INTERNATIONAL
`
`STANDARD
`
`ISO
`
`13407
`
`First edition
`1999—06—01
`
`
`
`Human-centred design processes for
`interactive systems
`
`Processus de conception centrée sur I’ope’rateur humain pour les systémes
`interactifs
`
`
`
`
`
`SONY Exhibit 1022
`SONY Exhibit 1022
`SONY v. Creative
`SONY V. Creative
`IPR2016-01407
`IPR2016-01407
`Reference number
`ISO 13407:1999(E)
`
`Copyright international! Organization for Standardization
`Prowded by iHS under iicense with various National Standards Bodies
`No reproduction or nexworking permitted Without license from 1H8
`
`Order Number: W1965169
`Sold to,WOLF GREENFIELD [125648100001] 7 TARACASALETTO@WOLFGREENFTELD COM
`No! for Resale,2017A03-231610609 UTC
`
`

`

`iSO 13407:1999(E)
`
`Contents
`
`Page
`
`1 Scope ...................................................................................................................................................................... ..1
`
`2 Terms and definitions ........................................................................................................................................... ..1
`
`3 Structure of this international Standard .............................................................................................................. ..2
`
`4 Rationale for adopting a human-centred design process .............................................................................
`
`5 Principles of human-centred design .................................................................................................................... ..3
`
`5.1 General ................................................................................................................................................................. ..3
`
`5.2 The active involvement of users and a clear understanding of user and task requirements ..................... ..3
`
`5.3 An appropriate aliocation of function between users and technology ...........................
`
`5.4 iteration of design solutions .............................................................................................................................. ..3
`
`
`5.5 Multi-disciplinary design............: .
`
`. . . . . .
`
`.................................................................................................. ..4 ,
`
`6 Planning the human-centred design process..... ................................................................................................ ..4
`
`7 Human-centred design activities ...........................................................................................................................5
`7.1 General ................................................................................................................................................................. ..5 I
`
`7.2 Understand and specify the context of use ..................................................................................................... ..6
`
`7.3 Specify the user and organizational requirements ......................................................................................... ..7
`
`7.4 Produce design solutions .................................................................................................................................. ..8
`
`7.5 Evaluate designs against requirements ........................................................................................................... ..9
`
`8 Conformance ........................................................................................................................................................ .. 12
`
`Annex A (informative) Guidance on other relevant standards ........................................................................... .. 13
`
`Annex B (informative) Example of a structure of a usability evaluation report ................................................ ..17
`
`Annex C (informative) Sample procedure for demonstrating conformance to this international Standard ....20
`
`Bibliography ............................................................................................................................................................ ..25
`
`© lSO 1999
`
`All rights resen/ed. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means, electronic
`or mechanical, including photocopying and microfilm, without permission in writing from the publisher.
`international Organization for Standardization
`base postale 55 e CPL—12!“; Geneve 20 3 Switzerland
`lntemet
`iso@iso.ch
`Printed in Switzerland
`
`Copyright iMemational Organization for Standardization
`Provided by iris under license Wini various Nationai Standards Bodies
`No reproduction or networking permitted Wimout license irom lHS
`
`Order Number W‘1965169
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`Not for Resale.2017—03723 16 06 09 UTC
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`

`

`© ISO
`
`ISO 13407:1999(E)
`
`Foreword
`
`ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO
`member bodies). The work of preparing international Standards is normally carried out through ISO technical
`committees. Each member body interested in a subject for which a technical committee has been established has
`the right to be represented on that committee. International organizations, governmental and non-governmental, in
`liaison with ISO, also take part
`in the work.
`ISO collaborates closely with the International Electrotechnical
`Commission (IEC) on all matters of electrotechnical standardization.
`
`International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 3.
`
`Draft International Standards adopted by the technical committees are circulated to the member bodies for voting.
`Publication as an International Standard requires approval by at least 75 % of the member bodies casting a vote.
`§
`
`International Standard ISO 13407 was prepared by Technical Committee ISO/TC 159, Ergonomics, Subcommittee
`SC 4, Ergonomics of human—system interact/on.
`
`Annexes A, B and C of this International Standard are for information only.
`
`Copyright international Organization tor Standardization
`Provided by IHS under license with various National Standards Bodies
`No reproduction or networking permitted without license from IHS
`
`Order Number: W‘IQBS‘IBQ
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`"I
`
`

`

`lSO 13407:1999(E)
`
`© lSO
`
`Introduction
`
`Human-centred design is an approach to interactive system development that focuses specifically on making
`systems usable. It is a multi-disciplinary activity which incorporates human factors and ergonomics knowledge and
`techniques. The application of human factors and ergonomics to interactive systems design enhances effectiveness
`and efficiency, improves
`surnan working conditions, and counteracts possible adverse effects of use on human
`health, safety and performance. Applying ergonomics to the design of systems involves taking account of human
`capabilities, skills, limitations and needs.
`
`Human-centred systems support users and motivate them to learn. The benefits can include increased productivity,
`enhanced quality of work, reductions in support and training costs, and improved user satisfaction. Although there is
`a substantial body of human factors and ergonomics knowledge about how such design processes can be
`organized and used effectively, much of this information is only well-known by specialists in these fields. This
`International Standard aims to help those responsible for managing hardware and software design processes to:
`identify and plan effective and timely human-centred design activities.
`It complements existing design approaches '
`and methods.
`
`i
`
`Copyright lJtYmattonat Organization (or Standardizaticn
`named by IHS under license With various National Standards Bodies
`No reproduction or networkan permitted wlthout Itcense from lHS
`
`,
`
`Order Number W1965169
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`

`

`
`
`
`
`INTERNATIONAL STANDARD © ISO ISO 13407:1999(E)
`
`Human-centred design processes for interactive systems
`
`1 Scope
`
`This International Standard provides guidance on human-centred design activities throughout the life cycle of
`computer-based interactive systems.
`it is aimed at those managing design processes and provides guidance on
`sources of information and standards relevant to the human—centred approach.
`
`This international Standard is concerned with both hardware and software components of interactive systems.
`
`Computer—based interactive systems vary in scale and complexity, Examples include off-the-shelf (shrink wrap)
`NOTE
`software products, custom office systems, plant monitoring systems, automated banking systems and consumer products.
`
`This International Standard addresses the planning and management of human-centred design. it does not address
`all aspects of project management.
`5
`
`it does not provide detailed
`This International Standard provides an overview of human—centred design activities.
`coverage of the methods and techniques required for human-centred design, nor does it address health and safety
`aspects in detail.
`
`The main users of this international Standard will be project managers. This International Standard therefore
`addresses technical human factors and ergonomics issues only to the extent necessary to allow managers to
`understand their relevance and importance in the design process as a whole. Such issues are dealt with more fully
`in iSO 9241 (see bibliography) which is complementary to this international Standard and is aimed at system
`developers, specifiers and purchasers of systems, Nonetheless, all parties involved in human-centred system
`development, including the end-users of systems, should find the guidance in this International Standard relevant.
`
`2 Terms and definitions
`
`For the purposes of this international Standard, the following terms and definitions apply.
`
`2.1
`
`interactive system
`combination of hardware and software components that receive input from, and communicate output to, a human
`user in order to support his or her performance of a task
`
`NOTE
`
`The term “system” is often used rather than “interactive system".
`
`2.2
`
`prototype
`representation of all or part of a product or system that, although limited in some way, can be used for evaluation
`
`2.3
`
`usability
`extent to which a product can be used by specified users to achieve specified goals with effectiveness, efficiency
`and satisfaction in a specified context of use
`
`[ISO 9241—11I1998, definition 3.1]
`
`Copyright international Organization for Standardization
`Provided by IHS under license With various National Standards Bodies
`No reproduction or networking permitted Without license from IHS
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`

`

`ISO13407:1999(E)
`
`2.4
`effectiveness
`
`© iSO
`
`accuracy and completeness with which users achieve specified goals
`
`[lSO 9241-1 1:1998, definition 3.2]
`
`2.5
`
`efficiency
`resources expended in relation to the accuracy and completeness with which users achieve goals
`
`[iso 9241-1111998, definition 3.3}
`’3 al..u
`satisfactinn
`
`freedom from discomfort, and positive attitudes to the use of the product
`
`[lSO 9241—1121998, definition 3.4}
`
`2.7
`context of use
`
`users, tasks, equipment (hardware, software and materials), and the physical and social environments in which a
`product is used
`
`[ISO 9241-1111998, definition 3.5]
`
`2.8
`user
`
`individual interacting with the system
`
`[lSO 9241-10:1996, definition 2.2]
`
`3 Structure of this international Standard
`
`Clause 4 outlines the reasons for adopting a human-centred design process. These can be used to provide a
`rationale for the use of human-centred methods, or to determine priorities for resource allocation during a project.
`
`Clause 5 gives guidance on the principles of human—centred design. Clause 6 lists the issues to be considered
`when planning human—centred design activities and discusses how these should relate to system design goals.
`
`Clause 7 is the core of this International Standard. It describes each of the four essential human-centred activities
`which should take place during the design process. Clause 8 gives further guidance on reporting human—centred
`activities.
`
`4 Rationale for adopting a human-centred design process
`
`All work systems should follow the ergonomic principles described in ISO 6385:1981. Making interactive systems
`more human-centred has substantial economic and social benefits.
`In most countries, employers and system
`providers have legal obligations to protect users from risks to their health and safety. Making systems more usable
`means systems can contribute to these aims, meeting user and organizational needs better. They
`
`a)
`
`b)
`
`0)
`
`d)
`
`are easier to understand and use, thus reducing training and support costs,
`
`improve user satisfaction and reduce discomfort and stress,
`
`improve the productivity of users and the operational efficiency of organizations, and
`
`improve prod
`
`uct
`
`iw
`.0 uality, appeai to the mats and can provide a competitive advantage
`
`The complete benefits of human—centred design can be determined by taking into account the total life—cycle costs
`of the system including conception, design, implementation, support, use and maintenance.
`
`Copyright lgmational Organization for Standardlzaiion
`Provided by lHS under license with various National Standards Bodies
`No reproduction or networking permitted without license from His
`
`Order Number W1985169
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`

`© ISO
`
`ISO 13407:1999(E)
`
`5 Principles of human-centred design
`
`5.1 General
`
`There are many industry and proprietary standard methods for the design of computer—based interactive systems.
`This international Standard does not assume any one standard design process, nor does it cover all the different
`activities necessary to ensure effective system design. It is complementary to existing design methods and provides
`a human-centred perspective that can be integrated into different forms of design process in a way that
`is
`appropriate to the particular context. All the human-centred design activities identified in clause 7 are applicable, to
`a greater or lesser extent, at any stage in the development of a system.
`
`Whatever the design process and allocation of responsibilities and roles adopted, the incorporation of a human-
`centred approach is characterized by the following:
`
`a)
`
`b)
`
`0)
`
`the active involvement of users and a clear understanding of user and task requirements;
`
`an appropriate allocation of function between users and technology;
`
`the iteration of design solutions;
`
`d) multi-disciplinary design.
`
`5.2 The active involvement of users and a clear understanding of user and task requirements
`
`The involvement of users in the development process provides a valuable source of knowledge about the context of
`use, the tasks, and how users are likely to work with the future product or system. The effectiveness of user
`involvement increases as the interaction between the developers and the users increases. The nature of user
`involvement varies depending on the design activities which are being undertaken.
`
`When custom—made products are being developed, the proposed users and the tasks performed can be directly
`linked to the development process. The organization procuring the system has the opportunity to have a direct
`influence on the design as it emerges, and solutions can be evaluated by those who are actually going to be
`working with them. Such involvement and participation also increase user acceptance and commitment.
`
`When generic or consumer products are being developed, the user population is dispersed and is perhaps not
`easily accessible. It is still essential that users or appropriate representatives are involved in development, in order
`that the relevant user and task requirements can be identified for inclusion in the system specification, and in order
`to provide feedback through testing of the proposed design solutions.
`
`5.3 An appropriate allocation of function between users and technology
`
`One of the most important human-centred design principles concerns the appropriate allocation of function — the
`specification of which functions should be carried out by the users and which by the technology. These design
`decisions determine the extent to which a given job, task, function or responsibility is to be automated or assigned
`to human performance.
`
`The decisions should be based on many factors, such as relative capabilities and limitations of humans versus
`technology in terms of reliability, speed, accuracy, strength, flexibility of response, financial cost, the importance of
`successful or timely accomplishment of tasks and user well-being. They should not simply be based on determining
`which functions the technology is capable of performing and then simply allocating the remaining functions to users,
`relying on their flexibility to make the system work. The resulting human functions should form a meaningful set of
`tasks. Representative users should generally be involved in these decisions. For further guidance, see ISO 9241~2
`and ISO 10075.
`
`5.4 Iteration of design solutions
`
`Iteration, when
`In iterative design approaches, feedback from users becomes a critical source of information.
`combined with active user involvement, provides an effective means of minimizing the risk that a system does not
`meet user and organizational requirements (including those requirements that are hidden or difficult to specify
`
`Copyright international Organization for Standardization
`Provided by lHS under license With various National Standards Bodies
`No reproduction or networking permitted without license from IHS
`
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`3
`
`

`

`lSO 13407:1999(E)
`
`© iso
`
`explicitly). lteration allows preliminary design solutions to be tested against “real world" scenarios, with the results
`being fed back into progressively refined solutions.
`
`iteration can be incorporated in other design approaches. Even in the “waterfall” model, where there is a systematic
`top-down hierarchy of design decisions and the relationship between the stages generally precludes iteration
`between them, there can be extensive iteration withtn a stage.
`
`5.5 Multi-disciplinary design
`
`range of personnei is necessary to address the human aspects of
`Human-centred design needs a variety of skitis.
`.
`,x
`c c
`I
`_
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`ls
`..
`I-r
`nr rn
`the design. This means that mum-disciplinary teams should be involved in a user—centred design process. These
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`,chnical development and the customer. The roles can
`
`relationship between the organization responsible for
`include the following
`
`a
`
`\_/
`
`b)
`
`0)
`
`d)
`
`end-user;
`
`purchaser, manager of user;
`
`application domain specialist, business analyst;
`
`systems analyst, systems engineer, programmer;
`
`e) marketer, salesperson;
`
`f)
`
`9)
`
`h)
`
`user interface designer, visual designer;
`
`human factors and ergonomics expert, human—computer interaction specialist;
`
`technical author, trainer and support personnel.
`
`Individual team members can cover a number of different skill areas and viewpoints. Multi-disciplinary teams do not
`have to be large but the team should be sufficiently diverse to make appropriate design trade-off decisions.
`
`6 Planning the human-centred design process
`L. .._
`.c
`.AL.
`1.-
`2:. .
`L
`A In‘nln a A. JAE L A .1
`I“\ Pldll bllUUlU UU UUV
`oped lU spec: y how t ie nurriari-cer
`red activities fit into t'ie overaii system development
`
`process.
`
`The plan should identify:
`
`a)
`
`b)
`
`0)
`
`d)
`
`e)
`
`the human-centred design process activities described in clause 7, Le. understanding and identifying context of
`use, specifying user and organizational requirements, producing prototypes and evaluating designs according
`to user criteria;
`
`procedures for integrating these activities with other system development activities, eg. analysis, design,
`testing;
`
`the individuals and the organization(s) responsible for the human—centred design activities and the range of
`skills and viewpoints they provide;
`
`effective procedures for establishing feedback and communication on human—centred design activities as they
`affect other design activities, and methods for documenting these activities;
`
`appropriate milestones for human-centred activities integrated into the overall design and development
`process;
`
`f)
`
`suitable timescales to allow feedback, and possible design changes,
`schedule.
`
`to be incorporated into the project
`’
`
`Copyright lrfirnational Organization for Standardization
`Provided by lHS under license with various National Standards Bodies
`NO reproduction or networking permined Without license from lHS
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`

`© ISO
`
`ISO 13407:1999(E)
`
`This human-centred design process plan should form part of the overall system development project plan and
`should also be subject to the same project disciplines (e.g. responsibilities, change control) as other key activities to
`ensure that it is followed through and implemented effectively. The plan should be revised as requirements change
`and updated to reflect the status of activities.
`
`Project planning should allow for iteration and for incorporating user feedback. Some time is also required for
`effective communication among design team participants and for reconciling potential conflicts and trade~offs.
`Projects benefit from additional creativity and ideas from the interaction of team members who, collectively have an
`extensive skill base. Extra communication and discussion to identify and resolve problems early on in the project
`can result in significant savings at later stages when changes are generally more costly.
`
`Design organizations should incorporate human-centred design into their existing internal procedures and
`development standards. This can include organization procedures for prototyping, for testing,
`for establishing
`appropriate user involvement, for ensuring the right mix of skills and competence in the development team.
`
`If the developing organization has a quality system and associated quality plans for system development, then a
`specific plan should be included for the human—centred design process covering both the type of development
`process adopted and the quality control measures.
`
`7 Human-centred design activities
`
`7.1 General
`
`There are four human-centred design activities that should take place during a system development project.
`
`These activities are
`
`a)
`
`b)
`
`0)
`
`d)
`
`to understand and specify the context of use,
`
`to specify the user and organizational requirements,
`
`to produce design solutions,
`
`to evaluate designs against requirements.
`
`The human-centred design process should start at the earliest stage of the project (e.g. when the initial concept for
`the product or system is being formulated), and should be repeated iteratively until
`the system meets the
`requirements, as illustrated in Figure 1.
`
`The need for a human-centred design approach will be identified from the operational objectives of the system, for
`example, to satisfy customer requirements for usability.
`
`When planning a system development project, the description of each activity and its sub—tasks should be studied
`and. used as guidance in designing or selecting the human—centred design methods and techniques for carrying out
`the activity and reporting progress and findings. Whereas all of the human design activities described in this clause
`are generally relevant, the relative focus and overall investment in them will depend on the size and type of the
`product; for example, a large project, new product or new system could have a full multi-disciplinary team with a
`member for each relevant role and implement all the human-centred design activities recommended in this clause.
`In contrast, small projects, existing legacy products or systems or products targeted at niche or small markets could
`have a smaller design team with individual members representing multiple roles and use a more limited range of
`methods and techniques to support the activities.
`
`Copyright internationat Organization for Standardization
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`No reproduction or networking permitted Witnout license irom IHS
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`

`lSO 13407:1999(E)
`
`to so
`
`
` identify need for
`
`
`human—centred
`design
`
`
`
`I
`Understand and
`I
`specify the context
`
`/ of use I \L_—_________l \
`
`///’x\
`\\
`\
`\
`
`\
`
`
`
`I
`
`Specify the user and
`organizational
`requirements
`
`I
`
`
`
` System satisfies
`
`
`
`
`specified
`user and organizational
`requirements
`
`Evaluate designs
`against requirements
`
`Produce
`
`solutions
`
`design
`
`Figure 1 — The interdependence of human-centred design activities
`
`7.2 Understand and specify the context of use
`
`7.2.1 The characteristics of the users, tasks and the organizational and physical environment define the context in
`which the system is used. it is important to understand and identify the details of this context in order to guide early
`design decisions, and to provide a basis for evaluation.
`
`Information should be gathered about the context of use of new products and systems. If an existing system is to be
`upgraded or enhanced, this information may already be available but should be checked.
`if there are extensive
`results from user feedback, help desk reports and other data,
`these provide a basis for prioritizing user
`requirements for system modifications and changes.
`
`The context in which the system is t be used should be identified in terms of the following.
`
`a) The characteristics of the intended users: relevant characteristics of the users can include knowledge, skill,
`experience, education, training, physical attributes, habits, preferences and capabilities.
`if necessary, define
`the characteristics of dih’erent types of users, for example, with different levels of experience or performing
`different roles (maintainers, installers, etc).
`
`b) The tasks the users are to perform: the description should include the overall goals of use of the system. The
`characteristics of tasks that can influence usability should be described, eg. the frequency and the duration of
`performance.
`if there are implications for health and safety, eg. controlling the beha'i ur of
`computer—
`controlled production machine, these should also be described. The description should include the allocation of
`activities and operational steps between the human and technological
`resources. Tasks should not be
`described solely in terms of the functions or features provided by a product or system.
`
`c) The environment in which the users are to use the system: the environment includes the hardware, software
`and materials to be used. Their description can be in terms of a set of products, one or more of which can be
`the focus of human—centred specification or evaluation, or it can be in terms of a set of attributes or
`performance characteristics of the hardware, software and other materials.
`
`Copyright lrémational Organization for Standardization
`Provided by its under license with various National Standards Bodies
`No reproduction or networking permitted Without license from lHS
`
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`

`© lSO
`
`ISO 13407:1999(E)
`
`Relevant characteristics of the physical and social environment should also be described. These can include
`relevant standards, attributes of the wider technical environment
`(e.g., a local area network),
`the physical
`environment (e.g., workplace, furniture),
`the ambient environment (e.g.,
`temperature, humidity),
`the legislative
`environment (e.g., laws, ordinances and directives) and the social and cultural environment (e.g., work practices,
`organizational structure and attitudes).
`
`7.2.2 The output from this activity should be a description of the relevant characteristics of the users, tasks and
`environment which identifies what aspects have an important impact on the system design. (See ISO 9241—11 for
`more information about the context of use and a sample report.)
`
`This description is unlikely to be a single output that is issued once. It is more often a “working document" that is
`NOTE
`first produced in outline terms and is then reviewed, maintained, extended and updated during the design and development
`process.
`
`The context of use description should
`
`a)
`
`b)
`
`c)
`
`d)
`
`e)
`
`specify the range of intended users, tasks and environments in sufficient detail to support design activity;
`
`be derived from suitable sources;
`
`be confirmed by the users or if they are not available, by those representing their interests in the process;
`
`be adequately documented;
`
`be made available to the design team at appropriate times and in appropriate forms to support design activities.
`
`7.3 Specify the user and organizational requirements
`
`In most design processes, there is a major activity specifying the functional and other requirements for the
`7.3.1
`product or system. For human—centred design, this activity should be extended to create an expiicit statement of
`user and organizational requirements in relation to the context of use description. The following aspects should be
`considered in order to identify relevant requirements:
`
`a)
`
`b)
`
`0)
`
`d)
`
`e)
`
`required performance of the new system against operational and financial objectives;
`
`relevant statutory or legislative requirements, including safety and health;
`
`cooperation and communication between users and other relevant parties;
`
`the users’ jobs (including the allocation of tasks, users’ wellbeing, and motivation);
`
`task performance;
`
`f) work design and organization;
`
`g) management of change, including training and personnel to be involved;
`
`h)
`
`feasibility of operation and maintenance;
`
`i)
`
`the human—computer interface and workstation design.
`
`7.3.2 User and organizational requirements should be derived and objectives set with appropriate trade-offs
`identified between the different requirements. This specification should define the “allocation of function" — the
`division of system tasks into those performed by humans and those performed by technology. These requirements
`should be stated in terms that permit subsequent testing and should be confirmed or updated during the life of the
`project.
`
`NOTE
`
`Specific guidance on specifying software in a form that can be tested is contained in iSO/lEC 14598—1.
`
`The specification of user and organizational requirements should
`
`Copyright international Organization for Standardization
`Provided by MS under iicense with various National Standards Bodies
`No reproduction OI networking permitted Without license from [HS
`
`Order Number, W1965169
`Sold to WOLF GREENFIELD [125648100001] 7 TARACASALETTO@WOLFGREENFlELD.COM,
`Not for Resale.20i7703723 16‘06109 UTC
`
`

`

`Iso 13407:1999(E)
`
`© iso
`
`a)
`
`b)
`
`0)
`
`d)
`
`e)
`
`f)
`
`(Cl ~_.,
`
`identify the range of relevant users and other personnel in the design,
`
`provide a clear statement of the human-centred design goals,
`
`set appropriate priorities for the different requirements,
`
`provide measurable criteria against which the emerging design can be tested,
`
`be confirmed by the users or those representing their interests in the process,
`
`include any statutory or legislative requirements, and
`
`be adequately documented.
`
`7.4 Produce design solutions
`
`7.4.1 General
`
`the experience and
`Potential design solutions are produced by drawing on the established state of the art,
`knowledge of the participants and the results of the context of use analysis. The process therefore involves the
`fnlinu/ing activifioo-
`
`a)
`
`use existing knowledge to develop design proposals with multi-disciplinary input;
`
`b) make the design solutions more concrete using simulations, models, mock-ups, etc.;
`
`c)
`
`d)
`
`present the design solutions to users and allow them to perform tasks (or simulated tasks);
`
`alter the design in response to the user feedback and iterate this process until the human-centred design goals
`are met;
`
`9) manage the iteration of design solutions.
`
`7.4.2 Use existing knowledge to develop design proposals with a multi-disciplinary inp