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Adaptive Automation RIL 2020-05 ADAPTIVE AUTOMATION Current Status and Challenges Date Published: November 2020 Prepared by: J. O’Hara J. Higgins Brookhaven National Laboratory Upton, New York, 11973 Stephen Fleger, NRC Project Manager DaBin Ki, NRC Project Manager Research Information Letter Office of Nuclear Regulatory Research Disclaimer Legally binding regulatory requirements are stated only in laws, NRC regulations, licenses, including technical specifications, or orders; not in Research Information Letters (RILs). A RIL is not regulatory guidance, although NRC’s regulatory offices may consider the information in a RIL to determine whether any regulatory actions are warranted. ABSTRACT Adaptive automation (AA) is the dynamic, real-time change in the degree of automation (DOA) triggered by conditions such as poor task performance and high operator workload. AA has been discussed in the literature as a promising means of mitigating human performance issues that often arise in highly automated systems, such as loss of situation awareness, complacency, and degrading of manual skills. The purpose this study is to define the current state-of-the-art in AA research and application and to examine its use in the commercial nuclear industry. We reviewed published literature and obtained information from automation subject matter experts. We also conducted a site visit to a nuclear plant designer that is developing AA systems. The results were organized into the following topics: Effects of AA on performance, human- automation interaction and human-system interfaces (HSI), and human factors engineering (HFE) guidance for designing and evaluating AA systems. In general, we found that AA improved task performance and the operator’s understanding of automation. While the research is limited, AA also supported operator recognition of automation failure and recovery. The design of HSI for AA systems is a key consideration. An important aspect of HSIs is the design of how AA interacts with operators. AA systems are more effective when they follow rules of etiquette similar to those used by human crewmembers in the operational environment. There is limited HFE guidance available to support designers and reviewers of AA systems. While standards and guidelines acknowledge AA as a design option, relatively few guidelines are available to support the function allocation process or the detailed design of the key aspects of AA systems. Based on our findings, we have identified future research and development needs. This RIL should be used as a companion piece to a previous report by O’Hara & Higgins, 2017 (Technical Report No. D0013-2-2017), with the same title, that was developed into RIL 2020-06. The results of this report were used heavily in the conclusions for RIL 2020-06. TABLE OF CONTENTS ABSTRACT ................................................................................................................................. iii LIST OF FIGURES .................................................................................................................... xiii LIST OF TABLES ...................................................................................................................... xiii ABBREVIATIONS AND ACRONYMS ..................................................................................... xvii 1 Introduction ............................................................................................................................ 1 1.1 Automation and Human Performance in Complex Systems ............................................. 1 1.2 Human Performance Challenges in Highly Automated Systems ...................................... 3 1.3 Prior NRC Research on Human-Automation Interaction ................................................... 6 1.3.1 Importance of Automation in the Commercial Nuclear Industry .......................... 6 1.3.2 Automation Support for Tasks Involving Specific Human-System Interfaces (HSIs) ................................................................................................. 8 1.3.3 General Human-Automation Interaction ............................................................ 10 1.4 Organization of This Report ............................................................................................ 14 2 Objectives and Methodology .............................................................................................. 16 2.1 Objectives ....................................................................................................................... 16 2.2 Methodology .................................................................................................................... 16 3 Characterization of Adaptive Automation .......................................................................... 19 3.1 Defining Adaptive Automation (AA) ................................................................................. 19 3.2 Potential Benefits of Adaptive Automation ...................................................................... 20 3.3 Key Dimensions .............................................................................................................. 20 3.3.1 Configurations ................................................................................................... 21 3.3.2 Triggering Conditions ........................................................................................ 22 3.3.3 HSIs…………………………………………………………………………. ............. 26 4 Applications of AA in Commercial Nuclear Plants ........................................................... 28 5 Effects of Adaptive Automation on Performance ............................................................. 32 5.1 Performing Normal Operations ....................................................................................... 32 5.2 Managing Degraded Conditions ...................................................................................... 42 5.3 Conclusions ..................................................................................................................... 46 5.3.1 Task Performance, SA, and workload ............................................................... 46 5.3.2 Detection of Automation Failure and Management of Recovery ....................... 49 5.3.3 Potential Challenges of Adaptive Automation ................................................... 49 5.3.4 Generalizing the Research Findings ................................................................. 50 6 Human-Automation Interaction and HSIs .......................................................................... 52 6.1 Human-Automation Teamwork ....................................................................................... 52 6.2 HSIs for AA Interaction and Management ....................................................................... 55 6.2.1 Supporting Situation Awareness and Managing Workload ............................... 55 6.2.2 Etiquette and Managing Interruptions ............................................................... 58 6.3 Adaptive HSIs ................................................................................................................. 60 6.4 Conclusions ..................................................................................................................... 61 7 HFE Guidance for Designing and Evaluating AA Systems .............................................. 63 7.1 Guidance on Function Allocation .................................................................................... 63 7.1.1 General Function Allocation Guidance .............................................................. 63 7.1.2 Nuclear Industry Guidance for Function Allocation ........................................... 66 7.2 Guidance on AA Design and Review .............................................................................. 68 7.2.1 High-Level Principles ........................................................................................ 68 7.2.2 Detailed Guidelines ........................................................................................... 70 7.3 Guidance for the Evaluation and Validation of AA Systems ........................................... 73 7.4 Conclusions ..................................................................................................................... 80 8 Discussion ............................................................................................................................ 82 8.1 Lessons Learned from Current Research and Operations.............................................. 82 8.1.1 Effects of Adaptive Automation on Performance .............................................. 82 8.1.2 Human-Automation Interaction and HSIs .......................................................... 83 8.1.3 HFE Guidance for Designing and Evaluating AA Systems ............................... 84 8.2 Approaches to Improving Human-Automation Interaction............................................... 85 8.3 Research and Development Needs ................................................................................ 86 8.3.1 Key Enabling Technologies and Issues ............................................................ 86 8.3.2 Need for Operational AA Systems .................................................................... 88 8.3.3 HFE Guidance for AA Implementation and Review .......................................... 88 8.4 Final Conclusions ...........................................................................................................
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