7
2.2 Key Issues 8
2.2.1 Individual Operator Competencies 8
2.2.2 Team Competencies 8
2.2.3 Competence Identification 8
2.2.4 Competency-Based Training 9
2.2.5 Competence Assessment 9
2.2.6 Competence Management Systems 10
2.3 Standards and Guidelines 10
2.3.1 Managing Competence for Safety-Related
Systems 10
2.3.2 Developing and Maintaining Staff Competence 10
2.3.3 Competence Assessment for
the Hazardous Industries 11
2.3.4 Control of Major Accident Hazard Regulations 11
2.4 Human Factors Literature 11
2.4.1 Competence 11
2.4.2 Team Competencies 16
2.4.3 Identifying Competencies 22
2.4.4 Competence Management Systems 22
2.5 Guidance and Recommendations 25
2.6 Assessment and Evaluation 26
2.6.1 Competence Identification 26
2.6.2 Competence Assessment 27
2.6.2.1 Establish Competence Performance
Standards and Assessment Criteria 30
2.6.2.2 Select Appropriate Competence
Assessment Methods 35
2.6.2.3 Select Remedial Measures and
Undertake Competence Assessments 35
2.7 Example 35
Bibliography 40
v
vi Human Factors in the Design and Evaluation of Control Room Operations
Chapter 3 Training 43
3.1 Outline 43
3.2 Key Issues 43
3.2.1 Training Needs Analysis 43
3.2.2 Training Preconditions 44
3.2.3 Training Design 44
3.2.4 Training Content 44
3.2.5 Training Delivery Methods 44
3.2.6 Team Training 44
3.2.7 Transfer of Training 45
3.2.8 Training Evaluation 45
3.3 Standards and Guidelines 45
3.3.1 Managing Competence for
Safety-Related Systems 45
3.3.2 Developing and Maintaining Staff Competence 46
3.3.3 Competence Assessment
for Hazardous Industries 46
3.3.4 Control of Major Accident Hazard Regulations 47
3.4 Human Factors Literature 47
3.4.1 Definitions 47
3.4.2 Training Theory 47
3.4.3 Training Needs Analysis 50
3.4.3.1 Introduction 50
3.4.3.2 Training Needs 52
3.4.3.3 Training Needs Analysis Methods 54
3.4.4 Training Design 56
3.4.5 Pretraining Conditions 58
3.4.6 Training Delivery Methods 59
3.4.6.1 Introduction 59
3.4.6.2 Training Media 60
3.4.7 Team Training 62
3.4.7.1 Crew Resource Management 64
3.4.8 Transfer of Training
and Post-Training Conditions 67
3.4.8.1 Transfer of Training 67
3.4.8.2 Post-Training Conditions 68
3.4.9 Training Evaluation 69
3.4.10 Summary 70
3.5 Guidelines and Recommendations 70
3.6 Assessment and Evaluation 71
3.6.1 Training Needs Analysis 71
3.6.1.1 Organizational Analysis 75
3.6.1.2 Task Analysis 78
3.6.1.3 Person Analysis 78
Contents v
3.7 Example TNA 78
3.7.1 Training Needs Analysis 78
3.7.1.1 Organizational Analysis 78
3.7.1.2 Task Analysis 80
3.7.1.3 Person Analysis 80
Bibliography 85
Chapter 4 Procedures 89
4.1 Outline 89
4.2 Key Issues 89
4.2.1 Identification of Procedure Requirements 89
4.2.2 Development of Procedures 90
4.2.3 Training Staff in Procedures 90
4.2.4 Review, Maintenance, and Update of Procedures 90
4.2.5 Format of Procedures 90
4.2.6 Compliance with Procedures 90
4.2.7 Efficacy of Procedures 91
4.2.8 Procedural Flaws 91
4.3 Standards and Guidelines 91
4.3.1 Revitalizing Procedures for Major Hazards 91
4.3.2 Inspectors Toolkit: Human Factors in the
Management of Major Accident Hazards 91
4.3.3 1999 Control of Major Accident Hazard
Regulations 91
4.3.4 Successful Health and Safety Management 92
4.4 Human Factors Literature 92
4.4.1 Defining Procedures 92
4.4.2 Models of Procedures 92
4.4.3 Developing Procedures 93
4.4.4 When Procedures Fail 95
4.4.5 Procedural Noncompliance 98
4.5 Guidance and Recommendations 99
4.5.1 Identify Tasks Requiring Procedures 99
4.5.2 Determine Level of Procedural Aid
Required and Format of Procedure 101
4.5.3 Write and Review Procedure 101
4.5.4 Approve Procedure 102
4.5.5 Train Procedure 102
4.5.6 Monitor Procedure 102
4.6 Assessment and Evaluation 103
4.7 Example 103
4.7.1 Procedure Development Process 103
4.7.2 Evaluation of Existing Procedures 108
Bibliography 110
viii Human Factors in the Design and Evaluation of Control Room Operations
Chapter 5 Communication Process 113
5.1 Outline 113
5.2 Key Issues 113
5.3 Standards and Guidelines 114
5.4 Human Factors Literature 114
5.4.1 The Control Room as a Sociotechnical System 114
5.4.2 The Purpose of Communication:
Teamwork and Shared Awareness 116
5.5 Guidance and Recommendations 118
5.5.1 Minimum Requirements 118
5.5.2 Human Factors Best Practice 119
5.5.2.1 Social Network Analysis 119
5.5.2.2 Communications Usage Diagram 119
5.5.2.3 Team Communications 119
5.6 Assessment and Evaluation 122
5.7 Example 124
Bibliography 125
Chapter 6 Manning and Workload 127
6.1 Outline 127
6.1.1 Manning 127
6.1.2 Workload 127
6.1.2.1 Mental Workload 128
6.1.2.2 Physical Workload 128
6.2 Key Issues 129
6.2.1 Manning 129
6.2.2 Workload 130
6.3 Standards and Guidelines 133
6.3.1 Manning 133
6.3.1.1 Control of Major Accident
Hazards Regulations 133
6.3.2 Workload 133
6.3.2.1 Mental Workload ISO Standards 133
6.3.2.2 Physical Workload ISO Standards 134
6.4 Human Factors Literature 135
6.4.1 Manning 135
6.4.2 Workload 135
6.4.2.1 Mental Workload 135
6.4.2.2 Physical Workload 141
6.5 Guidance and Recommendations 141
6.5.1 Manning 141
6.5.2 Mental Workload 141
6.5.2.1 Personnel Guidelines and
Recommendations (ISO 9001:2008) 143
Contents ix
6.5.2.2 Task Guidelines and Recommendations
(ISO 9001:2008) 143
6.5.2.3 Workspace and Environment
(ISO 9001:2000) 144
6.5.2.4 Social Factors (ISO 9001:2008) 144
6.5.2.5 Time Factors (ISO 9001:2008) 145
6.5.2.6 Organizational Factors
(Tsang and Vidulich, 2006) 145
6.6 Assessment and Evaluation 145
6.6.1 Manning 145
6.6.2 Workload 146
6.6.2.1 Mental Workload 146
6.6.3 Examples 150
6.6.3.1 NASA-TLX Procedure and Advice 150
6.6.3.2 Physical Workload 154
6.7 Example 156
Bibliography 159
Chapter 7 Automation 163
7.1 Outline 163
7.2 Key Issues 163
7.3 Standards and Guidelines 164
7.4 Human Factors Literature 164
7.4.1 History of Automation 164
7.4.2 Ironies of Automation 165
7.4.3 Out-of-the-Loop Performance Problems 166
7.4.4 Sociotechnical Considerations 166
7.4.5 Dynamic Allocation of Function 168
7.5 Guidance and Recommendations 169
7.6 Assessment and Evaluation 175
7.6.1 Functional Analysis 175
7.6.2 Mandatory Assignments 176
7.6.3 Preliminary Assignments 178
7.6.4 Allocation of Function 180
7.6.5 Fitts' List 182
7.6.6 Core Job Characteristics 185
7.7 Example 185
7.7.1 Marsden and Kirby's Allocation
of Function Analysis 185
7.7.2 Constraints-Based Approach to
Functional Analysis 186
7.7.3 Dynamic Allocation of Function 187
Bibliography 190
x Human Factors in the Design and Evaluation of Control Room Operations
Chapter 8 Supervision 193
8.1 Outline 193
8.2 Key Issues 194
8.2.1 Supervision Type 194
8.2.2 Supervisor's Role, Responsibilities,
and Functions 194
8.2.3 Staff Roles and Responsibilities 195
8.2.4 Supervision Assessment 195
8.2.5 Weaknesses Associated with
Supervisory Approach 195
8.2.6 Supervision Weakness Countermeasures 195
8.2.7 Supervisor Competence 195
8.2.8 Supervisor Workload 196
8.2.9 Relationship between Supervisor
and Subordinates 196
8.2.10 Relationship between Management
and Supervisor 196
8.2.11 Communication 196
8.2.12 Interaction between Team Members
and Management 196
8.3 Standards and Guidelines 196
8.3.1 Successful Health and Safety Management 196
8.3.2 Different Types of Supervision and the Impact
on Safety in the Chemical and Allied Industries:
Assessment Methodology and User Guide 197
8.4 Human Factors Literature 197
8.4.1 Supervision 197
8.4.2 Different Forms of Supervision 199
8.4.3 Note on Leadership Styles 201
8.4.4 Status Quo 201
8.4.5 Teams and Teamwork 204
8.4.6 Study of Supervision 205
8.4.7 Consequences of Inadequate Supervision 206
8.5 Guidance and Recommendations 210
8.6 Assessment and Evaluation 216
8.7 Example 218
Bibliography 221
Chapter 9 Shift Patterns 225
9.1 Outline 225
9.2 Key Issues 226
9.3 Standards and Guidelines 227
9.3.1 Working Time Regulations 227
9.3.2 Health and Safety Legislation 227
Contents xi
9.4 Human Factors Literature 228
9.4.1 The Body Clock 228
9.4.2 Sleep 229
9.4.2.1 Sleep Patterns for the
Day Worker 230
9.4.2.2 Sleep Patterns for the
Shift or Night Worker 230
9.4.2.3 Effects of Sleep Deprivation 230
9.4.3 Social Challenges 231
9.4.4 Health and Weil-Being 231
9.4.4.1 Heart Problems 231
9.4.4.2 Mental Well-Being 231
9.4.4.3 Appetite and Digestion 232
9.4.5 Handover 232
9.4.6 Summary 232
9.5 Guidance and Recommendations 233
9.5.1 Employer's Checklist 234
9.5.2 Health Questionnaire 234
9.5.3 Shift Handovers 235
9.6 Assessment and Evaluation 236
9.6.1 Strategies for the Employer 236
9.6.2 Strategies for the Employee 237
9.6.2.1 Coping with the Shift
and Managing Fatigue 238
9.6.2.2 Traveling Home 238
9.6.2.3 Sleep 238
9.6.2.4 Lifestyle 238
9.6.3 Additional Assessment Materials 239
9.6.3.1 Fatigue and Risk Index Tool 239
9.6.3.2 Epworth Sleepiness Scale 241
9.6.3.3 The Standard Shiftwork Index 241
9.6.3.4 Shift Handover 242
9.7 Example 242
9.7.1 Best Practice Guidelines 242
9.7.2 Risk Assessment 244
9.7.3 Fatigue Assessment 246
9.7.4 Handover 246
Bibliography 247
Chapter 10 Control Room Layout 249
10.1 Outline 249
10.2 Key Issues 249
10.3 Standards and Guidelines 251
10.3.1 Relevant Standards 251
xii Human Factors in the Design and Evaluation of Control Room Operations
10.4 Human Factors Literature 253
10.4.1 Dimensions of the Workstation 254
10.4.1.1 The Seat 256
10.4.1.2 Seat Height 256
10.4.1.3 Seat Depth 256
10.4.1.4 Seat Width 257
10.4.1.5 Lateral Clearance between Armrests 257
10.4.2 Workstation Desk Design 257
10.4.2.1 Desk Height 258
10.4.2.2 Leg Room 258
10.4.2.3 Size of the Work Surface 259
10.4.3 Display Screens 260
10.4.4 Number of Displays 261
10.4.5 Other Aspects Affecting Room Layout 261
10.4.5.1 Layout Analysis 261
10.4.5.2 Social Organization 262
10.4.5.3 Access 262
10.4.5.4 Auxiliary Functions 262
10.4.5.5 Safety Considerations 262
10.4.5.6 Flexibility 263
10.5 Guidance and Recommendations 263
10.5.1 Methods 263
10.5.1.1 Layout of the Room 263
10.5.1.2 Physical Layout
of the Workstation 263
10.6 Assessment and Evaluation 263
10.7 Example 265
10.7.1 The Chair 266
10.7.1.1 Calculating Sitting Postures
for Population Extremities 269
Bibliography 270
Chapter 11 Supervisory Control and Data Acquisition (SCADA) 273
11.1 Outline 273
11.2 Key Issues 273
11.3 Standards and Guidelines 274
11.4 Human Factors Literature 274
11.4.1 Control Task Categories 276
11.4.1.1 Category 1. Abnormal
Situation Handling 276
11.4.1.2 Category 2. Normal Operation 276
11.4.1.3 Category 3. Optimization 276
11.4.2 Visualization 278
11.4.3 Display Design 278
11.4.4 Elements 280
Contents xiii
11.4.5 Grouping of Data Elements 281
11.4.6 Information Density 281
11.5 Guidance and Recommendations 281
11.6 Assessment and Evaluation 282
11.6.1 HCl Checklist 282
11.6.1.1 Visual Clarity 282
11.6.1.2 Consistency 282
11.6.1.3 Compatibility 283
11.6.1.4 Informative Feedback 284
11.6.1.5 Explicitness 284
11.6.1.6 Appropriate Functionality 284
11.6.1.7 Flexibility and Control 284
11.6.1.8 Error Prevention and Correction 285
11.6.1.9 User Guidance and Support 287
11.6.1.10 Overall System Usability 287
11.6.2 EEMUA User's Questionnaire 288
11.6.2.1 Physical Arrangement 289
11.6.2.2 Access to Displayed Information 289
11.6.2.3 Navigation through Information
Hierarchy 289
11.7 Example 290
Bibliography 292
Chapter 12 Alarms 293
12.1 Outline 293
12.2 Key Issues 293
12.3 Standards and Guidelines 296
12.4 Human Factors Literature 296
12.5 Guidance and Recommendations 299
12.6 Assessment and Evaluation 300
12.7 Example 302
Bibliography 305
Chapter 13 Environment 307
13.1 Outline 307
13.1.1 Accepted Definition 307
13.1.2 Brief Description 307
13.2 Key Issues 307
13.3 Standards and Guidelines 308
13.3.1 Relevant Standards 308
13.4 Human Factors Literature 308
13.4.1 Objectively Measurable States
vs. Subjectively Felt States 308
13.4.2 Regulatory Processes 310
xiv Human Factors in the Design and Evaluation of Control Room Operations
13.4.3 Systems Perspective 312
13.4.4 Latest Thinking 312
13.5 Guidance and Recommendations 313
13.6 Assessment and Evaluation 315
13.6.1 Ambient Temperature 313
13.6.1.1 Minimum Requirements 313
13.6.1.2 Human Factors Best Practice 314
13.6.1.3 Ambient Temperature Example 315
13.6.2 Air Quality 318
13.6.2.1 Minimum Requirements 318
13.6.2.2 Human Factors Best Practice 319
13.6.2.3 Air Quality Example 319
13.6.3 Lighting 323
13.6.3.1 Minimum Requirements 323
13.6.3.2 Human Factors Best Practice 324
13.6.3.3 Lighting Example 324
13.6.4 Acoustics 326
13.6.4.1 Minimum Requirements 326
13.6.4.2 Human Factors Best Practice 330
13.6.4.3 Acoustics Example 332
13.6.5 Vibration 332
13.6.5.1 Minimum Requirements 332
13.6.5.2 Human Factors Best Practice 332
13.6.5.3 Vibration Example 333
13.6.6 Interior Design and Aesthetics 333
13.6.6.1 Minimum Requirements 333
13.6.6.2 Human Factors Best Practice 333
13.6.6.3 Aesthetics Example 334
13.7 Summary 334
Bibliography 335
Chapter 14 Human Error 337
14.1 Outline 337
14.2 Key Issues 337
14.2.1 Slips and Lapses 338
14.2.2 Mistakes 338
14.2.3 Violations 339
14.3 Human Factors Literature 340
14.3.1 Person Approach 340
14.3.2 Systems Approach 341
14.4 Guidance and Recommendations 342
14.5 Assessment and Evaluation 345
14.5.1 SHERPA 346
14.6 Example 348
Bibliography 367
Contents xv
Chapter 15 Safety Culture 369
15.1 Outline 369
15.2 Key Issues 369
15.3 Standards and Guidelines 370
15.3.1 Guide to Occupational Health
and Safety Management Systems 370
15.3.2 Occupational Health and Safety Zone 370
15.4 Human Factors Literature 371
15.4.1 Defining Safety Culture 371
15.4.2 Models of Safety Culture 372
15.4.3 Characteristics of an Efficient Safety Culture 375
15.4.4 Building a Safety Culture 377
15.4.5 Collecting Safety-Related Data 378
15.4.5.1 Accident Investigation and Analysis 379
15.4.5.2 Incident Reporting Systems 382
15.5 Guidelines and Recommendations 385
15.6 Assessment and Evaluation 386
15.7 Example 386
Bibliography 392
Author Index 395
Subject Index 403