Conceptualizing a possible discipline of human–computer interaction

 

John M. Carroll
Center for Human–Computer Interaction and College of Information Sciences and Technology, The Pennsylvania State University, University Park, PA 16802, USA

John Long's Comment 1 on this Paper

When the editors first told me that Jack Carroll had contributed to the John Long Festschrift, I was delighted. First, for personal reasons. I have always liked Jack and taken pleasure in his company at numerous conferences and workshops. Second, for professional reasons. He is never less than serious about HCI and is always good value in discussions. His reputation in the field of HCI is second to none.

Not surprising, then, that in the early days of HCI, I invited him to join the Editorial Board of my HCI Series with Cambridge University Press. Nor that I strongly supported the publication of his book ‘Designing Interaction’ (1991).

I am still delighted, even having now read Jack’s Festschrift contribution, in spite of its characterization by one reviewer as a ‘damning critique……with venom in the pen’ of my 1989 HCI Discipline paper with John Dowell. Although not very celebratory in the usual sense, such may be the price of professional seriousness.

In contrast, Jack is generous (and celebratory) in his acknowledgment of our ‘stimulating debates’ 0ver the years and their benefit to his motivation and thinking. He claims that I ‘always seemed ready for another round’. True then and now. Here goes…… 

Abstract

This essay is a personal reflection on John Long’s keynote address at the BCS People and Computers meeting in Nottingham in the summer of 1989. I try to locate the paper’s purpose and significance within the history of human-computer interaction (HCI), both prior to 1989 and subsequently, and particularly with respect to the abiding questions of what sort of enterprise HCI is, and of what sorts of knowledge it uses and produces.

Comment 2

Carroll is, of course, free to focus on a single paper (Long and Dowell, 1989) of Long’s 20 years of research in HCI (Dowell and Long (1989) is the only other paper referenced). The reader’s view of the Long and Dowell may be sharpened, as a result. However, there is also a risk, that issues, raised by Carroll, have been addressed elsewhere by Long’s research. Such issues are addressed throughout the commentary, hopefully so contributing the better to Carroll’s consideration of ‘what sort of enterprise HCI is’ and ‘of what sort of knowledge it uses and produces’

 

1. Introduction: HCI’s first three decades

Comment 3

Section 1 is intended to characterize HCI prior to the publication of Long and Dowell (1989). As such, it provides the historical context for the consideration of their paper and developments of HCI since 1989. It is upbeat and largely uncritical, even appropriately celebratory, one might say (see ‘About this article’ – above). However, in general, the underlying argumentation and evidence for the assertions and judgments made are undeclared. Comments on this section, then, are limited to illustrating the latter point. This is not to say that the historical context fails to serve the purpose, claimed by Carroll, only that in-depth comment on each assertion would be misguided.

The general position, here, is that, in agreement with Carroll, the HCI community has grown; but, in disagreement with him, the HCI discipline has not made desired progress.

Human–computer interaction (HCI) is an area of research and practice that emerged in the early 1980s, initially as a specialty area in computer science. HCI has expanded rapidly and steadily for three decades, attracting professionals from many other disciplines and incorporating diverse concepts and approaches. To a considerable extent, HCI now aggregates a collection of semi-distinct fields of research and practice in human-centered informatics. However, the continuing synthesis of disparate conceptions and approaches to science and practice in HCI has produced a dramatic example of how different epistemologies and paradigms can be reconciled and integrated.

Comment 4

It is fair to say that different epistemologies and paradigms co-exist within HCI, as evidenced by a whole succession of conferences, whose platforms are shared by researchers having different approaches to HCI, for example, engineers; ethno-methodologists; psychologists; designers etc etc.  However, the argumentation and the evidence that these different epistemologies and paradigms have been reconciled and integrated is undeclared; for example, respectively Card, Moran and Newell (1983) and Heath and Luff (2000), not to mention the three faces of interaction (Grudin, 2005).

Reconciliation and integration, here, is taken to include: (1) between knowledges; (2) between practices; and (3) between knowledges supporting practices (that is, exemplars – see Kuhn (1970) and Salter (2010)). Reconciliation and integration also assumes some criteria for their validation, for example, completeness, coherence and fitness-for- (design) purpose (Long, 1997 and 2000). Epistemological and paradigmatic reconciliation and integration of different approaches to HCI can, of course, take different forms.

Denley and Long (2001 and 2010) distinguish four such forms: (1) ‘by concept’, for example, different HCI approaches having a common framework or theory; (2) ‘by product’, for example, different HCI approaches contributing different products, for example, ‘user requirements’ and ‘evaluation’ to the same system development process; (3) ‘by process’, for example, different approaches to HCI, using each others’ methods, such as ‘task analysis’ and ‘grounded theory’; and (4) ‘by practitioner’, for example, practitioners having different approaches to HCI collaborating informally on the same system development. A (weak) form of reconciliation and integration of epistemologies and paradigms in HCI certainly occurs ‘by practitioner’,  ‘by process’ and by ‘by product’; but not by the (strong) form of ‘by concept’.

Carroll’s claim is unclear in this respect. His concern with ‘what sort of enterprise HCI is’ suggests forms (2) and (3). His concern with ‘what sort of knowledge it uses and produces’ suggests (1), that is, ‘by concept’, the one form of reconciliation and integration, which would appear not to have been instantiated.

 

Until the late 1970s, the only humans who interacted with computers were information technology professionals and dedicated hobbyists. This changed disruptively with the emergence of personal computing around 1980. Personal computing, including both personal software (productivity applications, such as text editors and spreadsheets, and interactive computer games) and personal computer platforms (operating systems, programming languages, and hardware), made everyone in the developed world a potential computer user, and vividly highlighted the deficiencies of computers with respect to usability for those who wanted to use computers as tools.

The challenge of personal computing became manifest at an opportune time. The broad project of cognitive science, which incorporated cognitive psychology, artificial intelligence, linguistics, cognitive anthropology, and the philosophy of mind, had formed at the end of the 1970s. Part of the programme of cognitive science was to articulate systematic and scientifically-informed applications to be known as ”cognitive engineering”. Thus, at just the point when personal computing presented the practical need for HCI, cognitive science presented people, concepts, skills, and a vision for addressing such needs. HCI was one of the first examples of cognitive engineering.

Other historically fortuitous developments contributed to the establishment of HCI. Software engineering, mired in unmanageable software complexity in the 1970s, was starting to focus on nonfunctional requirements, including usability and maintainability, and on non-linear software development processes that relied heavily on testing. Computer graphics and information retrieval had emerged in the 1970s, and rapidly came to recognize that interactive systems were the key to progressing beyond early achievements. All these threads of development in computer science pointed to the same conclusion: The way forward for computing entailed understanding and better empowering users.

Finally human factors engineering, which had developed many techniques for empirical analysis of human–system interactions in so-called control domains such as aviation and manufacturing, came to see HCI as a valuable and challenging domain in which human operators regularly exerted greater problem-solving discretion. These forces of need and opportunity converged around 1980, focusing a huge burst of human energy, and creating a highly visible interdisciplinary project.

One of the most significant achievements of HCI is its evolving model of the integration of science and practice. Initially this model was articulated as a reciprocal relation between cognitive science and cognitive engineering. Later, it ambitiously incorporated a diverse science foundation, notably Activity Theory, distributed cognition, and ethnomethodology, and a culturally embedded conception of human activity, including the activities of design and technology development. Currently, the model is incorporating design practices and research across a broad spectrum. In these developments, HCI provides a blueprint for a mutual relation between science and practice that is unprecedented.

Early HCI sought to develop synergies between cognitive science and cognitive engineering. During the 1980s a rich reciprocal relationship developed. In areas like user modeling, HCI directly applied key cognitive science theories to the design of command languages and information visualizations. In other cases, HCI provided guidance to cognitive science through embodied concepts like direct manipulation and user interface metaphor. Mutual reciprocity between underlying science and application is rare, but not unprecedented (the discovery of the transistor effect in physics emerged from applied research). For HCI, this starting point was an intellectually sophisticated and ambitious foundation for more radical possibilities.

HCI research and application provided a strong force for theoretical integration within cognitive science. The very first HCI theories were far more ambitious integrations than had been attempted in the basic science. For example, the model human processor (Card et al., 1983) integrated aspects of perception, attention, short-term memory operations, planning, and motor behavior in a single model, at a time when most cognitive science models addressed only isolated laboratory phenomena. Ironically, early models were criticized within HCI as too limited with respect to understanding and creating applications. This self-criticism promoted increasingly comprehensive modeling that has jointly driven the basic science and its applications. But more importantly, these early successes, and their deconstruction, further fueled paradigmatic aspirations in HCI.

In the latter 1980s and early 1990s, HCI assimilated ideas from Activity Theory, distributed cognition, and ethnomethodology. This comprised a fundamental epistemological realignment. For example, the representational theory of mind, a cornerstone of cognitive science, is no longer axiomatic for HCI science. Information processing psychology and laboratory user studies, once the kernel of HCI research, became important, but niche areas. Field studies became typical, and eventually dominant as an empirical paradigm. Collaborative interactions, that is, groups of people working together through and around computer systems (in contrast to the early 1980s user-at-PC situation) have become the default unit of analysis. The contemporary theory-base of HCI draws broadly upon social, cognitive and computation science, and strongly emphasizes design research, pragmatics, and aesthetics. It is remarkable that such fundamental realignments were so easily assimilated by the HCI community.

Comment 5

No-one doubts that ‘fundamental epistemological realignments’, of the kind cited by Carroll, have taken place within HCI, during the period 1980 – 2000. Nor that such realignments were assimilated, in some way, by the HCI community, as part of its development as an ‘enterprise’ (see Carroll’s Abstract earlier). However, Carroll leaves the exact nature of that assimilation undeclared. The reader might assume that the assimilation relates to the incrementation of the ‘sorts of knowledge it uses and produces’.

However, such assimilation is put in doubt by evidence, reported by Newman (1994). His analysis of the CHI and INTERCHI 1989-1993 proceedings showed that only 30 per cent of papers fell into the categories of: improved modeling techniques; solutions; and tools (foundational categories for the development of any discipline). The remaining papers described ‘radical solutions’ (that is, not derived from incremental improvements to solutions to the same problem) and experience and/or heuristics, gained mostly from studies of radical solutions.

Whatever the epistemological re-alignments, cited by Carroll, they do not appear to have produced an assimilation, which resulted in the incrementation of HCI knowledge. Such incrementation is, of course, central to the development of a discipline – engineering or scientific.

Although HCI was always conceived of as a design science, this was construed at first as a boundary, with HCI providing guidance to system design and development. Throughout the 1990s, however, HCI directly assimilated, and eventually itself spawned, a series of design communities. This engagement with design communities coincided with substantial advances in user interface technologies that shifted much of the potential proprietary value of user interfaces into graphical design. Somewhat ironically, designers were welcomed into the HCI community just in time to help remake it as a design discipline. A large part of this transformation was the creation of design disciplines that did not exist before. For example, user experience design and interaction design were not imported into HCI, but rather were among the first exports from HCI to the design world. Design is currently the facet of HCI in most rapid flux. It seems likely that more new design proto-disciplines will emerge from HCI during the next decade.

Conceptions of how underlying science informs and is informed by the worlds of practice and activity have evolved continually in HCI since its inception. Throughout the history of HCI, paradigmchanging scientific and epistemological revisions were deliberately embraced by a field that was, by any measure, succeeding intellectually and practically. The result has been an increasingly fragmented and complex field that has continued to succeed even more. This example contradicts the Kuhnian view of how intellectual projects develop through paradigms that are eventually overthrown.

Comment 6

Other researchers do not share this view of Kuhn with respect to HCI. For example, Dowell and Long (1998) list the necessary elements of a ‘discipline matrix’ by which an HCI discipline might emerge and evolve. First, a ‘shared commitment to models’, which enables a discipline to recognize its scope or ontology. Second, values, which guide the solution to (discipline) problems. Third, ‘symbolic generalisations’, which function both as laws (principles) for solving (discipline) problems. Fourth, ‘exemplars’, which are instances of problems and their solutions. Exemplars work by demonstrating the use of models, values and symbolic generalisations to solve discipline problems.

Elsewhere, Salter (2010), following Kuhn (1970), suggests that HCI might evolve in two stages. During the first, termed the ‘crisis’ stage, the shared commitment to models, values and symbolic generalisations are in question, that is, not shared by the HCI community as a whole. During the second, the ‘normal’ stage, the HCI community holds a consensus view, concerning the elements of the discipline matrix and uses them to solve HCI discipline problems.

Carroll’s characterisation of the first three decades of HCI accords well with Kuhn’s Stage 1, that is, the pre-paradigmatic period, often characterised as the period of the ‘warring schools’. This conclusion is consistent with the earlier claim, made in Comment 4, that epistemological and paradigmatic reconciliation and integration currently occur only ‘by product’, ‘by process’ and ‘by practitioner’. None requires a consensus view, concerning the elements of Kuhn’s disciplinary matrix.

However, there is no reconciliation and integration ‘by concept’, which does require a consensus view.  The conclusion of HCI being in a pre-paradigmatic stage is also consistent with Newman’s finding, that 70 per cent of CHI papers, either described radical solutions or experience and/or heuristics, associated with radical solutions. Neither constitutes an exemplar, derived from a consensus HCI disciplinary matrix, as required by Kuhn’s paradigmatic stage (see also Comments 4 and 5).

Note that the Dowell and Long (1989) Conception, expressing the general design (for effectiveness) problem for HCI, was intended to support a consensus among HCI researchers – a pre-requisite for HCI to pass from its current pre-paradigmatic stage to a paradigmatic one.

 

The continuing success of the HCI community in moving its meta-project forward thus has profound implications, not only for human-centered informatics, but for epistemology. (Other sketches of the history of HCI are Carroll, 1997; Myers, 1998; Grudin, 2005.). In this paper, I will elaborate the foregoing interpretation of the emergence of HCI, particularly with respect to conceptions of HCI as a discipline, and of what sorts of theory are possible and appropriate in HCI. My touchstone for this is the contribution of John Long to the development of HCI, especially during the latter 1980s, an extremely formative period. I will place these contributions into a context, reconstructed through the benefits of hindsight, and the latitudes of an essay format. In my view, there is not one true narrative for HCI (or for anything else of even reasonable complexity). Nevertheless, I think my view is grounded and valid, and more importantly, it leads to prospective interpretations of HCI, and of Long’s contributions to it. We do not want to, and, in any case, cannot relive the history of HCI, but we surely ought to try to learn what we can from it.

2. Long’s conception of an engineering discipline of HCI

I met Long in 1989. We met at a conference in Nottingham, at which we were both invited speakers. We were both wrestling, in our separate ways, with what some have called the mid-1980s ”theory crisis” in HCI. As briefly sketched above, HCI had been born at the beginning of the 1980s as a paradigm case of cognitive engineering. But what exactly was cognitive engineering? Most early discussions were vague. I first encountered the programmatic notion of cognitive engineering in discussions at the inaugural meting of the Cognitive Science Society in La Jolla, California, and subsequently in a talk by Norman (1982) at the early HCI conference held at the US Bureau of Standards in Gaithersburg, Maryland. The kernel of the idea was that domains strongly shape cognition, and that studying and supporting cognition in real and complex domains is salutary, if not essential, for developing a science of cognition and, of course, for applying it to real problems.

Comment 7

According to Carroll, the domain for Cognitive Science constitutes the scope of Cognition. In contrast, according to Dowell and Long (1998), for Cognitive Engineering (that is HCI) the domain constitutes the scope of the interactive worksystem. For Dowell and Long, the domain is the means by which performance of the worksystem is expressed (that is, what work (object/attribute/state changes) it effects and how well that work is carried out (‘Task Quality’). In the latter case, both the domain and the computer (technology) together constitute the scope of user cognition.

 

There is no doubt that this conception was transformative with respect to a range of cognitive science activities in the 1980s and subsequently, among them HCI. But likewise there is no doubt that this conception leaves out many critical details. For example, what does it mean to apply cognitive science? How exactly would that work? It would necessarily involve generalizing from principles and results that originated in narrow and contrived laboratory tasks. There would have to be some perilous inductive leaps, at the least. And even if some of the leaps worked out, would applying cognitive science in some number of cases be enough to warrant the claim that cognitive engineering had arrived?

Comment 8

These are excellent, but still unanswered questions. The conception of HCI as Engineering (Dowell and Long, 1989 and 1998), coupled with the concept of validation – as conceptualization, operationalisation, test and generalization (Long, 1997 and 2000) – together is an attempt to answer such questions.

HCI in the 1980s was strongly invested in the cognitive engineering vision, though for the most part the larger framework remained unarticulated. Card et al. (1983), and more pointedly Newell and Card (1985), made the most comprehensive early effort toward articulating a framework for science and engineering in HCI. Their work embraced a simplistic view of the relation between science and engineering, emphasizing approximation but not boundary conditions on or scope of applicability, and it did not produce the paradigmatic consensus they had hoped for, indeed it evoked sharp criticism (Carroll, 2006; Carroll and Campbell, 1986).

Comment 9

Newell and Card (1985) recognised the need for paradigmatic consensus, even if, as argued by Carroll, they failed to bring it about. Their position is consistent with the position taken in Comment 4.

 

But the Card, Moran and Newell work did provide a touchstone and focus for other theory-based work during the 1980s; it clearly raised the possibility of a theory-based paradigm, and it attracted many other voices to the debate.
When I met Long, we were both engaged in trying to work out what kind of a discipline or project HCI was, or could be seen as, and what kinds of knowledge or theory it used or could use. We were trying to describe how cognitive science knowledge might emerge from and be applied to HCI design work.

Comment 10

Carroll’s claim here is not incorrect. However, by 1989 (Long and Dowell, 1989 and Dowell and Long, 1998), my main goal was to develop HCI Engineering to make good the deficiencies, which characterized Cognitive (Psychology) Science’s application to design.

We were pursuing different answers, the nature of which I will address presently.

2.1. Defining the HCI discipline

Long’s keynote address at the Nottingham conference, the paper was written with John Dowell, contrasted three conceptions of HCI as a discipline – craft, applied science, and engineering (Long and Dowell, 1989). Long and Dowell define discipline as a particular body of knowledge supporting specific practices directed at solving a general problem. I like very much the approach of trying to be explicit as possible about definitions. This work bluntly proposes a boldly minimalist schematization of discipline.

Comment 11

Carroll confuses ‘minimalist’ conceptualization with ‘high level’. Dowell and Long’s (1989 and 1998) attempt to instantiate a discipline of HCI (Cognitive Engineering) is far from minimalist. See also the application of the conceptions by others (Hill, 2010; Salter, 2010; and Wild, 2010).

Long and Dowell define the general HCI problem as ”the design of humans and computers interacting to perform work effectively” (p. 13). They characterize and analyze three disciplinary conceptions of HCI. First, they suggest that HCI can be pursued as a craft practice, relying on implicit, informal, and experiential knowledge. They discuss the example projects of Prestel videotex (Buckley, 1989) and of the Ded display editor (Bornat and Thimbleby, 1989) as paradigmatic. They argue that a craft practice of HCI cannot be effective: Because its knowledge is implicit, informal, and experiential, its knowledge cannot be operationalized: ”it cannot be directly applied by those who are not associated with the generation of the heuristics or exposed to their use” (p. 18). Moreover, because craft knowledge is heuristic, ”there is no guarantee that practice applying HCI craft knowledge will have the consequences intended” (p. 119). In other words, craft practice is ineffable and unreliable.

Comment 12

Again, Carroll’s assertion here is not incorrect. However, it omits the positive aspects of Craft HCI, identified by Long and Dowell (1989). It is worth quoting their conclusion in full: ‘In summary, although the costs of acquiring  its (Craft’s) knowledge would appear acceptable and although its knowledge, when applied by practice sometimes successfully solves the general problem of designing humans and computers interacting to perform work effectively, the craft discipline of HCI is ineffective, because it is generally unable to solve the general problem. It is ineffective, because its knowledge is neither operational (except in practice itself), nor generalisable, nor guaranteed to achieve its intended effect – except as the continued success of its practice and its continued use by successful craftspeople.’ ‘Unreliable’ – yes; but ‘ineffable’ no.

Second, they consider a disciplinary view of HCI as applied science, relying on knowledge in the form of theories, models, and principles used to formulate and investigate hypotheses, predictions, and explanations. They concede that sciences, like psychology, can be applied to HCI, giving the example of the role of confirmatory feedback in guiding sequences of behavior. However, they argue, such general scientific principles cannot be directly and deductively applied in a specific design because they do not ”prescribe the feedback required . . . to achieve effective performance of work” (p. 20). In other words, the context in which the scientific principles were formulated and developed are necessarily different than the ones that arise for a particular design application, and specifically so with respect to supporting effective work outcomes in the context of the design.

Comment 13

The ‘context’ also includes the differences between the knowledge, practices and general problem of Science and Engineering.

Long and Dowell also consider the related strategy of constructing guidelines/principles which are themselves grounded in scientific theory. They discuss Hammond and Allinson’s (1988) computer assisted informal learning system with respect to the theory-based design principle ”provide distinctive multiple forms of representation” as an example. Long and Dowell argue that such a principle cannot directly guide design, since neither it nor the theories that underwrite it are defined, operationalized, or generalized with respect to effective performance of work activity.

More generally, Long and Dowell argue that although HCI as an applied science describes knowledge more explicitly and more generally, and supports derivation of theory-based guidelines, it ultimately fails in the same way craft practice fails as a disciplinary model for HCI: applied science does not describe how to support particular work activity effectively. As a consequence, the use of science in design must always be empirically mediated by implementation, evaluation, and iteration.

Long and Dowell turn finally to their preferred disciplinary model for HCI: engineering. They state that engineering distinctively solves design problems ”by the specification of designs before their implementation” (p. 24). They describe engineering knowledge as principles that allow ”designs to be prescriptively specified for artifacts, or systems which when implemented, demonstrate a prescribed and assured performance” (p. 24). Finally, they state that engineering can deal systematically with complexity: ”Designs specified at a general level of description may be systematically decomposed until their specification is possible at a level of description of their complete implementation” (p. 24).
Long and Dowell are optimistic about the engineering conception, but provide few details. Indeed, they concede that engineering principles of the sort they require do not exist (as of 1989). They give two examples that they consider promising: Dix and Harrison (1987) and Dowell and Long (1989). Curiously, they do not mention the engineering models of Card et al. (1983). Further, they suggest – actually quite like Card et al. (1983) – that the most promising niches for this disciplinary model to be realized would be in highly practiced, expert performance of relatively low-level tasks domains in which ”human behavior can be usefully deterministic” (p. 27).

Comment 14

The example of human behaviour, ‘usefully deterministic to some extent’ is actually driver behaviour in response to traffic system protocols – practised and expert; not in the least ‘low level’. Further, the whole issue of the specifiability of designs and the determinism of human behaviours, and their relationship to ‘hard’ and ‘soft’ HCI design problems (including their relationship to the possible formulation of HCI design problems) is fully explored in Dowell and Long (1989). In particular, their Figure 2 shows a classification of design disciplines, which plots discipline practices against discipline knowledge with respect to the ‘hardness’ or ‘softness’ of general design problems.

One of the key constructs that differentiates the engineering disciplinary model of HCI from the applied science and craft models is that the former incorporates an explicit model of the application domain. The craft practice and applied science disciplinary models have no notion of boundary conditions, applicability, or context built into them. Nevertheless, Long and Dowell are confident that engineering principles of the sort they imagine for HCI would be generalizable knowledge, that application of the principles would be direct and indeed specifiable, and effective.

Comment 15

Since 1989, initial HCI design principles have been proposed by Stork (1999) for the domain of domestic energy management and Cummaford (2007) for the domain of business-to-customer electronic commerce. Principles are derived by: (1) diagnosing instances or classes of design problem (as expressed by Dowell and Long (1989) – ‘users not interacting with computers effectively’); (2) by prescribing (and testing) design solutions to those problems; and (3) by identifying and integrating the common elements of the design solutions.

2.2. Problems with Long and Dowell’s conception of discipline

The best thing about the Long and Dowell paper is that it clearly and forcefully sets forth definitions, makes sharp distinctions, and reasons toward a clear programmatic conclusion and recommendation for how HCI ought to organize itself as a discipline. I will return to this point in closing, but let me say now that I regard all that as very important and constructive. HCI is still much in need of clarifying its foundations, and making progress on that will require definitions, distinctions, and argumentation. I believe that Long and Dowell’s paper provides intellectual scaffolding to construct such a debate. Although, as I will presently make clearer, I feel that the paper did not achieve it goals, I think the goals are valuable and that the general versions of the questions raised are still quite open to debate and in need of investigation.

Comment 16

The goals of Long and Dowell (1989) were to develop the HCI’89 conference theme as ‘ the theory and practice of HCI’. To achieve this goal, they first defined disciplines in general. Second, they identified the scope of HCI as a discipline. Third, they proposed a framework for different conceptions of HCI. Last, they identified three alternative conceptions of HCI and assessed their effectiveness.

It is unclear how the paper failed to achieve its goal, as claimed by Carroll. However, it is pleasing to see its contribution to the ongoing debate on these matters recognised. Twenty-one years is a long time in HCI and much water has passed under the bridge in that time. Long and Dowell (1989) seems to have survived rather well and continues to be of interest, even maybe of use.

Long and Dowell’s specific argument, however, fails in important ways. First, its general conception of discipline is unwieldy, and the authors do little to ease this concern. They present their conception of discipline in the most general terms, and then hurry onwards without actually describing the HCI discipline in any empirical detail. This omission matters, because the second failure of their paper is that the scoping of HCI they presume is more narrow than the reality of HCI. Moreover, the manifold ways in which HCI has broadened since 1989 make it ever more difficult to see how to extend the Long and Dowell analysis to contemporary HCI. Third, the characterizations and arguments directed at the craft and applied science models for an HCI discipline are dismissive and inadequate. They just do not make the case that these paradigms are inappropriate or necessarily ineffective. Finally, the argument for an engineering disciplinary model of HCI rests on an academic idealization of what engineering is like. No wonder they could not find examples of it.

Comment 17

In general, these claimed failures of Long and Dowell (1989) by Carroll are rejected. Detailed argumentation is associated with individual claims, as they arise.

As is often true, the rub comes with unpacking the details. Surely disciplines codify and use knowledge through practices addressing disciplinary problems. So one would have to say far more to have said anything. For example, we might assume that ”practices” is a union of typical and/or critical workflows, information flows, roles and divisions of labor, and other social arrangements in and around work activity. Indeed, this seems a rather minimal notion of practices. But even this is more than encyclopedic in scope. Such an amorphous and expansive conception of practices is a burden for all would be framework makers, and not just for Long and Dowell. However, the challenge Long and Dowell more uniquely inflict on themselves is that they insist that the job of HCI is to render practices in an explicit specification. They do not address this explicitly, but it seems to me that they would have to require that the practices be made explicit through some kind of hierarchical task analysis. In 1989, this would have been seen as reasonable, perhaps even as too obvious to belabor. But this is no longer true. Comprehensive task analysis, outside of restricted safety critical interactions, is moribund (Carroll, 2002). Even its most enthusiastic proponents concede that it is not used (Diaper, 2002).

Comment 18

According to Long and Dowell (1989), discipline knowledge can assume many forms, for example, it can be: ‘ tacit, formal, experiential, codified etc’. It may also be maintained in a number of way, for example, ‘in journals, learning systems, procedures, tools etc’. Taken together, they would seem to contradict Carroll’s claim that Dowell and Long ‘insist that the job of HCI is to render practices in an explicit specification’. This contradiction renders Carroll’s subsequent references to hierarchical task analysis difficult to understand and indeed is inappropriate.

More pointedly, such a conception of practices rendered explicit through tedious recursive decomposition is empirically wrongheaded. Studies of technical practices in general (Latour, 1987; Latour and Woolgar, 1986; Orr 1996) and of practices in HCI settings specifically (Bentley et al., 1992; Heath and Luff, 2000; Suchman, 1987) refute the possibility that actual domain practices could ever be meaningfully specified in this manner. Practices cannot be specified a priori because at any reasonable level of complexity they depend on the improvisations of people and the local culture of groups. Neither of these can be analyzed a priori or generally. Any programme that requires this level of specification has stumbled on the starting blocks.

Comment 19

Not in the least. Levels of specification for practices (as well as knowledge) vary with the type of possible HCI discipline concerned. See also Comment 18.

Finally, it is important to emphasize that discarding brittle and a priori notions of discipline, practice, and even knowledge does not leave us paradigmatically impaired. Quite to the contrary, empirical approaches have already taught us much. If we want to develop a set of models for disciplines, we should study what scientists, engineers, designers, and other technical persons do, and how they do it (Latour, 1987; Latour and Woolgar, 1986). It is true that empirical approaches do not easily lead to simple type contrasts, such as Long and Dowell’s three paradigms for disciplinary projects, but they do produce exemplars that can be used as models.

Comment 20

Indeed, as demonstrated by the research of Newman (1994) – see Comment 5. However, he found more inappropriate (pre-paradigmatic) HCI examples, than appropriate (paradigmatic) ones. This finding sets limits on the use of (empirical) HCI examples to develop future models for HCI.

Finally, it is important to emphasize that discarding brittle and a priori notions of discipline, practice, and even knowledge does not leave us paradigmatically impaired. Quite to the contrary, empirical approaches have already taught us much. If we want to develop a set of models for disciplines, we should study what scientists, engineers, designers, and other technical persons do, and how they do it (Latour, 1987; Latour and Woolgar, 1986). It is true that empirical approaches do not easily lead to simple type contrasts, such as Long and Dowell’s three paradigms for disciplinary projects, but they do produce exemplars that can be used as models.

Comment 21

In summary, Long and Dowell’s (1989) characterisation of disciplines is hardly controversial. Carroll’s objections are either unclear or inappropriate. Of course, craft and engineering knowledge and practices vary as to their explicitness. However, the differences reside in the conceptions of craft and engineering themselves. Long and Dowell characterize disciplines: (1) with respect to disciplines other than HCI, giving them a more general meaning and reference; (2) at a level of detail sufficient for alternative conceptions of HCI to be usefully contrasted. Lower levels of detail for knowledge and practices are expressed by the conceptions themselves. Carroll’s point, concerning explicitness, would be better made in the context of the latter.

2.3. Problems with Long and Dowell’s scoping of HCI

Long and Dowell spend quite a bit of discussion on the importance of identifying general disciplinary problems. They assert that each discipline has one, though it may be decomposable into subproblems with corresponding sub-disciplines. The general problem of HCI is stated as ”humans and computers interacting to perform work effectively” (p. 13). In their text, it is clear that Long and Dowell recognized that this was a very general general problem, essentially a cross-product of all topics involving humans and their organizations, computers – including embedded and networked devices, and all work activities in which the former employ the latter.

Comment 22

All topics, if and only if, they contribute to a design problem, either concerning its diagnosis, the prescription of its solution or both. Otherwise, not all topics; but only those topics, which actually do contribute to the specification of a design problem.

Long and Dowell explicitly identify HCI as a design domain. They give an alternate wording of their own general HCI problem highlighting this: ”the design of humans and computers interacting to perform work effectively” (p. 13). The general problem is
decomposed into ”the design of humans interacting with computers” and ”the design of computers interacting with humans”; they associate the former general problem with Human Factors or Ergonomics, and the latter with Software Engineering. All of these restatements and decompositions of the general problem focus on the effective performance of work activity; the phrase ”to perform work effectively” ends each version of the general HCI problem.

Long and Dowell’s conception, sweeping though it may be, is far too narrow. HCI in the reality of its practice addresses many activities that are not work. Indeed, it is rarely pointed out, but obviously true, that the importance of play, leisure, education, and myriad other non-work activities to HCI undermines many of the 1980s conceptions of HCI that came from ergonomics and human factors, but also from Activity Theory, work psychology, and other continental frameworks that are singularly focused on the workplace. Work is important, but all work and no play would have made HCI a far more dull enterprise. Fortunately, it didn’t turn out that way.

Comment 23

It is the case, that in Long and Dowell (1989), Section 2.2, the concept of ‘work’ is not conceptualized, other than as that, which can be performed ‘effectively’. On this evidence alone, Carroll’s claim, that their proposed scope of ‘work’ is too narrow, excluding ‘play, leisure, and education’, might appear reasonable. However, in Section 3.3, Conception of HCI as an Engineering Discipline, Long and Dowell make clear that, ‘The behaviours of an interactive worksystem intentionally effect and so correspond with transformation of (domain) objects. Objects are physical and abstract and exhibit the affordance for transformation, arising from the state potential of their attributes. A domain of application is a class of transformations afforded by a class of objects’.

In the case of education, an (educational) interactive worksystem would transform a pupil from ‘uneducated’ (for example, not being able to perform mental arithmetic) to ‘educated’  (for example, being able to perform mental arithmetic). Note, for this to be the case, the pupil is both the ‘user’ of the ‘computer’, and so part of the worksystem, and an object in the domain, whose object/attribute/state (education) is being transformed. Concerning play (for fun), a (fun) interactive work(play)station would transform a player from an ‘unpleasured’ state to a ‘pleasured’ state (for example,  the enjoyment associated with scoring higher than last time at some competitive game). Again, the player is both part of the worksystem and an object in the domain of the worksysyem (see also Long, 2010).

Dix takes this point well, when he cites Long (1996), as claiming that work is ‘any activity seeking effective performance (see also Dix, Comment 8 and Wild, Comment 32). Of course, if Craft, Engineering and Applied Science conceive of ‘work’ (as used by Long and Dowell) as in lay /natural language, then Carroll’s point, concerning its limitation, would hold.

In their scoping of HCI, Long and Dowell seem to over focus on a particular methodological challenge of the 1980s. During this early period, designers and developers were often construed as customers or recipients of HCI methods and techniques. And it was generally believed that these counterparts wanted and needed HCI methods that were so well specified that they could be effectively put into practice by people not trained or experienced in HCI itself, namely, the designers and developers. This kind of boundary–mediated relationship still exists in some consulting arrangements, but it is no longer an appropriate view of HCI or its goals. Some of these boundaries have dissolved as HCI has come to directly include a greater diversity of professionals, and to produce professionals with more diverse skills. But perhaps more fundamentally, the goal of codifying formal methods that could be applied ”knowledgefree” to crank out good systems is misguided. We return to this point below.

Comment 24

It is the case, that according to Long and Dowell (1989), ‘The conception of HCI engineering principles assumes the possibility of a codified general and testable formulation of HCI knowledge (both substantive and methodological – see Cummaford (2007)), which might be prescriptively applied to designing humans and computers interacting to perform work effectively. Such principles would be unequivocally formal and operational.

However, elsewhere Dowell and Long (1989) are also quite clear, that ‘It is not supposed that the development of effective systems will never require craft skills in some form and engineering principles are not seen to be incompatible with craft knowledge, particularly with respect to their instantiation (Long and Dowell, 1989). At a minimum, engineering principles might be expected to augment the craft knowledge of HF professionals. This is hardly the ‘knowledge free’ cranking out of good systems, as portrayed here by Carroll.

It is also worth noting, that ‘soft’ design problems, that is which cannot be fully specified (Long and Dowell, 1989 – Figure 2) could not be the object of engineering principles and could only be solved (if at all) by craft knowledge and practices.

The issue of rescoping the general problem of HCI to include non-work activity has a more specific problematic consequence for Long and Dowell. Once we broaden the definition of the general problem of HCI – appropriately – to include play, leisure, education, and so on, the very important qualifier effectively becomes much more difficult to understand. Yet, as we will see, Long’s conception of HCI, and his position regarding the question of what approaches to HCI could be appropriate, had everything to do with understanding and operationalizing effectiveness.

Comment 25

Indeed, this is the case. Effectiveness of interactive worksystem performance, with respect to its domain, is central to Dowell and Long’s (1989) conception. It is precisely these concepts, taken together, which support the expression of the HCI design problem. However, there is no difficulty in conceptualizing the effectiveness of play, leisure and education interactive worksystems (see also Comment 23). Using the education and play examples, cited earlier, the effectiveness of a worksystem is expressed by ‘Task Quality’, how well the education/play is performed and the Resource Costs (cognitive, conative and affective) incurred, in performing education/play that well.

For example, an effective educational worksystem would transform a pupil from ‘uneducated’ (not knowing any mental arithmetic) to ‘educated’ (knowing some forms of mental arithmetic, for example, addition and subtraction), that is, to desired high ‘Task Quality’ at acceptably low Resource Costs. A less effective worksysyem might result only in the acquisition of addition mental arithmetic skills at an undesired lower level of ‘Task Quality’ and at unacceptably high ‘Resource Costs’. The effectiveness of play might be comparably expressed. Carroll’s point is, thus, rejected.

2.4. Problems with Long and Dowell’s conception of craft

The defining characteristic of a craft discipline is that craft knowledge is implicit, informal and acquired from experience. Long and Dowell did not give an example of traditional craft practice, but this would have been useful. Craft practice is the most developed paradigm for technology development in human history and there are many examples of it.

Comment 26

This is a rather general claim, which may (or may not) be true over the whole history of technological development. However, it seems less plausible, when applied to: manufacturing; construction; means of transport (land, sea and air); agriculture etc over the last 1-200 years. During this period, both science and engineering have made important contributions to technology development, along with craft.

An excellent example is George Sturt’s (1923) book ”The Wheelwright’s Shop”. Sturt inherited a shop, and decided to learn why the wheelwrights made wheels and carts as they did. One of the design features for which he sought rationale was that traditional English carts have slightly bowl-shaped wheels, mounted so that the portion below the axel is perpendicular to the ground. Sturt was surprised to find that he got several different answers from his expert wheelwrights. He was told by various master wheelwrights that such wheels better accommodate the cooling of iron tires, that they have a smaller turning radius, that they better tolerate sideward swaying of a cart, and that they allow the cart body to be wider at the top, and thereby allow larger loads. This example illustrates how implicit, informal, experiential knowledge can guide a practice.

Comment 27

Long and Dowell (1989), in fact, agree that implicit, informal, experiential knowledge can guide practice – see Comment 24 for more details.

Long and Dowell take a skeptically rationalist view that such codification of knowledge is problematic, perhaps because it cannot be conveyed in written form. But it is arguable that this is a superior form of technical practice. Sturt’s account suggests how multiple converging rationales might make practices more robust as they are passed from expert to apprentice. The wheelwright craft that Sturt investigated had been maintained successfully for more than century. It was manifestly effective.

Comment 28

The wheelwright craft, as described by Carroll, would seem to be effective, that is, relative to the absence of craft knowledge, for example, in the case of an isolated wheelwright, working on his or her own. However, the practice of such a craft would still take the form of ‘trial and error’ and not ‘specify then implement’. If increased density of loads constituted a design problem, causing unacceptable sideward swaying of the cart, it is unclear how the ‘tried and tested’ (but not ‘known’ in the scientific or engineering sense) practice of wheelwright craft would be able to prescribe a design solution, other than by ‘implement and test’. This practice would be less effective than one of ‘implement then test’, assuming the design problem to be ‘hard’, that is, fully specifiable (Dowell and Long, 1989, Figure 2).

The advantages of the written form in the codification of HCI knowledge, both substantive and methodological, over implicit/informal/experiential forms are many. First, explicit specification makes possible a conception of the (design) problem of HCI (Dowell and Long, 1989). Second, the conception can be tested against relevant criteria, for example, completeness, coherence, and fitness-for-purpose (Long, 1997). Third, conceptualisation becomes the basis for its operationalisation, test and generalisation (Long, 2001). Fourth, taken together, these latter activities constitute validation of the knowledge in question (Long, 1997). Fifth and last, the written form, with its associated advantages, can be widely disseminated, so making it possible for HCI researchers and practitioners to build on each other’s work. In this way, the HCI community not only grows (see Carroll, Section 1 Introduction); but also progresses its design knowledge. It is for this reason, that written codification of HCI knowledge is important, not because it is written per se (see also Newman. 1994).

Another perspective on alternative HCI paradigms is to ask what sorts of specific affordances a craft practice entails that applied science and engineering do not. One answer is that knowledge is objectified less and proceduralized more in a craft practice. Sturt’s wheelwrights had one another; they worked collectively. They were less in need of engineering standards or explicit theories and guidelines. Their practice had evolved through generations to a level of design refinement not considered by Long and Dowell. The features of the cart wheels could not be derived linearly from single guidelines or sources of rationale, they were over-determined.

Comment 29

It is unclear, who would claim that ‘cart wheels could not be derived linearly from single guidelines or sources of rationale’? Certainly, not Dowell and Long (1989) – see also Comment 28.

Indeed, this line of thinking seems more relevant than ever to the contemporary configuration of HCI. Many more designers participate in HCI than did in the late 1980s. The paradigm of design work is not evolutionary like wagon wheels, but it is a craft practice. It is true that design is typically taught in a studio paradigm, through participation and enactment as opposed to lecture and discussion. And it is true that design knowledge consists in heuristic concepts and techniques rather than deductive principles and laws. Long and Dowell take this as a crippling epistemological limitation, but they argue from an a priori conception of knowledge and the use of knowledge that requires specification and logical derivation.

Comment 30

Long and Dowell’s (1989) summary of their conclusions, concerning craft knowledge is as follows: ‘In summary, although the costs of acquiring its knowledge would appear acceptable and although its knowledge, when applied by practice sometimes successfully solves the general problem of designing humans and computers interacting to perform work effectively, the craft discipline of HCI is ineffective, because it is generally unable to solve the general problem. It is ineffective, because its knowledge is neither operational (except in practice itself), nor generalisable, nor guaranteed to achieve its intended effect – except as the continued success of its practice and its continued use by craftspeople. By no stretch of the imagination can this be understood ‘as a crippling epistemological limitation’. See also Comments 28 and 29. Readers are left to develop their own opinion further on this point.

Such a requirement would only make any sense if we could be assured that such an option exists. Although Long and Dowell hope it might exist, they are unable to give even one example.

Comment 31

This claim would have been correct in 1989. The examples of engineering principles, provided by Long and Dowell (1989), are all taken from other disciplines. Since 1989, however, research on the development HCI engineering principles has progressed and initial principles have been proposed by Stork (1999) for the domain of domestic energy management and by Cummaford (2007) for the domain of electronic commerce. The claim, then, is no longer tenable.

And in any case, even if we could define a positivistic programme for design along these lines, why would we want to, given that a successful paradigm for the design profession already exists and is already contributing broadly to HCI design?

Comment 32

 

Long and Dowell (1989) did indeed take cognizance of actual design practice at the time and found it wanting, compared with other scientific and engineering disciplines. Both Dix (2010) and Wild (2010) continue to urge HCI to acquire and to validate more ‘reliable’ HCI design knowledge. The situation, then, has not changed.

I will suggest later that it might make sense to take cognizance of actual HCI design practices in conceptualizing models for a discipline of HCI.

Long and Dowell’s specific critical analysis of craft is directed most specifically at Bornat and Thimbleby’s (1989) development of the early display editor Ded. In contemporary terminology, Bornat and Thimbleby employed evolutionary prototyping, a method in which designers create a running system and then successively revise their design to respond to user experience. In hindsight, this example is unfortunate with respect to Long and Dowell’s case that craft practice cannot produce generalizable knowledge. For indeed, Ded is an early instance of a design paradigm for text editors that became utterly pervasive throughout the world. It would be difficult to find a better example of design knowledge that proved generalizable, applicable, and effective.

Comment 33

It would be hard to deny that text editors have become pervasive; but there is no necessary connection between their spread and the knowledge acquired by Bornat and Thimbleby (1989). To substantiate the latter claim, it would be necessary to identify the particular design knowledge and text editor design problem, to which their acquired knowledge prescribed a solution. In addition, to be validated the particular knowledge would have needed to be tested further, on other text editors and generalized.

Neither Carroll nor Bornat and Thimbleby identify such a relationship between their particular design knowledge and their particular text editor development. Theirs is not, then, the ‘better example of design knowledge’, as claimed by Carroll.

Long and Dowell assume that if a system design is iteratively developed that ipso facto it can only make use of implicit, informal, and experiential knowledge, and cannot be based at all on explicit science or principles. This is bizarre, and all the more bizarre because Bornat and Thimbleby clearly label some of the ideas they articulated and refined in this project as ”theories”. We should take them at their word rather than insist, with Long and Dowell, on a false dichotomy between designs that have an iterative process and designs that embody explicit general knowledge (or for that matter heuristic knowledge). This dichotomy is not consistent with design practice. Indeed, it sets an impossibly high standard for the successful use of knowledge in design, namely that the knowledge must be applied a priori through logical derivation and never be wrong, never need to be adjusted. It is important to keep the severity of this standard in mind because it seems likely that no use of knowledge in the history of HCI, and perhaps any complex design domain, has ever attained this standard.

Comment 34

Carroll confuses the requirements for engineering design knowledge, in the form of principles (whose practice would be ‘specify then implement’), as proposed by Dowell and Long (1989) and craft and applied science design knowledge, in the forms of guidelines/heuristics/ etc (whose practice is ‘implement and test’). This is further addressed earlier in Comments 28, 29, and 30.

2.5. Problems with Long and Dowell’s conception of applied science

Long and Dowell argue that the general problem of scientific disciplines is to predict and explain phenomena, not to specify designs that support working effectively. Thus, scientific knowledge can help us predict and explain, but not prescribe designs. This seems an unwarrantedly limited view of the bounds of knowledge and creativity.

Comment 35

Not at all. It is, in fact, quite the opposite. It is a sensible ‘division of labour’ and scope between different disciplines.

If by prescribing designs, Long and Dowell really do mean logically derive designs, then one would have to say that scientific knowledge also cannot serve prediction or explanation, since these applications of scientific knowledge, even safely restricted to basic science discourses, are invariably creative, and not purely mechanical endeavors.

Comment 36

However, more mature disciplines have a consensus, concerning certain conceptions, operationalisations, tests and generalisations (Long, 1997). Otherwise, how would they be able to validate their knowledge, of whatever sort? It is precisely this kind of validation, which is currently noticeable only by its absence in HCI.

Moreover, as I will emphasize in the immediately following section, there is no known way to prescribe designs in this limited sense, thus failing to prescribe designs must be seen as a vacuous failure.

I am of course aware that the ascription of positivism is now regarded as discourteous, but I do think that Long and Dowell are venturing into the hoary traditions of positivism. Applying knowledge is frequently a creative endeavor, in science or anywhere else. Knowledge does not come with rules of application, rather these are argued for and constructed as knowledge is put into use. In contemporary epistemology, we alter our conceptions about knowledge and its application when confronted with insights and successes. We should not turn away from insights and successes because they fail to follow a priori rules. We should alter the rules.

Comment 37

I will not rise here to the bait of being labeled a positivist – see my response in Long (2010). It is good to see that Carroll accepts that knowledge and its application have ‘rules’. Long and Dowell (1989) can be understood, as an attempt to express such rules, as concerns HCI, in the form of design principles.

In their particular analysis of Hammond and Allinson’s theorybased design of a computer-aided learning system, Long and Dowell rather freely admit that the sophisticated use of psychological theory in the design ”might have been expected to modify learning behavior towards that of the easier recall of materials” (p. 22). This seems to contradict their general stance that science cannot prescribe designs, but nevertheless I agree with them. However, they go on to make an interesting distinction. They say that the theories Hammond and Allinson appealed to do not directly ”address the problem of the design of effective learning” (p. 22), and that resultingly Hammond and Allinson’s design might support more effective recall (the specific consequence that the theories did address), but still fail to support effective learning. This is cutting things pretty finely. Most psychologists would take better recall to be a learning achievement, though it is true that better recall is not necessarily indicative of better learning in every sense, or more specifically, of effective learning with respect to particular criteria or learning objectives. Accordingly, Long and Dowell conclude, Hammond and Allinson’s design work would necessarily have to progress via prototyping, evaluation, and iteration.

Comment 38

It is hard to see how Hammond and Allison might have proceeded otherwise.

This argument is exceedingly peculiar. By granting that the theory-based design approach could reasonably expect to realize certain specific consequences for users (enhanced recall), Long and Dowell are essentially granting exactly what Hammond and Allinson claimed. Namely, they are granting that science can be applied in design; that designs can embody principles derived from scientific theory, and that consequences for users of the design can be anticipated from the theory. What they are balking at is the claim that scientific theory could completely specify a design, including all of its detailed consequences for users (cf. ”the design of effective learning”), a rather bold claim that, to my knowledge, no one ever made.

The shortcoming of Hammond and Allinson’s theory-based approach, namely, not being able to precisely specify the design of effective learning, entails that they must augment theory-based guidance with direct empirical approaches – prototyping, evaluation and iteration. But this is precisely how theory-based design in HCI has always worked (Johnson et al., 1989). Given that there is no way to prescribe designs, and that all design of any complexity must be empirical in just this sense, then Long and Dowell’s critique of the disciplinary model of applied science vis-à-vis HCI design is an argument about a straw man.

Comment 39

The argument is not in the least about a straw man. As made clear, science and engineering are different disciplines with different knowledges and different practices (Dowell and Long, 1989; Long and Dowell, 1989). Any relationship between the two, concerning HCI, needs to be rationalized and justified, then put to the test, that is, validated. Which validated scientific theories or models have solved which HCI design problems? We must be told.

2.6. Problems with Long and Dowell’s conception of engineering

A touchstone example of software engineering in the real world is Brooks’s (1975) ”Mythical Man–Month”, essays written primarily about one of the largest software engineering projects in history, IBM Operating System 360. On Long and Dowell’s view of engineering we might expect to read about how the OS 360 design was successively decomposed until its subsystems could be completely specified, about how the system was explicitly and completely specified before it was implemented, and about how engineering principles were used to ”prescribe and assure” its performance before it was designed and implemented. But as everyone knows, the design of OS 360 did not work like that.

Comment 40

If Software Engineering knowledge includes principles, which provide design solutions to ‘hard’ HCI design problems (Dowell and Long, 1989), then they would expect the development of OS 360 to have included the application of such principles. For the rest, a range of software engineering knowledge and practice would be expected to have been used, exactly as supposed by Dowell and Long (1989). As they argue: ‘Engineering principles are not seen to be incompatible with craft knowledge….at a minimum engineering principles might be expected to augment the craft knowledge of professionals. See also Comment 24.

The complex and iterative nature of actual engineering processes is over-determined, as Brooks describes and as many subsequent studies have elaborated. For example, in a top–down framework, requirements guide the development of early designs. However, in practice, early designs typically cause requirements to be further developed, altered, and even abandoned. Design also helps to identify new requirements that were not part of the original project mandate, but which may be quite essential once they are identified. Brooks emphasizes that these iterative relationships obtain not merely because requirements happened not to be noticed, but because they cannot be identified until the early design enables their discovery. Today, none of this is shocking. Linear waterfall models of design and development have been succeeded by models including feedback and iteration.

Comment 41

If requirements cannot be identified, and so not specified, then they cannot express a ‘hard’ design problem, nor be the object of engineering principles to satisfy them (Dowell and Long, 1989 – Figure 2, Section 1.4, Human Factors Engineering Principles). Other types of HCI design knowledge and practices would be required. See also earlier Comments 24 and 40.

Again turning the clock back to the mid-1980s, the apparent disconnect between Long and Dowell’s view of engineering, and Brooks’ case study of engineering practice in a large software development project, becomes more comprehensible. Early methodological conceptions of HCI were frequently oriented to system development processes that had traditionally overlooked consideration of users and other human stakeholders. Ironically, because HCI was not integrated into these processes, and often had no standing in the organizations practicing these processes, HCI methods were developed with an inadequate understanding of their ultimate context of use. Brooks’ view of OS 360 is an insider’s view, and in many respects an exposé. Part of the reason that Brooks’ book is a classic is that when published it was so iconoclastic, refuting core conceptions about software engineering. Long and Dowell were addressing engineering from an external view. They were trying to conceptualize an HCI discipline that could effectively contribute to system engineering processes as officially described.

Comment 42

The engineering examples, used by Long and Dowell (1989), to illustrate their conception for HCI engineering, were taken from more traditional engineering disciplines. The latter did not include Software Engineering, whether ‘officially’ or ‘unofficially’ described. Carroll’s point here, then, is misguided.

There is, of course, an engineering paradigm for HCI. It developed in the 1990s, and it is interesting to observe how it differs from the conception of Long and Dowell. Usability engineering is one of the core clusters of method and process in HCI (Nielsen, 1994; Rosson and Carroll, 2002). Notably the sense of engineering in this stream of activity is systematic but it is fundamentally empirical. Its primary focus is methods to directly involve users via participatory design and analysis, and to assess user experiences through surveys and interviews, many kinds of scenario exercises, and direct evaluations, including thinking aloud studies, throughout every stage of the system development process, from
requirements identification through to documentation design. It uses models, for example like GOMS, but in relatively limited ways.

Comment 43

This ‘engineering paradigm for HCI’, as described by Carroll, might well have been accepted by Long and Dowell (1989) as ‘craft engineering’, providing the ‘system development process’, solved design problems of ‘users interacting with computers to perform work effectively’. There is no claim here that either Nielsen’s (1994) or Rosson and Carroll’s (2002) work has been validated by others, that is: conceptualised, operationalised, tested and generalised. As such, it can be applied as part of an ‘implement and test’ practice.

3. A hundred flowers that blossomed

In closing their paper, Long and Dowell (1989) considered whether craft practice, applied science and engineering could function together as a mutually supportive ensemble of disciplinary models. They point out that the three paradigms use and produce knowledge and results that are not always mutually intelligible. However, they counter-argue that the three paradigms together would better exploit what is known and what is practiced in HCI, and that integrating the three disciplinary models could encourage an HCI community ”superordinate to any single discipline conception” (p. 30). While I have tried to scrutinize many of the technical points and arguments in the paper, I think Long and Dowell ultimately were led to a larger truth, one that is strongly evidenced in the HCI we see today.

Comment 44

On this point, Carroll appears to be in agreement with Long and Dowell (1989) – see, for example, Comment 30 earlier. However, the following distinction might throw light on a range of disagreements, identified for example, by Comments 2, 7, 18, 24, 39, and 41.

Long and Dowell are primarily concerned about the nature of the actual (Craft and Applied Science) and the possible future (Engineering) discipline(s) of HCI, in terms of their knowledge and practices, how they differ and their relative effectiveness. They are, of course, aware that such disciplines are constructed and practised by associated communities, ‘superordinate to any single discipline conception’. However, they consider that for their purposes of comparison and evaluation, the more specific concept of discipline, with its emphasis on knowledge and practices, is preferable to the more general concept of community with its wider, for example, social connotations (see also Dix (2010)). Carroll, in contrast, seems more comfortable with, the concept of community, rather than that of discipline. This point is illustrated in Comment 45.

During the 20 years since Nottingham, HCI has changed in many ways. The lens of the Long and Dowell paper highlights three vectors of change that are intriguing and challenging, and that help to sound echoes of the Long and Dowell paper. First, it has become ever clearer that craft is the primary source of innovation in HCI. The primary role of science in HCI is to help us understand these innovations after they occur. Second, applied science in HCI provides explicit foundation for engineering models. These first two points emphasize how we need to link up the disciplinary models for HCI, instead of examining and evaluating them separately as competitive paradigms.

Comment 45

More agreement, here, apparently. Craft innovates (or maybe invents). Science seeks to understand these innovations. Engineering can adopt aspects of that understanding.

The problem arises in any attempt to ‘to link them up’ or in Long and Dowell’s (1989) terms, how ‘one conception might be usefully but indirectly informed by the discipline knowledge of another’. Of course, this linking/informing might naturally occur, during community activities, such as conference attendances. However, such linking/informing requires a ‘reflexive act’ involving intuition and reason. Thus, contrary to common assumptions, the craft, applied science and engineering conceptions of the discipline of HCI are similarly reflexive with regard to the general design problem. The initial generation of albeit different discipline knowledge’s requires in each case the reflexive cognitive act of reason and intuition. In other words, linking up/informing is not just a matter of joining up the different discipline knowledge’s and practices; but rather recruiting the ones to inform the others.

For example, Stork (1999), in the domain of domestic energy management and Cummaford (2007), in the domain of electronic shopping, attempt to formulate initial engineering design principles. In each case, design problems (‘users interacting with computers, where actual performance was less than desired, expressed as Task Quality and User (Resource) Costs’) were diagnosed and design solutions specified. The initial, putative HCI engineering design principles were developed from the commonalities (and non-commonalities) between the design solutions with respect to the design problems.

The point here is that the initial individual design problems were diagnosed and solved ‘empirically’ (in terms of Salter’s (2010), Figure 8), that is, by trial and error (‘implement then test’), using craft, applied science and engineering (models and methods – see Long, 2010) knowledge and practices. However, future validation of the initial design principles (as conceptualised, operationalised, tested and generalized (Long, 1997)) cannot be construed as the validation of the reflexive cognitive act concerning, or the recruitment of, these knowledge’s and practices.

 

Third, the science foundation for HCI is incredibly rich and fragmented, more than anyone expected in the mid-1980s, and perhaps with more to come. We live in a time when the nature of science itself has been deeply questioned. Some of the debates occurring now in HCI with regard to its proper footing in science make the mid-1980s theory crisis seem mild indeed.

Comment 46

For Long and Dowell, the crisis remains very much the same as it was in 1989. What is (are) the HCI discipline(s) now and in the future, as concerns their knowledge and practices? How to increase their effectiveness/reliability (Dowell and Long, 1989)? How to develop the consensus, required for researchers to build on each other’s work to achieve such effectiveness/reliability (Stork, 1999; Cummaford, 2007)? The relative richness and fragmentation of ‘the science foundation for HCI’ is not central to providing the wherewithal to answer these questions.

3.1. Craft innovations drive HCI science

The original vision for HCI was that cognitive science theory would produce or guide cognitive engineering of better systems. This programme was affirmed and pursued zealously throughout the 1980s, and through to the present. Good examples of this paradigm do exist, I believe. The Hammond and Allinson paper that Long and Dowell deconstructed is a wonderful example. However, it is also easy to be skeptical of ”science based design” as a general disciplinary model for HCI. Long and Dowell were articulating that skepticism.

Comment 47

Long and Dowell (1989) do not doubt that the Hammond and Allinson (1988) guidelines might help practitioners design better interactive systems; but neither do they doubt that they might not so help.  They are, however, convinced that without validation (as conceptualization; operationalisation; test; and generalization – Long, 1997), the guidelines can only support ‘trial and error’ design practices. The guidelines are simply not known to be sufficiently reliable (as required by both Dix and Wild (2010)) to guarantee better interactive systems. Their science origins (via some unspecified, informal transformation) would be no warranty for such reliability or guarantee (see Salter, (2010) – Figure 8, empirical derivation and validation). HCI scientists (psychologists; sociologists etc) might be satisfied by this state-of-affairs, as it provides a market for their wares; but it is doubtful that hard-pressed HCI practitioners, battling for a position in the IT design marketplace, would share their view.

Throughout the history of HCI the truly game-changing innovations have tended to be craft based. The pivotal design concept of direct manipulation, and the early scientific accounts of it are a case in point (Shneiderman, 1983; Hutchins et al., 1985). Direct manipulation is the style of computer interaction in which a person manipulates data and functions through gestures with display objects, for example, pointing and clicking in windows with a mouse — as contrasted with referring to data and functions by name in typed command strings. The principle object of these analyses, the point-and-click graphical user interface was developed years before the original scientific accounts, and indeed, direct manipulation is still being theorized and further developed (e.g., Plouznikoff et al., 2005). The graphical user interface as a design concept was developed pretty much through craft innovations during the decade from the mid-1960s through the mid-1970s (e.g., Buxton et al., 2005; Myers, 1998).

Comment 48

These technological innovations and inventions accrue almost entirely to the credit of HCI craft knowledge and practice. There is no reason to believe this situation will change, as ‘invention’ is a ‘soft’ problem’ (Dowell and Long, 1989), which cannot be explicitly and completely specified. Other forms of HCI knowledge and practice need to adapt/accommodate to this source and manner of innovation.

It is interesting that even the early theories of direct manipulation emerged long after the technology innovation itself. Thus, far from determining or even guiding the technology development and user interface design, the theories served the purpose of interpreting, consolidating, and abstracting the lessons from craft innovation to help move HCI research and development work forward in a more explicit and deliberate manner. This is very valuable; it allows for an engineering practice to be codified from the more implicit craftwork.

Comment 49

Of course, codifying craft design knowledge, to support engineering knowledge and practice, is an idea worthy of development. However, how might such codification be carried out? Carroll later concedes that (craft) designs are ‘difficult to read’. Some examples are sorely needed here to support Carroll’s claim, that craft knowledge can be codified. Note that in the work of Stork (1999) and Cummaford (2007), craft design is not codified directly into engineering principles, as its effectiveness is not known. However, it is recruited informally, via its support for the solution of individual design problems, to the codification, expressed as design principles.

I describe the direct manipulation example because it is and was so central to the development of HCI. However, similar patterns can be seen in the development of HCI science and theory for other key concepts and techniques in HCI design. For example, Blackwell (2006) provides a vivid exegesis of how craft and science have shaped the use of metaphor in HCI through the course of three decades. The history of HCI science is one of technology innovations mysteriously popping out of craftwork, and then eventually being noticed, analyzed, and codified in models and theories.

Comment 50

It would be of interest to have, here, a codified (engineering) example of craft metaphor invention/innovation (see also Comments 48 and 49).

3.2. Applied science provides explicit foundation for engineering models

The most ambitious articulation of the relationship between cognitive science and its application is that of a reciprocal relationship at the level of models (Norman, 1982). This is to make a distinction between specific (one-off) design applications of cognitive science, like the Hammond and Allinson computer assisted learning system, and systemic applications in which the science is a foundation for an engineering model that can be more generally applied. Card et al. (1983) development the Model Human Processor (MHP) and Goals, Operators, Methods and Selection rules (GOMS) model for analyzing routine human–computer interactions is a very early example of applied cognitive science theory in HCI that also provided direct guidance for a set of engineering models.

Comment 51

These different claims prompt the following questions. First, what is the difference between the MHP Model and the GOMS Method as: 1. Cognitive Science Theory; 2. Applied Cognitive Science Theory; and 3. Engineering Models and what is the relationship between them? Second, by changing which aspects of these relationships would HCI design knowledge  and practice be made more reliable/effective? Third, how might such changes be brought about? For Long and Dowell’s (1989) answer to these questions – see Comment 45.

As I briefly noted above, these models were somewhat narrowly scoped, but seen in the context of cognitive science ca. 1980, this was some of the most comprehensive applied science work ever attempted. The model explicitly integrated many components of skilled performance – perception, attention, short-term memory operations, planning, and motor behavior – to produce predictions about expert performance in real tasks.

The MHP/GOMS model, taken as an engineering model, was an advance over prior human factors approaches in that it explicitly described the cognitive structures underlying manifest behavior. In other words, it was an engineering model directly and explicitly grounded in scientific understanding of information processing psychology. But as a scientific account, this model was a huge step forward also: Cognitive science models and theories up to that point had not attempted such a level of integration. The comprehensiveness of these early models vis-à-vis cognitive science can be seen as directly caused by their purpose vis-à-vis cognitive engineering. In order to generate detailed quantitative predictions about user performance in realistic contexts, HCI models must make explicit assumptions about a wide range of human characteristics.

Comment 52

There is no disagreement, that the MHP/GOMS model was novel and an advance or that it had much in common with information processing psychology models of the time. However, its subsequent development and validation as a ‘cognitive science model’ has been at best modest and at worst noticeable only by its absence. It is unclear, that currently it has any status as a cognitive science model in the process of being validated (as conceptualized; operationalised; tested; and generalized) in terms of its understanding, that is, explanation and prediction, of HCI phenomena.

 

Not all engineering models in HCI are as focused and narrow as MHP/GOMS. For example, the various developments of usability engineering could be considered a collection of engineering models. The usability engineering textbook I wrote with Rosson (Rosson and Carroll, 2002) quite explicitly presents a system development lifecycle engineering model, a wide range of systematic methods that usability engineers can follow to better assure that their designs are useful and usable to people. Our conception of engineering is heavily influenced by Brooks; we emphasize many approaches to prototyping, and emphasize throughout the book that one of the primary mistakes to avoid is premature commitment: thinking that the first passably-acceptable solution generated is the stopping point for design. If I were to write that book today I would significantly broaden its treatment of nuances of quality in the user experience. We emphasized satisfaction, but qualities like fun and engagement deserve more consideration. Of course this would make usability engineering even more dependent on applied science, and even more empirical.

Comment 53

It is unclear, why a more empirical engineering (of qualities, like fun and engagement) would (necessarily) be more dependent on applied science. Empirical derivation and validation of client requirements and artefact, as well as the relations between them (see Salter, 2010 – Figure 8) has no necessary relations with applied science (Figure 3).

Just recently, the ACM SIGCHI Symposium on Engineering Interactive Computing Systems (http://eics-conference.org/2009/) was launched, but again the notion of engineering in this conference series is far broader than that of mechanical derivation of solutions with predetermined properties.

Comment 54

How does Carroll propose to increase the reliability and effectiveness (as required by Dix, Wild, Hill, Salter and Long (all 2010)) of HCI knowledge and practice in the total absence of ‘pre-determined properties’ (see also Comments 45 and 50, also Salter (2010), Figure 8)?

3.3. The science foundation for HCI is incredibly rich and fragmented

The science foundation of HCI in the early 1980s was cognitive science, chiefly cognitive psychology. But this quickly changed. Even by the end of the 1980s, many other approaches with roots in social psychology, sociology and anthropology were moving to the center of HCI. A technological reason for this was that collaborative systems were emerging and raised many questions that could not be articulated in a cognitive paradigm. More importantly, HCI was reaching out to understanding technology in use, and actually contexts of use nearly always involved multiple people, work practices, organizational structures and myriad factors beyond the purview of individual cognition.

Suchman’s (1987) study of photocopier use was iconic. She described a variety of usability problems with advanced photocopier user interfaces. The problems she identified were fairly typical of HCI studies of the time (Carroll, 2003). But her approach and analysis were distinct in important ways. First, she studied people doing real work in a workplace context, not in a laboratory setting, as was typical at the time. Indeed, many of her participants were scientists at Xerox PARC going about their research work, and occasionally struggling to make copies. Second, she analyzed the interaction between the person and the machine as a sort of conversation that can fail when the actions of the participants are not intelligible to one another. This raised the level of analysis to that of human agency, as opposed to operating characteristics of the mind-as-a-computer (memory limitation, incorrect rules, etc.). Third, she directed her analysis to very fundamental issues in cognitive science. Thus, based on the amount of creative improvisation she observed in people trying to fathom and use photocopiers, she concluded that the concept of plans as causal accounts of human action was fundamentally flawed. Plans might be resources for action, but could not determine action in circumstances of any significant complexity.

Comment 55

Suchman’s research (1987) is indeed novel and interesting. However, following Dowell and Long (1989), it does not necessarily move social psychology, sociology, and anthropology to the centre of HCI (see also Comment 53). Suchman’s highlighting of ‘real’ work, human agency and creative improvisation might contribute to the relative softness or hardness of design problems (perhaps increasing the former and decreasing the latter – Dowell and Long, 1989). If so, more (or even all) craft engineering and les (even no) principles engineering would be required for their solution.

By the end of the 1980s, HCI had become an international research community. Threads of work that had been going on in the United States and in Europe were increasingly brought together through Europeans visiting the mostly-American Association for Computing Machinery (ACM) CHI Conference and Americans visiting the mostly-European International Federation of Information Processing (IFIP) INTERACT Conference. For example, Bjerknes et al. (1987) published their collection on participatory design. Although they do argue that involving users directly in the inner sanctums of design deliberation is technically effective, the primary theme and argument in their book links participatory design to democracy, and asserts that sharing power with users in the design process is a better moral choice. Issues of self-determination in the workplace and power sharing and participation in software design cannot be articulated in a purely cognitive HCI.

Comment 56

Indeed. However, ‘issues of self-determination in the workplace and power sharing and participation in software design’, must necessarily be specified explicitly or implicitly, to figure (explicitly or implicitly) in any design solution.

These developments contributed to a scientific foundation far more rich, far more diverse than the starting points of the early 1980s. By the end of the 1990s, HCI looked quite different. Social psychology concepts like production blocking, conformity, social loafing, and social pressure had become as commonplace as memory capacity, consistency, and index of difficulty in the 1980s.

Activity theory and distributed cognition were established paradigms in theory, in many ways eclipsing information processing psychology as the establishment in theory. Ethnographical fieldwork had become a methodological touchstone for understanding usability.

Comment 57

Comment 55, which highlighted the possible contributions of social psychology, sociology and anthropology to HCI design problem specification, is equally applicable here to Activity Theory, Distributed Cognition, Information Processing Psychology and Ethnography. The reasoning is the same in both cases.

HCI theory during this period was highly successful, in the sense of producing explanations and principled descriptions of human– computer interaction contexts (themselves largely produced through craft innovations) that have had great impact on cognitive science. Just as the MHP/GOMS model had led cognitive science in the 1980s, Suchman’s analysis of situated actions, distributed cognition and activity theoretic models, and studies of computer-mediated collaboration had substantial influence throughout cognitive science. For example, in 1993 a special issue of Cognitive Science, the field’s flagship journal, was addressed to reconsideration of Suchman’s 1987 book on the field of cognitive science. Similarly, a special issue of the Journal of the Learning Sciences, the flagship cognitive science journal in learning, was directed to reflection on Suchman’s contribution in 2006.

Comment 58

There is no doubt that Suchman’s research had the potential to increase the scope of cognitive science. However, its potential for contributing to the validation of cognitive science knowledge and practice is less clear. The evidence for such validation would appear to be, at best, thin.

 

3.4. Design rationale as theory: the task-artifact framework

My own contribution to the Nottingham conference was more similar to Long’s than I realized at the time. Like Long, I also sought to formulate a programme for HCI.

Comment 59

Long and Dowell (1989) present an analysis of HCI in terms of three alternative conceptions of a possible discipline of HCI – Craft, Applied Science and Engineering. Dowell and Long present a Conception for HCI Engineering. The latter might be termed a ‘programme’. However, no equivalent ‘programme’ is proposed for Craft and Applied Science HCI, unless it be the common expression of the HCI design problem, that is, ‘users interacting with computers to perform work effectively’.

Like Long, I had concluded that HCI could not comprehensively be constructed as applied cognitive science. In my paper (Carroll, 1989), I suggested that the most effective role for science in HCI design might be to interpret designs-in-use, to codify the knowledge implicit in designs so that it could be used more explicitly in future designs. I suggested that bringing this interpretative work into the design process itself might be the closest we could get to theory-based design. I saw this as augmenting the paradigm of craft practice to demystify the how and why, quite analogous to what George Sturt was trying to with the craft of wheelwrights.

Comment 60

Carroll’s ‘programme’ for HCI certainly appeals to many HCI researchers and is clearly worth pursuing. However, he needs to recognize that ‘codified knowledge implicit in designs’ would need to be subject to either the empirical or formal derivation and validation cycles (or both), as set out by Salter (2010 – Figure 8) or some such.

Much like Sturt, I suggested that designed artifacts ought to ”read” as theories, that system design and development outcomes should be directly leveraged as knowledge outcomes (Carroll and Campbell, 1989). Implemented designs have nice properties, considered as knowledge outcomes: they are precise and complete; that is, they are complete enough to run and do whatever it is that they do, and they cannot leave things vague or make unrealistic simplifying assumptions the way a discursive theory can.

Comment 61

However, one not very ‘nice’ property of implemented designs, as design solutions, is ignored by Carroll. That property is the explicit (or implicit) design problem, for which the implemented design is a solution. In the absence of such a specification, the precision and completeness of designs can contribute little to the construction of theory. It is for this reason, that Long and Dowell (1989) assign such importance to the specification of the design problem of HCI, in terms of performance and especially effectiveness, both for the acquisition and validation of design knowledge and for establishing a consensus within HCI, which would permit the testing of alternative (knowledge-based) design solutions against the same design problem. In this way, researchers could build on each other’s work, evaluate the effectiveness of such work and increment the knowledge and practice of the discipline, as encouraged by Newman (1994).

Designs must take a stand on every issue they encounter. Designs seamlessly integrate ideas from many sources and from many levels of analysis; that is, a design may embody ideas from GOMS with respect to keystroke-level interactions, ideas from Activity Theory about leveraging cultural practices in new work designs, and ideas from social psychology about how collaborators can quickly come to trust one another. Discursive theories are notoriously bad at spanning levels of analysis; indeed, many take it as given that levels of analysis can never be spanned. Finally, designs are also unavoidably testable, that is, when people use them, their use generates consequences, vivid, concrete and often poignant.

The main thing that makes designs poor as theories is that they are difficult to read. The propositions of an artifact’s theory are implicit, after all; they must be constructed by an analyst. And there’s the rub. How can we identify the theory that is implicit in an implemented design? My answer was design rationale, the documentation traditionally generated in the design process describing the issues, decisions, choices, and consequences that were considered, pursued, abandoned, and/or implemented. Of course, because design rationale is documentation, it is often viewed as tedious, boring, and bureaucratic. Moreover, because most designs ultimately fail in one way or another, creating an explicit and thorough design rationale is analogous to carefully leaving your fingerprints all over a spot you know will most likely be a crime scene.

Comment 62

Carroll does not make explicit here, whether ‘design rationale’ constitutes ‘codified craft knowledge’ as theory. Eitherway, he still has to specify whether design rationale corresponds to the empirical or formal derivation and validation cycles (or both), presented in Salter’s (2010) Figure 8 (see also Comment 60).

In Longian terms, I wanted to imagine ways to better integrate HCI craft practices with applied social and cognitive science so as to do the least violence to the manifest effectiveness of HCI craft practices, but at the same time help those practices to be more deliberative, more auditable, and more manageable.

Comment 63

If HCI craft design practices are manifestly effective, then presumably HCI craft design knowledge is equally manifestly effective in supporting these design practices. In the latter case, Carroll is wise to guard against applied social and cognitive science doing them violence (sic), while attempting to make craft design practices ‘more deliberative, more auditable and more manageable’. If ‘design rationale’ is codified craft knowledge (see Comment 62), then it needs to clarify its formal and empirical derivation and validation cycles (or both), as required by Salter’s Figure 8 (2010).

The key criterion for me was intelligibility to the practices and values of HCI designers. Thus, I eventually built my own methodological prescriptions out of scenario-based design, emphasizing the practical utility of narrative representations as well as their analytic utility in suggesting and contextualizing rationales (e.g., Carroll, 2000).

During the years after Nottingham, and to some extent caused by prodding from Long, I kept at this line of thinking, eventually reaching the programmatic claim that in HCI design rationale is the theory (Carroll and Rosson, 2003). During the early 1990s, I had many enjoyable interactions with Long. My recollection is that Long accepted that my approach integrated craft and applied science, but, perhaps not surprisingly, he felt our ”design rationale as theory” programme was underspecified as a disciplinary model, and that, in particular, it needed to be more explicit about defining effectiveness. Our discussion never came to an ending.

Comment 64

Carroll’s view of our interactions since 1989, and my view of his work, are both fair and about right. The importance of requiring a more explicit expression of effectiveness, in Carroll’s craft and applied science disciplinary model, resides in its being a pre-requisite for expressing design problems. Without the possibility of expressing a design problem explicitly, it is unclear how ‘design rationale as theory’ is able to diagnose design problems, for which it provides a solution and to know, indeed, that it is a correct (that is, ‘sound’ in Carroll’s own words later). Expressing design problems explicitly, in turn, is a pre-requisite for HCI researchers to use alternative ‘theories’ to solve the same (consensus) design problem and so compare the effectiveness of alternative ‘theories’, as required by Newman (1994) – see also Comment 61). My discussion with Carroll never came to an (agreed) ending and indeed it would appear, thanks to the Festschrift and the present commentary, an ending at all. I am not unhappy at this state of affairs. All is not unwell, that does not end unwell.

3.5. Making sense of HCI

In 1989, many in the field felt that HCI needed a better-defined paradigm, or as Long and Dowell termed it, a better-defined disciplinary model. For even in 1989, HCI was plainly a thriving and growing socio-technical endeavor that was diversifying much more than it was converging. Perhaps framing disciplinary models is just the human impulse to closure, to create figure from ground. Perhaps it is just researchers doing what they do. With another 20 years of hindsight, we can see more plainly now that HCI continues to diversify more than to narrow. Not only do Long and Dowell’s original contenders live on, but we have many variants of each.

Long and Dowell’s technical analysis wound up being more nihilistic than they most likely intended. I think this was because they faithfully and energetically applied overly rigid and a priori models of all three of their disciplinary models for HCI. To me this is the tragic pattern of positivism, which I take here as a paradigm– defining concern with how propositions are generated (discovery procedures, predictive models), warranted (usually in observable empirical phenomena), and logically related (e.g., by derivation or generalization). Positivism, as far as I can tell, is motivated by good and noble impulses: Escape subjectivism and capture universal truths, provide empirical foundation for knowledge statements, produce systematic, cumulative, and integrative knowledge-generating practices and knowledge descriptions and explanations (e.g., science) and so forth. The problem for positivism, and reason I see it as tragic, is that subjectivism is inescapable. Knowledge depends on context, on point of view, on history, on meaning making practices that are partially ineffable, and on levels of analysis that are incommensurable. Indeed, as emphasized by every philosopher since Kuhn (1962) science is a social institution, and what is regarded as sound, even what is regarded as true, is socially constructed.

Comment 65

This is not the appropriate place to engage in a deep debate about ‘positivism’ itself, but rather to address issues, raised by Carroll, perhaps prompted by positivism, about the matters in hand. I have already addressed these issues in my HCI Reflections (2010). I would, however, add here the following. Science is, indeed, a social institution, or perhaps better, a social (professional) community. What the social community (as in a discipline) considers sound is indeed socially constructed. The social construction, however, includes criteria for its soundness. Long and Dowell (1989) proposed a discipline conception for the HCI community. Dowell and Long (1989) also proposed a conception for HCI (Engineering) soundness. The two conceptions offer clear criteria by which their effectiveness can be judged, as illustrated by Hill’s and Wild’s papers (2010) and the Design Research Exemplars (Figure 8) of Salter (2010). Carroll ought to be delighted. However, whether or not this constitutes an ‘escape from subjectivism’ is left for him alone to judge.

My personal construction of this is that positivism belongs to that interesting category of wrong ideas we need to value. Positivism so overworries methodological issues that it produces results that are unproblematic but of little consequence. Still we are well advised to orient to positivist objectives. We should do so knowing that to take these objectives too seriously, too rigidly, will lead to paradigmatic dead ends. Throwing positivist cautions away can lead to empirical programmes for which we cannot know what methods were actually employed, what data were gathered, or what the results are really about.

Comment 66

Elsewhere, Carroll has strongly supported the need for empirical progress in HCI. Here, however, he seems to recognize associated dangers – the same dangers, which Long and Dowell’s (1989) HCI Discipline and Design Problem Conceptions are intended to combat. Design Rationale, as theory needs comparable defences.

Long and Dowell, I think, became snarled in an intellectual trap of their own design in characterizing the three disciplinary models for HCI. They characterized models that no one followed, and that no one ever has followed. They laid down positivistic criteria for disciplinary models that I suspect cannot be satisfied, and that, in any case, do not accord with what anyone actually does or has done in the craft, science, and engineering of HCI.

Comment 67

Carroll’s claim here is patently false. The craft knowledge and practice model is consistent, albeit at a high level of description, with, for example, the development of the graphical user interface. The applied science knowledge and practice model is consistent, albeit at a high level of description, with, for example, Carroll’s own Design Rationale, as theory research. It is true, that in 1989, there were no examples of the principles engineering model at any level of description. Exemplars of this model, however, are now available in the work of Stork (1999) and Cummaford (2007).

But they were in good company. On my side of the Atlantic, Allen Newell articulated an interestingly comparable disciplinary programme in his 1985 opening plenary address at the ACM CHI Conference (Newell and Card, 1985). Newell’s talk presented a vision of extending the early GOMS work into a much more comprehensive paradigm for science in HCI. He memorably said that psychology might be ”driven out” of HCI in the future if it were not pursued in a quantitative modeling paradigm (aka, ”hard science”). The talk provoked much controversy, discussion, and new research. It led to alternate proposals, modified proposals, replies and rejoinders (Carroll and Campbell, 1986; Newell and Card, 1986). Again, through the benefit of hindsight, we can see that Newell overstated the ”hard science” threat. His programme was ignored, yet psychology continues to thrive in HCI. As I look back, I think that what Newell really wanted was a science of HCI in which psychology (and other cognitive sciences) could play a central role. Newell’s real worry, I think, was not that the psychology of HCI might take a qualitative turn. He was worried about the interdisciplinary power balance between computer science and its human science partners. I have elaborated this historical reflection in Carroll (2006).

In my view, Newell and Long’s contributions must be taken in historical context. They were addressing the still-current threat of methodological fragmentation. They had helped to found HCI in the 1970s, and were trying to ensure that HCI could continue to prosper as it had in the early 1980s. Both proposed to achieve this through normative disciplinary frameworks. And both went a bit too far in this regard.

Comment 68

Long and Dowell’s (1989) concern was not so much ‘methodological fragmentation’; but how to make HCI design knowledge and practice more effective (or ‘reliable’ (Dix, 2010) or ‘sound’ (Carroll, 2010)). Their frameworks or conceptions (of the HCI discipline and design problem) are intended to address this concern.

The conclusion I take away is that we should regard HCI as a sort of meta-discipline. I call it a community formed around the ever-expanding concept of usability (Carroll, 2009), because I think it is really just this shared pre-theoretic interest and commitment that causes HCI to cohere at all. HCI has no single disciplinary problem or specified set of practices, and certainly no single conception of effectiveness. Instead, the boundaries of HCI have expanded as the notion of usability became richer.

Comment 69

It is essential to distinguish the HCI community – a social and professional entity, from the HCI discipline – the knowledge and the practice of that community, although the two are related. The membership of the community, as indeed the scope of the discipline, may change over time. Either change might be by intent. Similarly, it might be possible to change, that is, to increase the reliability (Dix (2010) and Wild (2010)) and soundness (Carroll, 2010) or effectiveness (Long and Dowell, 1989) of HCI knowledge and practice. In this way, do disciplines progress, as well as grow. Such progress, however, requires some consensus among researchers, as to what the discipline is about; otherwise incrementation of the HCI discipline knowledge and practice would not be possible. ‘Usability’ has brought some consensus and may be sufficient to support future developments. Long and Dowell (1989), however, do not think so. They adopt the concept of ‘usability’, which they express as ‘user (resource) costs’ or ‘workload’; but add to it the concept of ‘task quality’ – how well the task is performed. Differences between actual and desired task quality and user costs, which together express effectiveness, constitute design problems, which HCI design knowledge and practice are developed to solve. If ‘usability’ can be the basis for shared ‘pre-theoretic interest and commitment’, so can ‘effectiveness’. Researchers can then choose as to which their (or some other) knowledge and practice apply, in their efforts to increment them, as required by Newman (1994).

Usability was originally articulated naively in the slogan ”easy to learn, easy to use”. The blunt simplicity of this conceptualization gave HCI an edgy and prominent identity in computing. It served to hold the field together, and to help it influence computer science and technology development more broadly and effectively. However, inside HCI the concept of usability has been reconstructed continually, and has become increasingly rich and intriguingly problematic. Usability now often subsumes qualities like fun, well-being, collective efficacy, aesthetic tension, enhanced creativity, support for human development, and many others. The trajectory of its core concept explains how and why the HCI community has continued to grow and diversify. It also explains why a priori frameworks, such as those articulated by Long and by Newell, tend to look dated almost before they are formulated. More importantly, a dynamic view of usability suggests that what we have seen for the past three decades may just continue. Perhaps usability will always develop as our ability to reach further toward it improves.

Comment 70

The same, of course, can be said of effectiveness – see Comment 69.

This picture of HCI as a diverse community orienting to a concept whose meaning changes through time is unsettling. It implies that the methodological fragmentation Long addressed in his 1989 Nottingham keynote is endemic to HCI, not so much a problem to be remedied, but a characteristic to be accepted and leveraged, or at least coped with.

Comment 71

Agreed. The distinction between ‘hard’ and ‘soft’ design problems (Dowell and Long, 1989, Figure 2) accepts and ‘copes’ with the differences between HCI discipline models.

In either case, I think it remains useful to try to articulate disciplinary models – models that are evidenced in current practices, models from areas neighboring HCI that arguably could address current challenges in HCI, if they were to be adopted, and perhaps even models that we just invent. Some of these models could be the pure types that Long and Dowell worked with, perhaps too rigid to be implemented, but useful as analytic tools to characterize the more hybrid forms that can actually be observed.

Comment 72

Maybe; but the work of Stork (1999) and Cummaford (2007) on the development of engineering design principles suggest otherwise.

Acknowledgements

This paper draws on several my own previous meditations on the history and foundations of HCI: Carroll, 1997, 2002, 2006, 2009. I thank the editors for organizing this project. I especially thank Peter Wright and two anonymous reviewers for their cheerfully insightful deconstructions of my essay. I believe that moments of reflection on the contributions of those who have helped to lead us in the recent past are not only appropriate celebrations, but also directly useful for us toward making sense of what we have done, and what we are doing now. Finally, I want to acknowledge and thank John Long, with whom I had a very stimulating debate at various conferences and workshops during 1988– 1993. These interactions were very helpful to me in motivating and focusing my own thinking and writing. Frankly, I think I benefited more, though John always seemed ready for another round. As far as I can remember and reconstruct, no minds were changed in these debates, but I recognize more clearly now that that is not necessarily the most important outcome of such a debate. The writing of this essay was supported in part by the Edward M. Frymoyer Chair Endowment.

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