ACCESSIBILITY
`
`ADVANCE ORGANIZER
`AESTHETIC-USABILITY EFFECT
`AFFORDANCE
`
`ALIGNMENT
`
`ANTHROPOMORPHIC FORM
`ARCHETYPES
`
`AREA ALIGNMENT
`ATTRACTIVENESS BIAS
`
`BABY-FACE BIAS
`BIOPHILIA EFFECT
`
`CATHEDRAL EFFECT
`CHUNKING
`
`CLASSICAL CONDITIONING
`CLOSURE
`
`COGNITIVE DISSONANCE
`COLOR
`
`COMMON FATE
`COMPARISON
`
`CONFIRMATION
`CONSISTENCY
`
`CONSTANCY
`CONSTRAINT
`
`CONTOUR BIAS
`CONTROL
`
`CONVERGENCE
`COST-BENEFIT
`
`DEFENSIBLE SPACE
`DEPTH OF PROCESSING
`
`DESIGN BY COMMITTEE
`DESIRE LINE
`
`DEVELOPMENT CYCLE
`ENTRY POINT.
`
`ERRORS
`
`EXPECTATION EFFECT
`EXPOSURE EFFECT
`
`FACE-ISM RATIO
`FACTOR OF SAFETY
`
`FEEDBACK LOOP
`FIBONACCI SEQUENCE
`
`FIGURE-GROUND RELATIONSHIP
`FITTS LAW
`
`FIVE HAT RACKS
`
`FLEXIBILITY-USABILITY TRADEOFF
`FORGIVENESS
`
`FORM FOLLOWS FUNCTION
`FRAMING
`
`FREEZE-FLIGHT-FIGHT-FORFEIT
`
`GARBAGE IN-GARBAGE OUT
`
`GOLDEN RATIO
`GOOD CONTINUATION
`
`GUTENBERG DIAGRAM
`
`HICK'S LAW
`HIERARCHY
`
`HIERARCHY OF NEEDS
`
`HIGHLIGHTING
`
`HORROR VACUI
`
`HUNTER-NURTURER FIXATIONS
`
`ICONIC REPRESENTATION
`IMMERSION
`INATTENTIONAL BLINDNESS .
`INTERFERENCE EFFECTS
`
`INVERTED PYRAMID
`
`ITERATION
`
`LAW OF PRAGNANZ
`LAYERING
`
`LEGIBILITY
`
`LIFE CYCLE
`
`MAPPING
`
`MENTAL MODEL
`
`MIMICRY
`
`Universal Principles
`of Design
`
`William Lidwell
`Kritina Holden
`Jill Butler
`
`Foreword by
`Kimberly Dam
`
`125 Ways to Enhance Usability, Influence Perception,
`Increase Appeal, Make Better Design Decisions,
`and Teach through Design
`
`Corel Exhibit 2017
`Microsoft v. Corel
`IPR2016-01083
`
`

`
`2003 by Rockport Publishers, Inc.
`This edition published in 2010
`
`All rights reserved. No part of this book may
`be reproduced in any form without written
`permission of the copyright owners. All images
`in this book have been reproduced with the
`knowledge and prior consent of the artists
`concerned, and no responsibility is accepted
`by producer, publisher, or printer for any
`infringement of copyright or otherwise, arising
`from the contents of this publication. Every effort
`has been made to ensure that credits accurately
`comply with information supplied.
`
`First published in the United States
`of America by:
`
`Rockport Publishers, a member of
`Quayside Publishing Group
`100 Cummings Center
`Suite 406-L
`Beverly, Massachusetts 01915-6101
`Telephone: (978) 282-9590
`Fax: (978) 283-2742
`www.rockpub.com
`
`Library of Congress
`Cataloging-in-Publication Data
`Lidwell, William.
`— Universal principles of design :
`a cross-disciplinary reference /
`—William Lidwell, Kritina Holden, and
`Jill Butler.
`
`— ISBN 1-59253-007-9 (paper over board)
`—1. Design-Dictionaries. I. Holden, Kritina.
`II. (cid:9)
`Butler, Jill. III. Title.
`— NK1165.L53 2003
`— 745.4'03—dc21 (cid:9)
`
`2003009384
`CIP
`
`ISBN-13: 978-1-59253-587-3
`ISBN-10: 1-59253-587-9
`
`12
`
`Design: Collaborated, Inc.
`James Evelock
`Tony Leone
`
`Printed in China
`
`

`
`Affordance
`
`A property in which the physical characteristics of an
`object or environment influence its function.
`
`Objects and environments are better suited for some functions than others. Round
`wheels are better suited than square wheels for rolling; therefore, round wheels
`are said to better afford rolling. Stairs are better suited than fences for climbing;
`therefore, stairs are said to better afford climbing. This is not to say that square
`wheels cannot be rolled or fences climbed, rather that the physical characteristics
`of round wheels and stairs better afford the functions of rolling and climbing."
`
`When the affordance of an object or environment corresponds with its intended
`function, the design will perform more efficiently and will be easier to use.
`Conversely, when the affordance of an object or environment conflicts with its
`intended function, the design will perform less efficiently and be more difficult to
`use. For example, a door with a handle affords pulling. Sometimes, doors with
`handles are designed to open only by pushing—the affordance of the handle
`conflicts with the door's function. Replace the handle with a flat plate, and it now
`affords pushing—the affordance of the flat plate corresponds to the way in which
`the door can be used. The design is improved.
`
`Images of common physical objects and environments can enhance the usability
`of a design. For example, a drawing of a three-dimensional button on a computer
`screen leverages our knowledge of the physical characteristics of buttons and,
`therefore, appears to afford pressing. The popular "desktop" metaphor used by •
`computer operating systems is based on this idea—images of common items like
`trash cans and folders leverage our knowledge of how those items function in the
`real world and, thus, suggest their function in the software environment.'
`
`Whenever possible, you should design objects and environments to afford their
`intended function, and negatively afford improper use. For example, stackable
`chairs should only stack one way. Mimic familiar objects and environments in
`abstract contexts (e.g., software interfaces) to imply the way in which new systems
`can be used. When affordances are successfully employed in a design, it will
`seem inconceivable that the design could function or be used otherwise.
`
`See also Constraint, Desire Line, Mapping, and Nudge.
`
`The seminal work on affordances is "The
`Theory of Affordances" by James Gibson,
`in Perceiving, Acting, and Knowing by R.
`E. Shaw & J. Bransford (Eds), Lawrence
`Erlbaum Associates, 1977; and The Ecological
`Approach to Visual Perception by James
`Gibson, Houghton Mifflin, 1979. A popular
`treatment of affordances can be found in The
`Design of Everyday Things by Donald Norman,
`Doubleday, 1990.
`
`2 Note that the term affordance refers to the
`properties of a physical object or environment
`only. When images of physical objects or
`environments are used (e.g., image of a
`button), the images, themselves, do not afford
`anything. The knowledge of button affordances
`exists in the mind of the perceiver based
`on experience with physical buttons—it is
`not a property of the image. Therefore, the
`affordance is said to be perceived. See, for
`example, "Affordances and Design" by Donald
`Norman, www.jnd.org .
`
`22 Universal Principles of Design
`
`

`
`Outdoor lighting structures often
`afford landing and perching for birds.
`Where birds perch, birds poop. This
`anti-perch fixture is designed to attach
`to such structures and reduce the
`perching affordance.
`
`With opposing male and female
`surfaces and featureless sides,
`Legos naturally afford plugging into
`one another.
`
`Door affordances frequently conflict,
`as shown in the door on the left.
`The "push" affordance of the door is
`knowable only because of the sign,
`which conflicts with the powerful
`"pull" affordance of the handle. By
`replacing the handle with a flat plate,
`the conflict is eliminated and the sign
`is superfluous.
`
`OX0 is well known for the handle
`designs of their products; shape,
`color, and texture combine to create
`irresistible gripping affordances.
`
`The recessed footplates and
`handlebar orientation of the
`Segway Human Transporter
`afford one mounting position
`for the user—the correct one.
`
`Affordance
`
`

`
`Errors
`
`An action or omission of action yielding an unintended result.
`
`Most accidents are thought to be caused by what is referred to as human error,
`yet most accidents are actually due to design errors rather than errors of human
`operation. An understanding of the causes of errors suggests specific design
`strategies that can greatly reduce their frequency and severity. There are two basic
`types of errors: slips and mistakes.'
`
`The seminal work on errors is "Categorization
`of Action Slips" by Donald A. Norman,
`Psychological Review, 1981, vol. 88, p. 1-15;
`and Absent Minded? The Psychology of Mental
`Lapses and Everyday Errors by James Reason
`and Klara Mycielska, Prentice-Hall, 1982.
`
`2 Note that there are many different error
`taxonomies. A nice review and discussion
`regarding the various taxonomies is found in
`Human Error by James Reason, Cambridge
`University Press, 1990. A very readable
`and interesting treatment of human error
`is Set Phasers on Stun and Other True
`Tales of Design, Technology, and Human
`Error by Steven Casey, Aegean Publishing
`Company, 1998.
`
`Slips are sometimes referred to as errors of action or errors of execution, and
`occur when an action is not what was intended. For example, a slip occurs when
`a person dials a frequently dialed phone number when intending to dial a different
`number. Slips are the result of automatic, unconscious processes, and frequently
`result from a change of routine or an interruption of an action. For example, a
`person forgets their place in a procedure when interrupted by a phone cal1. 2
`
`Minimize slips by providing clear feedback on actions. Make error messages
`clear, and include the consequences of the error, as well as corrective actions, if
`possible. Position controls to prevent accidental activation of functions that may
`have detrimental consequences. When this is not possible, use confirmations
`to interrupt the flow and verify the action. Consider the use of affordances and
`constraints to influence actions.
`
`Mistakes are sometimes referred to as errors of intention or errors of planning, and
`occur when an intention is inappropriate. For example, a mistake occurs when a
`nurse interprets an alarm incorrectly and then administers the incorrect medicine.
`Mistakes are caused by conscious mental processes, and frequently result from
`stress or decision-making biases. For example, a person is biased to select only
`from visible options.
`
`Minimize mistakes by increasing situational awareness and reducing
`environmental noise. Make key indicators and controls visible within one eyespan
`whenever possible. Reduce stress and cognitive load by minimizing the auditory
`and visual noise. Provide just enough feedback to accomplish warnings and other
`functions, and no more. Consider the use of confirmations that require multiple
`steps to verify the intention of highly critical tasks. Train on error recovery and
`troubleshooting, emphasizing communication with other team members.
`
`Finally, always incorporate the principle of forgiveness into a design. Forgiveness
`refers to the use of design elements to reduce the frequency and severity of errors
`when they occur, enhancing the design's safety and usability.
`
`See also Affordance, Confirmation, Constraint, and Forgiveness.
`
`82 Universal Principles of Design
`
`

`
`Two Types of Slips
`
`Do you want to
`save the changes
`to your document
`before closing?
`
`No (cid:9)
`
`I
`
`li
`
`ves
`
`CAUSES
`SOLUTIONS
`
`Changes to repetitive tasks or habits
`Provide clear and distinctive feedback
`Use confirmations for critical tasks
`Consider constraints, affordances, and mappings
`
`4 EXAMPLE Confirmations are useful for disrupting behaviors and
`verifying intent
`
`Software Instalation Step 1 • 3 (cid:9)
`
`Your Name
`
`;
`
`CAUSES
`SOLUTIONS
`
`Your Company Name
`
`Distractions and interruptions
`Provide clear orientation and status cues
`Use highlighting to focus attention
`Use alarms to attract attention for critical situations
`
`Serial Number
`H
`I (cid:9)
`FCANCEL
`
`[I BACK 11 (cid:9)
`
`NM 11
`
`41 EXAMPLE Clear orientation and status cues are useful for enabling
`the easy resumption of interrupted procedures
`
`Three Types of Mistakes
`
`- ercep
`
`---.
`
`CAUSES
`SOLUTIONS
`
`Incomplete or ambiguous feedback
`Improve situational awareness
`Provide clear and distinctive feedback
`Track and display historical system behaviors
`
`time
`
`41 EXAMPLE
`
`Historical displays are useful for revealing trends that are
`not detectable in point-in-time displays
`
`NORMAL
`
`YES
`
`Does the (cid:9)
`computer (cid:9)
`start from its (cid:9)
`hardnve? (cid:9)
`• (cid:9)
`r (cid:9)
`
`NO
`
`How to use a fire extinguisher
`
`pull the pin
`P
`A aim the hose at the flame
`squeeze the trigger
`S
`sweep hose from side to side
`S
`
`YES
`NO
`
`CAUSES
`SOLUTIONS
`
`Stress, decision biases, and overconfidence
`Minimize information and environmental noise
`Use checklists and decision trees
`Train on error recovery and troubleshooting
`
`Is the new
`software icon
`on the (cid:9)
`desktop?
`
`YES
`Does the N O
`computer
`start from a -
`ro-Rom?
`
`4 EXAMPLE
`
`Decision trees and checklists are useful decision-making
`and troubleshooting tools, especially in times of stress
`
`CAUSES
`SOLUTIONS
`
`Lack of knowledge and poor communication
`Use memory and decision aids
`Standardize naming and operational conventions
`Train using case studies and simulations
`
`4 EXAMPLE Memory mnemonics are useful strategies for remembering
`critical information in emergency situations
`
`Errors 83
`
`(cid:9)
`(cid:9)
`(cid:9)
`

`
`Forgiveness
`
`Designs should help people avoid errors and minimize the
`negative consequences of errors when they do occur.
`
`Human error is inevitable, but it need not be catastrophic. Forgiveness in design
`helps prevent errors before they occur, and minimizes the negative consequences
`of errors when they do occur. Forgiving designs provide a sense of security and
`stability, which in turn, fosters a willingness to learn, explore, and use the design.
`Common strategies for incorporating forgiveness in designs include:
`
`Good Affordances—physical characteristics of the design that influence its
`correct use (e.g., uniquely shaped plug that can only be inserted into the
`appropriate receptacle).
`
`Reversibility of Actions—one or more actions can be reversed if an error occurs or
`the intent of the person changes (e.g., undo function in software).
`
`Safety Nets—device or process that minimizes the negative consequences of a
`catastrophic error or failure (e.g., pilot ejection seat in aircraft).
`
`Confirmation—verification of intent that is required before critical actions are
`allowed (e.g., lock that must be opened before equipment can be activated).
`
`Warnings—signs, prompts, or alarms used to warn of imminent danger (e.g., road
`signs warning of a sharp turn ahead).
`
`Help—information that assists in basic operations, troubleshooting, and error
`recovery (e.g., documentation or help line).
`
`The preferred methods of achieving forgiveness in a design are affordances,
`reversibility of actions, and safety nets. Designs that effectively use these strategies
`require minimal confirmations, warnings,.and help—i.e., if the affordances are
`good, help is less necessary; if actions are reversible, confirmations are less
`necessary; if safety nets are strong, warnings are less necessary. When using
`confirmations, warnings, and help systems, avoid cryptic messages or icons.
`Ensure that messages clearly state the risk or problem, and also what actions can
`or should be taken. Keep in mind that too many confirmations or warnings impede
`the flow of interaction and increase the likelihood that the confirmation or warning
`will be ignored.
`
`Create forgiving designs by using good affordances, reversibility of actions, and
`safety nets. If this is not possible, be sure to include confirmations, warnings, and
`a good help system. Be aware that the amount of help necessary to successfully
`interact with a design is inversely proportional to the quality of the design—if a lot
`of help is required, the design is poor.
`
`See also Affordance, Confirmation, Errors, Factor of Safety, and Nudge.
`
`104 Universal Principles of Design
`
`

`
`-:17 i
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`enables users to flexibly undo and
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`
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`
`Road signs make roads more
`forgiving by warning drivers of
`impending hazards.
`
`In case of a catastrophic failure, the
`ballistic recovery system acts as a
`safety net, enabling the pilot and craft
`to return safely to earth.
`
`I
`
`II
`
`I (cid:9)
`
`'43
`
`Locking and tagging equipment is
`a common confirmation strategy to
`ensure that people do not accidentally
`engage systems under repair.
`
`The good affordance of this plug
`prevents it from being inserted into
`the socket improperly.
`
`Forgiveness 105
`
`

`
`Hick's Law
`
`The time it takes to make a decision increases as the
`number of alternatives increases.'
`
`Hick's Law states that the time required to make a decision is a function of the
`number of available options. It is used to estimate how long it will take for people
`to make a decision when presented with multiple choices. For example, when
`a pilot has to press a particular button in response to some event, such as an
`alarm, Hick's Law predicts that the greater the number of alternative buttons, the
`longer it will take to make the decision and select the correct one. Hick's Law has
`implications for the design of any system or process that requires simple decisions
`to be made based on multiple options. 2
`
`All tasks consist of four basic steps: (1) identify a problem or goal, (2) assess the
`available options to solve the problem or achieve the goal, (3) decide on an option,
`and (4) implement the option. Hick's Law applies to the third step: decide on an
`option. However, the law does not apply to decisions that involve significant levels
`of searching, reading, or complex problem solving. For example, a complex task
`requiring reading sentences and intense concentration with three options can
`easily take longer than a simple stimulus-response task with six options. Therefore,
`Hick's Law is most applicable for simple decision-making tasks in which there is a
`unique response to each stimulus. For example, if A happens, then push button
`1, If B happens, then push button 2. The law is decreasingly applicable as the
`complexity of tasks increases.'
`
`1 Also known as Hick-Hyman Law
`
`The seminal work on Hick's Law is "On the
`Rate of Gain of Information" by W. E. Hick,
`Quarterly Journal of Experimental Psychology,
`1952, vol. 4, p. 11-26; and "Stimulus
`information as a determinant of reaction
`time" by Ray Hyman, Journal of Experimental
`Psychology, 1953, vol. 45, p. 188-196.
`
`The Hick's Law equation is RT= a + b log2
`(n), where RT = response time, a = the total
`time that is not involved with decision making,
`b = an empirically derived constant based on
`the cognitive processing time for each option
`(in this case 0.155 seconds for humans), n
`= number of equally probable alternatives. For
`example, assume it takes 2 seconds to detect
`an alarm and understand its meaning. Further,
`assume that pressing one of five buttons will
`solve the problem caused by the alarm. The
`time to respond would be RT = (2 sec) +
`(0.155 sec)(log2 (5)) = 2.36 sec.
`
`Designers can improve the efficiency of a design by understanding the
`implications of Hick's Law. For example, the law applies to the design of software
`menus, control displays, wayfinding layout and signage, and emergency response
`training—as long as the decisions involved are simple. As the complexity of the
`tasks increases, the applicability of Hick's Law decreases. For example, Hick's
`Law does not apply to complex menus or hierarchies of options. Menu selection
`of this type is not a simple decision-making task since it typically involves reading
`sentences, searching and scanning for options, and some level of problem solving.
`
`Consider Hick's Law when designing systems that involve decisions based on a set
`of options. When designing for time-critical tasks, minimize the number of options
`involved in a decision to reduce response times and minimize errors. When
`designs require complex interactions, do not rely on Hick's Law to make design
`decisions; rather, test designs on the target population using realistic scenarios.
`In training people to perform time-critical procedures, train the fewest possible
`responses for a given scenario. This will minimize response times, error rates, and
`training costs.
`
`See also Errors, Fitts' Law, Progressive Disclosure, and Wayfinding.
`
`120 Universal Principles of Design
`
`

`
`Recognition Over Recall
`
`Memory for recognizing things is better than memory for
`recalling th ings.
`
`People are better at recognizing things they have previously experienced than
`recalling those things from memory. It is easier to recognize things than recall
`them because recognition tasks provide memory cues that facilitate searching
`through memory. For example, it is easier to correctly answer a multiple-choice
`question than a short-answer question because multiple-choice questions provide
`a list of possible answers; the range of search possibilities is narrowed to just the
`list of options. Short answer questions provide no such memory cues, so the range
`of search possibilities is much greater.'
`
`The seminal applied work on recognition
`over recall is the user interface for the Xerox
`Star computer. See "The Xerox 'Star': A •
`Retrospective" by Jeff Johnson and Teresa
`L. Roberts, William Verplank, David C. Smith,
`Charles Irby, Marian Beard, Kevin Mackey, in
`Human Computer Interaction: Toward the Year
`2000 by Ronald M. Baecker, Jonathan Grudin,
`William A. S. Buxton, Saul Greenberg, Morgan
`Kaufman Publishers, 1995, p. 53-70.
`
`Note that none of the participants had
`previously bought or used the known brand.
`See "Effects of Brand Awareness on Choice
`for a Common, Repeat-Purchase Product"
`by Wayne D. Hoyer and Steven P. Brown,
`Journal of Consumer Research, 1990, vol. 17,
`p. 141-148.
`
`Recognition memory is much easier to develop than recall memory. Recognition
`memory is attained through exposure, and does not necessarily involve any
`memory about origin, context, or relevance. It is simply memory that something
`(sight, sound, smell, touch) has been experienced before. Recall memory is
`attained through learning, usually involving some combination of memorization,
`practice, and application. Recognition memory is also retained for longer periods
`of time than recall memory. For example, the name of an acquaintance is often
`quickly forgotten, but easily recognized when heard.
`
`The advantages of recognition over recall are often exploited in the design of
`interfaces for complex systems. For example, early computer systems used
`a command line interface, which required recall memory for hundreds of
`commands. The effort associated with learning the commands made computers
`difficult to use. The contemporary graphical user interface, which presents
`commands in menus, allows users to browse the possible options, and select
`from them accordingly. This eliminates the need to have the commands in recall
`memory, and greatly simplifies the usability of computers.
`
`Decision-making is also strongly influenced by recognition. A familiar option is
`often selected over an unfamiliar option, even when the unfamiliar option may be
`the best choice. For example, in a consumer study, people participating in a taste
`test rated a known brand of peanut butter as superior to two unknown brands,
`even though one of the unknown brands was objectively better (determined by
`earlier blind taste tests). Recognition of an option is often a sufficient condition for
`making a choice.'
`
`Minimize the need to recall information from memory whenever possible. Use
`readily accessible menus, decision aids, and similar devices to make available
`options clearly visible. Emphasize the development of recognition memory in training
`programs, and the development of brand awareness in advertising campaigns.
`
`See also Exposure Effect, Serial Position Effects, and Visibility.
`
`200 Universal Principles of Design
`
`

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`Early computers used command-
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`memory for hundreds of commands.
`Graphical user interfaces eliminated
`the need to recall the commands
`by presenting them in menus. This
`innovation leveraged the human
`capacity for recognition over recall,
`and dramatically simplified the
`usability of computers.
`
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`/usr/group/juser/xxxl
`[4:03am tmi2]
`[4:03am tmi2] pwd
`/usr/group/juser
`[4:04am tmi2] cp text.dat -juser/xxxl/test.dat
`[4:05am tmi2] cp text.dat -juser/xxxl/testnew.dat
`[4:06am tmi2] cd..
`[4:07am tmi2] is -la
`
`512 Mar 28 03:45 .
`3584 Mar 28 03:46 ..
`1522 Mar 28 04:03 testl.txt
`1522 Mar 28 04:02 test2.txt
`
`:52 .
`:46 ..
`:04 test.dat
`. 03 testl.txt
`02 test2.txt
`05 testnew.dat
`
`'Casi7.1
`Hard Drive
`
`Documents
`
`Garbage
`
`3:48 PM
`
`Recognition Over Recall 201
`
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)