human performance in atc 300pg.pdf - Edwards Tamsyn(2013 Human performance in air traffic control PhD thesis University of Nottingham Access from the

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Unformatted text preview: Edwards, Tamsyn (2013) Human performance in air traffic control. PhD thesis, University of Nottingham. Access from the University of Nottingham repository: Copyright and reuse: The Nottingham ePrints service makes this work by researchers of the University of Nottingham available open access under the following conditions. This article is made available under the University of Nottingham End User licence and may be reused according to the conditions of the licence. For more details see: For more information, please contact [email protected] HUMAN PERFORMANCE IN AIR TRAFFIC CONTROL TAMSYN EDWARDS, MSc. BSc. (hons.) Thesis submitted to the University of Nottingham for the degree of Doctor of Philosophy JANUARY 2013 Abstract Air Traffic Controllers (ATCOs) are responsible for the safety and efficiency of all air traffic. It is essential that controllers maintain a consistently high standard of human performance in order to maintain flight safety. Knowledge of human factor influences on controller performance is critical to understand and mitigate threats to performance. Previous research has largely focused on the association between single factors and performance, which has resulted in a comprehensive understanding of single factor influences. In current control environments however, the residual threats for incidents often result from the interaction of multiple human factors and the resulting cumulative impact on performance. This thesis describes a set of studies that investigate the relationship between multiple, co-occurring factors, and the association with human performance. Findings contribute further understanding of multifactor combinations and associations with human performance, and provide novel and practical recommendations for the mitigation of multifactor influences on controller performance. A literature review, incident report analysis and survey of air traffic professionals confirmed that a majority of research approaches were fundamentally single-factor in nature, which is out of step with real air traffic management (ATM) contexts. In addition, findings confirmed that multiple factors co-occur in an air traffic control (ATC) environment, and are associated with controller performance. An off-line experiment using students as participants investigated the relationship between a set of human factors and the association with performance. Results indicate that several factors known to be associated with controller performance do covary and factors may interact to produce a cumulative Influence on performance. An interview study with en-route controllers contributed to an understanding of mitigation strategies of multifactor influences. The research presented in this thesis has contributed findings that have both theoretical and practical implications. This research has addressed long-standing gaps within human performance literature and contributed new understanding to the complex field of human performance In air traffic control. Findings suggest that factors do co-occur in ATC, and interact to negatively influence performance, pushing controllers to the edge of performance. This research argues for a more ecologically valid I investigation of real-world systems using multiple factors rather than the traditional one or two-factor paradigms. In addition, this research investigation has contributed novel understanding of mechanisms which may mitigate multifactor influences and has developed practical recommendations for aviation personnel that may be used to support performance, thereby preventing performance decline, with important implications for maintaining and improving safety within the ATe domain. II Publications Journal papers and conference proceeding papers by the author of this thesis have been completed through the period of this PhD research. These are listed below: Journal papers Edwards, T., Sharples, S., Wilson, J. R., and Kirwan, B. (2012). Factor interaction influences on human performance in air traffic control: The need for a multifactorial model. Work: A Journal of Prevention, Assessment and Rehabilitation, 41(1), 159-166. Millen, L., Edwards, T., Golightly, D., Sharples, S., Wilson, J. R., and Kirwan, B. (2011). Systems change in transport control: applications of cognitive work analysis. The International Journal of Aviation Psychology, 21(1), 62-84. Conference proceedings Edwards, T., Sharples, S., Wilson, J. R., and Kirwan, B. (2012). The need for a multi-factorial approach to safe human performance in air traffic control. Proceedings of the 4th AHFE International Conference, 21-2Sth July, San Francisco: USA. Edwards, T., Sharples, S., Wilson, J. R., and Kirwan, B. (2010). The need for a multifactorial human performance envelope model in air traffic control. Presented at the HCI-Aero 2010 conference, 3rd_Sth November, Cape Canaveral: USA Edwards, T., Sharples, S., Wilson, J. R., Kirwan, B., and Shorrock, S.T. (2010). Towards a multifactorial human performance envelope model in air traffic control. Presented at the Eurocontrol/FAA research and development conference, 19 th _20th October, Bretigny-sur-Orge: France Sharples, S., Edwards, T., and Balfe, N. (2012). Inferring cognitive state from observed interaction. Proceedings of the 4th AHFE International Conference, 21-25th July, San Francisco: USA. III Acknowledgements My thanks go to many people for the support that I have received throughout this PhD. I wish to thank Dr. Barry Kirwan for his constant support throughout this project. I am very grateful for his generosity with his time, and for the invaluable guidance and feedback that he provided. Thank you to Professor Sarah Sharples for her guidance at each stage of the research, and also for her support during the more demanding phases! Thank you to Professor John Wilson for providing me with the opportunity of this PhD, and the help and guidance that he has offered throughout. Thanks also go to EUROCONTROL for sponsoring this work. A number of controllers and air navigation service providers (ANSPs) have contributed to this research. Thanks go to the many controllers who have taken the time to help me learn about this domain and contribute to the research. In particular, I wish to thank Nigel Makins, Anna Wennerberg and Ray Dowdall for their invaluable contributions and guidance throughout and Anthony Smoker for his time and support. Thank you also to NATS and Belgocontrol for supporting participation in research studies. I am also exceptionally grateful to Maastricht Upper Area Control Centre for supporting the final stage of this research. In particular, my thanks go to Flemming Nyrup, Ellen Beckers and Luc Staudt for their significant contribution to this research. I am extremely grateful to the controllers who took part in the interview studies for their contribution and positive feedback. I also want to thank everyone in the University of Nottingham Human Factors Research Group. It was a fantastic opportunity to work with, and learn from, such knowledgeable and friendly people. Thank you for the generosity with your time and for the numerous contributions to this PhD. Thank you also for the numerous cups of tea and support! I wish to thank my family and friends. In particular, I want to thank Andrew for his complete support and encouragement and for his interest when I talk about my research! Thanks also go to Nastaran, Kate, Shasta, Alex and Victoria for their support. Finally, thank you to my family, and in particular my parents, David and Maureen, for their limitless understanding, support and encouragement. IV Table of contents " Abstract ...................................................................................................................................................... I Publications............................................................................................................................................. III Journal papers................................................................................................................................... III Conference proceedings ................................................... ~................................................................ III Acknowledgements ................................................................................................................................. IV Table of contents ...................................................................................................................................... V List of figures ......................................................................................................................................... XII List of tables ........................................................................................................................................... XV Appendices .......................................................................................................................................... XVII Glossary ............................................................................................................................................ XVIII Chapter 1. Introduction ........................................................................................................ 1 1.1 Research background ................................................................................................................ 1 1.2 Motivation for this thesis ........................................................................................................... 3 1.3 Thesis research question and aims ........................................................................................... 4 1.4 Initial selection of factors for investigation .............................................................................. 6 1.5 Overview of thesis ...................................................................................................................... 7 Chapter 2. Literature review of human factors in relation to performance and human factor relationships in air traffic control ............................................................................................... 11 2.1 Chapter overview ..................................................................................................................... 11 2.2 Single factors and associations with performance ................................................................ 12 2.2.1 Factors resulting from Interactions between individual and environment ................ 12 2.2.2 Factors referring to cognitive processes ....................................................................... 26 2.2.3 Factors resUlting from individuals acting within a team environment ...................... 38 2.2.4 Implications of literature review findings relating to human factor associations with performance ................................................................................................................................. 50 2.3 Human factor interactions: A review of human factor relationships and associations with performance .•......•............................•................•..••..•.......................................•.•....•.•........••...•...•...... 51 2.3.1 Factors resulting from interactions between individual and environment ................ Sl 2.3.2 Factors referring to cognitive processes ....................................................................... 60 2.3.3 Factors resulting from individuals acting within a team environment ...................... 66 2.3.4 Implications of literature review findings relating to multifactor Influences ............ 71 2.3.5 Summary of working definitions of factors .................................................................. 72 v 2.4 Conclusion ................................................................................................................................ 72 2.S Chapter summary .................................................................................................................... 73 Chapter 3. Understanding air traffic control .................................................................... 75 3.1 Chapter overview ..................................................................................................................... 75 3.2 Air traffic control in context ................................................................................................... 75 3.3 Air traffic management (A TM) system .................................................................................. 75 3.4 Air traffic control ..................................................................................................................... 77 3.5 3.4.1 Air traffic control and airspace design ......................................................................... 77 3.4.2 Types of air traffic control ............................................................................................. 78 En-route control task ............................................................................................................... 80 3.5.1 Standardised/regulated tasks ......................................................................................... 80 3.5.2 Cognitive elements of an en-route control task ............................................................ 80 3.5.3 Orchestration of traffic: personal control styles conducted within strict regulations •• ................................................................................................................................. 81 3.6 Selection and training of en-route controllers ....................................................................... 82 3.7 En-route control operations environment ............................................................................. 82 3.7.1 Teams and coordination within air traffic control ...................................................... 82 3.7.2 Intra-cooperation between controllers .......................................................................... 83 3.7.3 Inter-cooperation between controllers .......................................................................... 84 3.8 Communication as an essential element of the air traffic control system ........................... 84 3.9 Physical systems used in the air traffic control task ............................................................. 85 3.10 Familiarisation with the air traffic control domain .............................................................. 87 3.10.1 The need for familiarisation with the ATC domain ..................................................... 87 3.10.2 Generation of visits to control centres .......................................................................... 87 3.10.3 Summary of ATC-related Information pertinent to future research ......................... 88 3.11 Chapter summary .................................................................................................................... 93 Chapter 4. Methodological approach and research framework ...................................... 94 4.1 Chapter overview ...................................................................................................................... 94 4.2 Overall research approach ...................................................................................................... 94 4.2.1 Research studies built upon previous findings ............................................................. 94 4.2.2 Multiple sources of data addressed research aims ....................................................... 94 4.3 Research framework ............................................................................................................... 95 4.4 Overview of the methods used in this thesis .......................................................................... 97 VI 4.4.1 Research phase 1: Background and context................................................................. 97 4.4.2 Research phase 2: Factor confirmation and selection ................................................. 98 4.4.3 Research phase 3: Experimental investigation of factor relationships in association with performance and the edges of performance ....................................................................... 99 4.5 4.4.4 Research phase 4: Investigation of indicators of potential performance decline .... 100 4.4.5 Discussion, conclusions and recommendations .......................................................... 100 Chapter summary .................................................................................................................. 101 ChapterS. Literature metrics and incident report analysis: Confirmation of key human factors and human factor relationships ............................................................................................... 102 5.1 Chapter overview ................................................................................................................... 102 5.2 Literature analysis ................................................................................................................. 102 5.3 5.2.1 Literature analysis: Aims ............................................................................................. 102 5.2.2 Literature analysis: Differentiation between attention, vigilance and SA ............... 103 5.2.3 Literature analysis: Method ........................................................................................ 103 5.2.4 Literature analysis: Results ......................................................................................... 106 5.2.5 Discussion ...................................................................................................................... 109 5.2.6 Conclusions and next steps .......................................................................................... 111 Aviation incident reports analysis ........................................................................................ 112 5.3.1 Incident report analysis: Background ........................................................................ 112 5.3.2 Incident report analysis: Boundaries of focus ............................................................ 113 5.3.3 Incident report analysis: Aims .................................................................................... 113 5.3.4 Incident report analysis: Description of database and task ...................................... 113 5.3.5 Incident report analysis: Method ................................................................................ 114 5.3.6 Incident report analysis: Results ................................................................................. 118 5.3.7 Discussion ...................................................................................................................... 123 5.4 Concluding remarks .............................................................................................................. 125 S.S Chapter summary ..............................................•................................................................... 126 Chapter 6. Expert knowledge elicitation of human factors in relation to performance .... .......................................................................................................................... 127 6.1 Chapter overview ................................................................................................................... 127 6.2 Expert knowledge elicitation: Aims ..................................................................................... 128 6.3 Selection of knowledge elicitation methodology .................................................................. 128 6.4 Selection of knowledge elicitation exercise ............................................................
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