The document discusses human factors engineering approaches to optimize human performance and minimize failures when interacting with distributed energy resources (DERs) such as home solar and electric vehicles. It describes studying how people interact with technologies, processes, environments, and other people. The goal is to narrow "gulfs of evaluation and execution" by understanding cognitive limitations and biases, and designing intuitive interfaces. It also stresses expecting human errors and designing to prevent or mitigate them, for example through redundancy, checklists, and training. The key is changing the conditions people operate in, not changing human nature itself.

1. Human Factors
at the Grid Edge
Dr. Cori Faklaris, UNC Charlotte
CAPER Fall Meeting, Nov. 6, 2023, Clemson, SC

2. Cori
Faklaris
@Heycori@hci.social
https://corifaklaris.com
● Assistant Professor and Director of the
Security and Privacy Experiences (SPEX)
research group, Dept. of Software and Information
Systems, College of Computing and Informatics
○ Ph.D., Human-Computer Interaction, School of
Computer Science, Carnegie Mellon University
● Past career in news + design, mainly at
Indianapolis Star / IndyStar.com / Gannett
○ Engagement Producer, News Designer, Systems
Analyst, Software Trainer, Copy Editor, Reporter,
“Doer of Things No One Else Wants to Do” (IT, UX)
● Past Social Media Editor and Consultant
2
cfaklari@charlotte.edu Page 2

3. My interests lie in social UX, security + privacy
3
Empowering social
and delightful user
experiences
Understanding
attitudes toward
risk + adoption
of protections Exploring
near-future
technologies

4. My interests lie in social UX, security + privacy
4
Empowering social
and delightful user
experiences
Understanding
attitudes toward
risk + adoption
of protections Exploring
near-future
technologies
Identifying and mitigating phishing in
Distributed Energy Resources (DERs)
(with Dr. Meera Sridhar, Matthew De
La Rosa, et al.)

5. My interests lie in social UX, security + privacy
5
Empowering social
and delightful user
experiences
Understanding
attitudes toward
risk + adoption
of protections Exploring
near-future
technologies
Human Factors at the Grid Edge
(wherever people interact with DERs
e.g. home solar, EVs, aggregators)
Identifying and mitigating phishing in
Distributed Energy Resources (DERs)
(with Dr. Meera Sridhar, Matthew De
La Rosa, et al.)

6. Key takeaways from this talk
6
• We can’t change humans, but we can change the conditions in
which humans operate
• Follow best practices for Human Factors designs to address human
failures and optimize performance

7. One-slide overview of Human Factors engineering
7
• Origin in post-WWII aviation studies, spread throughout industries
• SHELL
• Goals to (1) Optimize human performance and (2) Minimize
failures (can never eliminate; failures are normal and expected)
• Draws from multiple disciplines to study:
• People and Technologies
• People and Processes
• People and Environments
• People and People

8. One-slide overview of Human Factors engineering
8
• Origin in post-WWII aviation studies, spread throughout industries
• SHELL
• Goals to (1) Optimize human performance and (2) Minimize
failures (can never eliminate; normal and expected)
• Draws from multiple disciplines to study:
• People and Technologies
• People and Processes
• People and Environments
• People and People
We can’t change humans*,
but we can change the conditions
in which humans operate
*successful behavior-change techniques meet
humans where they are

9. One-slide overview of Human Factors engineering
9
• Origin in post-WWII aviation studies, spread throughout industries
• SHELL
• Goals to (1) Optimize human performance and (2) Minimize
failures (can never eliminate; normal and expected)
• Draws from multiple disciplines to study:
• People and Technologies
• People and Processes
• People and Environments
• People and People
Boeing Corp. 2023. Statistical Summary of Commercial Jet Airplane Accidents: Worldwide Operations, 1959-2022. Retrieved from
https://www.boeing.com/resources/boeingdotcom/company/about_bca/pdf/statsum.pdf

10. How do we change the conditions for operation?
Socio-Cognitive Factors
• Cognitive Factors
• Information-processing limits
- e.g. recognition vs. recall
• Cogn. bias, tech acceptance
• Interpersonal/Group Factors
• Social norms and influences
• Relationship needs - e.g.
coworkers, roommates, family
Technical/Environmental Factors
• Interface Factors
• Usability, aesthetics, back-end
requirements, etc.
• Task and Context Factors
• Usage goals, job demands,
distractions, etc.
• Workplace, home, public
street, social media, etc.
10

11. Norman’s Gulfs of Evaluation and Execution
11
“Mismatch between our
internal goals on the one side,
and, on the other side, the
expectations and the
availability of information
specifying the state of the
world (or an artifact) and how
we may change it.”
https://www.interaction-design.org/literature/book/the-glossary-of-human-computer-interaction/gulf-of-evaluation-and-gulf-of-execution https://medium.com/@gazdgabr/the-
gulf-of-execution-and-evaluation-890fca716bb7

12. Narrowing the Gulfs of Evaluation and Execution
Socio-Cognitive Factors
• Cognitive Factors
• Information-processing limits
- e.g. recognition vs. recall
• Cogn. bias, tech acceptance
• Interpersonal/Group Factors
• Social norms and influences
• Relationship needs - e.g.
couples, roommates, family
Technical/Environmental Factors
• Interface Factors
• Usability, aesthetics, back-end
requirements, etc.
• Task and Context Factors
• Usage goals, job demands,
distractions, etc.
• Workplace, home, public
street, social media, etc.
12
In HCI/UX, we study humans and
their tasks, using methods from the
social sciences and design, to
empathize with people and define
their needs and preferences.

13. Example method: ‘Why? Why? Why? Why? Why?’
13
The “5 Whys” technique
helps us get to the root
causes of technical
problems.
2012. The 5 Whys. Harvard Business Review. Retrieved October 23, 2023
from https://hbr.org/2012/02/the-5-whys
https://hbr.org/2012/02
/the-5-whys.html

14. Narrowing the Gulfs of Evaluation and Execution
Socio-Cognitive Factors
• Cognitive Factors
• Information-processing limits
- e.g. recognition vs. recall
• Cogn. bias, tech acceptance
• Interpersonal/Group Factors
• Social norms and influences
• Relationship needs - e.g.
couples, roommates, family
Technical/Environmental Factors
• Interface Factors
• Usability, aesthetics, back-end
requirements, etc.
• Task and Context Factors
• Usage goals, job demands,
distractions, etc.
• Workplace, home, public
street, social media, etc.
14
Then, we design new or better
interfaces - and evaluate them
within tasks and contexts for:
● Efficiency (e.g. high-speed time
on task, low waste of effort)
● Effectiveness (e.g. task
completions, low error rate)…

15. Narrowing the Gulfs of Evaluation and Execution
Socio-Cognitive Factors
• Cognitive Factors
• Information-processing limits
- e.g. recognition vs. recall
• Cogn. bias, tech acceptance
• Interpersonal/Group Factors
• Social norms and influences
• Relationship needs - e.g.
couples, roommates, family
Technical/Environmental Factors
• Interface Factors
• Usability, aesthetics, back-end
requirements, etc.
• Task and Context Factors
• Usage goals, job demands,
distractions, etc.
• Workplace, home, public
street, social media, etc.
15
And increasingly care about …
● Satisfaction (e.g. is the user
delighted, do they continue
using it, do they promote it)
● Additional properties -
accessibility, learnability,
inclusiveness, etc.

16. How do we change the conditions for operation?
Socio-Cognitive Factors
• Cognitive Factors
• Information-processing limits
- e.g. recognition vs. recall
• Cogn. bias, tech acceptance
• Interpersonal/Group Factors
• Social norms and influences
• Relationship needs - e.g.
couples, roommates, family
Technical/Environmental Factors
• Interface Factors
• Usability, aesthetics, back-end
requirements, etc.
• Task and Context Factors
• Usage goals, job demands,
distractions, etc.
• Workplace, home, public
street, social media, etc.
16
And increasingly care about …
● Satisfaction (e.g. is the user
delighted, do they continue
using it, do they promote it)
● Additional properties -
accessibility, learnability,
inclusiveness, etc.
Jill Sheridan. 2021. Former Blue Indy sites will support city’s move toward a greener transportation network. Retrieved October 23, 2023 from
https://www.wfyi.org/news/articles/former-blue-indy-sites-will-support-citys-move-toward-a-greener-transportation-network

17. Should also narrow ‘Gulfs of Trust and Safety’*
Socio-Cognitive Factors
• Social Engineering attacks
• Coordination, cooperation,
and/or conflict among
multiple users/groups
• Mis/Disinformation
• IP and fair-use concerns
Technical/Environmental Factors
• Privacy, information security
• Physical and psychological
safety, public health
• Offline + online/VR/hybrid/AR
• Ergonomics
17
*This is my coinage

18. Expect humans to fail and design to prevent/mitigate
18
• Errors (Inadvertent)
• Slips
• Lapses
• Mistakes (rule-based and knowledge-based)
• Non-Compliance (Deliberate)
• Routine
• Situational
• Exceptional

19. Expect humans to fail and design to prevent/mitigate
19
• Errors (Inadvertent)
• Slips
• Lapses
• Mistakes (rule-based and knowledge-based)
• Non-Compliance (Deliberate)
• Routine
• Situational
• Exceptional
Follow best practices for Human Factors
designs to address human failures and
optimize performance

20. Three-prong approach to minimizing human failures
20
1. Remove humans from
the loop (where
possible)
2. Offer better interfaces
(affordances, mappings,
mental models, etc)
3. Train users (where
necessary)

21. 21
Characteristics Type Examples How to Address
Associated with familiar
tasks that require little
conscious attention.
Occur when attention is
diverted, even for a
moment.
Slip
(Commission)
-move a switch up rather than down
(wrong action on right object)
-take reading from wrong instrument
(right action on wrong object)
-transpose digits during data input
-use well-known design patterns
(consistency e.g. up always means off;
intuitive layout of controls and
instrumentation; level of automation etc.)
-checklists and reminders;
-independent cross-check of tasks
-removal of distractions and
interruptions
-sufficient time to complete task
-warnings + alarms to help detect errors
Additional training will not help!!
Resulting action is not
intended: ‘not doing
what you meant to do’.
Common during
maintenance and repair
activities.
Lapse
(Omission)
-forget turn signal at an intersection
-medical implement left in patient
after surgery
-drive car away from charging
station while plug is connected
Action Errors (Not-as-planned occurrences)
UK Health and Safety Executive. Human Failure Types - PDF. Human factors and ergonomics. Retrieved October 20, 2023 from
https://www.hse.gov.uk/humanfactors/assets/docs/types.pdf

22. 22
Characteristics Type Examples How to Address
Associated with familiar
tasks that require little
conscious attention.
Occur when attention is
diverted, even for a
moment.
Slip
(Commission)
-move a switch up rather than down
(wrong action on right object)
-take reading from wrong instrument
(right action on wrong object)
-transpose digits during data input
-use well-known design patterns
(consistency e.g. up always means off;
intuitive layout of controls and
instrumentation; level of automation etc.)
-checklists and reminders;
-independent cross-check of tasks
-removal of distractions and
interruptions
-sufficient time to complete task
-warnings + alarms to help detect errors
Additional training will not help!!
Resulting action is not
intended: ‘not doing
what you meant to do’.
Common during
maintenance and repair
activities.
Lapse
(Omission)
-forget turn signal at an intersection
-medical implement left in patient
after surgery
-drive car away from charging
station while plug is connected
Action Errors (Not-as-planned occurrences) bold/highlight is priority for Grid Edge
UK Health and Safety Executive. Human Failure Types - PDF. Human factors and ergonomics. Retrieved October 20, 2023 from
https://www.hse.gov.uk/humanfactors/assets/docs/types.pdf

23. 23
Characteristics Type Examples How to Address
Associated with familiar
tasks that require little
conscious attention.
Occur when attention is
diverted, even for a
moment.
Slip
(Commission)
-move a switch up rather than down
(wrong action on right object)
-take reading from wrong instrument
(right action on wrong object)
-transpose digits during data input
-use well-known design patterns
(consistency e.g. up always means off;
intuitive layout of controls and
instrumentation; level of automation etc.)
-checklists and reminders;
-independent cross-check of tasks
-removal of distractions and
interruptions
-sufficient time to complete task
-warnings + alarms to help detect errors
Additional training will not help!!
Resulting action is not
intended: ‘not doing
what you meant to do’.
Common during
maintenance and repair
activities.
Lapse
(Omission)
-forget turn signal at an intersection
-medical implement left in patient
after surgery
-drive car away from charging
station while plug is connected
Action Errors (Not-as-planned occurrences) bold/highlight is priority for Grid Edge
UK Health and Safety Executive. Human Failure Types - PDF. Human factors and ergonomics. Retrieved October 20, 2023 from
https://www.hse.gov.uk/humanfactors/assets/docs/types.pdf

24. 24
Characteristics Type Examples How to Address
Decision-making
failures; errors of
judgment (involve
cognitive processes
linked to planning; info.
gathering;
communication etc.)
Rule-based
Mistake
-mis-application of a good rule
-application of a bad rule
-misjudge situation
-cost out purchase but fail to
account for rising prices
-ignore alarm in emergency, after
nothing happens times before that
-plan for all relevant ‘what ifs’ (abnormal
and emergency scenarios)
-regular drills/exercises for
upsets/emergencies
-clear overview / mental model
(visualizations; system feedback; shift
handover etc.)
-diagnostic tools, decision-making
aids (indicators, tooltips, qr code link to
manuals, etc.)
-competence (knowledge and
understanding of system; training in
decision-making techniques)
-organizational learning (capture and
share experiences of unusual events)
Action is carried out, as
planned, using
conscious thought
processes, but wrong
course of action is
taken: ‘do the incorrect
thing believing it to be
correct’
Knowledge-based
Mistake
-no rules or routines available to
handle unusual situation
-fallback to first principles and
experience to solve problem
-rely on out-of-date map to plan
unfamiliar route
-misdiagnose problem cause and
take inappropriate corrective action
Thinking Errors (Planned occurrences)
UK Health and Safety Executive. Human Failure Types - PDF. Human factors and ergonomics. Retrieved October 20, 2023 from
https://www.hse.gov.uk/humanfactors/assets/docs/types.pdf

25. 25
Characteristics Type Examples How to Address
Decision-making
failures; errors of
judgment (involve
cognitive processes
linked to planning; info.
gathering;
communication etc.)
Rule-based
Mistake
-mis-application of a good rule
-application of a bad rule
-misjudge situation
-cost out purchase but fail to
account for rising prices
-ignore alarm in emergency, after
nothing happens times before that
-plan for all relevant ‘what ifs’ (abnormal
and emergency scenarios)
-regular drills/exercises for
upsets/emergencies
-clear overview / mental model
(visualizations; system feedback; shift
handover etc.)
-diagnostic tools, decision-making
aids (indicators, tooltips, qr code link to
manuals, etc.)
-competence (knowledge and
understanding of system; training in
decision-making techniques)
-organizational learning (capture and
share experiences of unusual events)
Action is carried out, as
planned, using
conscious thought
processes, but wrong
course of action is
taken: ‘do the incorrect
thing believing it to be
correct’
Knowledge-based
Mistake
-no rules or routines available to
handle unusual situation
-fallback to first principles and
experience to solve problem
-rely on out-of-date map to plan
unfamiliar route
-misdiagnose problem cause and
take inappropriate corrective action
Thinking Errors (Planned occurrences) bold/highlight is priority for Grid Edge
UK Health and Safety Executive. Human Failure Types - PDF. Human factors and ergonomics. Retrieved October 20, 2023 from
https://www.hse.gov.uk/humanfactors/assets/docs/types.pdf

26. 26
Characteristics Type Examples How to Address
Decision-making
failures; errors of
judgment (involve
cognitive processes
linked to planning; info.
gathering;
communication etc.)
Rule-based
Mistake
-mis-application of a good rule
-application of a bad rule
-misjudge situation
-cost out purchase but fail to
account for rising prices
-ignore alarm in emergency, after
nothing happens times before that
-plan for all relevant ‘what ifs’ (abnormal
and emergency scenarios)
-regular drills/exercises for
upsets/emergencies
-clear overview / mental model
(visualizations; system feedback; shift
handover etc.)
-diagnostic tools, decision-making
aids (indicators, tooltips, qr code link to
manuals, etc.)
-competence (knowledge and
understanding of system; training in
decision-making techniques)
-organizational learning (capture and
share experiences of unusual events)
Action is carried out, as
planned, using
conscious thought
processes, but wrong
course of action is
taken: ‘do the incorrect
thing believing it to be
correct’
Knowledge-based
Mistake
-no rules or routines available to
handle unusual situation
-fallback to first principles and
experience to solve problem
-rely on out-of-date map to plan
unfamiliar route
-misdiagnose problem cause and
take inappropriate corrective action
Thinking Errors (Planned occurrences) bold/highlight is priority for Grid Edge
UK Health and Safety Executive. Human Failure Types - PDF. Human factors and ergonomics. Retrieved October 20, 2023 from
https://www.hse.gov.uk/humanfactors/assets/docs/types.pdf

27. Characteristics Type Examples How to Address
Deliberate
deviations from
rules, policies, etc.
AKA ‘violations’
Routine
-becomes the ‘norm’; characterized by a
lack of meaningful enforcement
-high proportion of motorists drive at
80mph on the road
-improve risk perception; promote
understanding and raise awareness of
‘whys’ & consequences (e.g. warnings
embedded within procedures)
-increase likelihood of getting caught
-effective supervision
-eliminate reasons to cut corners
(poor design; inconvenient
requirements; unnecessary rules;
unrealistic workload or procedures;
adverse environment)
-improve attitudes / organizational
culture (workforce engagement;
encourage reporting violations; make
non-compliance ‘socially’
unacceptable e.g. drink-driving)
Knowingly take short
cuts, or fail
to follow policies, to
save time or effort.
Situational
-dictated by situation-specific factors
(deadline; workload; unsuitable tools &
equipment; weather)
-van driver has no option but to speed to
complete day’s deliveries
Usually well-
meaning, but
misguided (often
authority says to ‘get
the job done’).
Exceptional
- person attempts to solve problem in
highly unusual circumstances (e.g.
something went wrong); takes a calculated
risk in breaking rules
- speed excessively to ensure not late for
meeting
27
Non-Compliance
UK Health and Safety Executive. Human Failure Types - PDF. Human factors and ergonomics. Retrieved October 20, 2023 from
https://www.hse.gov.uk/humanfactors/assets/docs/types.pdf

28. Characteristics Type Examples How to Address
Deliberate
deviations from
rules, policies, etc.
AKA ‘violations’
Routine
-becomes the ‘norm’; characterized by a
lack of meaningful enforcement
-high proportion of motorists drive at
80mph on the road
-improve risk perception; promote
understanding and raise awareness of
‘whys’ & consequences (e.g. warnings
embedded within procedures)
-increase likelihood of getting caught
-effective supervision
-eliminate reasons to cut corners
(poor design; inconvenient
requirements; unnecessary rules;
unrealistic workload or procedures;
adverse environment)
-improve attitudes / organizational
culture (workforce engagement;
encourage reporting violations; make
non-compliance ‘socially’
unacceptable e.g. drunk-driving)
Knowingly take short
cuts, or fail
to follow policies, to
save time or effort.
Situational
-dictated by situation-specific factors
(deadline; workload; unsuitable tools &
equipment; weather)
-van driver has no option but to speed to
complete day’s deliveries
Usually well-
meaning, but
misguided (often
authority says to ‘get
the job done’).
Exceptional
- person attempts to solve problem in
highly unusual circumstances (e.g.
something went wrong); takes a calculated
risk in breaking rules
- speed excessively to ensure not late for
meeting
28
Non-Compliance bold/highlight is priority for Grid Edge
UK Health and Safety Executive. Human Failure Types - PDF. Human factors and ergonomics. Retrieved October 20, 2023 from
https://www.hse.gov.uk/humanfactors/assets/docs/types.pdf

29. Characteristics Type Examples How to Address
Deliberate
deviations from
rules, policies, etc.
AKA ‘violations’
Routine
-becomes the ‘norm’; characterized by a
lack of meaningful enforcement
-high proportion of motorists drive at
80mph on the road
-improve risk perception; promote
understanding and raise awareness of
‘whys’ & consequences (e.g. warnings
embedded within procedures)
-increase likelihood of getting caught
-effective supervision
-eliminate reasons to cut corners
(poor design; inconvenient
requirements; unnecessary rules;
unrealistic workload or procedures;
adverse environment)
-improve attitudes / organizational
culture (workforce engagement;
encourage reporting violations; make
non-compliance ‘socially’
unacceptable e.g. drunk-driving)
Knowingly take short
cuts, or fail
to follow policies, to
save time or effort.
Situational
-dictated by situation-specific factors
(deadline; workload; unsuitable tools &
equipment; weather)
-van driver has no option but to speed to
complete day’s deliveries
Usually well-
meaning, but
misguided (often
authority says to ‘get
the job done’).
Exceptional
- person attempts to solve problem in
highly unusual circumstances (e.g.
something went wrong); takes a calculated
risk in breaking rules
- speed excessively to ensure not late for
meeting
29
Non-Compliance bold/highlight is priority for Grid Edge
UK Health and Safety Executive. Human Failure Types - PDF. Human factors and ergonomics. Retrieved October 20, 2023 from
https://www.hse.gov.uk/humanfactors/assets/docs/types.pdf

30. Recap of key takeaways from this talk
30
• We can’t change humans, but we can change the conditions in
which humans operate
• Follow best practices for Human Factors designs to address human
failures and optimize performance

31. What are your questions?
• We can’t change humans, but we can change the
conditions in which humans operate
• Follow best practices for Human Factors designs
to address human failures and optimize
performance
cfaklari
@charlotte.edu