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國立雲林科技大學

蔡旺晉 教職應徵資料 個人代表著作


ORIGINAL ARTICLE

Older Adults’ Motivations, Patterns, and Improvised Strategies of Using Product Manuals Wang-Chin Tsai 1,*, Wendy A. Rogers 2, and Chang-Franw Lee 1 1 2

Graduate School of Design, National Yunlin University of Science and Technology, Yunlin, Taiwan School of Psychology, Georgia Institute of Technology, Atlanta, USA

The goal of this study is to explore older adults’ perspectives on and usage of product manuals. Seventy Taiwanese older adults were interviewed to discuss their practices and attitudes regarding product manuals for twelve technological products (e.g., microwave oven, digital camera). They also completed a questionnaire about their usage of product manuals. The results revealed that the older participants did indeed use different products and their manuals from the sampled technological products. Their product and manual usage patterns reflect that the older adults would like to spend time using a product and learning about a product from a manual. Nearly all older adults read all or a portion of product manuals when interacting with new products for the first time. Purposes behind reading product manuals included better understanding of the products, recalling forgotten functions, or preventing mistakes. The older adults also improvised various strategies toward product manuals, such as making quick reference cards, marking sections and shorthand formatting, to compensate for the deficiencies of product manuals. Results of this research provide guidance to manual designers or technical writers to better meet older adults’ needs and preferences. Keywords – Product Manual, Older Adults, Usages, Attitudes, Strategy. Relevance to Design Practice – It is critical to understand whether, when, and how older adults are likely to use instruction manuals. The research findings reveal that older adults do use product manuals. The interview and questionnaire analysis provided a context for manual usage experience of older adults. The findings provide guidance for manual designers and educators to organize effective product manual guidance that leverages existing knowledge and behavior. Citation: Tsai, W. -C., Rogers, W. A., & Lee, C. -F. (2012). Older adults’ motivations, patterns, and improvised strategies of using product manuals. International Journal of Design, 6(2), 55-65.

Introduction Similar to many other countries in the world, the older adult population in Taiwan is growing rapidly. In Taiwan, adults over the age of 65 constituted 10.7% of the population in 2010; by 2025, this proportion will increase to 20.1% (Ministry of Interior, 2011). Concurrently, the aging trend in coinciding with the dramatic development of new technology products. In general, these products consist of a variety of devices and services, such as mobile phones, tablets, PCs, e-book readers, digital cameras, camcorders, printers, and more, which have become an integral part of everyday life. For older adults, these new technology products have the potential to make life easier, to support communication with family and friends, to assist with health care, and to help them remain safe and functionally independent in their later years of life (Dickinson & Hill, 2007). Although older adults report a willingness to adopt technology products (Mitzner et al., 2010; Mynatt & Rogers, 2001), usage data suggest that older adults are part of the ‘‘digital divide,” a distinction made between those who do and those who do not adopt technology products (National Telecommunications and Information Administration, 2004). This perhaps stems form the fact that most technology products have many functions, and that their operations are often complex. Also, technology products do not always seem to work properly,

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or are so complicated they might seem beyond an older adult’s capabilities (Gatto & Tak, 2008). To compensate for older adults’ inexperience with certain technologies, related research has reported that providing supporting information or extra training materials is an effective way to enable and enhance older adults’ interactions with technology (Gramß & Struve, 2009; Morrell, Park, Mayhorn, & Kelley, 2000). In fact, older adults would be more comfortable with and willing to adopt new technology products if they received useful supportive information or training materials (Mayhorn, Stronge, McLaughlin, & Rogers, 2004; Mitzner et al., 2010). A product manual is one such kind of support material that older adults can use to become familiar with a product. Product manuals are often associated with the traditional paper-based, electronic, multimedia and interactive approaches for different Received June 23, 2011; Accepted May 25, 2012; Published Auguest 31, 2012. Copyright: © 2012 Tsai, Rogers, & Lee. Copyright for this article is retained by the authors, with first publication rights granted to the International Journal of Design. All journal content, except where otherwise noted, is licensed under a Creative Commons Attribution-NonCommercial-NoDerivs 2.5 License. By virtue of their appearance in this open-access journal, articles are free to use, with proper attribution, in educational and other non-commercial settings. *Corresponding Author: piliwangwang@gmail.com

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Older Adults’ Motivations, Patterns, and Improvised Strategies of Using Product Manuals

products. A manual is an interface between the user and the product, presenting diverse information and a collection of ways to assist in answering users’ questions. Design guidelines for product manuals (e.g., BS/EN 62079, 2001; International Organization For Standardization (ISO), 1994, 1999, 2004, 2008) defined the general design process and provided well-organized guidance on product manual development. These guidelines address the phases involved in designing, verifying, and producing a user manual. Therefore, it would be in the best interest of both users and producers for product manuals to be created based on this guide. Ideally, the expectation is that users would experience fewer problems, have a smaller chance of damaging devices because of incorrect use, and that producers would experience a decrease in trouble shooting complaints. However, users are generally not satisfied with the manuals that accompany products. Users have claimed that product manuals are too technical, too complicated, and too difficult to read (Gerbert, 1988; Mohammed & Swales, 1984; Wiese, Sauer, & Rüttinger, 2004). Related studies have provided general insights into the use of product manuals for younger adults. Thirty-seven percent of the participants reported that they would first try to use a new product without referring to external help (Gerbert, 1988). These people may not prefer to use instruction manuals and might try to understand the usage through their own experience. Moreover, about a third of the users read only parts of the manual (Gerbert, 1988). Another study found that 13% of participants said they did not use the manual, 46% used it only to get started, and 41% said they studied the instructional manual thoroughly (Mohammed & Wang-Chin Tsai is currently a doctoral student at National Yunlin University of Science and Technology. He has a bachelor’s degree in industrial design from Hua-Fan University and a master’s degree in industrial design from National Yunlin University of Science and Technology. His areas of interest are technology acceptance in older adults, instructional design, and designing for special populations. Dr. Wendy A. Rogers is Professor in the School of Psychology at Georgia Institute of Technology. She received her B.A. from the University of Massachusetts - Dartmouth, and her M.S. (1989) and Ph.D. (1991) from Georgia Institute of Technology. Prior to returning to Georgia Tech for her current position, she was a member of the faculty of the University of Memphis (19911994) and the University of Georgia (1994-1998). Her research interests include design for aging; human factors; cognitive aging; technology acceptance; agingin-place; human-robotic interaction; and skill acquisition and training. She is Co-Director of the Human Factors and Aging Laboratory (www.hfaging.org), which receives support from the National Institutes of Health (National Institute on Aging) as part of the Center for Research and Education on Aging and Technology Enhancement (CREATE www.create-center.org). She is an active member of the Aware Home Research Initiative, which has a primary goal of sustaining quality of life for an aging population (http://awarehome.imtc.gatech. edu). Dr. Rogers is a past president of APA Division 21 (Applied Experimental and Engineering Psychology) and of HFES. She is the Editor of the Journal of Experimental Psychology: Applied. Dr. Chang-Franw Lee is a Professor in the Department of Industrial Design, National Yunlin University of Science and Technology (NYUST), Taiwan. Professor Lee was previously Chairman of the Department of Industrial Design, NYUST (1999-2002), and the Director of the Graduate School of Design, NYUST (2002-2010). Currently, he is Dean of the College of Design, NYUST. He earned his B.S. degree in industrial design at National Cheng Kung University in 1982. He received his M.S. and Ph.D. degrees in industrial design and design science and planning at Chiba University, Chiba, Japan, in 1993 and 1996, respectively. His research interests include Ergonomic Design, User Interface Design, and Universal Design.

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Swales, 1984). A questionnaire on consumers' use of instructions reported that about 34% of the participants would read none of the instruction manual, 13% would read some of the information given, and 53% would read the complete manual (Wright, Creighton, & Threlfall, 1982). Some studies have also provided general information about older adults’ usage of and attitudes about a range of product manuals available to them in their everyday lives. Researchers reported the older adult user group found product manuals to be inaccessible, difficult to use, and did not take into consideration older adults’ changing capabilities (Cifter & Dong, 2010; Lust, Showers, & Celuch, 1992; Van Horen, Jansen, Maes, & Noordma, 2001). A study aimed at improving mobile phone instructional manuals for older adults mentioned a gap between the older adults’ needs and the intention of the manual developers (Bruder, Wandke, & Blessing, 2006). Another study focused on the mobile phone usability assessment pointed out that male older adults tried first to learn about operation of their phone features by themselves, and if they could not do the operation successfully, they referred to manuals. On the contrary, the ‘user manual’ was the least preferred learning method for female older users (Lee, 2007). Assuming that older adults do not have much experience with unfamiliar technology products, it is conceivable that they might want to read the manual to obtain an understanding of the concept and functions of the product and to learn to use it. Therefore, if we want to provide adequate product manuals to older adults, what are the aspects of product manuals we need to consider? Due to the age-related changes in motor, perceptual, and cognitive abilities, the manual requirements for older adults must be considered carefully (Fisk, Rogers, Charness, Czaja, & Sharit, 2009). Moreover, there may be specific aspects that need to be clarified and considered when designing a product manual for older adults. For example, one of the primary sources of decreased visual performance in older adults is related to the loss of acuity (Schieber, 2005). Therefore, increasing the manual text size and contrast would be very helpful for older adults. In addition, the text face and arrangement of relevant graphic details are important considerations in the design of paper-based manuals (Hartley, 1994). Moreover, with respect to age-related declines in cognitive processes that might adversely influence older adults’ ability to process instructional content, the manual needs to be context-specific, so that older adults see only the information that is relevant to the task they are currently performing (Bouma, 2001; Van Hees, 1996; Wright, 2000). Due to working memory decline with age, it is more difficult for older adults to remember a sequence of instructions they have just read (Hickman, Rogers, & Fisk, 2007). An optimal manual would minimize working memory demands, perhaps by providing fewer steps of instruction and including relevant pictures or other recognition cues to help older adults map between their task context and instructional manual (Morrell & Echt, 1997; Van Horen et al., 2001). Furthermore, the manual for older adults needs to minimize particular jargon or terminology

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W. -C. Tsai, W. A. Rogers and C. -F. Lee

and provide explanations that can be understood immediately and in a separate glossary, so that older adults can track questions and refresh their memory (Loorbach, Karreman, & Steehouder, 2007). These studies paint a general picture of the current product manual situation in the aging society, and they urge manual designers and technical writers to think more about optimizing the design of a good manual for older adults.

Overview of Present Study An optimal product manual would provide older adults with the supportive information they need at the right time and at the right quality level. Understanding and designing the product manual is as important as the design of the product itself (Bouma, 2001). Previous studies have addressed general issues related to usage of product manuals with younger adult users; however, older adults might have different competencies, qualifications and experiences; perform different product functions; and have different information needs. Manual usage or the attitudes of older adults regarding manuals for a variety of products used in their daily life is unknown. In the present report we provide an analysis of product manual usage of and attitudes for 70 older adults in Taiwan. We employed an interview and questionnaire methodology because these approaches afford a relatively open and exploratory method for collecting qualitative and quantitative data while providing insight into the details of actual manual usage and perceived motivations, patterns and strategies of product manuals in different domains for older adults. These data provide insights into whether, when, and how older adults are likely to use instruction manuals.

Methods Subjects Seventy Taiwanese community-dwelling older adults participated in this study (age range 65-75; M = 70.21, SD = 4.53). We recruited participants from the adult community college in different counties to have diversity in terms of variables such as gender, education, and occupational status. Posters and leaflets were given to community groups, and advertisements were placed on each local bulletin board. Participants were screened first for suitability through discussion, either by telephone or in person. Suitable participants were then visited at their home to orient recruits to the study and to collect informed written consent. The recruited participants had high interest in our research and were willing to share their experience related to the interview questions. The participants had a varied educational background: 72% had a high school education or lower, 21% had completed college, and 7% had a master degree or higher. The gender distribution was 58% female and 42% male. Most participants reported living with relatives (79%) or in independent senior housing (5%); the remaining 16% reported living in a house, apartment, or condominium, in public housing, or in assisted living. As expected for this age group, the majority of participants were

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retired (60%). The remaining participants reported occupational status as part-time (17%), full-time (3%), homemaker (9%), or volunteer (7%). Four percent of the participants did not specify their occupational status. Most participants (85%) rated their general health to be good or excellent (1 = poor and 5 = excellent, M = 3.17, SD = .83).

Materials Questionnaire The questionnaire contained three sections: a demographics section, a product and manual assessment section, and a product and manual usage frequency section. The demographics portion of the questionnaire inquired about the participant’s age, gender, educational level, current health status, occupational status and current living situation. Based on a previous survey (Mitzner et al., 2010), a list of 12 products was compiled as the questionnaire sample products. These 12 products included a microwave oven, washing machine, mobile phone, computer, personal digital assistant, fax machine, blood pressure monitor, MP3 player, stereo, DVD VCR player, digital camera and in-car navigation device. They could be classified into the following domains: home, communication, work, health, entertainment and travel/ transportation, to cover the fundamental technology products in older adults’ everyday lives. In the second section, the manual situation assessment sheet allowed participants to report whether or not they currently possessed any of the sample product manuals. Participants reported yes or no to the question “Do you have this manual?” In the final section of the questionnaire, participants reported the frequency with which they used each of the 12 products and associated manuals in the past year, using a 5-point Likert scale with 1 as “never” and 5 as “always”.

Structured Interview Participants were given a script and asked (1) “How much will you read the product manual the first time you encounter a new product?” It was assumed that the product was from a new manufacturer or had a new brand name. Then we continued to ask (2) “From your past experience, why do you read the manual?” The questionnaire and interview questions were pilot tested with five older adults to ensure that the questions were clear and prompted discussion relevant to the issues of immediate interest. The materials are available from the first author of this paper.

Procedure Between May and June, 2010, an in-person questionnaire and structured interview of 70 older residents of the Taipei and Taichung area in Taiwan was conducted. Participants were sent a gift for participating in this research. The in-person questionnaire was designed to facilitate discussion about the range of older adults’ usage of 12 products and their manuals.

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Participants completed the questionnaire and were given a 20-minute break. Next, structured interviews were conducted with each participant regarding their perspectives about using product manuals in the different contexts in question. Interviews were audio recorded for later transcription.

Data Coding and Analysis Questionnaire Participants chose one of five frequency options when answering usage questions for each of the 12 products and manuals. The response options were: 1 – “Never”; 2 – “Once in a while”; 3 – “Some of the time”; 4 – “Most of the time”; and 5 –“Always”. To better identify frequency trends, the data were recoded into three frequency responses. “Never” responses were recoded as “Never Used”; “Once in a while” and “Some of the time” were recoded as “Occasionally Used”; and “Most of the time” and “Always” were recoded as “Frequently Used”. Chi-square test of homogeneity were conducted to determine if there were significant differences between products and manual usage frequencies (none of the expected values should be less than 1, and no more than 20% of the expected values may be less than 5). Analyses of residuals were conducted to confirm which product accounted for the significant effects (i.e., when the absolute value of the residual (R) was greater than 2.00, it was considered to have a significant effect on the chi-square test statistic).

Structured Interview The audio recordings were professionally transcribed verbatim with personal information omitted. A segment was defined as a unique idea in a single, uninterrupted speaker turn, related to manual usage. The segmenting process was calibrated by conducting an initial round of independent segmenting of one randomly selected transcript

followed by discussion of discrepancies between coders. A second round of independent segmenting on a different transcript yielded reliability estimates ranging from r = 0.72 ~0.83. Three independent coders applied the coding scheme to all segments, and each segment was coded on all dimensions. Interviews were coded in their original language and then translated for reporting in the research. Coders were calibrated by conducting three rounds of independent coding on the same three randomly selected transcripts followed by discussion of discrepancies and revisions to the coding definitions. Coding reliability was calculated for a sample of the transcripts and ranged from 80-85 percent agreement. The complete coding scheme is available from the first author.

Results Number of Participants Who Had the Product Manual To understand if the older adults held onto manuals for different products, we asked those who had experience using the product to indicate their current manual situation as, “Do you have the manual?” Figure 1 indicates that more than 50% of older adults had kept their product manual for each product. Items such as computer and mobile phone were associated with the highest numbers of manuals retained. This finding may reflect the fact that older adults keep the manual and use the manual with specific complex products. Older adults who did not retain the manual reported that they got the product from their family or purchased second hand, so there was no complete instructional manual for them to use. They needed to search for the instruction manual at the brand’s support website or buy the replacement in store at an exorbitant price. The instruction material may be hard to find or get for free, which could cause older adults to be unable to use the product properly.

Figure 1. Number of participants who still owned their product manual for different products. The total numbers do not equal 70 because these data only represent participants with experience using the product.

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Product and Manual Usage Frequency Reported Table 1 shows the distribution of responses to the question, “How frequently did you use the product in the past year?” For participants who had experience using these 12 products, over 40% of the older adults had more frequently used a microwave oven, mobile phone, fax machine, mp3 player, music stereo and digital camera. Especially, mobile phone was the product that every older adult had used in the past year. This pattern shows that mobile phones have become an essential part of most older adults’ lives. Fewer participants reported using personal digital assistants and in-car navigation devices. Over 50% of the older adults reportedly using the following products occasionally: washing machine, computer, blood pressure monitor and DVD VCR player.

Participants also reported how frequently they used product manuals. The participants who used the product and manual were counted as the percentage of manual usage rate. In each product, over 60% of the older adults reported using the manual frequently or occasionally, whereas less than 40% of the older adults reported never used the manual. Some common domestic products such as the washing machine and music stereo had reportedly much less manual usage than the other products. Moreover, the digital camera and mobile phone reached the highest frequency manual usage rate. A chi-square test of independence was performed to examine the relation between two categorical variables on product and manual usage observed frequency. Significant differences (p < .05) emerged between the product and manual usage frequency for the mobile phone (x2 = 8.9, df = 2, p < .05),

Table 1. The distribution of 12 products and manual usage frequency in the past year (N=70).

Domain

Product

(1) Microwave Home (2) Washing machine

Communication

(3) Mobile phone*

(4) Computer*

Work

(5) Personal digital assistant

(6) Fax machine

Health

(7) Blood pressure monitor*

(8) MP3 player*

Entertainment

(9) Music stereo

(10) DVD VCR*

(11) Digital camera** Travel and Transportation (12) In-car navigation device

Product usage frequency

Manual usage frequency Never

Occasional

N

%

N

Frequent %

N

%

Never

13

18.6

0

0

0

0

Occasional

9

12.9

12

17.1

5

7.1

Frequent

7

10.0

17

24.3

7

10.0

Never

8

11.4

0

0

0

0

Occasional

18

25.7

12

17.1

6

8.6

Frequent

11

15.7

9

12.9

6

8.6

Never

0

0

0

0

0

0

Occasional

5

7.1

10

14.3

6

8.6

Frequent

18

25.7

7

10.0

24

34.3

Never

6

8.6

0

0

0

0

Occasional

8

11.4

25

35.7

6

8.6

Frequent

7

10.0

8

11.4

10

14.3

Never

34

48.6

0

0

0

0

Occasional

5

7.1

7

10.0

6

8.6

Frequent

6

8.6

6

8.6

6

8.6

Never

9

12.9

0

0

0

0

Occasional

11

15.7

11

15.7

5

7.1

Frequent

8

11.4

17

24.3

9

12.9

Never

6

8.6

0

0

0

0

Occasional

11

15.7

21

30.0

6

8.6

Frequent

13

18.6

6

8.6

7

10.0

Never

7

10.0

0

0

0

0

Occasional

10

14.3

18

25.7

7

10.0

Frequent

17

24.3

5

7.1

6

8.6

Never

2

2.9

0

0

0

0

Occasional

7

10.0

10

14.3

8

11.4

Frequent

21

30.0

12

17.1

10

14.3

Never

5

7.1

0

0

0

0

Occasional

8

11.4

23

32.9

9

12.9

Frequent

12

17.1

7

10.0

6

8.6

Never

5

7.1

0

0

0

0

Occasional

9

12.9

14

20.0

8

11.4 31.4

Frequent

5

7.1

7

10.0

22

Never

24

34.3

0

0

0

0

Occasional

6

8.6

13

18.6

5

7.1

Frequent

8

11.4

7

10.0

7

10.0

Note: * p < .05, ** p < .01, represents significant overall difference between product and manual usage frequency.

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Older Adults’ Motivations, Patterns, and Improvised Strategies of Using Product Manuals

computer (x2 = 7.1, df = 2, p < .05), blood pressure monitor (x2 = 6.55, df = 2, p < .05), Mp3 player (x2 = 8.56, df = 2, p < .05) , DVD VCR (x2 = 6.83, df = 2, p < .05) and digital camera (x2 = 9.89, df = 2, p < .01). In Figure 2, panels a and b illustrate the significant association between product and manual usage tendencies for six products. The manual usage tendencies varied as a function of how frequently the older adults used the product. The data depict a pattern suggesting that when a product is used occasionally, the manual is used occasionally (Figure 2a). Similarly, when a product is used frequently, the manual is used frequently (Figure 2b). Interestingly, there were some older adults who used products frequently (e.g. mobile phone, mp3 player) but who tended to not use product manuals. Their more frequent product experience could be a factor affecting their manual usage attitude. Also, some older adults were more likely to frequently read the manual accompanying those products that they did not use very often (e.g. DVD-VCR and digital camera). The data point to clear boundaries if the older adults had motivation to use the products.

Manual Usage for First Time Interaction with New Products Participants indicated how much of a manual for a new product they would read. A total of 80 segments from 63 older adults were coded that indicated how much older adults would read the manual. After the segments were coded, significant differences were identified among the frequencies in three categories (x2 = 28.5, df = 2, p < .001): none, some, and all (see Table 2 for numbers, percentages and example quotes). Over 50% of the segments were related to reading all parts of the manual to become acquainted with the new product. For example, when older adults said that they would read the entire manual with a new product, that product tended to be less familiar to them, and they considered it better to read the manual thoroughly. Over 30% of the segments revealed that older adults liked to read some of the manual for a basic review or references. Less than 10% of the segments were about trying to use the new product without reading the manual. These older

Table 2. Numbers and percentage of segments on using manuals with new products. Coding Scheme Categories

N

%

Example quoted and translated from Taiwanese

None

7

8.0

• The manual provides very little in the way of instruction and not worthy to read. • It is better to ask an expert or experience try and error instead of reading the manual.

Some

27

33.7

• I will read parts of the manual. • Choosing the basic part to read.

57.5

• I have the desire to read the entire manual under this situation. • I think it is better to read the whole manual if there maybe something important I need to know.

All

46

adults claimed that the manual provided very little in the way of instruction and were not worthy of reading even if the product was new to them. Instead, they would choose trial and error, asking an expert, or depending on past experience with beginning usage.

Purpose for Reading the Manuals Participants reported their responses to the question, “From your past experience, why do you read a manual?” A total of 92 segments from 52 older adults were coded as purposes/reasons. Significant differences among the frequencies (x2 = 14.6, df = 5, p < .05) in six categories were identified (see Table 3 for percentages and example quotes). Older adults provided many reasons for using product manuals. Trying to gain a better understanding of the product and supporting forgotten information were the two most frequently mentioned reasons for using the manual. Older adults were also afraid of making mistakes or misusing the product, so they depended on the manual in case of some unexpected situation. In

Figure 2. Six significant products and manual usage tendency. Figure 2a presents data on products used occasionally; Figure 2b presents data on products used frequently.

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particular, older adults reported having a manual so they would not have to bother their family members for assistance. Other ideas such as exchanging opinions with peer learners or gaining self-confidence were also mentioned by older adults. These data provide insight into the diverse reasons for which older adults use product manuals.

question on Internet forums. They need to hope and wait for someone to reply and they do not know how long it will take; there is no guarantee that will get any answer, much less the correct answer to their question. Another idea heard from the older adults was that they hoped companies would publish available manuals via wiki pages, where they could modify the manual from their perspective. Lastly, some older adults expressed that they would ask a family member to explain the whole process of interacting with a technology and record the interaction in audio or video files. These strategies reveal that many product manuals do not meet older adults’ needs. The older adults reported strategies that were focused on making the explanations in the manual more understandable to them.

Personal Strategy for Using the Manual During the interviewed session, we also found there were different strategies that older adults used for the manual. This aspect was not included in the original interview script; the older adults spontaneously described their personal strategies while talking about the manual usage experience. This is an important extra finding because it reflects another dimension of older adults’ manual usage.

Discussion This study systematically investigated older adults’ usage of and attitudes towards product manuals. Rich and informative data were gathered through a combination of questionnaires and structured interview questions. A more detailed depiction of older adults’ attitudes about product manuals was obtained as compared to previous research studies (e.g., Lust et al.,1992; Van Horen et al., 2001; Wright et al., 1982).

The most popular strategy for older adults (20%) was to create an extra paper sheet as a quick reference cards (Figure 3). This can be useful to remind older adults how to complete a task without having to refer to the main body of the original manual, which was often many pages long. For 12% of the older adults, they modified the manual to make it easier to use, rewriting or marking the manual content in blank areas (Figure 4), because they indicated that the manuals did not present information in the most appropriate format. Also, they diagramed the layout of the product and placed it on the cover of the package box for clear and immediate assistance (Figure 5). Older adults also reported using colorful small tags among different pages for the references. Some older adults reported that they would tear out selected sheets from the manual to place into a new binder. Older adults with computer experience said they would use an online forum (e.g., Yahoo! Knowledge or Google Answer) to ask specific questions or get tips that would not be found in the manual. However, questions on a forum are very specific to a certain person’s problem, and do not relate to the general understanding, set up, or use of the product. Older adults must know quite a lot to be able to ask the right

Past research has mentioned that users generally did not like to use manuals because they thought manuals were too difficult to read (Gerbert, 1988; Wiese et al., 2004). However, the situation for older adults might be different. We found that older adults retained their manuals to get needed information for a better understanding of the product. The older adults who had retained their product manual pointed out that paper-based manual is the most common form currently provided from different products. The paper-based manual could be preserved and stored conveniently; it was also available over the whole usage period. It is notable that more and more companies tend to create digital and interactive manuals as a cost-saving measure. For example, Hyundai Corporation announced that with its new sedan, the instruction manual will come loaded on iPads. The

Table 3. Numbers and percentage of segments on the purpose of using manual. Coding Scheme Categories

N

%

Example quoted and translated from Taiwanese

Better derstanding with the products

25

27.2

• The main purpose to read the manual is to obtain product knowledge. • When I correctly use it, the images are great! I read the manual to find out all the settings.

Recall forgotten functions or tasks

21

22.8

• My purpose is to review the forgotten task, especially for the sequenced function. • Immediate recall from the manual and quickly answered my question. • Reduced my memory load of forgotten functions.

Preventing making mistake

16

17.4

• Better safe than sorry. I am afraid of causing any mistake or problem which results in big trouble. • Many news reports reported the tragedies of misusing a product because of not reading manuals.

Not to bother family members

13

14.1

• I feel frustrated when my relatives impatiently teach me. • My personality is independent, so I don’t want to bother other people.

To exchange opinions with peer learners or friends

9

9.8

• I am a manual reader - and have a friend who isn’t. Whenever she can’t get something to work, she calls me over and hands me the manual!

Strengthen confidences

8

8.7

• I feel more confident of following the manual instruction to use my products.

• I can share what I learned with my friends and teach them how to use the cell phone.

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original idea was that the iPads could be used to give information in a very easy and user-friendly way, and include videos and pictorial representation. The digital material could have the potential benefit of less cost than the spending of printing and distributing paper copies. Moreover, it can be searched to find any word or phrase. It can also be delivered with the Internet or barcode technique, and it is not susceptible to getting torn, dirty, wrinkled, or lost.

Figure 3. Self-made quick reference cards. The three cards show the sequence of tasks, jargon and icon descriptions of a digital camera, which served as a memory aid for older adults.

Figure 4. Self mark session (Older adults modified part of the sentences from a Chinese version CD-player manual).

Figure 5. Older adults re-diagramed the layout and rewrote the button function of a digital camera.

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Despite these advantages, in our research older adults reported that manuals created in digital forms (e.g., electronic files, multimedia, interactive CD-Rom) would cause potential problems for manual use and preservation. Older adults may lack basic computer or technology domain knowledge, which would keep them from using these kinds of digital materials. A small number of older adults said that they would accept computer materials instead of a traditional textbook if given the option; however, the majority of the respondents reported that they preferred paper-based manuals to digital materials. This finding is similar to other studies that reported older adults’ attitudes and preference for the comparison of paper and digital materials based on the reading habits and performance (Champley, Scherz, Apel, & Burda, 2008; Poon & Meyer, 1997). It is important to get the balance between conventional and novel manuals on their searchability, accessibility, ease of update, ease of preservation, cost, and at the same time, to consider the limitations of older adults. Integrating these ideas will improve the use of current manual, and stimulate ideas for future manual design. The results indicate that older adults who more frequently use a product would be more likely to use the manual; those who occasionally use the product would be also expected to refer to the manual as well. The pattern was observed for the complex digital products (mobile phone and digital camera) which comprised the different factors that may contribute concurrently to a product’s complexity (i.e., menu structure, number and modes of keys, clarity of functions’ naming and their relative location in the menu). It can be assumed that the product complexity would affect older adults’ technology learning preferences or motivation on the frequencies of manual usage (Chaffin & Harlow, 2005; Mitzner et al., 2008). Therefore, future research in this area should measure product complexity level as it relates to manual usage and preferences. It is notable that some older adults reported never using product manuals for particular domestic appliances. Older adults with high prior experience may think that they do not need further information, so they do not refer to the manual. As Wright (2000) pointed out, for these participants, prior experience with a product must be considered; the needed information from a manual could be different than when a user has little or no experience with a product (Lee, Czaja, & Sharit, 2009; Rupietta, 1990). The majority of older adults, however, reportedly would read all or a portion of the manual at first. Thus, the clarity and readability of the product manual information is very important. Older adults may have different information needs of the manual when facing a new or unfamiliar product. We assumed that the manual information which older adults wish to receive could be various.

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Some older adults may wish to obtain an overall picture of the product, whereas others are only interested in a specific feature. Under this circumstance, what type of information needs to be explained in detail (e.g., terminology, interface elements and task description)? And what kind of information can help older adults construct a basic concept or framework of the product? Indeed, effective information delivery depends on the older adults’ profile, which varies with older adults’ product experiences and type of information (Ummelen, 1997). More or less information in the manual content could cause difficulties for older adults, attributed to the information-processing differences (Birren & Schaie, 2005). These results were not consistent with the traditional myth that users do not read manuals. Product manual designers or technical writers may assume that users never read all or part of the manual that is included with a product, and therefore they just follow their own concept or update an old manual version. This approach causes a knowledge gap between the target user and manual designer. Many product manuals are written by a manual designer or technical writer who has neither the time nor the inclination to determine user needs. Although many products are well designed for ease of use, it is a pity that many manuals do not follow this same path. Manuals should be user friendly for ease of use in the same way that products should be designed for ease of use. Even if there are some limitations for the current manual design environment, it is still important to consider and elevate the instruction manual to become an integral part of the user’s intention in the initial design phrase. A thorough understanding of older adults’ usage and personal strategies toward product manuals is essential for maximizing the potential assistance that a good product manual can offer. Carefully designed manuals can facilitate older adults’ independence and increase their self-confidence in using products in everyday life. Indeed, from our research, older adults did express positive attitudes about the purpose of using product manuals. Perhaps not surprisingly, older adults might face different challenges and difficulties when the product is unfamiliar to them (Lust et al., 1992; Van Hees, 1996). One of the possible solutions is relying on the manual to solve the problems or preventing mistakes (Lin & Hsieh, 2006). Several reasons for reading the manual mentioned in our investigation were consistent with the findings of Bruder et al. (2006) and the fundamental theory in a previous study (Lee, Smith-Jackson, Nussbaum, Tomioka, & Bhatkhande, 2004). The results indicate that besides gaining a better understanding of the products, the manuals provide a psychological factor in that being able to recall forgotten functions and prevent mistakes, so as not to bother family members, would strengthen confidence. Obviously, older adults want to maintain dignity and independence in their later life. They believe if a well-organized manual were provided, they would have more flexibility when encountering problems. The findings also urge designers to pay more attention to the issues surrounding why older adults want to use a manual. Older adults used personal strategies to compensate for the insufficient parts of the manual. These strategies included quick reference cards, shorthand formatting, diagramming, tagging, and

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restructuring the key pages. Such methods contribute concrete recommendations for manual designers and technical writers. Moreover, the improvised strategies could be transfered into guidelines when creating a manual, such as using lots of white space, using color-coding to aid navigation, providing durable covers and pages, and considering whether the user needs to hold the manual and work at the same time. For future product manual development, researchers could also transfer parts of the concept and integrate a comprehensive evaluation to verify possible applications to see what works and what does not. Furthermore, including older adults into the product manual design process can also help to define basic functions and make the explanations in the manuals more understandable.These improvements would produce more and broad benefits than those just for older adults. When product manuals are designed inclusively, the products can be usable by a broader range of users, thus resulting in better performance. A lot of practical product manual projects have quite successfully incorporated special considerations for older people into their design work. For example, the Helen Hamlyn Center and Samsung Design Europe developed a tip sheet for designing the senior-friendly manual “Out of the Box,” which was specifically based on research on aging, cognition, and technology use. This valuable resource is available online http://www.claragaggero. com/. Furthermore, there are more technology supportive materials available for teaching older adults how to use novel technology products and services (Hinton, 2009; Muir, 2010; Peterka, 2009). Those technology supportive materials exist to help older adults discover and master technology products, computing and the Internet, so they can take advantage of all it has to offer. These supportive materials try to cover fundamental knowledge about technology in a way that makes them easy for the beginner or technophobic, but also introduce fun new technology applications for older adults to explore. Finally, no matter how much we investigate the attitudes and factors that can make a product manual easier to use for older adults, it will remain the practical case that real-testing and involving older adults in the manual development is essential. If the manufacturers and suppliers could consider in-depth older adults’ usage and attitudes with product manuals, it would be beneficial for them to offer manual support that is easily accessible to diminish misunderstanding.

Conclusions Combining the data in our research and in the previous literature (Bouma, 2001; Morrell & Echt, 1997), it is clear that older adults do care about and use product manuals. An increased awareness of, usage of, and attitudes toward product manuals has provided an accommodative foundation for product manual design concepts. Product manuals are aimed at end users and contain instructions on how to use the product. For older adults, a good product manual could help them get useful information and the basic concepts about the product. Well-designed manuals can provide assistance with activities of technology learning, and also have the potential to improve older adults’ quality of

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life by facilitating more independence and confidence. Across a broad range of products in our research, older adults used product manuals and presented different attitudes and motivations based on their manual usage experience. Current usage patterns and improvised strategies of product manual usage gleaned from older adults can provide insight that could make manuals more likely to be user-friendly and therefore help in the greater adoption of products. Moreover, product manual developers can benefit from our findings by gaining a better understanding of older adults’ needs and preferences to improve the quality of product manuals. Generally, such improvements will likely benefit the broader population, as well as specifically benefit older adults.

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Applied Ergonomics 38 (2007) 667–674 www.elsevier.com/locate/apergo

Mapping of user interfaces on electronic appliances Chang-Franw Lee, Wang-Chin Tsai Graduate School of Design, National Yunlin University of Science and Technology, 123, University Road, Section 3, Touliu, Yunlin, 64002, Taiwan Received 17 February 2004; accepted 1 May 2005

Abstract The purpose of this study was to investigate mapping of user interfaces on consumer electronic appliances. A digital clock with five different interface modes was chosen for the experiment. Forty elderly subjects (above 65 years) and 40 middle-aged subjects (45–64 years) participated in the study. Every subject had to complete three different tasks, namely time setting, alarm time setting and date setting. The researchers investigated what problems were encountered when performing these tasks and collected data such as operational time, the number of total inputs, subjective estimation and interview information. The findings of this study indicated that the interface modes had significant effects on operational time, the number of total inputs and subjective estimation. Finally, the study confirms that when the spatial relationship between buttons and display contents are clearly indicated, the operation is easier to complete. r 2006 Elsevier Ltd. All rights reserved. Keywords: The elderly; User interface; Mapping; Electronic appliance; Digital clock

1. Introduction Most people have at least one consumer electronic appliance, e.g. a digital watch, a digital clock, a digital camera, a compact disk player or a cell phone for use in their daily life. All these digital products have a digital display and buttons. When using digital products, the user inputs information by means of buttons and receives feedback from a digital display. The product and the user interact consecutively until the operational goal is achieved. However, most digital products have many functions and their operation is often complex. Most users are not able to use a function without a degree of trial-anderror learning or referring to a related manual. Furthermore, some users (novices or elderly people) often stop using certain functions after a few failed attempts. Norman (1988) pointed out that interactive problems occur due to poor interface design and not user inability. A good user interface design is important for consumer electronic appliances. Corresponding author. Tel.: +886 5 5342601x6128; fax: +886 5 5312080. E-mail address: leecf@yuntech.edu.tw (C.-F. Lee).

0003-6870/$ - see front matter r 2006 Elsevier Ltd. All rights reserved. doi:10.1016/j.apergo.2005.05.015

So far, many user interface guidelines (Shneiderman, 1992; Yamaoka et al., 2000; Martel and Mavrommati, 2001; Baumann and Thomas, 2001) have been developed. The designer, however, cannot effectively use them because those guidelines are not developed according to applicable standards (Petrie, 2001). As a result, effective user interface design is only possible through testing and study (Baumann and Thomas, 2001). There are, furthermore, many functions on a consumer electronic product but users only use some of them as they do not always fully understand their use. The study of user interface operations is now one of the most important design considerations when designing an electronic product. Due to the progress made in microprocessor control, an ever-increasing number of electronic appliances are used in our daily lives. Most consumer electronic appliances have two user interfaces, namely a solid user interface and a graphic user interface (Han et al., 2001). Certain interactive problems occur due to poor mapping between the solid user interface and the graphic user interface components (Lee and Liao, 2003). For example, when using a digital watch or digital clock, there are often interactive problems as users cannot understand the mapping between buttons and display contents. Clear mapping between buttons and display contents of electronic appliances is therefore essential for an effective user interface.


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Interface mapping has been discussed in many reports (Ray and Ray, 1979; Norman, 1988; Sanders and McCormick, 1993; Bridger, 1995). Natural mappings are the basis of ‘‘response compatibility’’ within the fields of ergonomics and human factors. As mapping problems are abundant, ‘‘mapping’’ is limited to the spatial relationship between buttons and display contents of electronic appliances in this study. If designers establish natural mappings of the spatial relationship between buttons and the display contents for the user interface design of an electronic appliance, the user can use it easily and effectively. Mapping principles are simple (Norman, 1988) but cannot be applied easily when designing electronic appliances. Since many functions are included in a consumer electronic appliance, a designer cannot easily create a natural mapping for user interface with limited space. Another issue for consideration is that many advanced/ advancing nations have aged societies and that elderly people have become a substantial consumer group in the electronic appliance market. Consumer products are seldom designed with elderly people in mind (Czaja, 1997; Howell, 1997; Freudenthal, 1999). The elderly have many user interface problems when operating appliances such as digital watches or digital clocks with simple menus (Lee and Liao, 2003) due to a progressive decline in their physiological and psychological abilities (Hawthorn, 2000; Rama et al., 2001). It is very important that designers understand their physical capabilities and needs before designing a product (Rogers and Mynatt, 2003; Fisk et al., 2004). Furthermore, elderly people probably do not have an appropriate schema or control mode (Norman, 1981; Reason, 1991; Fisk et al., 2004) to operate the electronic products because they lack experience with such information technology (Rama et al., 2001). To allow elderly people to effectively operate electronic appliances, the required physiological and psychological abilities for operating such electronic appliances must be diminished (Fisk et al., 2004). When natural mapping is designed for electrical and electronic products, users (the elderly in particular) will have many advantages, namely (1) learning is faster, (2) reaction time is faster, (3) fewer errors are made and (4) user satisfaction is higher (Sanders and McCormick, 1993). When using natural mapping, less mental work is required for operations and is thus more suited to the elderly. As mentioned above, the user interface with natural mapping will benefit users, especially the elderly, but it is a difficult task for designers. In order for natural mappings to be applied effectively, the purpose of this study was to investigate user interface mapping issues for consumer electronic appliances.

2. Methods 2.1. Experimental design This study investigated the effects of three operational factors, namely subject group, interface mode and interface

experience (2, 5 and 3, respectively) on operational time, the number of total inputs and subjective estimation. 2.2. Subjects Forty elderly subjects (aged 62–77, M ¼ 68.8, SD ¼ 3.8) and 40 middle-aged subjects (aged 42–56, M ¼ 51.2, SD ¼ 4.1) participated in this study. The protocol was explained and informed consent was obtained from each subject. 2.3. Interface modes According to a previous study (Lee and Liao, 2003) using digital products, many of the interactive problems encountered were due to poor mapping between buttons and their corresponding display contents, resulting in users not being able to understand their relationship. As a digital clock (equipped with buttons and a small display) represents a typical electronic product, it was chosen to study mapping problems in this study. The digital clock was designed with five different interface modes, namely type A, type B, type C, type D and type E (Fig. 1). The five interface modes have three identical functions, namely date, time and alarm. Except for type D, the display contents are divided into three groups according to the function and in accordance with the principles of Gestalt psychology (e.g. proximity, closure). Furthermore, the user interfaces of type A, type B and type C were designed with different mapping between buttons and display contents, and the three interface modes were united and named as type M in this study. The type D and type E user interfaces were the study’s divergent interfaces. Except for type E, the subjects used the buttons to input information and received feedback by means of the digital display. The display contents of type E were designed as a touch screen and the user could input information by touching the display contents directly. Further details are described as follows: (1) Type A has a spatial correspondence of a top-bottom mapping. Operational sequences were (a) to touch the ‘‘Time’’ button (if time adjustment was assigned as a task) and the display contents of time then flashed; (b) to touch the ‘‘Time’’ button again and the hour digits flashed as it was selected as an adjustment; (c) to touch the ‘‘+’’ or ‘‘’’ button to increase/decrease the hour digits to the assigned value; (d) to touch the ‘‘Time’’ button and the minute digits flashed as the adjustment was shifted from hour to minutes; (e) to adjust the digits of the minutes with the ‘‘+’’ or ‘‘’’ button to the assigned value; (f) to touch the ‘‘Time’’ button and complete the time adjustment; (g) the date and alarm adjustments were the same as the (a)–(f) sequences above. (2) Type B has a spatial correspondence of a vertical order of contents and a horizontal order of buttons. The operational sequences of type B were the same as those of type A.


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Fig. 1. The interface modes of the digital clock used in this study.

(3) Type C has a horizontal mapping of spatial proximity. The operational sequences of type C were the same as those of type A. (4) Type D has the display contents in a hierarchical structure. Operational sequences were (a) to touch the ‘‘Mode’’ button continuously until the contents of the assigned task were shown; (b) to touch the ‘‘Setting’’ button to enter the setting mode and the hour digits flashed (if time adjustment was assigned as a task) as it was selected as an adjustment; (c) to touch the ‘‘+’’ or ‘‘’’ button to increase/decrease the hour digits to the assigned value; (d) to touch the ‘‘Setting’’ button and the minute digits flashed as the adjustment was shifted from hour to minutes; (e) to adjust the minute digits with the ‘‘+’’ or ‘‘’’ button to the assigned value; (f) to touch the ‘‘Setting’’ button and complete the time adjustment; (g) the date and alarm adjustments were the same as those of type D. (5) Type E has the display contents in a dialogue mode with a touch screen. Operational sequences were (a) to touch any digit which needed to be adjusted and the screen contents were changed as in type E-1 in Fig. 1; (b) to touch the ‘‘+’’ or ‘‘’’ button to increase/ decrease the digits to the assigned value; (c) to touch the blank area of the screen, which then reverted to the original format (as in type E in Fig. 1); (d) the (a)–(c) sequences were conducted until the assigned task was completed in type E.

2.4. Interface experiences In order to check the subjects’ electrical and electronic appliance usage experience, 16 pictures of electrical and electronic appliances (i.e. microwave oven, digital clock, washing machine, mobile phone, digital camera, etc.) were shown to the subjects and the subject selected those with which they had some operational experience. The number of appliances selected ranged from 4 to 14 in the study, and the average value was 9.2 (SD ¼ 2.6). The average value 750 percentage of standard deviation was used as the dividing points for defining experience levels (Wu, 2003). Low, medium and high experience levels were established as 4–7, 8–10 and 11–14, respectively. 2.5. Task and procedure Eighty subjects were randomly divided into three groups—G1, G2 and G3. All subjects were required to operate the interfaces of type D and type E. The interfaces of type A, type B and type C are quite similar. In order to avoid the accumulation of operational experience, the group G1, G2 and G3 subjects operated the interfaces of type A, type B and type C, respectively. As a result, each subject only operated three interface modes in the study. Table 1 shows the arrangement, namely subject groups, operational order of interface modes and the number of subjects. Each subject had to complete three tasks, namely


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Table 1 Arrangements: subject groups, operational order of interface modes and the number of the subjects Subject groups

Operational order of interface modes

Elderly subjects (persons)

Middle-aged subjects (persons)

G1

Type A, Type D, Type E Type D, Type A, Type E

6 6

6 6

G2

Type B, Type D, Type E Type D, Type B, Type E

7 7

7 6

G3

Type C, Type D, Type E Type D, Type C, Type E

7 7

8 7

time setting, alarm time setting and date setting for the chosen interface mode. For each task, the number (time setting ¼ 14 times, alarm time setting ¼ 14 times, date setting ¼ 16 times) of each operation was the same for all five of the interface modes. For each operation interface mode, three tasks needed to be conducted in succession and the total operational time and the number of total inputs, including errors, were recorded. The researchers furthermore investigated what problems were encountered when operating the interfaces and collected other data by means of questionnaires and interviews. The questionnaire consists of six questions (Table 5) regarding the subjects’ responses. After finishing the three tasks for each interface mode, the subjects answered questionnaires and were interviewed on how their errors occurred. 2.6. Apparatus All the interfaces were simulated on an LCD notebook (Clevo-3220) with a capacitive touch screen (Ingenious Technology Co., One Touch). In order to avoid the influences of visual acuity, a larger font size (height 47 mm) was used and each subject was able to see the experimental contents (including characters and icons) clearly. 2.7. Statistical analysis The multivariate analysis of variance (MANOVA) was used to determine whether significant response changes were due to interface mode factors, subject groups and/or experience levels. Two MANOVAs were conducted in this research. The first MANOVA was between-subjects factors that analyzed data when the subjects operated the interfaces of type A, type B and type C, while the second MANOVA was within-subjects factors that analyzed data when the subjects operated the interfaces of type D, type E and type M. As stated earlier, the interface modes of type A, type B and type C were united and named as type M. The results of the first MANOVA could discuss whether spatial mapping affects operational effects between type A, type B and type C interface modes. It is also necessary for this study to discuss operational effects among different

interface design types (such as type D, type E and type M) from the results of the second MANOVA. Furthermore, their significant differences were analyzed utilizing the Scheffe method, i.e. post hoc multiple comparisons. Significance was accepted at the level of po0.05. In order to simplify the research finding detailed in this paper, the results of two MANOVAs (including the main effects of variables and their significant interactions) and their post hoc multiple comparisons were integrated and are shown in Tables 2–5 in this study. The statistical test, F-value, degrees of freedom and the corresponding probability value are shown in the text. The statistical analysis was conducted utilizing the Windows SPSS statistics program.

3. Results The results indicate that changes in operational time were significant between the two subject groups (F(1, 59) ¼ 9.02, po0.01). According to post hoc multiple comparisons, the operational time of the elderly group was longer than that of the middle-aged group on the type A, type B and type C interface modes (Table 2). The results of the first MANOVA show that significant changes in operational time were dependent on interface modes (F(2, 59) ¼ 11.34, po0.001). Furthermore, there were significant interactions between interface mode and experience level (F(4, 59) ¼ 3.19, po0.05) on the operational time. The operational time of the type A for the two groups with the medium experience level was longer than those of the type B and the type C interface modes (Table 3). According to the results of the second MANOVA, there were also significant interactions between interface mode and subject group (F(2, 213) ¼ 3.49, po0.05), and between interface mode and experience level (F(4, 213) ¼ 9.28, po0.001) on the operational time. Employing the Scheffe method in this study, the results indicate that the shortest operational time occurred on the type E interface mode, followed by the type M. Furthermore, the longest operational time occurred on type D for both groups and for all experience levels (Table 3). The operational time of the high experience level was shorter than that of those with medium experience level on the type M interface mode (Table 4). The operational time of the high experience level group was the shortest, while the low experience level group was the longest on the type D interface mode (Table 4). For both age groups, the number of total inputs was ranged from 1.3 to 3.5 times of the total exact operations (with a total of 44 of the number of operational inputs). According to the results of the MANOVA, there was a significant interaction between interface mode and subject group on the number of total inputs. For both subject groups, the number of total inputs was larger on the type A interface mode than on the type B and the type C interface modes (F(2, 213) ¼ 3.49, po0.05; Table 3). The number of total inputs was smaller on the type E interface mode than


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Table 2 Results of operational time and total input on subject groups Variables/subject groups

Elderly

Middle-aged

Post hoc tests

Operational time (s)

520.4 (299.3)

491.9 (299.9)

[Middle-aged]o[Elderly]** on Type A, Type B, Type C

Total input (times)

94.1 (54.4)

102.6 (54.0)

Data shown: average value (standard deviation); *po0.05, **po0.01, ***po0.001. Table 3 Results of operational time and total input on interface modes Variables/modes

Type M

Type D

Type A

Type B

Type E

Post hoc tests

Type C

Operational time (s) Elderly

788.8 (438.1) 508.6 (434.0) 510.6 (316.5) 749.7 (162.1) 258.7 (46.2) [B, C]o[A]* on the medium EL [E]o[M]o[D]** on both subject groups Middle-aged 563.4 (43.0) 378.5 (161.8) 459.9 (136.3) 769.1 (404.7) 242.2 (49.4) [E]o[M]o[D]*** on the three ELs

Total input (times)

Elderly Middle-aged

128.6 (4.9) 99.3 (31.1)

85.3 (15.6)

96.1 (55.9)

128.0 (14.1)

89.6 (26.2)

84.3 (4.9)

155.4 (97.6)

57.9 (12.0) [B, C]o[A]* on both subject groups [E]o[M, D]** on the elderly group 61.8 (17.0) [E]o[M]o[D]** on the middle-aged group [E]o[M]o[D]*** on the low and medium EL [E, M]o[D]*** on the high EL

Data shown: average value (standard deviation); *po0.05, **po0.01, ***po0.001; EL: experience level.

Table 4 Results of operational time and total input on experience level Variables/experience levels

Low level

Medium level

High level

Post hoc tests

Operational time (s)

Elderly Middle-aged

553.1 (81.8) 632.7 (321.0)

550.9 (666.9) 528.8 (341.2)

449.3 (293.0) 378.2 (43.5)

[High]o[Medium]* on Type M [High]o[Medium]o[Low]** on Type D

Total input (times)

Elderly Middle-aged

95.9 (9.2) 125.0 (48.8)

100.0 (32.5) 112.4 (63.6)

84.7 (83.4) 80.6 (2.8)

[High]o[Low, Medium]** on both subject groups [High]o[Low]** on Type D [High]o[Medium]** on Type M

Data shown: average value (standard deviation); *po0.05, **po0.01, ***po0.001.

on the type M and type D interface modes for the elderly group. The results also indicate that the number of total inputs was the smallest on the type E interface mode, followed by the type M, while the largest occurred on type D for the middle-aged group (F(2, 213) ¼ 5.71, po0.01; Table 3). There was a significant relationship between interface mode and experience level on the number of total inputs (F(4, 213) ¼ 6.77, po0.001). For low and medium experience levels, the number of total inputs was the smallest on the type E interface mode, followed by the type M, while the largest occurred on the type D. For high experience level, the number of total inputs on the type D interface mode was larger than that on the type E or the type M interface mode (Table 3). For both subject groups, the number of total inputs of the high experience level was smaller than that at the other two experience levels (Table 4). The number of total inputs of the low experience level was larger than that of the high experience level on the

type D interface mode (Table 4). The number of total inputs of the medium experience level was larger than that of the high experience level on the type M interface mode (Table 4). Results of subjective estimation are shown in Table 5. There was a significant effect on subjective estimation values (F(2, 59) ¼ 5.85, po0.01) on interface mode. However, there were no significant effects of subjective estimation values on the subject groups (F(1, 59) ¼ 2.73, p40.05) and their experience levels (F(2, 59) ¼ 1.33, p40.05). For question 4, based on the subjective estimation, it showed that the value of the type D interface mode was lower than that of the type E. For other questions, subjective estimation of the type A interface mode showed lower values than that of the type B and type C interface modes. Except question 4, subjective estimation showed the lowest value was on the type D interface mode, followed by type M, the largest occurred on type E.


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Table 5 Results of subjective estimation on interface modes Questionnaire items/interface modes

Type M Type A

Type B

Type C

Type D

Type E

Post hoc tests

Q1: Is it easy to operate the time setting?

Elderly Middle-aged

2.9 (0.5) 3.0 (0.6)

3.7 (1.3) 4.2 (0.4)

3.6 (0.8) 3.9 (0.5)

3.0 (1.0) 2.9 (0.9)

4.3 (0.7) 4.1 (0.6)

[A]o[B, C]*** [D]o[M]o[E]***

Q2: Is it easy to set the alarm time?

Elderly Middle-aged

2.8 (0.8) 3.1 (0.7)

3.9 (0.8) 3.9 (0.8)

3.7 (0.8) 3.9 (0.7)

2.9 (1.1) 2.7 (0.8)

4.2 (0.7) 3.9 (0.6)

[A]o[B, C]*** [D]o[M]o[E]***

Q3: Is it easy to set the date?

Elderly Middle-aged

2.9 (0.8) 3.2 (0.7)

4.1 (0.9) 4.2 (0.8)

3.6 (0.7) 3.8 (0.4)

3.0 (1.0) 2.9 (0.9)

4.4 (0.7) 4.1 (0.6)

[A]o[C]o[B]*** [D]o[M]o[E]***

Q4: Are the characters clearly displayed?

Elderly Middle-aged

4.1 (0.3) 4.2 (0.4)

4.3 (0.6) 4.3 (0.6)

4.0 (0.1) 4.2 (0.4)

4.0 (0.5) 4.0 (0.8)

4.3 (0.5) 4.3 (0.5)

[D]o[E]*

Q5: Is the display content easy to understand?

Elderly Middle-aged

3.0 (0.9) 3.0 (0.9)

4.1 (0.8) 4.1 (0.8)

3.7 (0.8) 3.9 (0.5)

2.9 (1.1) 2.7 (0.7)

4.2 (1.0) 3.9 (0.6)

[A]o[B, C]*** [D]o[M]o[E]***

Q6: Is the digital clock design satisfactory?

Elderly Middle-aged

2.8 (0.8) 3.0 (0.7)

4.0 (0.9) 4.1 (0.9)

3.9 (0.4) 3.9 (0.4)

2.9 (1.2) 2.7 (0.8)

4.2 (0.8) 3.9 (0.7)

[A]o[B, C]*** [D]o[M]o[E]***

The semantic differential method, 5-point scale, was used for the subjective estimation of this study. Scale: 1 ¼ highly disagree; 2 ¼ disagree; 3 ¼ no comment; 4 ¼ agree; 5 ¼ highly agree. Data shown: average value (standard deviation); *po0.05, **po0.01, ***po0.001.

Responses from subjects during interviews are summarized as follows:



  

 

 

Certain subjects (especially elderly subjects) could not completely understand the operational processes and button functions and therefore operated the tasks in the study by trial and error. As a result, they made several mistakes during operational processes. Once a subject became confused, he/she tended to make mistakes and consequently required a longer operational time. A few subjects could not understand the meaning of characters, e.g. ‘‘AM, PM, Mode and Setting’’. The subjects had difficulty concentrating during tasks so they were not able to quickly find errors and cues in the display. Even whilst utilizing simple electronic products such as the digital clock used in this study, the subjects indicated they needed cues (such as visual and auditory cues) to guide them through the operation. The subjects liked operating the type C interface mode as it was easy to understand and use. The subjects also liked operating the type E interface mode. The subjects indicated that the type E interface mode was easy to adapt and use as they had similar experiences whilst utilizing other electronic and digital devices (such as automatic teller machines). They were concerned about damaging the experimental system whilst utilizing it. The subjects did not like operating the type D interface mode as its operational processes were complex. A few subjects were reluctant to use digital devices.

4. Discussion In order to understand the problems encountered by elderly persons when utilizing electronic appliances, the operational time, number of total inputs, subjective estimation and interview results were discussed under different variables. These included subject group, interface mode and experience level. The results indicate that operational time changes were significant between the two subject groups. The shortest operational time was on the type E interface mode, followed by type M, while the longest one was on the type D interface modes (Table 3). Furthermore, the subjects had the most difficulty on operating the type D interface mode, followed by type M, while the least occurred on type E (F(2, 59) ¼ 5.85, po0.01, Table 5). It is suggested that the higher level of difficulty of an interface mode (such as type D), the greater the changes caused by age difference. The results were consistent with Vercruyssen’s findings (1997), especially the operational time being longer for elderly subjects than for the middle-aged subjects on the type A, type B and type C modes (F(1, 59) ¼ 9.02, po0.01, Table 2). It is clear that elderly subjects took longer than middle-aged subjects on the type A, type B and type C interface modes since the elderly subjects demonstrated an age-related decline in ability (Rama et al., 2001; Rogers and Mynatt, 2003). For both age groups, the number of total inputs was 1.3–3.5 times the exact operation. It would seem that most subjects were not able to operate the tasks effectively and therefore made mistakes during the operational process. For both subject groups, the operational time of the high experience level group was shorter than that of the low or


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medium experience level group (F(2, 213) ¼ 5.71, po0.05, Table 4). The operational time of the high experience level group was shorter than that of the medium experience level group on the type M interface mode. The operational time of the high experience level group was the shortest and that of the low experience level group was the longest on the type D interface mode (F(4, 159) ¼ 12.09, po0.01, Table 4). For higher levels of difficulty in an interface (such as type A or type D), subjects who had greater experience utilizing electrical and electronic appliances took less operational time. On the other hand, experience levels did not affect operational time during a simple interface operation (such as type E). According to the results of operational time, the number of total inputs (Table 3) and subjective estimation (Table 5), the subjects preferred the type E interface mode and did not like operating the type A or type D interface modes. The type E interface mode was designed as a dialogue mode with the display contents on a touch screen, so the subject was able to operate it efficiently (less operational time, less number of total inputs and high user satisfaction). It is suggested that the dialogue mode with the display contents on a touch screen was the preferred interface mode for both age groups in the study. The type D interface mode was designed to display contents in a hierarchical structure. According to interview results, subjects did not like operating the type D interface mode since its operation might be too complex (such as hierarchical structure) and inadequate feedback (Norman, 1981; Reason, 1991). Consequently, more operational time, a larger number of total inputs and low subjective estimation were recorded for type D. The type A, type B and type C interface modes were designed with different mappings between buttons and display contents. Table 3 indicates that the number of total inputs of the type A, which was not easy to operate as shown in Table 5, was larger than that of type B or type C. It would seem that the mapping between buttons and display contents of type A was worse than that of type B or type C with a smaller number of total inputs as shown in Table 3. Furthermore, the interview results partly explain the problems encountered by subjects during task operation. For example, certain subjects (especially elderly subjects) could not fully understand operational processes and button functions and operated tasks by trial and error. A few subjects could not understand the meaning of characters, e.g. as ‘‘AM, PM, Mode and Setting’’. As a result, they made several mistakes during operational processes and took a longer operational time. Many of them were furthermore reluctant to use digital devices. Even whilst operating simple digital and electronic products such as the digital clock used in this study, subjects indicated that cues (such as visual and auditory cues) were needed to guide them through the operation. It would seem that, on the whole, operational problems might result from age-related decline in capability and lack

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of experience with such information technology (Rama et al., 2001). This paper is aimed at investigating the user interface design of common electronic products, e.g. digital clocks, especially when being designed for use by elderly and middle-aged persons. According to the study results, subjects operated tasks by trial and error and many user interface problems were encountered. It is believed that the user interface problems encountered here will also occur when elderly people and middle-aged persons use other electronic appliances. Overall, the best interface design was type E, followed by type B/type C and type A, while the worst one was type D. Type E was the best interface for both age groups as all functions were listed on the touch screen display. Users could choose any available function without thinking about the relationship between buttons and display contents, i.e. between what eyes saw and what hands did (Dul and Weerdmeester, 1993). It is suggested that subjects carried out the type E task with less necessity for thought and were therefore able to complete it more efficiently, and the type E interface mode was very close to natural mapping in this study. Therefore, the type E interface mode with a dialogue mode on a touch screen is the most effective for the elderly. The type D interface mode has a hierarchical structure which subjects found difficult to understand and task performance therefore required more thought and longer operational time. The type D interface mode is therefore not suitable for elderly persons. From a spatial mapping perspective, the type B/type C interface modes were designed as a spatial mapping between buttons and display contents (type B has a spatial correspondence by a vertical order of contents and horizontal order of buttons and type C has a horizontal mapping of spatial proximity) and their relationship could be easily understood (Table 5) and the task easily completed. The type A interface mode was designed as a spatial correspondence by a top-bottom mapping and related task performance results were poor (Table 5). Compared with type B/type C, the type A interface mode is not suitable for the elderly. According to the results, the type E interface mode with a dialogue mode on a touch screen is the best interface design. This interface design may become a trend in the future. However, the typical interface of consumer electronic appliances consists of a display and buttons due to related production costs (Baumann and Thomas, 2001). As a result, spatial relationships between buttons and display contents are important user interface design considerations. An effective button and display content mapping can be used more efficiently. For example, type B/type C in this study, which had effective interface designs, required less operational time, less number of total inputs and achieved higher user satisfaction levels. The results of this study are consistent with the advantages of natural mapping (Sanders and McCormick, 1993). When the relationships between buttons and display contents of electronic appliances are easy to recognize (e.g. almost without


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thinking), the operation will be easier to learn and implement. 5. Conclusions To sum up, the interface modes had significant effects on operational time, the number of total inputs and subjective estimation based on the findings of this study. On the whole, the most effective interface mode was designed as a dialogue mode with the display contents on a touch screen. The least effective one was designed as a hierarchical structure of display contents. When consumer electronic appliance production costs need to be kept low, the mapping of buttons and display contents, such as type B/type C of this study, is an efficient interface design. The spatial relationship between buttons and display contents is easy to recognize and the operation will be easier to learn and implement. As a result, mapping should be considered as a means to reduce operational problems and the level of cognitive effort required to complete tasks. It is not only particularly important for the elderly, but also helpful to everyone. Acknowledgements This study received partly financial support from the National Science Council of the Republic of China Government, under Grant no. NSC 91-2213-E-224-026. References Baumann, K., Thomas, B., 2001. User Interface Design for Electronic Appliances. Taylor & Francis, London and New York. Bridger, R.S., 1995. Introduction to Ergonomics. McGraw-Hill, Inc., New York, pp. 376–380. Czaja, S.J., 1997. Using technologies to aid the performance of home tasks. In: Fisk, A.D., Rogers, W.A. (Eds.), Handbook of Human Factors and the Older Adult. Academic Press, New York, pp. 311–334. Dul, J., Weerdmeester, B.A., 1993. Ergonomics for Beginners—A Quick Reference Guide. Taylor & Francis, London, p. 62.

Fisk, A.D., Rogers, W.A., Charness, N., Czaja, S.J., Sharit, J., 2004. Designing for Older Adults: Principles and Creative Human Factors Approaches. CRC Press, Boca Raton, FL. Freudenthal, A., 1999. The Design of Home Appliances for Young and Old Consumers. Delft University Press, The Netherlands. Han, S.H., Yun, M.H., Kwahk, J., Hong, S.W., 2001. Usability of consumer electronic products. Int. J. Ind. Ergon. (28), 143–151. Hawthorn, D., 2000. Possible implications of aging for interface designers. Interact. Comput. 12, 507–528. Howell, W.C., 1997. Foreword, perspectives, and prospectives. In: Fisk, A.D., Rogers, W.A. (Eds.), Handbook of Human Factors and the Older Adult. Academic Press, New York, pp. 1–6. Lee, C.F., Liao, C.C., 2003. A study of the product usability for Taiwanese elderly people. In: The Sixth Asian Design International Conference, Tsukuba, Japan, F-24. Martel, A., Mavrommati, I., 2001. Design principles. In: Baumann, K., Thomas, B. (Eds.), User Interface Design for Electronic Appliances. Taylor & Francis, London, pp. 77–107. Norman, D.A., 1981. Categorization of action slips. Psychol. Rev. 88, 1–15. Norman, D.A., 1988. The Psychology of Every Day Things. Basic Book Inc., New York. Petrie, H., 2001. Accessibility and usability requirements for ICTs for disabled and elderly people: a functional classification approach. In: Nicolle, C., Abascal, J. (Eds.), Inclusive Design Guidelines for HCI. Taylor & Francis, London and New York, pp. 29–60. Rama, M.D., de Ridder, H., Bouma, H., 2001. Technology generation and age in using layered user interfaces. Gerontechnology 1, 25–40. Ray, R.D., Ray, W.D., 1979. An analysis of domestic cooker control design. Ergonomics 22 (11), 1243–1248. Reason, J.T., 1991. Human Error. Cambridge University Press, Cambridge, UK. Rogers, W.A., Mynatt, E.D., 2003. How can technology contribute to the quality of life of older adults? In: Mitchell, M.E. (Ed.), The Technology of Humanity: Can Technology Contribute to the Quality of Life? Illinois Institute of Technology, Chicago, IL, pp. 22–30. Sanders, M.K., McCormick, E.J., 1993. Human Factors in Engineering and Design. McGraw-Hill, Inc., New York, pp. 301–307. Shneiderman, B., 1992. Designing the User Interface: Strategies for Effective Human–Computer Interaction, second ed. Addison-Wesley Publishing Co, Reading, MA. Vercruyssen, M., 1997. Movement control and speed of behavior. In: Fisk, A.D., Rogers, W.A. (Eds.), Handbook of Human Factors and the Older Adult. Academic Press, New York, pp. 55–86. Wu, M.L., 2003. Statistical Practice. Unalis Corporation, Taipei. Yamaoka, T., Suzuki, K., Fuziwara, Y., 2000. User Interface Design and Evaluation (in Japanese). Kyoritsu Publish Co., Tokyo.


Journal of Ergonomic Study, Vol. 12, No. 1, pp. 55-66 (2010)

操作小型觸控螢幕按鍵與視覺回饋之使用性探討 蔡旺晉

羅麗雯 李傳房

國立雲林科技大學設計學研究所 摘要 本研究的目的主要探討不同族群在操作小型觸控螢幕時,按鍵尺寸與視覺回饋方式對介面使用性的 影響。實驗變數為「受測族群」、「按鍵尺寸」與「視覺回饋」,實驗採 3 因子混合實驗設計,共 計 12 組實驗介面樣本。受測對象為年輕、中高齡與高齡等三族群,採受測者間的實驗設計;於實驗 中針對小型觸控螢幕之連續點擊功能進行實驗任務,紀錄各實驗任務之操作時間與錯誤率,並於操 作結束時請受測者填寫按鍵回饋之主觀滿意度。由研究結果得知,進行觸控螢幕連續點擊任務時, 高齡者所需的操作時間比年輕人所需要的操作時間長;在沒有按鍵回饋效果時,觸控螢幕的按鍵尺 寸愈大時,其操作績效愈好。當高齡者操作小型觸控按鍵時,框線與無按鍵回饋方式的操作時間最 長且主觀滿意度也較低;而最佳的回饋方式為原位擴大與位移放大,其操作錯誤次數較低且具有高 的主觀滿意度。整體而言,適當的按鍵大小與回饋方式可提升使用者操作觸控螢幕介面的績效。

關鍵詞:高齡者、觸控介面、按鍵尺寸、回饋

1. 前言 近年,我國因人口結構趨於高齡化,將逐漸 導致勞動人口的負擔增加;因此,延長退休年齡 或 是 退 而 不 休 將 是 未 來 的 趨 勢 (Moseley & Dessinger, 2007)。因應高齡社會的來臨,這股趨 勢將直接影響人們的生活型態與習性、工作、休 閒、消費需求與家庭結構,若高齡者可以熟練的 靈活應用相關生活用品,將可大幅提升其生活品 質。隨著資訊產品技術的進步與成熟,許多不同 的產品操作概念也隨著使用的需求而改變。面對 高齡消費族群的大幅成長,也使一直以年輕人、 擁有專業知識背景之消費者為設計開發對象之 資訊產品,進而開發符合高齡使用族群的資訊產 品(Cohen-Mansfield & Biddison, 2007)。但高齡者 因身體機能的退化,會產生許多生理與心理上的 限制,導致在操作資訊產品時容易產生困難 (Hawthorn, 2000);資訊產品在使用上如何能夠滿 足高齡者的需求,乃是現今資訊產品設計必須重

視的問題。 為了提升資訊產品介面的操作性,觸控技術 應運而生(Shneiderman, 1991);最主要是觸控螢 幕介面能見即點(See-and-Point)的設計概念, 使其產品介面能直覺式的操作(Kunkel, Bannert, & Fach, 1995)。隨著觸控螢幕技術的成熟,目前 許多資訊產品也逐漸使用全觸控螢幕的介面設 計,例如手機、相機、電子相框、汽車導航系統 等(Burigat, Chittaro, & Gabrielli, 2008),其應用愈 來愈廣泛。使用觸控螢幕的產品,使用者可以直 接點選作業目標的圖像,然後執行該物件的任 務,所有執行的動作皆顯示在螢幕中,使用者無 須記憶動作指令,不需要太多複雜的思考,是一 個較容易學習的直接操作方式(Sears & Jacko, 2009);並且可由介面中檢選,彈性操作許多功 能;且因為沒有實體按鍵與螢幕顯示內容的空間 對應問題,眼睛與手的操作協調較佳,所以非常 適合新手的操作,在公共開放空間具有耐用與較 55


Study on the Usability of Various Button Sizes and Visual Feedbacks in Small Touch-Screens

高的使用量。 雖然觸控螢幕具有上述的各項優點,但對於 高齡者而言,卻因為身心機能的退化與不理解資 訊產品介面的操作方式,影響高齡者對資訊產品

被該物件所接收到、表示該物件是否正在執行使 用者的指令、以及讓使用者知道執行其指令的結 果(Baumann & Thomas, 2001)。例如:控制面板 的燈示、系統執行運算時視窗內 360 度轉動的沙

的使用性 (Chung, Kim, Na, & Lee, 2010; 李傳房

漏圖示、與按壓觸控式螢幕產生「嗶」的聲響等

& 郭辰嘉, 2004)。例如:高齡者的肌力退化與手

回饋方式,這些將無形的訊息透過不同方式適時

指的靈敏度降低,不容易按壓細小的按鍵與圖 示,故在觸控螢幕介面上的按鍵尺寸、間距與形 狀等議題,相關研究皆嘗試提出適當的建議值, 作為設計上的參考;如 Schedlbauer (2007)提出操 作觸控螢幕的虛擬按鍵,使用者對 15mm 按鍵接 受度最高,類似研究也提出使用者較偏好

的呈現在操作過程中,在電子及資訊產品介面上 扮演著重要的角色(Barreto, Jacko, & Hugh, 2007; Moggridge, 2007)。觸控螢幕介面的回饋機制有視 覺回饋、聲音回饋、震動回饋、力回饋與複合式 的回饋等方式(Jacko et al., 2004)。視覺與聲音的 回饋已普遍使用在觸控螢幕的介面設計上,作為

16.5mm 與 19.05mm 的按鍵(Jin, Plocher, & Kiff,

告知使用者作業完成或操作狀態的回饋、提示之

2007)。在 Karlson & Bederson(2008)的研究中,

用;震動回饋常被應用在手機的訊息提示上;而

進行多目標選擇任務時,按鍵大小至少為 9.6mm,單目標選擇任務則為 9.2mm。同時,若 在觸控螢幕進行文字輸入的鍵盤任務,小按鍵可 以增進使用者在點選的觸發區域上有較好的操

力回饋方式目前仍在技術發展階段,其應用受到 成本與技術不成熟的限制(Hoggan, Brewster, & Johnston, 2008)。因此,在介面回饋的呈現,目 前仍是以視覺回饋的表現形式為主。但高齡者面

作績效(Kwon, Lee, & Chung, 2009)。Baumann &

對小型觸碰螢幕介面的回饋刺激時,容易因知覺

Thomas(2001)建議觸控式螢幕的相鄰兩虛擬按

機能的退化,造成視覺敏銳度降低,不容易看清

鍵的垂直間距、水平間距至少需分別為 12mm 與

楚觸控螢幕上的回饋刺激或不容易聽清楚介面

14mm;Breinholt & Krueger(1997)的研究提到,

所發出的聲音。且相關的資訊產品,為求介面整

按鍵形狀與操作的時間、準確性,並無顯著差 異;此外,由於目前的資訊產品皆朝向輕薄短小 的趨勢發展,使用者可能在以手指操作觸控螢幕 時,會產生手指遮蔽螢幕資訊的視覺障礙的問 題;目前雖有開發新的觸控定位與搜尋概念的產 品,強調螢幕不會受手指遮蔽而影響介面的操作 性,且可迅速、便利地進行觸控操作介面(Siek, Rogers, & Connelly, 2005; Vogel & Baudisch, 2007; Wigdor, Forlines, Baudisch, Barnwell, & Shen, 2007),但是否可以直接應用在高齡使用者的觸 控介面設計上,則須進一步的探討。 隨著觸控技術成為使用者和產品介面溝通 的重要介面,觸控過程中所呈現的回饋效果將更 顯的重要(Huang & Lai, 2008)。所謂回饋,為當 使用者執行一個介面任務時,介面會呈現許多訊 息,讓使用者知悉,這包括了確認使用者的指令

體的美觀,造成許多視覺資訊回饋的呈現與移動 都過於快速,高齡者的注意力較不容易集中,且 注意力會隨著年齡增長而衰減(Connely & Hasher, 1993; Kotary & Hoyer, 1995) ,會有接收、理解視 覺回饋訊息的困難,並忽略介面系統透過回饋機 制所傳達的訊息,造成產品使用上的錯誤與挫折 感(Pak & McLaughlin, 2010)。視覺搭配聽覺、觸 覺等組合的多重回饋方式,雖有利於使用者更明 確 的 獲 得 系 統 訊 息 與 提 高 操 作 績 效 (Vitense, Jacko, & Emery, 2003; Lee, Poliakoff, & Spence, 2009),但高齡者的工作記憶容量、處理資訊速 度和阻隔非必要的資訊能力因老化而衰退;所 以,使用多重回饋方式的觸控介面,仍須視介面 任務種類與複雜度,避免造成高齡者過多的心智 負荷,方能符合高齡者的使用需求。 在觸控介面任務操作過程中,按鍵的尺寸與 回饋的呈現方式是影響使用者操作的重要因

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Journal of Ergonomic Study, Vol. 12, No. 1, pp. 59-70 (2010)

素,如何進一步探討觸控螢幕介面的按鍵屬性與

為探討按鍵大小,在不同視覺回饋方式下的

視覺回饋的相互影響,以縮短操作時間與降低錯

觸控點選績效,本研究蒐集市售的觸控螢幕資訊

誤率,讓介面訊息能夠清楚而快速地顯示,以增

產品的視覺回饋方式,將其歸納分析,同時參考

加不同族群的使用性,並具體提出適合使用者的

觸控介面按鍵的設計要素(Huang & Lai, 2008),

觸控操作方式,為本研究的目的。

依照形狀、框線等原則分類出不同類型特徵的視

2. 研究方法

覺回饋方式,作為本研究實驗用的樣本。根據 Vaughan(1997) 的研究,將視覺回饋的動態內容

本研究首先分析相關資訊產品,以理解觸控

依照路徑、範圍、方向與速度等屬性加以說明。

技術應用於小型顯示螢幕的現況與其呈現的視

本研究的回饋方式共有 4 種:(1)原位擴大回饋:

覺回饋方式;進而透過實驗設計,探討不同年齡

如圖 3 所示,當觸控按鍵之後,在原按鍵上方出

層的使用者,操作不同尺寸按鍵時,在不同視覺

現另一個放大按鍵,以按鍵的對角線交點當作固

回饋方式的觸控點選績效。

定點,而以圖示對角線放大前與放大後的的比值

2.1 實驗說明

來定義放大倍率 ,本研究原位擴大的倍率為

本研究主要以攜帶式資訊電子產品 PDA(Pocket PC-ASUS MyPal A730)作為小型觸 控螢幕實驗載具,顯示器為全彩 3.7 吋半穿透視 TFT-LCD 觸控面板 ,螢幕解析度 640 x 480 pixels;受測者以左手拿 PDA,右手食指操作, 採坐姿,如圖 1 所示。實驗前先向受測者說明實 驗進行的步驟,並讓受測者練習,以熟悉實驗作 業的操作方式。實驗為模擬輸入電話號碼的作 業,其螢幕畫面如圖 2 所示,虛擬按鍵排列與一 般電話機相同。受測者依螢幕上的指示,先按「開 始」之後,螢幕上方即呈現 10 碼的電話號碼,

120%;(2)位移放大回饋:如圖 4 所示,位移路 徑是沿著平面座標的 Y 軸向上偏移,開始移動的 基準點是按鍵的對角線中心點,在 120%的放大 倍率下,以二十分之一秒移動 3mm 速度浮現; (3)框線回饋:如圖 5 所示,當觸控按鍵之後,原 按鍵外加黑色細框,框線為 0.5 pt;(4)無按鍵回 饋(如圖 6 所示)作為對照組。根據調查市售的小 螢幕觸控螢幕產品 ,其觸控按鍵尺寸範圍為 4-6mm,故本研究共設計三種不同尺寸的按鍵, 分別為 4mm、6mm、9mm,兩按鍵的間距為 1mm,

受測者依序輸入電話號碼;

圖 2 介面樣本 圖 1 實驗操作情境

最後按「結束」鍵,即完成一次作業的操作, 每次作業完成,皆會出現一遮罩畫面,以降低視 覺的殘像。

即相鄰兩按鍵中心點的距在按鍵尺寸的定 若考慮到不同的使用族群,用手指進行小螢幕觸 控輸入時,按鍵尺寸建議大於 9mm x 9mm(以 下的按鍵大小以正方形的邊長表示)。離分別為 5、7、10mm。以此作為本實驗按鍵尺寸因子的 57


Study on the Usability of Various Button Sizes and Visual Feedbacks in Small Touch-Screens

三種樣本。本研究實驗介面使用 Visual C# .NET 2.0 程式語言撰寫。整體實驗操作時間從介紹實 驗,完成任務操作與介面回饋主觀評價約為 15 分鐘。每位受測者皆須操作 12 次作業(按鍵尺寸 3 種 x 回饋方式 4 種),按下按鍵之後會有立即 的回饋效果,離開按鍵之後,回饋效果即消失。 每次操作結束後,將會記錄實驗的操作時間和錯 誤次數。操作時間定義為從受測者觸控「開始」 鍵到「結束」鍵,為一次作業的操作時間,程式

圖 3 原位擴大回饋

圖 4 位移放大

將記錄下來,以秒為單位,作為每位受測者的觸 控點選績效。錯誤次數為受測者在多按、少按與 錯按數字的情況下,皆為錯誤。例如介面樣本出 現 492-015-6378 等 10 個數字,要求受測者依序 按下數字,若結果顯示為 493-0145-63788,則受 測者錯誤次數為 3。最後,作業完畢後,請受測 者個別針對 4 種回饋方式進行滿意度評比,填寫 李克特尺度主觀評價問卷;主觀評價分為五階 圖 5 框線回饋

段,分別為「5-非常同意」 、 「4-同意」 、 「3-普通」、

圖 6 無按鍵回饋

「2-不同意」 、 「1-非常不同意」 。本實驗模擬操作 觸控螢幕介面的實際狀況,其視覺距離與視線不 限制,以能看清楚螢幕內容為原則。實驗時避免

2.3 實驗數據

螢幕有反射光,實驗是模擬一般的作業環境,將

研究數據以 Windows 版 SPSS 統計軟體(12.0

照度控制在 600~800 lux 之間(小木和孝, 1988)。

版)進行資料的處理與分析。使用的統計方法包

2.2 受測者 本實驗參考 Dickinson et al.(2007)的研究,配合研 究的主題,以方便取樣方式招募受測者。本研究 受測者共 45 位,依年齡可分為年輕組、中高齡

括: (1)描述統計(Descriptive Statistics):瞭解不同受測 族群在不同觸控螢幕按鍵尺寸的回饋方式績效 與主觀滿意度的平均值(M)和標準差(SD)。

者及高齡者等三個族群,每個族群各有 15 名受

(2) 混 合 設 計 三 因 子 變 異 數 分 析 (Three-way

測者。其各組男女人數及平均年齡分別為:年輕

ANOVA, mixed design):瞭解在操作觸控螢幕的

組之男性 7 位、女性 8 位,平均年齡 26.4 歲(標

連續點選任務時,按鍵的大小與按鍵回饋方式對

準差 1.9 歲);中高齡者之男性 6 位、女性 9 位,

不同受測族群視覺感知之績效比較,與對點選任

平均年齡 54.2 歲(標準差 4.1 歲);高齡者之男性

務時間與錯誤次數是否有顯著的差異存在。其中

6 位、女性 9 位,平均年齡 70.6 歲(標準差 6.7

受測者族群為受試者間設計,按鍵大小與按鍵回

歲)。所有的受測者視力與手部機能皆正常,且

饋方式為受試者內設計。

皆具有小學以上的教育程度;為避免實驗數據受

(3)事後分析:採用單純主要效果檢定和 Scheffe

實驗順序的影響,所有受測者的 12 次操作任務

法進行相依樣本的事後比較 ,其檢定結果以

順序以隨機方式呈現,電話號碼數字為亂數出

p<0.05 作為自變數對其依變數(操作時間、錯誤

現,避免學習效果的干擾。

次數)有顯著性影響的判斷基準。

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Journal of Ergonomic Study, Vol. 12, No. 1, pp. 59-70 (2010)

3. 實驗結果 本研究的操作時間的變異數分析結果如表 1 所 示,因自變數(受測族群、按鍵尺寸與按鍵回饋 方式)之間有顯著的交互作用,以條件篩選繼續 進行單純主要效果檢定(simple main effect)(吳明 隆, 涂金堂, 2005);同時,受測族群、按鍵尺寸 與按鍵回饋方式之單純主要效果的變異數分析 中,在不同條件下的同質性考驗,假設α = 0.05,以 Levene Statistic 進行考驗的結果發現, 其 p 值大於 0.05,均未達顯著水準,並未違反變 異數同質性假設,其結果如下說明。 根據研究結果顯示(表 2),操控觸碰螢幕時, 在按鍵尺寸為 4mm 時,按鍵的回饋方式對操作 時間有顯著性的影響(p<0.001);經事後比較,當 按鍵呈現無變化,加框與原位擴大等三種回饋方 式時,高齡者所需的操作時間比年輕人所需要的 操作時間長。在按鍵尺寸為 6mm 與 9mm 時,按 鍵的回饋方式同樣對操作時間有顯著性的影響 (p<0.001),其中,在任何回饋方式之下,高齡者 所需的操作時間皆比年輕人所需的操作時間 長。對於中高齡者,發現按鍵尺寸為 4mm、6mm 與 9mm 時,在加框的按鍵回饋方式操作下,其 任務完成時間卻與年輕族群相似,無顯著的差 異。

本身沒有任何回饋時,所需的操作時間比原位擴 大與加框等按鍵回饋方式長。對中高齡族群,在 不同按鍵尺寸的情況下,按鍵回饋方式對所需的 操作時間無顯著性的影響。高齡族群的操作過程 中,在按鍵尺寸分別為 4mm、6mm 與 9mm,按 鍵回饋方式對操作任務時間有顯著性的影響 (p<0.05);4mm 按鍵尺寸時,原位擴大與位移放 大等兩種按鍵回饋方式比加框和無回饋的按鍵 方式操作時間短。在 6mm 與 9mm 按鍵尺寸時, 位移放大的按鍵回饋方式皆比無按鍵回饋方式 的操作時間短。 同時,根據操作錯誤次數的變異數分析結果(表 5) ,發現按鍵尺寸與按鍵回饋方式之間有顯著的 交互作用(F(6,252)=2.01;p<0.05),則再進行 單純主要效果檢定。如表 6 所示,在無變化與加 框回饋的條件下,按鍵尺寸 9mm 比按鍵尺寸 4mm 與 6mm 有 較 低 的 觸 控 點 選 錯 誤 次 數 (p<0.001);在原位擴大與位移放大回饋的條件 下,按鍵尺寸 9mm 與 6mm 比按鍵尺寸 4mm 有 較低的觸控點選錯誤次數(p<0.001) 。如表 7 所 示,在按鍵尺寸 4mm 時,操作錯誤次數由低至 高,依序為位移放大、加框、無變化(對照組) 的回饋方式(p<0.01) ;按鍵尺寸 6mm 時,位移 放大與原位擴大的按鍵回饋操作錯誤次數低於 加框與無變化的回饋方式(p<0.01);但對於按

根據按鍵尺寸進行條件篩選的單純主要效

鍵尺寸 9mm 的觸控點選任務,按鍵的回饋方式

果的變異數分析結果(表 3),對年輕族群而言,

並無顯著的差異。整體而言,位移放大與原位擴

在無回饋與加框的按鍵回饋效果時,6mm 與

大等兩種按鍵回饋方式,對於按鍵的觸控點選任

9mm 的按鍵操作時間會比 4mm 短。但其他回饋

務,有助於降低錯誤次數。

效果則無顯著差異。同樣的,在中高齡族群的操 作過程,發現加框的按鍵回饋方式,6mm 與 9mm 的操作時間會比 4mm 短。對高齡族群,當按鍵 呈現無變化的回饋方式時,按鍵尺寸 9mm 的操 作時間會比 4mm 短,其他則無顯著的影響。

本研究採用李克特尺度量表,作為不同年齡層受 測者操作觸控螢幕時連續點擊任務時,針對不同 按鍵回饋方式的主觀評價。本研究使用 5 階段量 尺的評定量表,針對 4 種不同按鍵回饋方式進行 使用性的主觀滿意度評價,結果如表 8 所示。

根據按鍵回饋方式的單純主要效果的變異數分 析結果(表 4)顯示,對年輕族群而言,在按鍵尺 寸為 6mm 時,按鍵回饋方式對所需的操作時間 有顯著性的影響(p<0.01);經事後比較,當按鍵

59


Study on the Usability of Various Button Sizes and Visual Feedbacks in Small Touch-Screens

表 1 操作時間之變異數分析摘要表 變異來源

平方和

受試者間 受測族群(A) 3876.84 群內受試(S*A) 4191.75 受試者內 按鍵尺寸(B) 632.04 受測族群*按鍵尺寸(A*B) 47.77 按鍵尺寸*群內受試(S*A*B) 1224.17 按鍵回饋方式(C) 420.56 受測族群*按鍵回饋(A*C) 518.41 按鍵回饋*群內受試(S*A*C) 1366.60 按鍵尺寸*按鍵回饋(B*C) 72.81 受測族群*按鍵尺寸*按鍵回饋(A*B*C) 214.78 按鍵尺寸*按鍵回饋*群內受試(S*A*B*C) 2207.06 (*: p < 0.05, **: p < 0.01, ***: p < 0.001, -: 無顯著性)

自由度

F檢定

均方

p值 (顯著性)

2 42

1938.42 99.80

19.42

0.000***

2 4 84 3 6 126 6 12 252

316.02 11.94 14.57 140.19 86.40 10.84 12.13 17.89 8.75

21.68 0.82

0.000*** -

12.92 7.96

0.000*** 0.000***

1.38 2.04

0.021*

表 2 受測族群之單純主要效果檢定之變異數分析結果(表內數值為操作時間的平均值(標準差),單位:秒) 變異來源

年輕族群

[4mm] 無按鍵回饋 14.3(3.7) 框線回饋 14.2(3.0) 原位擴大 14.8(3.8) 位移放大 12.8(2.6) [6mm] 無按鍵回饋 14.6(4.2) 框線回饋 11.2(2.4) 原位擴大 11.0(2.1) 位移放大 12.3(2.9) [9mm] 無按鍵回饋 11.5(2.7) 框線回饋 12.7(4.8) 原位擴大 11.7(3.0) 位移放大 12.6(3.3) (*: p < 0.05, **: p < 0.01, ***: p < 0.001, -:

中高齡族群

高齡族群

p值 (顯著性)

16.4(6.7) 15.3(4.5) 15.6(4.8) 18.4(10.9)

25.7(7.4) 21.9(5.8) 18.7(4.4) 18.8(3.9)

0.000*** 0.001*** 0.043* -

[年輕] < [中高齡]< [高齡] [年輕]、[中高齡]< [高齡] [年輕] < [高齡] -

15.0(5.0) 12.7(2.3) 14.5(5.1) 16.2(4.1)

21.2(6.2) 19.3(4.5) 17.4(3.0) 16.1(3.9)

0.002** 0.000*** 0.000*** 0.009**

[年輕]、[中高齡]< [高齡] [年輕]、[中高齡]< [高齡] [年輕]<[中高齡]、[高齡] [年輕]<[中高齡]、[高齡]

14.8(3.3) 13.2(2.3) 14.2(3.9) 12.9(2.6) 無顯著性)

20.2(4.4) 18.9(4.0) 17.2(4.2) 15.4(3.3)

0.000*** 0.000*** 0.001*** 0.038*

[年輕]<[中高齡]<[高齡] [年輕]、[中高齡]< [高齡] [年輕]< [高齡] [年輕]< [高齡]

事後比較

表 3 按鍵尺寸之單純主要效果的變異數分析結果(表內數值為操作時間的平均值(標準差),單位:秒;- 表示未達顯著) 變異來源

[4mm]

[6mm]

年輕族群 無按鍵回饋 14.3(3.7) 14.6(4.2) 框線回饋 14.2(3.0) 11.2(2.4) 原位擴大 14.8(3.8) 11.0(2.1) 位移放大 12.8(2.6) 12.3(2.9) 中高齡族群 無按鍵回饋 16.4(6.7) 15.0(5.0) 框線回饋 15.3(4.5) 12.7(2.3) 原位擴大 15.6(4.8) 14.5(5.1) 位移放大 18.4(3.9) 16.2(4.1) 高齡族群 無按鍵回饋 25.7(7.4) 21.2(6.2) 框線回饋 21.9(5.8) 19.3(4.5) 原位擴大 18.7(4.4) 17.4(3.0) 位移放大 18.8(3.9) 16.1(3.9) (*: p < 0.05, **: p < 0.01, ***: p < 0.001, -: 無顯著性)

60

[9mm]

p值 (顯著性)

事後比較

11.5(2.7) 12.7(4.8) 12.3(2.9) 12.6(3.3)

0.041* 0.004** -

[9mm]< [6mm]、[4mm] [6mm]、[9mm]< [4mm] -

14.8(3.3) 13.2(2.3) 14.2(3.9) 12.9(2.6)

0.032* -

[6mm]、[9mm]< [4mm] -

20.2(4.4) 18.9(4.0) 17.2(4.2) 15.4(3.3)

0.033* -

[6mm]、[9mm]< [4mm] -


Journal of Ergonomic Study, Vol. 12, No. 1, pp. 59-70 (2010) 表 4 按鍵回饋方式之單純主要效果的變異數分析結果(表內數值為操作時間的平均值(標準差),單位:秒) 變異來源 年輕族群 [4mm] [6mm]

無變化

加框

原位擴大

位移放大

p值 (顯著性)

14.3(3.7) 14.6(4.2)

14.2(3.0) 11.2(2.4)

14.8(3.8) 11.0(2.1)

12.8(2.6) 12.3(2.9)

0.008**

事後比較

[9mm] 中高齡族群 [4mm] [6mm] [9mm] 高齡族群 [4mm]

11.5(2.7)

12.7(4.8)

12.3(2.9)

12.6(3.3)

-

[原位擴大]、[加框]< [無變化] -

16.4(6.7) 15.0(5.0) 14.8(3.3)

15.3(4.5) 12.7(2.3) 13.2(2.3)

15.6(4.8) 14.5(5.1) 14.2(3.9)

18.4(3.9) 16.2(4.1) 12.9(2.6)

-

-

25.7(7.4)

21.9(5.8)

18.7(4.4)

18.8(3.9)

0.003**

[6mm]

21.2(6.2)

19.3(4.5)

17.4(3.0)

16.1(3.9)

0.022*

[9mm]

20.2(4.4)

18.9(4.0)

17.2(4.2)

15.4(3.3)

0.011*

[原位擴大]、[位移放大]< [加框] < [無變化] [位移放大]< [加框]、 [無 變化] [位移放大]< [無變化]

(*: p < 0.05, **: p < 0.01, ***: p < 0.001, -: 無顯著性) 表 5 錯誤次數之變異數分析摘要表 變異來源

平方和

受試者間 受測族群(A) 715.83 群內受試(S*A) 1188.93 受試者內 按鍵尺寸(B) 622.47 受測族群*按鍵尺寸(A*B) 127.28 按鍵尺寸*群內受試(S*A*B) 509.90 按鍵回饋方式(C) 141.91 受測族群*按鍵回饋(A*C) 25.58 按鍵回饋*群內受試(S*A*C) 341.91 按鍵尺寸*按鍵回饋(B*C) 23.21 受測族群*按鍵尺寸*按鍵回饋(A*B*C) 17.33 按鍵尺寸*按鍵回饋*群內受試(S*A*B*C) 483.78 (*: p < 0.05, **: p < 0.01, ***: p < 0.001, -: 無顯著性)

均方

F檢定

p值 (顯著性)

2 42

357.91 28.30

12.64

0.000***

2 4 84 3 6 126 6 12 252

311.23 31.82 6.07 47.30 4.26 2.71 3.86 1.44 1.92

51.27 5.24

0.000*** -

17.43 1.57

0.000*** -

2.01 0.75

0.046* -

自由度

表 6 按鍵尺寸之錯誤次數單純主要效果的變異數分析結果(表內數值為錯誤次數的平均值(標準差),單位:次) 變異來源 無按鍵回饋

[4mm]

[6mm]

[9mm]

p值 (顯著性)

4.4(2.7)

3.5(2.8)

1.4(2.1)

0.000***

[9mm]<[6mm]、[4mm]

1.0(2.0) 0.7(1.7) 0.8(1.5)

0.000*** 0.000*** 0.000***

[9mm]<[6mm]、[4mm] [9mm]、[6mm] < [4mm] [9mm]、[6mm] < [4mm]

框線回饋 3.6(3.4) 2.5(2.5) 原位擴大 2.8(2.8) 1.7(2.3) 位移放大 2.6(3.1) 1.8(2.4) (*: p < 0.05, **: p < 0.01, ***: p < 0.001, -: 無顯著性)

事後比較

表 7 按鍵回饋方式之錯誤次數單純主要效果的變異數分析結果(表內數值為錯誤次數的平均值(標準差),單位:次) 無按鍵回饋

框線回饋

位移放大

p值 (顯著性)

事後比較

[4mm]

4.4(2.7)

3.6(3.4)

2.8(2.8)

2.6(3.1)

0.002 **

[位移放大] < [加框] < [無變化]

[6mm]

3.5(2.8)

2.5(2.5)

1.7(2.3)

1.8(2.4)

0.003 **

[9mm] 1.4(2.1) 1.0(2.0) 0.7(1.7) (*: p < 0.05, **: p < 0.01, ***: p < 0.001, -: 無顯著性)

0.8(1.5)

-

[原位擴大]、[位移放大] < [加框] 、[無變化] -

變異來源

原位擴大

表 8 按鍵回饋方式之主觀滿意度分析結果彙整(表內數值為受測者主觀評價的平均值與標準差) 主觀評價 變異來源

5非常同意

4同意

3普通

2不同意

1非常不同意

年輕族群

無變化 2.4(1.4)

加框 3.3(1.1)

原位放大 3.9(.9)

位移擴大 3.5(1.1)

中高齡族群

2.9(1.6)

3.6(1.4)

4.2(1.1)

4.1(1.2)

高齡族群

2.8(1.6)

3.4(1.4)

3.9(1.4)

4.4(1.0)

61


Study on the Usability of Various Button Sizes and Visual Feedbacks in Small Touch-Screens

整體而言,三個不同的受測族群,皆對於無變化

間隨著按鍵尺寸逐漸增加而遞減(表 3) 。而這也

的按鍵回饋方式有較低的滿意度。此外,高齡者

呼應,若按鍵沒有提供任何的觸碰回饋效果或是

對於位移放大的回饋方式有較高的評價,而年輕

回饋效果不明顯時,按鍵尺寸確實是一個關鍵的

族群與中高齡族群則對於原位擴大的按鍵效果

影響因素(Lindberg, Nasanen, & Muller, 2006)。目

較為偏好。

前,相關研究已探討高齡者在操作操控螢幕時的 按鍵尺寸限制,在此前提下,如何進一步提供適 當的按鍵回饋方式,來提升高齡者的部分操作績

4. 討論

效與介面滿意度,是值得深入思考之處。

本研究以受測族群,按鍵尺寸與按鍵回饋方式等

觸控螢幕的互動方式乃是透過手指或是觸

三項自變項,以操作時間和錯誤次數為因變數,

控筆進行操作,為直接點選的配對概念。因此,

探討不同族群進行觸控螢幕連續點擊任務的使

使用者必須仰賴按鍵所提供的視覺回饋,確認每

用性。從實驗過程中發現,高齡者對於觸控螢幕

項任務的執行。本研究假設在不同的按鍵尺寸條

的操作較不熟悉,在操作技巧上,不如年輕族群

件下,受測者會因為回饋方式產生操作績效上的

來的順手,會容易導致重複按壓按鍵或觸控不到

差異,由表 4 所得結果,高齡者操作連續點擊任

的現象;此外,觸控螢幕廣泛應用於小型資訊產

務,過程中必須透過視覺感知確認是否有正確按

品上,會因為按鍵與圖示的小型化與功能多元化

下數字按鍵,因本實驗並無操作時間上的限制,

的影響,導致在有限的螢幕空間中無法具備足夠

故高齡者可以在每次點選之後,有足夠的緩衝時

的按鍵間距,致使高齡者在操作觸控介面時容易

間察覺按鍵回饋效果,故利用形狀和位移改變的

造成誤觸按鍵的情形;且手指容易遮蔽按鍵,當

回饋方式,可引起高齡者注意力,提升其觸控介

按鍵呈現不明顯的回饋方式時,容易增加操作時

面操作性。根據操作次數的分析結果(表 6、表

間(Kang & Yoon, 2008; Rogers, Fisk, McLaughlin,

7)與滿意度問卷(表 8),也可證實當按鍵本身提供

& Pak, 2005)。因此,從實驗結果(表 2)得知,

視覺回饋效果,有助於減低錯誤次數。目前市面

在任何按鍵尺寸與按鍵回饋方式之下,高齡者所

上觸控螢幕的介面呈現方式,並沒有統一的規

需的操作時間都比中高齡者與年輕族群所需的

格,因此介面設計師會依照個人主觀的概念設計

操作時間長。對於中高齡族群,在加框的按鍵回

觸控按鍵的尺寸與回饋方式,往往在沒有考慮使

饋方式下,連續點擊任務完成時間與年輕族群相

用者的需求前提上,過度強調回饋效果予以誇張

似,並不受老化的影響。推究中高齡為戰後嬰兒

或強調,以追求其獨特性及注目性,而造成高齡

潮世代,有較多的機會接觸到資訊科技,且部分

使用者的困擾。本研究所提出的視覺回饋效果,

仍在就業的中高齡者,對於數位科技的產品介面

乃是希望可以透過實驗設計的數據資料與受測

使用率較高,也擁有相關的電腦學習經驗(Chou

者的主觀意見,檢視目前資訊社會下的觸控介面

& Hsiao, 2007),因此,較能夠理解本實驗所提供

設計元素。對於高齡者而言,在學習操作觸控介

的按鍵加框回饋方式,在觸控螢幕的點選任務

面時,若觸碰按鍵尺寸過小時,則必須仰賴視覺

中,擁有與年輕族群相近的操作績效 。根據

回饋來增加觸控動作的準確度。位移放大與原位

Armbrumlster, Sutter & Ziefle (2007)的研究報告

擴大回饋已逐漸在觸控介面受到重視與應用,其

顯示:中高齡族群在電腦觸控板上的任務操作績

概念為利用按鍵擴張與位移的概念,加強其動態

效,受到老化影響的程度較少,其績效與年輕族

資訊,因此,對高齡者而言,可以獲得較高的使

群相似;與本研究的結果一致。整體上,在無變

用性評價。因為訊息的變動可吸引高齡者的注意

化與加框等按鍵回饋方式操作下,按鍵尺寸因子

力,使其對訊息的理解增加,以誘發使用者動

影響受測者的連續點擊任務績效,大致上操作時

作;且在動作進行中不斷提供漸變訊息,以增進

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Journal of Ergonomic Study, Vol. 12, No. 1, pp. 59-70 (2010)

動作之間的協調性。同時,透過訪談結果,高齡

響。因此,在使用者介面的設計上,若無法避免

者也表示此類的回饋方式,在操作過程中,可以

使用較小的按鍵尺寸時,可以運用不同的按鍵回

有效連結過去經驗,強化其自動化反應,讓整個

饋效果,來輔助使用者提高觸控任務的滿意度與

觸控操作無須造成過多的注意力負荷;反之,提

與減少操作錯誤次數。尤其,對高齡者而言,運

供框線的按鍵回饋方式,因其在完全可視的資訊

用原位放大與位移放大等回饋方式可協助觸控

平面上,可做有效的視覺索引協助(李傳房 & 才

螢幕介面的操作任務。

敏傑, 1999),故廣泛存在於在一般的電腦與資訊 產品介面;但若是套用在小型觸控螢幕的介面操

誌謝

作上,往往會因為手指的遮蔽效果,減低高齡者

本論文為執行行政院國家科學委員會補助之專

對於細節的視覺注意力,且高齡者缺乏電腦操作

題研究計畫(計畫編號:NSC 97-2221-E-224-024)

的經驗,無法移轉相關的操作概念於此介面回饋

的部分成果;由於行政院國家科學委員會的補

方式。謝承勳等人(2008)的研究同時提到不同的

助,使此研究得以順利完成,特此致謝。

按鍵動態回饋效果與選單功能具有關連性的模

參考文獻

式存在。故,未來的觸控介面,應該考量到不同

小木和孝(1988), 人間工學手冊 : 日本出版服務 社.

任務的內容與複雜度。本實驗為連續觸控的點選 任務,屬於頻繁及基本的動作,其介面提供回饋 的強度必須在瞬間展現,並清楚的表現其改變的 地方;對於愈不頻繁及複雜的任務動作,其回饋 強度與呈現方式也會有所不同。本研究的按鍵回 饋方式,在路徑、範圍與方向上都具有一定的動 態變化量,對於使用者在視覺的初步感知反應與 其操作績效影響程度各不相同,未來的研究可進 一步深入探討不同的任務屬性與回饋效果,將不 同參數量的回饋方式進行組合搭配,找尋適合不 同使用族群的觸控螢幕設計。

5. 結論 本研究從操作時間及操作錯誤次數探討不同年 齡族群對於小型觸控螢幕按鍵尺寸與視覺回饋 方式的操作績效。由結果得知,整體操作績效, 高齡者所需的操作時間比年輕人所需要的操作 時間長;在沒有按鍵回饋效果時,按鍵尺寸越大 時,觸控螢幕的操作績效會越高。對高齡者而 言,操作小型觸控螢幕時,當按鍵尺寸為 4mm 和 6mm 時,最佳的回饋方式為原位擴大與位移 放大,可減少其操作錯誤次數;在框線回饋與無 回饋的條件下,其操作時間較長且主觀滿意度 低。而對於中高齡族群,在加框的按鍵回饋方式 下,績效時間與年輕族群相似,較不受老化的影

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Study on the Usability of Various Button Sizes and Visual Feedbacks in Small Touch-Screens

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Study on the Usability of Various Button Sizes and Visual Feedbacks in Small Touch-Screens

Study on the Usability of Various Button Sizes and Visual Feedbacks in Small Touch-Screens Wang-Chin Tsai, Li-Wen Ro and Chang-Franw Lee Graduate School of Design, National Yunlin University of Science and Technology, Taiwan

ABSTRACT The main purpose of this research is to investigate the usability of various button sizes and visual feedbacks in small touch-screens for the users of different age groups. This study uses a three-factorial experiment, ba s e dona“ 3( a g eg r oups )by3( bu t t o ns i z e s )by4( v i s ua lf e e db a c k s ) ”de s i g n.A t o t a lo f12s i mul a t e d prototypes were created for the experiment. The subjects were divided into three age groups: young, middle aged, and elderly, and were invited to take part in a between-s ubj e c t se xp e r i me n t .Thepa r t i c i p a nt s ’t a s k time and error rates were recorded when conducting a continuous-touch task. Moreover, the participants were also asked to complete a questionnaire for user satisfaction from each icon feedback. The result indicated that in the continuous-touch task, the time taken by the elderly was longer than that taken by young subjects. Further, in the absence of icon feedback, the bigger the button size, the higher the performance on the continuous-touch task. The time taken by the elderly was the highest; further, with border feedback and in the absence of icon feedback, the performance of the elderly was the slowest. The best icon feedback for the elderly was the one wherein the icon was enlarged and moved on the screen; this icon feedback yielded lesser errors and higher user satisfaction. With regard to the elderly group, it is suggested that appropriate visual feedback can improve continuous-touch performance and enhance user satisfaction. The results of this study can be used as a reference for interface design in small touch-screens. Keywords: elderly, touch interface, button size, feedback

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SUPPORTING THE MANAGEMENT OF OSTEOARTHRITIS PAIN: A NEEDS ANALYSIS Sara E. McBride1, Wang-Chin Tsai2, Camilla C. Knott3, Wendy A. Rogers1 1 Georgia Institute of Technology, Atlanta, GA 2 National Yunlin University of Science and Technology, Yunlin, Taiwan 3 Aptima, Inc., Washington, D.C.

Copyright 2011 by Human Factors and Ergonomics Society, Inc. All rights reserved DOI 10.1177/1071181311551059

Osteoarthritis is expected to affect approximately 72 million older adults by the year 2030. It is one of the top causes of disability, mobility problems, and chronic pain among older adults. With so many individuals affected, it is important to identify how to effectively manage the pain associated with osteoarthritis. The purpose of the present investigation was to determine the factors and knowledge critical to the successful management of osteoarthritis pain and to evaluate the management tools currently available to the general public. We conducted structured interviews with three subject matter experts (SMEs). The interviews identified critical variables in pain management, such as physical activity, mood, and medication taking behavior, as well as common misconceptions about pain management held by many older adults. In addition, we assessed the usability of available pain management tools with six older adults and conducted a heuristic analysis of several additional pain management tools available on the market. All of the tools reviewed were found to be lacking in several key areas, such as failing to include critical variables and difficulty integrating the data collected into a meaningful representation of oneâ&#x20AC;&#x2122;s pain experience. Resolving these issues will improve the quality of life for individuals suffering from osteoarthritis.

Osteoarthritis is a joint disorder in which the cartilage between the bones wears away. The disease is one of the top five causes of disability (Michaud et al., 2006), the leading cause of mobility problems and chronic pain among older adults (Peat, McCarney, & Croft, 2001), and a known risk factor for accelerated functional decline (Verbrugge, 1992). Osteoarthritis also increases the costs of health care. Data from the 1996-2005 Medical Expenditure Panel Survey indicate that osteoarthritis alone (i.e., controlling for comorbidities) incurs $185.5 billion in healthcare costs annually. Chronic pain, one of the hallmark symptoms of osteoarthritis, has been found to increase the risk of depression, anxiety, and other emotional disorders (Van Baar, Dekker, Lemmens, Oostendorp, & Bijlsma, 1998). Indeed, the chronic pain associated with osteoarthritis often dominates other impairments associated with osteoarthritis such as stiffness, reduced flexibility, joint deformation, and reduced stability (Vogels et al., 2003). Finally, more than 12% of the total US population suffers from osteoarthritis (Lawrence et al., 2008). With the aging of the baby boomers, it is projected that 72 million people, or approximately 20% of the population, will be over 65 years old and at high risk for osteoarthritis by 2030.

Osteoarthritis can markedly impair physical function, emotional well-being, and general quality of life for a large portion of the population. However, it is far less clear how sufferers of osteoarthritis can effectively manage their experience of pain. In particular, people may have difficulty identifying factors that trigger or reduce their pain. Further, some current pain management programs are limited to treating symptoms through medication and thus ignore other contributing factors. Evidence from a recent study suggests that actively involving and educating patients about their care helps reduce pain levels (Borders, Xu, Heavner, & Kruse, 2005). The extent to which commercially available tools for pain management actually support peopleâ&#x20AC;&#x2122;s understanding of relevant factors and present this information in a useful form is unknown. The purpose of the present investigation was to a) determine the factors and knowledge critical to the effective management of osteoarthritis pain, and b) to evaluate pain management tools currently available to the general public, keeping in mind the critical factors and knowledge. To determine the factors most relevant to pain management, we conducted structured interviews with three subject matter experts (SMEs). In addition, we conducted a


PROCEEDINGS of the HUMAN FACTORS and ERGONOMICS SOCIETY 55th ANNUAL MEETING - 2011

usability analysis of two available pain management tools with six older adults and a heuristic analysis of several additional pain management tools available on the market. The present data provide the basis for a requirements analysis of osteoarthritis pain management tools. SUBJECT MATTER EXPERT INTERVIEWS Participants Two SMEs were program directors for the Arthritis Foundation and were involved in the education and behavioral modification programs offered to the general public. The third SME was the director of assisted living for a local senior living community directly involved in the development of the residents’ care plans (including pain management). Method The SMEs were asked to describe the key factors that individuals need to be aware of to successfully manage their pain, such as what increases and decreases osteoarthritis pain. Further, the SMEs were asked to describe some of the common misconceptions older adults have regarding their osteoarthritis pain management. Results The SMEs stressed that an important concept to consider is people’s awareness of their disease and how it affects them individually. For example, when discussing how complex a person’s pain experience can be, one SME commented, “It is so individualized; there really isn’t any general, total one single generalization that you can do for everybody. There are a lot of contributing factors to how one experiences pain.” For individuals to truly make sense of their pain experience they have to take the general guidelines and recommendations set forth by health care professionals and organizations such as the Arthritis Foundation and determine what is pertinent to them. The important role of physical activity in reducing pain was highlighted repeatedly in the interviews. However, the SMEs also noted that

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individuals need to have an understanding of their personal, functional limitations, as pushing oneself too far can lead to harm rather than benefits. The SMEs also discussed the importance of adhering to medication regimens and understanding the true risks associated with relevant medications. Additionally, factors such as a healthy body weight, positive mood, and sleep quality were discussed as moderators of pain. One barrier to successful pain management may be individuals’ lack of understanding surrounding their pain experience, including what contributes to and reduces their pain. The SMEs described some of the common misconceptions that older adults have regarding pain management. Some older adults have a defeatist attitude in which they do not believe that they have control over their pain experience. This belief may keep them from engaging in certain behaviors that might alleviate pain. Further, older adults may not understand the role of some of the key behavioral variables relevant to pain management. For example, older adults may believe that physical activity should be avoided because it makes pain worse. As previously mentioned, an appropriate amount of physical activity is a key component in controlling pain. Additionally, proper adherence to medication regimens can play a critical role in keeping pain under control. However, the SMEs reported experiences whereby some older adults refused to take medication on a regular basis due to fears regarding side effects and the possibility of addiction to certain pain medications, although the likelihood of this is very low. Lastly, in some cases the delayed effects, rather than immediate effects, of certain behaviors, such as physical activity, can mask the understanding of how these factors can impact pain. The SME interviews provided insights into the critical variables related to pain management that a pain management tool should include, such as physical activity levels, mood, sleep quality, and medication taking behavior. We developed a categorization of those variables that is depicted in Figure 1. Clearly, there is a large set of knowledge required to effectively manage osteoarthritis pain. In addition to the amount of knowledge, many of these variables are complex, dynamic in nature, and interact with one another.


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Materials. The first application was My Pain Diary Lite (see Figure 2; My Pain Diary Lite, 2009).

Figure 1. Knowledge required to manage osteoarthritis pain. To assist individuals in keeping track of this complex information and better understand what drives their pain experience, software developers have created pain management applications. However, it is not clear how well these applications meet that purpose. If individuals have a difficult time using them or interpreting the data gathered, then learning about their condition may be impeded. Therefore, usability and heuristic analyses were conducted on available applications. USABILITY AND HEURISTIC ANALYSIS

Figure 2. Entry screen in My Pain Diary Lite©. The second application tested was Chronic Pain Tracker (see Figure 3; Chronic Pain Tracker, 2009).

The goal of the usability testing was to test, observe, and document older adults’ interactions with pain management software applications currently available on the market. Participants Six older adult participants (65 – 80 years old), with a range of computer experience participated. These included three males and three females. Method Two pain management applications were tested on the Apple iPad device. These applications were among the first results of a search of the Apple iTunes Store using search terms such as “pain tracker”. The iPad has a 9.7-inch (diagonal) LEDbacklit touch screen display. The order in which participants saw the applications was counterbalanced. For each application, the participants’ task was to create an entry. Participants were given instructions how to create an entry by the experimenter for the first entry. All following entries were unassisted unless help was requested.

Figure 3. Entry screen in Chronic Pain Tracker©. Usability Analysis Results My Pain Diary Lite. Participants commented that the pain rating scale of zero to 10 was not very informative; the only description was of the anchors stating that 0 = no pain and 10 = worst pain imaginable. Further, participants noted that adding descriptors to the list of possible choices


PROCEEDINGS of the HUMAN FACTORS and ERGONOMICS SOCIETY 55th ANNUAL MEETING - 2011

for items such as type of pain and location of pain was labor intensive and may just be skipped in the future. Omitting such information from the entries makes them less valuable to users as well as to health professionals looking at them retrospectively and trying to identify patterns or trends. From an observational standpoint, participants seemed to have a difficult time remembering the last step of creating an entry which was saving the entry. This may be due to the fact that to save, users must tap the paper clip icon rather than a more traditional save button. However, in general users seemed to have a fairly easy time navigating from each entry item to the next. Chronic Pain Tracker. Participants commented that the redundancy in the pain level rating scale was helpful. Not only was the scale from zero to 10 but it was also color-coded and provided cartoon faces to represent pain. In terms of indicating the location of one’s pain, participants liked the ability to draw on the human form as well as to use different colors. When creating a new entry, the application would automatically fill the entry with the previous entry’s information (this default could be turned off). Some individuals liked this option because it would save them from having to re-enter data if their pain was fairly consistent, however others found it slightly confusing; they were not sure if they had already entered the current information or if it was the previous entry’s data. Further, the list of pain descriptors to be selected from was a large set, which individuals liked. However, to add a new pain descriptor one had to abandon the current entry and go the settings menu and add the descriptor, then restart the entry. The layout of the items within the application did not support an ordered, sequential entry of data. The various items to be entered were different sizes and the layout was not consistent throughout the screen. Participants sometimes would lose their place in the middle of completing their entry and have to double check whether they had entered the data. General. Overall, participants preferred using Chronic Pain Tracker to My Pain Diary Lite. Users made several suggestions for features they would like to see in applications like these, such as the ability to link a pain descriptor to a particular

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location on the body, as pain can vary in different locations. An option to have multiple user accounts for the application was also requested, as well as password protection for this potentially private health information. Further, participants saw the value in being able to access and share historical reports of their pain entries with other individuals, such as health care professionals. Heuristic Analysis Results The two applications were also assessed using a heuristic analysis approach. Both applications failed to capture several key variables, such as physical activity, mood, and sleep quality. Beyond missing these important data points, the manner in which the tools collated and visualized the historical data and presented it was not useful. For the most part, the programs simply provided data in the form of spreadsheets. In the few cases where the data were depicted graphically, the visualizations were difficult to interpret. We also conducted heuristic evaluations of additional, similar products currently available to consumers. We wanted to ensure that the limitations we observed were not specific to the two systems we analyzed. We evaluated Med Help, Chronic Pain Tracker, Relief Insite, eTrack Pain, Pain Diary, In the Face of Pain, Pain Monitor, and Pain Care. The analyses revealed that these applications suffered from similar deficiencies as the two tools examined in the usability analysis. There are barriers to gathering, analyzing, and communicating pain and activity data. No single product currently available was easy to use, inclusive of relevant variables, or successful in conveying the interaction of different variables. DISCUSSION Given the prevalence of osteoarthritis, and the negative impact of osteoarthritis pain on quality of life, there is a need to provide improved patient education to support individuals who suffer from this health condition. Managing osteoarthritis pain involves understanding a large body of information about critical variables that influence pain and how these variables interact.


PROCEEDINGS of the HUMAN FACTORS and ERGONOMICS SOCIETY 55th ANNUAL MEETING - 2011

The information gleaned from the SME interviews helped identify the variables critical to pain management, including physical activity, mood, sleep quality, and medication taking behavior. With such a range of variables, it is important to have some method of recording and analyzing these data as they relate to an individual’s pain experience. However, the usability and heuristic analyses revealed that current tools are limited in their ability to improve pain management and hence quality of life because of (1) the absence of key measures, such as physical activity; (2) the inability to integrate key measures to develop a multi-dimensional portrait of one’s pain experience; and (3) the absence of capabilities to support learning about one’s pain experience. Further, the tools’ ease of use by older adults was compromised by various design characteristics that must be considered in future tools, such as poor layout, uninformative anchors on pain scales, and difficulty modifying certain settings. The usefulness of future systems will depend on their ability to integrate multiple sources of data such as behavioral and affective data, to capture these data without relying entirely on self-report by users, and to create meaningful visualizations that help users understand the patterns that exist in their experience of pain. This study provides guidance for design of tools that facilitate the understanding of relationships between pain and contributing factors to improve pain management through lifestyle changes. ACKNOWLEDGMENTS This research was supported in part by a grant from the National Institutes of Health (National Institute on Aging) Grant P01 AG17211 under the auspices of the Center for Research and Education on Aging and Technology Enhancement (CREATE, www.create-center.org). Thanks to Pat Parmelee, Jason Sidman, Matt Puglisi, Brian Jones, Myung Choi, and the Arthritis Foundation. REFERENCES Borders, T., Xu, K., Heavner, J., & Kruse, G. (2005). Patient involvement in medical decision-making and pain among elders: Physician or patientdriven? BMC Health Services Research, 5(4).

290

(2009). Chronic Pain Tracker [Computer software]. Chronic Stimulation, LLC. (2010). Chronic Pain Tracker [Computer software]. Med Help. (2010). eTrack Pain [Computer software]. eTrack. (2010) In the Face of Pain [Computer software]. Purdue Products L.P. Kancherla, V. (2011). Pain Care [Computer software]. Ringful, LLC. Lawrence, R. C., Felson, D. T., Helmick, C. G., Arnold, L. M., Choi, H., Deyo, R. A., Gabriel, S., … Wolfe, F. (2008). Estimates of the prevalence of arthritis and other rheumatic conditions in the United States. Part II. Arthritis & Rheumatism, 58(1), 26-35. Lynn, D. (2009). My Pain Diary Lite [Computer software]. Michaud, C. M., McKenna, M. T., Begg, S., Tomijima, N., Majmudar, M., Bulzacchelli, M. T., Ebrahim, S., … Murray, C. (2006). The burden of disease and injury in the United States 1996. Population Health Metrics, 4(11). (2008). Pain Diary [Computer software]. Levant Technologies. (2011). Pain Monitor [Computer software]. Vital mHealth. Peat, G., McCarney, R., & Croft, P. (2001). Knee pain and osteoarthritis in older adults: a review of community burden and current use of primary health care. Annals of the Rheumatic Diseases, 60(2), 91-97. (2011). Relief Insite [Computer software]. ReliefInsite.com, LLC . Van Baar, M. E., Dekker, J., Lemmens, J. A., Oostendorp, R. A., & Bijlsma, J.W. (1998). Pain and disability in patients with osteoarthritis of hip or knee: The relationship with articular, kinesiological, and psychological characteristics. Journal of Rheumatology, 25, 125-133. Verbrugge, L.M. (1992). Disability transitions for older persons with arthritis. Journal of Aging and Health, 4, 212-243. Vogels, E., Hendriks, H., Van Baar, M, Dekker, J., Hopman-Rock, M., Oostendorp, R., Hullegie, W., … Verhoef, J. (2003). Clinical practice guidelines for physical therapy in patients with osteoarthritis of the hip and knee. Amsterdam: Royal Dutch Society for Physical Therapy.


THE DEVELOPMENT OF A PARTICIPATORY DESIGN RESEARCH FOR KITCHEN CRUET WITH OLDER ADULTS Wang-Chin Tsai1,2, Yi-Lin Ro1,2,Chang-Franw Lee1, Wendy A. Rogers3 1.Graduate School of Design, National Yunlin University of Science and Technology,123 University Road, Section 3, Douliou, Yunlin County 64002, Taiwan, R.O.C 2. Department of Product and Media Design, Fo Guang University No.160, Linwei Rd., Jiaosi, Yilan County 26247, Taiwan(R.O.C.) 3.School of Psychology, Georgia Institute of Technology, 654 Cherry Street, Atlanta, USA

ABSTRACT We reported on a case study of participatory design (PD) with older users. This method conducted by including seniors as co-designers of kitchen cruet products in a natural environment. A participatory design team consisted of ten old women and two industrial designers through a series of participatory activities over a period of six months. A soy sauce package design was created as a case study and refined through a regular group sessions. Based on prototypes and participants’ opinions gathered from these sessions, we presented a modified and redesigned soy sauce bottle that the team developed. We reflected the process of participatory design with older adults and tested formal usability dimensions of the product itself. We presented the results of the reflection and testing as themes, integrated analyses for involving older adults in package design. To be successful, participatory package design with older adults requires a clear shared purpose, careful participant selection and structuring meeting, and respectful consideration in mutual activities..

Keywords Participatory design, older adults; kitchen cruet products

INTRODUCTION Aging is a critical issue in Taiwan(what’s the other critical issue in Taiwan except again? You don’t say “as well” unless there’s other issues you want to mention). The proportion of older population in Taiwan reached 7 percent in 1993, which qualified it as an “aging nation” as defined by the United Nations, and 24 percent of the older adults are living alone (Ministry of Interior, 2011). Such a rapid growth of aged population has caught attention by both government policy makers and academic researchers in Taiwan. One area of study has concentrated on the study of aging process and the product design of the older adults. However, health issues and physical limitations sometimes make it difficult for seniors. Understanding the aging limitation and providing good design products could help them remain independent and improve their quality of life. In Taiwan, older adults who live alone will cook by themselves a proper meal for personal health needs or nutrition requirements. While cooking, some liquid cruets or bulk foods in kitchen are canned or bottled for preserving perishable food stuffs. Older adults might experience difficulty when opening a can or a bottle even using the opening tool (Steenbekkers & Beijsterveldt, 1998). It was also found that older adults and weaker users might have difficulties using many kitchen products (Lewis et al., 2007). Those products are


sometimes created with low price market strategy and designed without considering older adultâ&#x20AC;&#x2122;s limitation thoroughly, resulting in a bad product quality and exclusion them from everyday life. There is a need to provide a specially-designed packaging that can be used conveniently by the majority of this population. Under this circumstance, designers have an increasingly important role to think how to offer design considerations for related kitchen products for seniors. Some existed national standards and guidelines (ISO/TR 22411, 2008 ; ISO/IEC Guide 71:2001) provide a framework for packaging and receptacles design in household that takes into account the varying physical and sensory capabilities of users to ensure that it can be used by the older adults. Moreover, researchers proposed several methods for a better understanding and concerns of older adults in design process(Newell, Arnott, Carmichael, & Morgan, 2007), ranging from widely techniques like interviews, usability testing, observation, participatory design, etc. Participatory design particular has been successful in eliciting requirements from older users. The ideas and comments of old people certainly play an important role in the design process. Allan et al. (1996) stated that there was a need for much more involvement of older users at all levels in the design process. Woudhuysen (1993) claimed that older people, besides responding to questionnaires and attending to focus groups, should also work in teams with designers, entering early and directly into the design process. This study reported on a participatory design process using the soy sauce bottle as a design case study. The results described challenges, successes, and the possibility of giving both designer and older adults a voice in the design process with methods that make sense for each. We found that what these older adults had suggested was important to focus on in the co-design activities and would help designers gain more insight into the soy sauce bottle design.

PARTICIPATORY DESIGN PROCESS- Recruitment and Participants We recruited older adults by sending flyers to community associations. People who were interested then called us and we conducted a phone interview with each one to understand their cooking experiences and household setting. We collected a small amount of demographic data during these interviews and subsequently invited them to join us for a pilot session. In total, ten participants came to the first session. Two weeks later, six older adults agreed to join the whole participatory design. The sample participants consisted of 6 married female and spread over urban and rural locations in Taiwan with different socio-economic backgrounds. Table 1 represents ages and reported sensor motor difficulties of the participants. Participants missed a few design meetings due to scheduling conflicts. This step involved identifying key groups of end-users and forming a participatory design team of intended older users. The goal of this step was to open chances of cooperation between intended users and the designers. Table 1. Participatory design team composition. Age Sex Cooking experience 76 F Yes-Moderate

Difficulties

71

F

Yes-Moderate

Eyesight

78

F

Yes-Moderate

Tremors

76

F

Yes-Expert

Eyesight

67

F

Yes-Moderate

Hearing,

66

F

Yes-Moderate

Eyesight Tremors

Eyesight


Participatory Design Sessions Two industrial designers and the six older adult participants were involved in the participatory design .The methods employed here were dialogue, scenario creation, and asking pre-set sets of questions. As none of the participants have experienced a participatory design session in their lives, almost all were very shy at the beginning. The designers had to make them imagine themselves in some related scenarios to be able to start the session. Narratives and metaphors were considered positive language use for this activity to elicit tacit knowledge and to allow the designers to gain insight into the mindset of the users. The participants provided ideas and defined their exact needs and preferences towards the current soy sauce bottle design based on their past using experiences and scenario creation with their own words (see Figure 1)..

Figure 1. Older adults wrote their needs and opinions for the current soy sauce bottle design Problems observation and analysis Understanding usersâ&#x20AC;&#x2122; real problem or problems is an integral part and is critical to the success of participatory design. We asked older adults to perform several tasks to understand their current difficulties, summarized below (Figure 2) while using a soy sauce bottle Outside Packaging: Problems with plastic wrap on the top of the cap that was hard to tear off was reported by older participants, leading to a possibility of finger injury. This type of packaging relied more on dexterity and fine touch. Bottle Size: The older adults preferred small and thin bottle with plenty of space for griping. Moreover, they could not pour out the liquid sauce precisely because of the heavy weight and hand tremor problems. Misplacement: Older adults reported that when they used a soy sauce bottle, one of their big problem was that the sauce overflowed around the cap and bottle, slipped out of their hands, slopped all over the kitchen counter. These findings were validated by a further round of designers to discuss problems related specifically to the whole usage process.


Figure 2. Soy sauce opening and pouring tasks

Brain storming, idea writing and sketching The designers asked the participants to tell their ideas, whether positive, negative, or neutral during this session (Figure 3). From the stated negative points by the participants, the designers asked them how it could have been in a better way, and how the related parts could have been designed.

Figure 3.Braim storming between designers and older adults

To continuously follow the development of the brain storming session, older adults were given blank papers to draw and write purposely with encouragement from the designers to provide opinions. This was believed to give them a control of the situation and a feeling that they were really designing. We encouraged older adults to think about how the soy sauce bottle to work, or what would become next logically. Sometimes they were more interested in description about existing design ideas rather than creating their own. A set of idea aspects on soy sauce bottle (see Figure 4), already written and sketched on papers were distributed to the participants and designers.


Figure 4.Ideas from the discussion between designers and older adults

Prototype Developing The designer team as a whole created real prototypes for older adultsâ&#x20AC;&#x2122; ideas. This helped solidify the earlier conducted session. Throughout the prototyping, we saw evidence of continued refinement of requirements and problems. Creating the working model especially helped the older aduts determine what the functional requirements would be. As shown in Figure 5 in the way of easy opening and holding of a soy sauce bottle , shape of knob cap (A); the non-slip surface of bottle (B); the notched caps of upper parts (C); the soft materials of the cap for two direction usage, on the handles places fingers in a comfortable position (D); the turning point on the bottle neck (E); were selected from older adults as the representative features to consider while designing the final soy sauce bottle.

Figure 5. Selected concepts for the prototype Evaluation and Refinement The designers continuously made a detailed presentation of the listed conceptual designs, explaining how they were conceived, and how they related to the ideas and requirements that were pointed out in the previous sessions by the older participants. The designers, while taking notes, were again impartial moderators during the sessions and encouraged the older participants to make more comments, corrections and contributions directly onto those drawings and prototypes. At the end of the session, the corrected prototypes were selected and examined to refine the final design concepts. Examples of corrections made during this session by older participants are shown in Figure 5 below.


Figure 5. The process to refine the final concept

User trial and product evaluation User trial was applied in many research projects and in the industry. It consisted of user groups mainly trying prototypes or finished products. By using this user trial, useful feedback can be provided to designers regarding the tested products. We conducted usability user trial with each older adult for their approval and verified the completed mockup after the participatory design session. Older adults then pointed out where adjustments ought to be made, and what design elements were particularly needed to be modified. Older participants completed a set of three tasks in different situations. The task set involved: opening the cap, pouring less and more quantity of the soy sauce. These functions were selected because they were the typical features that the seniors included in the previous session. Moreover, a questionnaire was given to the older participants to make an evaluation after completing tasks with the mockup. The results revealed that older adults were satisfied with the concept created by them and coordinated by the designers, which found optimal ways to solve the problems according to the requirements and proposals of the older users.

Figure 6. User trial for the soy sauce pouring task

DISCUSSION Participatory activities can help elicit valuable responses from participants that are difficult to obtain from large-scale studies such as surveys. With between 6 months of face time with each older adult, we could understand individualâ&#x20AC;&#x2122;s responses to the soy sauce bottle usage. From our research, the collected data revealed explicit and tacit design knowledge through the discussion with older adults. Explicit design knowledge, like ideas drawn on the paper, is


readily available to designers to consider. Likewise, the process to understand tacit knowledge, like potential behavior from older adults, is also beneficial to remind the designers to take the difference into consideration. This outcome will enable the transfer of user knowledge to designers who may be able to use this knowledge for the usersâ&#x20AC;&#x2122; benefit. For the group of older adults in the participatory design study, it was important to let them feel supported and respected as a partner in the effort. Within the whole process we found it essential to establish trust and confidence, and to ensure that older adults were able to maintain their motivation by taking account of their opinions and desires. Empowering all the older adults to have and express an opinion was very important. Supportive statements, clear shared purpose, careful participant selection, structuring meeting, and respectful consideration in mutual sessions helped created a positive environment for expression and exploration We also found that there was conflict between the older adults and designers during the participatory activities. Each older adult, with their own set of abilities, proposed an individual idea that would fit most of their own personal use and needs. On the other hand, the designers tended to create their design in a more general way counting more diverse and popular generation. The different standpoints and diversity background in our research should be considered carefully in order to working successfully with older people CONCLUSION This research described the process that occurred in a completed participatory design with older adults. Unlike the traditional design method, it is important to note that the process itself is particularly enlightening. By meeting with the older adults continuously over time and engaging them in different sessions, they were able to articulate their needs more clearly, which enabled the designer team to achieve a better empathic understanding of the older users and to work on a project that was grounded in the interests of the user group. ACKNOWLEDGMENTS This research was received partly financial support from the National Science Council of the Republic of China Government, under Grant No. NSC 99-2221-E-224-024. The authors would like to acknowledge the contributions of and Ms. Pei-yi Lee in providing guidelines for material of this paper. REFERENCES Allan, J., Khong, C., W., Gilhaum, B., Hall, S., Kerwood, J., Macdonald, A., McNally, N., Nelson, D., Page, S., Stewart, S., Stovell, D. (1996). The Challenge of Age, Glasgow School of Art: The Foulis Press. Finger friction: grip and opening packaging. Wear, 263, 1124-1132. ISO/IEC Guide 71:2001, Guidelines for standards developers to address the needs of older persons and persons with disabilities ISO/TR 22411:2008, Ergonomics data and guidelines for the application of ISO/IEC Guide 71 to products and services to address the needs of older persons and persons with disabilities Lewis, R., Menardi, C., Yoxall, A. & Langley, J. (2007). Ministry of Interior, (2012), Taiwan population statistic report. Retrieved February 11, 2012 from http://www.moi.gov.tw/stat/index.aspx Newell, A., Arnott, J., Carmichael, A., & Morgan, M. (2007). Methodologies for involving older adults in the design process. the 4th International Conference on Universal Access in


Human-Computer Interaction, UAHCI 2007, Held as Part of HCI International 2007, Beijing, China. Steenbekkers, L. P. A., & Beijsterveldt, E. M. V. (1998). Design-relevant characteristics of ageing users. Netherlands: Subfaculty of Industrial Design Engineering, Delft University. Steenbekkers, L. P. A., & Beijsterveldt, E. M. V. (1998). Design-relevant characteristics of ageing users. Netherlands: Subfaculty of Industrial Design Engineering, Delft University. Woudhuysen, J. (1993). â&#x20AC;&#x153;A Call for Transgenerational Designâ&#x20AC;?. Applied Ergonomics. 24. 1: 44-46.


Effects of Training Program on Interface Task Performance for Older Adults Wang-Chin Tsai, Chang-Franw Lee Graduate School of Design National Yunlin University of Science and Technology

ABSTRACT This study is grounded on cognitive learning theory and the representative SRK model â&#x20AC;&#x153;Three Levels of Skilled Performanceâ&#x20AC;? suggested by Rasmussen. This study provides two different training programs (declarative knowledge training and procedural knowledge training) to determine the effects on 3 interface task performance (skill-based behavior task, rule-based behavior task, and knowledgebased behavior task). 32 older adults were divided into 2 groups and each group then participated in 2 training programs separately to examine the resulting performance on interface tasks. After training program, participants are requested to conduct Microsoft Media Player interface task on three levels of skilled performance and complete a questionnaire for the subjective satisfaction on the two training programs. Results show that the type of training material has main effects on different interface types operations. It reveals that older adults under declarative knowledge training program develop a better understanding of the knowledge-based and rule-based behavior tasks than procedural knowledge training program. The results are applicable to the development for the instructional design in the interface research filed. Keywords: Older adults, training program, interface task


INTRODUCTION Similar to many other countries in the world, the populations of Taiwan is aging rapidly (Ministry of Interior, 2009). This aging trend is also coincident with the dramatic development of computers, Internet and information appliances. Owing to the progress in microprocessor control, there are many electronic appliances and systems used in our daily life. For instance, in many places public transportation tickets can only be purchased at vending machines, and money from a bank account can only be withdrawn at a cash machine. However, older adults often experience problems when using these modern technologies. It has been shown in several studies that, for instance, the older adults have difficulties in using electronic appliances with smaller displayed characters and less effective user interface design. In order to create tools to enable self-reliance for older adults, Human-computer interaction textbooks state that individual differences, such as age, need to be taken into account in the designing process. Designers have to understand their unique physical characteristics, such as their motion, perception, and cognition, and put more emphasis than ever on satisfying their needs. Likewise, in a time when society is becoming more and more reliant on computers and the Internet, it is imperative that older adults also need to learn to use new electronic appliances and digital product so that they can also take advantage of the rich opportunities and resources, increase the autonomy provided by these technologies (Dickinson & Hill, 2007). Older people are able to learn to use computers, internet browsing and technological product effectively with appropriate training(Gagliardi, Mazzarini, Papa, Giuli, & Marcellini, 2008; Ng, 2008); their confidence and ease of use of these technologies are proportional to actual practice and they usually are enthusiastic about learning digital technologies(Gatto & Tak, 2008; Lagana, 2008). As regard to the training and learning, Researchers in aging and training have developed several training theory and design guidelines to help individuals, especially older adults, learn. To ensure the success of older adults with technology, researchers should incorporate these design guidelines into the design of training development. Training Design for older adults is the systematic development of instructional specifications using adult learning and instructional theory to ensure the quality of training. It is the entire process of analysis of training needs and goals and the development of a sophisticated program to meet those needs(Githens, 2007). It includes development of training materials and programs; and tryout and evaluation of all instruction and trainee feedback. Thus, designing training and instructional programs to promote meaningful learning has been a long-standing challenge. At the most fundamental level, the issues are what to teach and how to teach it. Before developing specific strategies that focus on the transfer of technological skills to novel technological problems that older adults are faced with in everyday interface activities, it is important to investigate whether this transfer can actually be achieved. Otherwise, research should focus on different approaches or programs of reducing older adultsâ&#x20AC;&#x2122; problems with technology: such as, specific training


programs for different tasks requirements. The present study focused on the design of training programs to facilitate both the acquisition of interface skills and the development of an adequate representation of the interface structure of a simple and complex task. To support the assertion that training program affects interface tasks acquisition, the following section will present a discussion of patterns of age-related differences in interface tasks acquisition. Then the training programs will be presented followed by a discussion of the theoretical framework of procedural and conceptual knowledge. The model of three levels of skilled performance grounded by Rasmussen's (1983) will be presented followed by to classify our interface tasks. The section will conclude with a discussion of the rationale for the present study.

AGING AND TRAINING PROGRAM While learning interface tasks, the aging declines may contribute to older adultsâ&#x20AC;&#x2122; need for longer training and poorer performance, in that, older adults may have trouble understanding the spatial structure of the interface. Older adults need to take advantage of their knowledge system for interface skill acquisition and problem solving. Knowledge in the training context can be broadly classified into two main categories: declarative knowledge and procedural knowledge. In the current research, we developed two training programs are grounded in the theoretical concept of procedural and declarative knowledge. Ontologically declarative knowledge relates to the what, where and when aspects of temporal and strategic knowledge domains. It is a static description which captures an insight of the physical world through the medium of words, images, sounds and emotions. For all practical purposes, declarative knowledge can be identified with explicit knowledge or knowledge that can be coded and clearly articulated in textual, graphical or verbal structures of representations (Nickols, 2000). Since declarative knowledge deals with the exposition of facts, methods, techniques and practices, it can easily be expressed, recorded and disseminated in the form of artifacts, written norms and verbal communications to become explicit knowledge assets. Procedural knowledge is related to the procedure to carry an action out. Knowledge about how to do something is procedural knowledge. Procedural knowledge is instruction-oriented. It focuses on how to obtain a result (Turban & Aronson, 1988). The overview provided of the key concepts of declarative and procedural knowledge forms potentially gives rise to the natural question of how these two categories of knowledge could tie in together organically as the integral components of a training program. In this research, procedural training program presents interface task information in a sequence of â&#x20AC;&#x153;how toâ&#x20AC;? steps or procedures. These procedures are specific goals and sub-goals necessary to complete the given interface task, therefore instilling procedural knowledge. However, declarative training program presents factual task information at each interface state, which is analogous to declarative knowledge. Training presented in declarative form consists of general facts that do not direct


translate into procedures. These programs must be interpreted into training development. Both training program have their advantages where procedural training could be less error prone and faster but declarative training is more flexible. And this is depends on different instructional task content and complexity.

THE SKILL, RULE AND KNOWLEDGE BASED CLASSIFICATION In this research, we use an influential classification of the different types of information processing involved in industrial tasks was developed by J. Rasmussen (1983)of the Risø Laboratory in Denmark. This scheme provides a useful framework for identifying the interface tasks likely to occur in different operational situations, or within different aspects of the same task where different types of information processing demands on the individual may occur. Rasmussen describes the simplest form of task behavior as skill-based behavior (SBB). It is controlled from the lowest level of the cognitive processing hierarchy, and may be characterized as "smooth, automated, and highly integrated" and takes place (critically) "without conscious attention or control". Effective SBB performance relies on heavy feed forward control flows throughout, "depends upon a very flexible and efficient dynamic internal world model", and will usually involve rapid coordinated movements. Examples of SBBs on some interface tasks are simple double click starting or pausing operation for digital product. As for the nature of the information at this level, SBB is described as relying on signals, which are defined as "representing time-space variables from a dynamical spatial configuration in the interface environment". The next level of task behavior complexity is rule-based behavior (RBB). It is controlled by the middle level of the processing hierarchy, and may be characterized as consisting of "a sequence of subroutines in a familiar work situation", where the subroutines follow previously stored rules, again relying primarily on feed forward control. Examples of RBBs on interface tasks are sequenced task decision and system control tasks such as the discrete maneuvering of aircraft or cars. As for the nature of the information at this level, RBB is described as relying on signs to indicate the state of the environment. These are defined as "related to certain features or rules in the environment and the connected conditions for action". Rasmussen also explicitly explains that "the boundaries between skill-based and rule-based performance is not quite distinct" sometimes, varying with both level of training and attention state. Rule-based control is ultimately based upon "explicit know how" - the rules can be explained in words by the person concerned; so if you cannot explain it then it must be skillbased. The highest level of complexity is knowledge-based behavior (KBB). It is controlled by the highest level of the processing hierarchy, relies upon a "mental model" of the system in question, and in general terms is to be strongly avoided because what it achieves in terms of sophistication it loses in the time it takes. KBB is therefore what you have to turn to only when SBB or RBB are momentarily not


up to the task at hand. This means that the goal of a given piece of KBB has to be "explicitly formulated" at the time it is needed, taking into account the nature of the problem and the overall aims of the subject. Examples of KBBs are problem solving and fault diagnosis. For some interface tasks, those are seldom-used or advanced function. Users are required to use their higher knowledge and logical method to complete a task. As for the nature of the information at this level, KBB is described as relying on symbols. These are defined as "abstract constructs related to and defined by a formal structure of relations and processes", and include prior knowledge itself and information processing ability.

HYPOTHESES- PERFORMANCE AT TEST - TRAINING X INTERFACE TASK INTERACTION Hypothesis: It has been suggested that participants who receive training program that focus on declarative knowledge develop a better understanding of the system structure than participants who receive instructions that focus on procedural knowledge (Zeitz & Spoehr, 1989). Also, Mead & Fisk (1998) found that older adults in a declarative training condition navigated the system structure better than those in the procedural training condition. Therefore, we assume the training program affects the performance of older adults operating different interface tasks. Older participants in declarative knowledge training should produce higher performance on the identification of three types of information processing tasks and take fewer interface error rates for untrained tasks than older participants in procedural knowledge training.

METHODS EXPERIMENTAL DESIGN A 2 (training program) x 3 (interface task type) nested design is adopted in this study. Two independent variables are training program: between-group factor (Variable A)and interface task type: within-group factor (Variable B). Training program variable includes declarative knowledge training(A1) and procedural knowledge training(A2). Tasks type variable consist of a skill-based behavior task (B1), rule-based behavior task (B2) and knowledge-based behavior task (B3) of Microsoft Media Player V11.0 control panel. The dependent variable is defined as the averaged complete time for each task from the starting till to the finished stage.

PARTICIPANTS In this study, we chose 32 participants in accordance with the training program arrangement. The 32 older adults were randomly chosen from the Adult


learning Center. Participants, as a function of condition, were 16 older declarative program trainees aged 58 to72 years (M=65.12, SD=6.23), the other 16 older procedural program trainees aged 63 to78 years (M=68.36, SD=4.17). All participants passed both near and far visual acuity with the criterion set at 20/40 (corrected and uncorrected). Those participants were no related Microsoft Media Player experience, but spent 30-60 minutes on internet browsing per week.

PROCEDURE OF INTERFACE TASKS AND TRAINING PROGRAMS

In this study, we use the Microsoft Media Player as a demonstration platform to train older adults on interface skill acquisition and problem solving for 6 interface tasks (including 3 basic tasks and 3 advanced tasks). The training program taught each older adults group separately what to do or how to do it with hard copy tutorials designed by the researcher. The declarative training program presented a conceptual paragraph for the interface task information, but didn’t include detailed and sequenced instruction for using it to complete the task. That is, the declarative training program told participant what to do instead of how to do it. Likewise, the procedural training program told the participants how to operate the tasks but didn’t explicitly tell them what they were doing. The detailed training program content is shown as the table 1. After participant complete this assigned 30 minute training program, they were requested to perform 6 re-tested tasks based on 2 skill-based behavior tasks, 2 rule-based behavior tasks and 2 knowledge-based behavior tasks(to differentiate the training performance and effectiveness). Table 1. Sample as two training program content

Basic function training task-Please adjust the playlist in a certain order declarative knowledge training

procedural knowledge training

There are 7 songs in the playlist. You can image the playlist is similar to the Chinese abacus. Each song has its position. If you want to change the unit, you need to think how to move in a certain way by selecting up and down function. S1please select the song/ S2 drug it up and down in a certain direction/S3 see the different orders

Advanced function training task-To create a playlist by selecting songs from specific folder declarative knowledge training

procedural knowledge training

The scene is likely you are going to select bottle drinks on a vending machine. You need to think about the whole procedure. How to choose the wanted drinks in different location and category and the drink should appear in a slot on the bottom of the vending machine. S1 File/S2open file/S3 Select the dropped arrow /S4Select Disc D/S5.Seclect folder title as”Chinese song“. /S6 Select the song named”When Shall You Return? /S7open/S8hear the music。


STATISTICAL ANALYSIS For the analysis of the data, this study applied Two-way Analyses of Variance (ANOVA) to examine significant differences of the task performance of 2 training program conditions within each group. In addition, the significant differences were analyzed by utilizing the Scheffe Method as the post hoc test for multiple comparisons. Significance was accepted at the level of p<.05, while the degrees of freedom and corresponding probability, or the F-value, were also shown in the statistical test. In all, the statistical analysis was conducted by utilizing the Windows SPSS Statistics 17 Program.

RESULTS SIGNIFICANT ANALYSIS OF THE TWO INDEPENDENT VARIABLES The effects of two independent variables, training program and task types, were explored (Table 2). The analysis of variance indicated that both the training program [F (1, 90) = 12.59, p <.05] and the task type [F (2, 46) = 129.08, p <.05] affected performances of the participants. These findings also indicate that the training program and task types have the significant interaction effect among the older adults in the experiment [F (2, 90) = 11.93, p <.05]. Therefore, we continue perform the post hoc multiple comparisons in order to understand the relation between these two variables. The post hoc multiple comparisons were integrated and are shown in tables 3 and tables 4 in this study. Table 2.ANOVA table and significant analysis of two independent variables Source of Variances

Training program (A) Task type (B) A*B

Error ( A * B )

Sum of square

Df

MS

F

P value

9235.96

2

4617.98

11.93

.000

4875.91

99915.69 34832.78

1 2

90

4875.91

49957.85 387.03

12.59

129.08

.001 .000

*: p < 0.05

Table 3.Results of operational time on task types (unit: seconds) Source of Variances

SBB Task(B1) RBB Task(B2) KBB Task(B3) P value

Declarative training(A1) 20.3(3.6) Procedural training(A2) 19.2(4.5) *: p < 0.05

38.7(11.4) 40.7(10.0)

74.9(9.6)

116.9(44.3)

.001 .000

Post hoc tests B3>B2>B1

B3>B2> B1


Table 4.Results of operational time on training programs (unit: seconds) Source of Variances

Declarative

Procedural

P value

Post hoc tests

RBB Task(B2)

38.7(11.4)

40.7(10.0)

.021

A2>A1

SBB Task(B1)

KBB Task(B3) *: p < 0.05

training(A1) 20.3(3.6) 74.9(9.6)

training(A2) 19.2(4.5)

116.9(44.3)

.072 .003

-

A2>A1

According to the results of the ANOVA, there was a significant interaction between training program and task type on the performance of total times. For both training program, the performance of total time was larger on the knowledge-based behavior task than on the rule-based behavior task and skill-based behavior task (Table 3). Moreover, for knowledge-based behavior task, the performance of total time was the smallest on the declarative training program, followed by the procedural training program. For rule-based behavior task, the performance of total time on the procedural training program was larger than declarative training program (Table 4). There was no significant difference on the skill-based behavior task.

DISCUSSION Previous research on the acquisition of complex interface skills refers to the notion from a knowledge structure or a memory organization (Hickman, Rogers, & Fisk, 2007; Rogers, Fisk, Mead, Walker, & Cabrera, 1996). In this research, older adults who received declarative knowledge training program showed superior performance on the knowledge-based behavior task than procedural knowledge training program. Thus, presenting declarative information to older adults during training was more important than presenting procedural information. This is different than the previous research (Mead & Fisk, 1998). We assume that knowledge organization consists of both declarative memories, the part of long-term memory where factual information is stored, and procedural memory, the part of memory where knowledge of skills or procedures is stored. As processing continues through a knowledge-based behavior task, the interface tasks of early processing may no longer be available when later processing is complete. As a result, the procedural training would take longer and are more prone to more sequenced steps for older adults compared to declarative training programs. Furthermore, the questionnaire results partly explain the problems encountered by participants during training program. For example, certain subjects under procedural training could not fully understand and memorize the sequenced operational processes and button functions and operated tasks. As a result, for the rule-based behavior task or skill-based behavior task, it has little burden for them. However, when conducting the knowledge-based behavior task, they made several mistakes during operational processes and took a longer operational time. Many of them were furthermore reluctant to memorize the whole sequenced steps.


On the other hand, the declarative training program could provide the number of cognitive nodes when new information adds to existing information. Therefore, if older adults have less experience (i.e., existing information) about computers or digital interface, they may have a greater number of existing cognitive nodes and units to be made stronger with the storage of new information under the declarative training program. This strengthening of cognitive units may account for the development of an adequate training representation.

CONCLUSION This research summarized the possible application of providing training on the task types, and the issues that one should consider when developing training programs for older adults. Thus, older adults are capable of learning to use new interface tasks. The optimal training program will likely involve a combination of specific task types depending on the complexity level. The present study makes clear the relative benefits of declarative knowledge training program versus procedural knowledge training program for older adults and especially suggests when conducting the knowledge based behavior task, how instructor should incorporate declarative knowledge training program into these tasks.

REFERENCES Dickinson, A., & Hill, R. L. (2007). Keeping In Touch: Talking to Older People about Computers and Communication. Educational Gerontology, 33(8), 613630. Gagliardi, C., Mazzarini, G., Papa, R., Giuli, C., & Marcellini, F. (2008). Designing a Learning Program to Link Old and Disabled People to Computers. Educational Gerontology, 34(1), 15-29. Gatto, S. L., & Tak, S. H. (2008). Computer, Internet, and E-mail Use Among Older Adults: Benefits and Barriers. Educational Gerontology, 34(9), 800-811. Githens, R. P. (2007). Older Adults and E-learning: Opportunities and Barriers. Quarterly Review of Distance Education, 8(4), 329-338. Hickman, J. M., Rogers, W. A., & Fisk, A. D. (2007). Training older adults to use new technology. The Journals of Gerontology Series B: Psychological Sciences and Social Sciences, 62, 77-84. K umar, M, Organizing Curriculum B ased upon Constructivism: W hat T o T each and W hat Not T o, (2006), Journal of T hought, (41) , 81-94. Lagana, L. (2008). Enhancing the Attitudes and Self-Efficacy of Older Adults Toward Computers and the Internet: Results of a Pilot Study. Educational Gerontology, 34(9), 831-843. Mead, S., & Fisk, A. D. (1998). Measuring Skill Acquisition and Retention with an ATM Simulator: The Need for Age-Specific Training. Human Factors: The


Journal of the Human Factors and Ergonomics Society, 40(3), 516-523. Mead, S., & Fisk, A. D., (1998), Measuring skill acquisition and retention with an atm simulator: the need for age-specific training, Human Factors: T he Journal of the Human Factors and Ergonomics Society, 40(3), 516-523. Ministry of Interior, (2009), T aiwan population statistic report. Ng, C. (2008). Motivation Among Older Adults in Learning Computing Technologies: A Grounded Model. Educational Gerontology, 34(1), 1-14. Nickols, F. W . (2000). T he knowledge in knowledge management. B oston: B utterworth-Heinemann. R asmussen, J. (1983). Skills, R ules, K nowledge: Signals, Signs, and Symbols and other Distinctions in Human Performance Models. IE E E T ransactions on Systems, Man, and Cybernetics, SMC-13(3), 257-267, as cited in L ehto, M. R . (1997). Handbook of human factors and ergonomics (2nd E d.)(Gavriel Slvendy E d.), 1235-1236. New Y ork: John Wiley & Sons. Rogers, W. A., Fisk, A. D., Mead, S. E., Walker, N., & Cabrera, E. F. (1996). Training Older Adults to Use Automatic Teller Machines. Human Factors: The Journal of the Human Factors and Ergonomics Society, 38(3), 425-433. T urban, E ., & A ronson, J. (1988). Decision support systems and intelligent systems. Upper Saddle R iver, NJ: Prentice Hall. Zeitz, C. M. & Spoehr, K . T . (1989), K nowledge organization and the acquisition of procedural expertise, Applied Cognitive Psychology, 3, 313-336


2012 台商投資瓜地馬拉手冊

駐中美洲投資貿易服務團

編製


目錄 第一章

地理位置、人口與氣候…………………………………………………………01

第二章

政經中心、種族、語言與政治制度……………………………………………02

第三章

基本經貿概況……………………………………………………………………04

第四章

產業介紹…………………………………………………………………………14

第五章

營運成本…………………………………………………………………………18

第六章

勞工成本與法規…………………………………………………………………23

第七章

投資法規…………………………………………………………………………26

第八章

公司申請設立程序………………………………………………………………35

第九章

產品申請進出口程序……………………………………………………………39

第十章

台瓜自由貿易協定………………………………………………………………41

第十一章

外商與台商在瓜國經營狀況……………………………………………………44

第十二章

台灣駐瓜地馬拉大使館、技術團、投貿團……………………………………47

第十三章

租稅與金融制度賦稅……………………………………………………………51

第十四章

居留與移民………………………………………………………………………62

第十五章

中美洲六國 2011 世界銀行全球商業環境調查……………………………….64

第十六章

其他經貿相關資料………………………………………………………………68

2


第一章 地理位置、人口與氣候 瓜地馬拉於 1524 年淪為西班牙殖民地,至 1821 年始脫離西國而獨立,嗣於 1871 年發生自由 革命,確立政教分離原則,奠定法治基礎。瓜國為主權獨立國家,面積 108,889 平方公里,人口 1,471 萬人(2011 年 1 月)。北鄰墨西哥,西臨太平洋,東瀕加勒比海及大西洋,南與薩、宏二國接壤。瓜國 雖地處亞熱帶,因地形關係造成各種不同氣候型態,近加 勒比海區天氣酷熱而潮濕,太平洋岸則炎熱而乾燥,唯有 中央高原地區因地勢高,故氣候涼爽宜人,四季如春,首 都瓜地馬拉市即座落海拔 1500 公尺山區,月均溫介於攝氏 17-26 度之間。瓜國人口多集中於中央高原地區,除瓜地馬 拉市外,如第二大城給薩德南哥、索羅拉、奇瑪德南哥與 韋韋德南哥等主要城市皆位於 1700-2300 公尺之高原上。 河川依山脈走向,分別注入兩洋,Rio Motagua 為第一大 河,所有河川僅可行小船,但水利資源豐富,目前水力發 電佔總供電量之 37%。道路建設方面,除瓜京、省城重要 幹道為柏油路面外,碎石路面到處可見,基礎建設有待加 強。

1


第二章 政經中心、種族、語言與政治制度 首都瓜地馬拉市及其都會區人口約 272 萬人,為第一大城及全國樞紐及政經中心。瓜國擁有三 個主要國際海港,分別為大西洋之 Santo Tomas de Castilla 與 Puerto Barrios,以及太平洋岸之 El Quetzal。國際飛機航線由瓜地馬拉市至邁阿密需 2 小時 30 分,至紐約或洛杉磯也僅需 4.5-5.5 小時。 全國人口以瑪雅族居多,占總人口 50.1%以上,多分散於鄉村地區,居於城市之人口占總人口 46.1 %,人口成長率約 2.5%。西班牙語為官方語言,印地安人之方言多達 23 種。天主教為主要信仰,但 宗教信仰仍屬自由。瓜地馬拉於 1821 年 9 月 15 日正式自西班牙殖民統治下獨立。憲法於 1986 年 1 月 14 日始生效,並於 1993 年 11 修訂。瓜政府於 1996 年 12 月 29 日與叛軍簽署和平協定,結束長 達 36 年之國內武裝衝突。 瓜國國名為瓜地馬拉共和國(Republic of Guatemala),其實施三權分立之民主政體,總統由全民 選舉產生,任期四年,總統終身不得連任。瓜國人民自 18 歲起即獲選舉權,然現役軍人不具投票權。 瓜國正副總統選舉第二輪投票於 2011 年 11 月 6 日舉行,由愛國黨之培瑞茲(Otto Pérez Molina)及巴 爾德蒂(Ingrid Roxana Baldetti Elias)當選總統及副總統,並於 2012 年 1 月 14 日就職。由於瓜地馬 拉社會資源分配不均,貧富差距甚大,且暴力犯罪猖獗,故瓜政府以改善治安、發展鄉村基礎建設、 及促進國家經濟發展為其施政優先。國會則採一院制,現有議員共 158 席,任期亦為四年,得連選連 任。2011 年 9 月國會議員改選結果:愛國黨(PP)57 席(執政黨)、UNE 黨與結盟之 GANA 黨 48 席、 LIDER 黨 14 席、UCN 黨 14 席、CREO 黨 12 席、Viva-EG 黨 6 席、Frente Amplio 黨 2 席、PAN 黨 2 席、Unionista、FRG 及 Victoria 黨各 1 席。惟新政府上台後,國會政黨合縱連橫,UNE 黨與結 盟之 GANA 黨國會議員紛紛退黨加入其他政黨。目前超過 10 席以上之政黨共有 6 個;執政之愛國黨 65 席、LIDER 黨 18 席、GANA 黨 14 席、UCN 黨 13 席、CREO 黨 13 席與 UNE 黨 12 席,無一政 黨過半。 表 2-1 瓜地馬拉政治相關資料 正式國名 西文:República de Guatemala 英文:Republic of Guatemala 首都 瓜地馬拉市 (Ciudad de Guatemala) 省份 包 含 Alta Verapaz, Baja Verapaz, Chimaltenango, Chiquimula, El Progreso, Escuintla, Guatemala, Huehuetenango, Izabal, Jalapa, Jutiapa, Petén, Quetzaltenango, Quiche, Retalhuleu, Sacatepéquez, San Marcos, Santa Rosa, Sololá, Suchitepéquez, Totonicapán, Zacapa 等 22 個省 份。 獨立紀念日 1821 年 9 月 15 日 政體 2


民主政體 主要政黨 愛國黨(PP), 國家希望團結黨(UNE), 大國家聯盟(GANA), 自由民主革新黨(LIDER), 承諾革新秩序黨 (CREO), 國家進步黨(PAN)等 電話國碼 502 宗教 宗教信仰自由,天主教徒占 56.5%;基督教徒 30.2%

3


第三章

基本經貿概況 表 3-1

瓜地馬拉基本經貿概況表

人口

14,713,763(2011 年 1 月)

面積

108,889 平方公里

幣制

瓜幣(給薩 Quetzal,Q),平均匯率為 1 美元兌 7.7687 瓜幣(2012 年 3 月)

國內生產毛額 平均每人國民所得

US$468 億 9,180 萬(2011) ;US$496 億 1,000 萬(2012 預估) US$3,187

經濟成長率

3.9 %(2011)

工業成長率

3%

央行重貼現率

5.5%

通貨膨脹率

6.2%

勞動人口 失業率 外債 外匯準備 向我國出口值 出口總額 主要出口產品 主要出口國家 自我國進口值 進口總額 主要進口產品 主要進口國 主要農產 具發展潛力產業

557.1 萬 (2011 年) 8.3% US$56 億 490 萬(2011.12.31) US$61 億 8,790 萬 US$3,815 萬(瓜國央行統計);US$7,073 萬(我國海關統計) US$104 億 6,300 萬 成衣、咖啡、礦石類、蔗糖、香蕉、天然橡膠、石油、動植物油、荳蔻、 塑膠原料及產品、藥品等 美國、薩爾瓦多、宏都拉斯、墨西哥、尼加拉瓜、哥斯大黎加、巴拿馬、 日本、加拿大、德國 US$1 億 2,274 萬(瓜國央行統計);US$1 億 518 萬(我國海關統計) US$166 億 989 萬(2011) 機械電器、柴油、汽車和運輸器材、汽油、塑膠橡膠及其製品、紡織原料 及其製品、化工品、石油衍生產品、藥物、鐵及鋼製造 美國、墨西哥、薩爾瓦多、中國大陸、哥倫比亞、巴拿馬、哥斯大黎加、 南韓、宏都拉斯、日本 咖啡、蔗糖、香蕉、豆蔻、非傳統出口農產品(綠花椰菜、花卉、芒果、哈 密瓜、觀賞植物及雪豆等) 農產品加工、成衣加工、汽車零組件、醫療器材、電器電子業、電腦裝配 業、農機及農藥業、觀光業、採礦、石油及天然氣等能源產業。 4


外商投資金額 參與主要國際與區域經 濟組織

主要仲裁機構

9.58 億美元 (2011 年) 中 美 洲 經 濟 整 合 銀 行 (BCIE) 、 中 美 洲 經 濟 整 合 體 (Secretaría de Integración Económica Centroamericana, SIECA) 、 世 界 貿 易 組 織 (WTO)、國際貨幣基金(IMF)、世界銀行(WB) Centro privado de Dictamen、Conciliación y Arbitraje(民間仲裁組織)

資料來源:CIA World Fact Book, SIECA, 瓜國統計局(INE)

一、經濟概況與天然資源簡介 瓜國為典型以農立國之開發中國家,其農業產值約占國民生產毛額 13.3%,農業人口占勞動人口 半數,農產品以咖啡、蔗糖、香蕉、豆蔻、蔬菜、水果、花卉、稻米及橡膠等居多。木材亦為一大天 然資源,惟因環保意識高漲,政府已採保護措施並管制出口。瓜國雖產少量石油,因缺乏煉油設備及 採油皆屬外商,故大多數外銷。其他天然資源尚包括:硬玉、大理石、石灰石、鎳礦、水力、地熱等, 但均未充分開發利用。工業產值約占國民生產毛額 24%(製造業約占國民生產毛額 17.9%) ,除製糖 工業為最大工業外,其他以輕工業為主,例如,食品加工、成衣紡織、建築材料、輪胎及藥品等加工 業已蓬勃發展,享有歐美 GSP 及 CBI 之優惠待遇。商業及服務業方面,約占國民生產毛額 60.5%, 美國著名速食店及連鎖店如麥當勞、漢堡王、肯德基、SEARS 及 PRICEMART 已在瓜國設立分店。 瓜國銀行有 18 家,另金融財務公司亦有 14 家之多。

二、2011 年經濟回顧 根據聯合國拉丁美洲暨加勒比海經濟委員會(Economic Commission for Latin America and the Caribbean-ECLAC )「2011 年拉丁美洲暨加勒比海地區經濟概況結果」報告指出,2011 年拉丁美洲 及加勒比海區域經濟已走出 2008-2009 之金融危機陰霾,在 2010 年強力反彈後,2011 年仍續維持 成長趨勢,雖未如上年,惟該區域經濟成長率達 4.3%,每人國民生產毛額增加 3.2%。上述報告指出, 中美洲以巴拿馬經濟成長達 10.5%表現最佳,次為尼加拉瓜(4.5%)、哥斯大黎加(3.8%)、瓜地馬拉 (3.3%)、宏都拉斯(3.2%)及薩爾瓦多(1.4%)。瓜地馬拉 2011 年經濟成長率為 3.3%,主因為礦業、商 業及金融服務業大幅成長所致,製造業及農業呈現穩定成長,建築業雖再次呈現負成長,惟已優於 2010 年數據。 瓜國為中美洲最大經濟體,占中美洲 7 國(含巴拿馬、貝里斯)GDP 比率達 28%。1996 年 12 月 瓜地馬拉在聯合國支持下,與游擊隊簽署和平協定,結束長達 36 年之內戰。此後,瓜國將其經濟政 策著重在維持總體經濟穩定及改善民生解決貧窮。瓜國窮人佔全國總人口比率達三分之二,其中四分 之三窮人居住在內陸鄉村地區,故如何解決貧窮問題仍是瓜國政府必須面對之最重要問題。爰此,瓜 國政府展開一連串經濟開放措施,並致力於提升政府部門行政效率。 瓜國中央銀行資料顯示,2011 年全球經濟受歐債危機、美國經濟緩步成長、日本地震後影響供 5


應鏈及原物料價格上漲等因素,使瓜國經濟成長呈穩健成長。瓜國 2011 年經濟成長率為 3.8%,通貨 膨脹率雖受國際油價及原物料上漲影響,在瓜國政府努力控制下為 6.2%,外匯存底 61 億 8,790 萬美 元,外債 56 億 490 萬美元,略高於 2010 年 55 億 6,200 萬美元;歷年來匯率平穩,2011 年美元兌 換瓜幣(Q)介於 US$1:Q8.01 至 US$1:Q7.81 之間。僑匯為 43 億 7,800 萬美元,亦因美國經濟復甦成 長 6.1%。進出口貿易方面,出口金額 104 億 6,300 萬美元,較 2010 年大幅成長 23.6%,其中傳統 產品如咖啡及香蕉出口大增,分別成長 35.4%及 25.2%;進口方面,進口金額為 166 億 900 萬美元, 較 2010 年增加 20%,主要是中間財進口成長達 27.4%,同時,在資本財及消費財亦分別成長 17.9% 及 13.4%。貿易逆差為 61 億 4,600 萬美元,較 2010 年成長 14.5%。2011 年瓜國為拉丁美洲財政赤 字最低國家之一,僅約 2.9%,另其 2010 年外債占國內生產毛額之 13.5%,亦為拉丁美洲最低,且 其 2011 年外匯準備達 61 億 8,790 萬美元,為該區域較高國家。

三、重要經濟措施與展望 自 1996 年 12 月簽署和平協定後,瓜地馬拉政府經貿政策主要課題即在如何維持及順利執行和 平協定,以扶貧與消弭社會問題。2011 年 11 月瓜地馬拉總統大選結果由愛國黨培瑞斯(Otto Perez Molina)當選新任總統。培瑞斯總統於本年 1 月 14 日上任,積極推動財稅改革及政府施政透明化,以 增加稅收財源、加強治安,以吸引投資、創造就業等力圖實現競選承諾。儘管其政黨在國會並未占多 數,未來面臨為如何在國會獲得共識,運用多數財政資源,以面對該國之經濟及社會挑戰。 (一) 瓜地馬拉新政府之經濟發展政策 現任總統培瑞斯上任後,瓜國全國各界對其寄予厚望,官方及民間企業界均對本年瓜國經 濟前景仍持樂觀之立場。 經濟發展促進方面,培瑞斯總統及財經內閣於本(2012)年 2 月 21 日提出「2012-2021 年國家競爭力計畫」政策,以提升國家競爭力,強化國內商業貿易環境及吸引外人投資, 創造就業機會,以期本年經濟成長率突破 4%為目標。 瓜地馬拉在全球 142 個國家競爭力排名居第 84,中美洲區域各國中僅次於巴拿馬(49)及 哥斯大黎加(61) ;薩爾瓦多、宏都拉斯、多明尼加、尼加拉瓜分別居第 91、86、110、115 名。暴力及組織犯罪是阻礙瓜國競爭力最大障礙。 至於改善投資環境方面,依據世界銀行公布之「Doing business 2011」報告,在全球 183 個國家中評比各國經貿環境中,瓜地馬拉經商環境排名由 2010 年第 100 名進升 7 名至第 93 名。依據瓜地馬拉中央銀行統計, 2011 年外人在瓜國投資金額達 9 億 5,800 萬美元, 比 2010 年成長 22%。 瓜經濟部長 Sergio De La Torre 表示 2011 年外人直接投資額達 9 億美元。本年因新政府上 任及人民對新政府的信心等,預期外人投資可成長 50%,增加至 15 億美元。La Torre 經 長強調本年期盼外人投資產業包括電力、基礎建設;水力能源及生產產業等。 另外,瓜地馬拉中央銀行(Banguat)則對各項總體經濟發展預測如下:2012 年經濟成長率 6


將可達到 2.9%至 3.3%之水準,通貨膨脹介於 3.5%-5.5%,出口及進口分別成長 11.9 及 10%。稅改方案預期可逐年增加稅收,2012 年稅收目標為 35 億 300 萬元瓜幣,稅收佔國 內生產毛額(PIB)0.9%;2013 年為 44 億 9,860 萬元,佔國內生產毛額(PIB)1.1%; 2014 年為 50 億 620 萬元,佔國內生產毛額(PIB)1.1%;2015 年 57 億 3810 萬元,佔 國內生產毛額(PIB)1.2%。增加之稅收將供加強治安、打擊貧窮及社會發展計畫之用。

(二) 推動簽署自由貿易協定 瓜地馬拉政府為推動經濟發展,以創造更多就業機會,俾解決貧窮問題,由瓜國國家出口 委員會(CONAPEX)於 2004 年 8 月通過瓜國與其他重要貿易夥伴貿易協定諮商時程表, 總計瓜國政府近年重要貿易諮商談判之成果如后: 1. 與貝里斯簽署部分自由貿易協定 2005 年瓜國完成與貝里斯有關簽署部分自由貿易協定諮商談判及法律檢視,該協定涵蓋 商品市場進入、投資專章確保國民待遇原則、動植物檢疫規定、原產地規定、防衛措施、 爭端解決以及陸運專章,以消除可能之貿易障礙。 2. 與台灣簽署自由貿易協定 該協定已於 2005 年 9 月 22 日由台瓜兩國總統在瓜京簽署。 3. 中美洲五國、多明尼加與美國自由貿易協定(The Dominican Republic–Central America Free Trade Agreement,簡稱 CAFTA-DR) CAFTA-DR 目前已獲美國、瓜地馬拉、薩爾瓦多、宏都拉斯、尼加拉瓜、多明尼加及瓜 國國會通過,哥斯大黎加也於 2009 年 1 月正式加入。CAFTA-DR 在瓜國於 2006 年 7 月 1 日正式生效,至今已有四年。根據瓜國中央銀行(Banco de Guatemala)統計數據顯 示,瓜國對美國出口總值自 2006 年之 27.83 億美元增加至 2010 年之 32.58 億美元,增 加幅度達 17%,詳細出口數據如下表。 表 3-3 瓜地馬拉對美國重要出口產品總額與佔總出口額百分比 (金額單位: 百萬美元) 年度

出口總額

2006

成衣

香蕉

咖啡

出口額

佔總出口

出口額

佔總出口

出口額

佔總出口

2,782

1,436

51.61%

201

7.23%

198

7.11%

2007

2,932

1,309

44.64%

269

9.19%

278

9.49%

2008

3,041

1,146

37.67%

281

9.25%

302

9.93%

2009

2,941

964

32.76%

373

12.69%

284

9.64%

2010

3,258

1,088

33.39%

326

10.01%

261

8.01%

資料來源:Banco de Guatemala (瓜地馬拉中央銀行) 在對美國之重要出口產品上,香蕉與咖啡兩大農產品之出口額在近五年呈現大體成長之 趨勢,分別於 2009 與 2008 年達到最高;然最大宗之出口產品成衣受到近年來中國等新 7


興成衣加工出口國與 2008-09 年全球經濟狀況之影響,自 2006 年起呈減少之趨勢,幅 度達 26.2%,CAFTA-DR 之效果仍有待觀察。對美國進口於 2006-2010 年間成長約 24.5%,明顯高於出口額之增幅。 表 3-4 瓜地馬拉簽署 CAFTA-DR 後依產業別對美國出口狀態單位: 百萬美元 農產品

年度

製造業

出口額

佔總出口

2006

658

23.66%

2007

901

2008

出口額

採礦業

佔總出口

出口額

佔總出口

1,832

65.85%

292

10.49

30.71%

1,698

57.89%

334

11.40%

938

30.83%

1,600

52.60%

504

16.57%

2009

1,053

35.80%

1,363

46.35%

525

17.85%

2010

958

29.30%

1,522

46.72%

781

23.98%

表 3-5 瓜地馬拉簽署 CAFTA-DR 後依產業別對美國進口狀態單位: 百萬美元 年度

進口總額

2006

農產品

製造業

採礦業

進口額

佔總進口

進口額

佔總進口

進口額

佔總進口

4,115

333

8.09%

3,031

73.65%

751

18.26%

2007

4,643

396

8.54%

3,390

73.01%

867

18.45%

2008

5,241

500

9.54%

3,394

64.76%

1,347

25.70%

2009

4,209

395

9.40%

2,744

65.19%

1,070

25.41%

2010

5,124

412

8.03%

3,205

62.55%

1,507

29.42%

資料來源: 瓜地馬拉中央銀行

在 CAFTA 預定之時程下,瓜國議會於 2010 年 7 月通過法案,以加強對於保險業的監管 並允許外國保險公司於瓜國設立分部。 4. 中美洲與歐盟自由貿易協定 中美洲(包括巴拿馬及貝里斯)積極尋求與歐盟簽署自由貿易協定,歐盟方面關切之重 點在於中美洲經濟整合之進展作為雙方洽簽自由貿易協定之依據。目前中美洲與歐盟策 略(包括政治、合作及貿易)協定第四回合諮商於 2008 年 7 月 14 至 18 日在布魯塞爾舉 行。政治及合作議題進展順利,貿易方面,在原產地規定、衛生檢疫、敏感性產品、大 幅市場開放等則存有爭議。對中美洲國家而言,此次談判之最大收獲為歐盟同意以 GSP Plus(在優惠關稅制度 GSP 下的優惠方案,中美洲國家銷歐盟產品可享免關及免配額之 優惠)為談判基礎,並確保 GSP plus 90%產品享有零關稅。歐盟於該回合諮商提出 2007-2013 中美洲合作方案,提供一億美元協助發社會發展、加強法律司法及社區基礎 建設等,貿易、政治協商則進展有限。第五回合諮商於 2010 年 5 月於馬德里舉行。 5. 瓜地馬拉與哥倫比亞及智利自由貿易協定 瓜國與哥倫比亞之自由貿易協定於 2009 年 11 月 12 日起生效,於 2010 年前半年即顯 現效果,瓜國對哥國之出口成長 30.9%,主要出口產品為橡膠、錄音與音效製作產品以 8


及塑膠製品。與智利之自由貿易協定則於 2010 年 3 月 23 日生效,預計對於瓜國砂糖與 橡膠之出口有正面助益。 6. 瓜地馬拉對外貿易協定談判總結 (1) 已 生 效 實 施 之 自 由 貿 易 協 定 : 包 括 美 國 與 中 美 洲 及 多 明 尼 加 自 由 貿 易 協 定 (DR-CAFTA)、墨西哥與中美洲北三角自由貿易協定、台瓜自由貿易協定、瓜地馬拉 與多明尼加自由貿易協定、中美洲關稅聯盟、哥倫比亞、巴拿馬、智利。 (2) 已生效之部分自由貿易協定:古巴、貝里斯、委內瑞拉。 (3) 已簽署之自由貿易協定,正待生效中:歐盟、祕魯、厄瓜多。 (4) 正洽談推動中之自由貿易協定:加拿大、加勒比海共同體(CARICOM)及千里達和托 巴哥。 (三) 中美洲五國整合 中美洲政治整合體,簡稱 SIECA,含中美洲五國及巴拿馬、貝里斯,旨在仿效歐洲共同體 (EU) 致力於整合中美洲各國政治、財經、移民及社會制度等,最終目標在於消弭國界,建立單 一政治整合體。七國元首及代表於 2006 年 3 月 9 日在巴拿馬首都巴拿馬市舉行元首高峰會 議,會後發表巴拿馬聲明,其中有關中美洲關稅聯盟作出之決議包含: 1. 簽署中美洲海關稅則及資訊交換與相互協助協定、 2. 採行中美洲稅務系統相容協定、 3. 設定共同對外關稅目標,以達成對外關稅調和、 4. 簽署成立中美洲關稅聯盟協定,以及完成中美洲海關及稅務管理系統連網。 中美洲關稅聯盟協定,已於 2007 年 12 月簽署通過。2008 年 8 月 25 日正式實施,目的是 促進中美洲關稅程序、統一檢疫標準及簡化通關手續,達到貿易便捷化之目的。最近一次 之會議於 2011 年 2 月舉行。另據中美洲經濟整合秘書處(SIECA)資料顯示,2008 年中 美洲進口貿易額創歷史新高,達 489.46 億美元,2010 年則為 442.47 億美元,是一個具吸 引力之經濟區塊。 (四) 「中美洲政治整合體」及「加勒比海共同體」之區域整合 第 18 屆拉丁美洲暨加勒比海區域高峰會於 2008 年 10 月 29 日至 31 日在薩國首都舉 行,會中談及全球性經融危機對小經濟體及弱勢國家造成的影響,簽署公報提出獲得財政 穩定、維持經濟成長、保護勞工及投資者的方案、保證資金應用於生產活動、推動讓弱小 國家受惠的社會政策。高峰會也提出太平洋沿海國家論壇(el foro a Arco Pacífico),意在 加強拉丁美洲暨加勒比海區域 11 國與亞洲貿易,會員國家並提供技術合作、分享港口以達 到更好的出口效率。論壇參與國有:墨西哥、瓜地馬拉、薩爾瓦多、宏都拉斯、尼加拉瓜、 哥斯大黎加、巴拿馬、哥倫比亞、秘魯、厄瓜多爾、智利。參與高峰會除了上述國家之尚 有西班牙、巴拉圭、玻利維亞、葡萄牙。

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(五) 貿易推廣 2011 年 5 月瓜國與秘魯進行第四回合之自由貿易協定談判。瓜國經濟部長表示,若能 持續促進兩國間之貿易關係,將有助於糖與橡膠兩項對祕魯主要出口產品之出口,同時可 能提升紡織生產品、冰箱與冰櫃之出口。瓜國與墨西哥也於今年二月進行變換兩國間自由 貿易協定之談判,旨於促進瓜國之糖、咖啡與香蕉對墨國之出口。 2011 年瓜國工業展(InduExpo)於 6 月舉行,在展期結束後,工業總會預計該展覽可促 成約 1 億美元之商機。2011 年全國家具展也於八月舉辦,在展期間估計對瓜國廠商帶來超 過兩百萬美元的收益。第一屆中美洲手工藝品展(New World Craft),2008 年 10 月 22 日開 幕,計有來自美國、波多黎各、歐洲、澳大利亞、哥倫比亞及墨西哥等共 60 個國家之買主。 最近一次的鍾某周手工藝品展於 2011 年 9 月 21-22 日於安地瓜舉辦,有 105 家廠商參展, 交易金額超過 70 萬美元。國際手工藝品市場對該業之要求已有所改變,現在著重於產品之 實用與設計。如紡織品方面不只用於裝飾,而是變成作為女士服飾配件如手提袋、家用品 如桌巾及餐巾、窗簾、廚房及盥洗室等方面之用品。手工藝品委員會主席 Santo Rosales 強調,將加強該產業員工之技術訓練,以提高其國際市場競爭力。出口協會(Agexport)表示 2011 年 9 月舉辦之相關各國際商展,總共涵蓋七個出口產業,估計可製造 2570 萬美金的 商機。 羅馬尼亞加入歐盟組織後,積極推動對中美洲尤其是與瓜地馬拉之經貿往來,並著重 在成衣及基本建設工程方面。羅馬尼亞的代表團訪問瓜地馬拉,主要目的在拓展與加強雙 方商業的關係,包括合作開採石油。瓜國商會會長 Edgardo Wagner 表示,瓜羅雙方之貿 易往來每年有 2000 萬美元。瓜國出口至羅馬尼亞以水果及飲料加工品為主。預計羅馬尼亞 加入歐盟後雙方之貿易將快速成長,瓜地馬拉成衣及紡織品代表 Luis Oscar Estrada 指出, 瓜國業者可趁此機會開發羅國在此方面之市場。 瓜國前總統科隆訪問巴西時與巴西總統 Luz Lula de Silva 及巴西石油 Petrobras 公司 及其他有關部門簽署了有關在能源、生產技術及生物能源 ETANOL、教育及銀行業務等方 面之協定。總統府社會公共關係部指出,巴西將協助瓜國興建水力發電站,提供 45 億瓦之 電力。另外瓜國能礦部長 Carlos Meany 指出,瓜地馬拉與委內瑞拉在石油方面之交涉已從 政治層面轉移到買賣層面。 時任能礦部水、火力發電組副組長之 AfredoPokus 於 2008 年前往莫斯科參訪學術、 企業等單位,並與俄羅斯、烏克蘭等國爭取合作開發瓜國之油礦及水力能源。他指出俄羅 斯及烏克蘭對開發油井有興趣,對瓜國法令也表贊同。他並強調該方面之投資將帶動瓜國 經濟走向更健全之路。此次主要爭取俄羅斯及烏克蘭對瓜國油礦開發之投資機會,及交通 方面之投資。俄羅斯外交部美洲事務司長 Jan Burliar 表示將全力推動與瓜地馬拉合作開發 能礦及貿易往來關係。 (以上貿易推廣資料來源:由國貿局、駐瓜經參處提供) (六) 推動國家競爭力計畫 瓜國政府依據國家競爭力計畫(PRONACOM-ProgramaNacional de Competitividad)制訂 2005-2015 國家競爭力備忘錄,主要重點在於改善瓜國經商環境、發展製造業群聚效應 10


(Cluster)以及觀光、紡織成衣、農產品加工及森林等產業。總統科隆在第二屆美洲國家 競爭力座談會上,請美國能繼續投資瓜京 Aurora 機場興建工程,以強化國家競爭力。為吸 引外資也以國家公共投資透明化、社會和諧及團結、學校教育開放自由化、繼續淨化警界 及治安機構、推展觀光工作及鄉土建設等為優先事項,亦加強港口、公路之擴建。瓜國政 府已研提加工出口區法修正案並送至瓜國國會審議,以鼓助民間業者開發工業區。 (七) 消費者保護相關措施 歷經前後幾乎長達 6 年之協商溝通後,瓜地馬拉國會於 2003 年 2 月 18 日表決通過第 2003-6 號消費者保護法,並於該年公告實施。該法共有 113 條條文,其主要目的係為保護 瓜國消費者權利,同時對企業公平競爭制定相關罰則及處理程序。 茲將瓜國消費者保護法之重點摘述如後: 1、消費者部份 權利:供應商應提供消費者擬採購之商品充份之資訊,包括該商品新舊程度及是否有 危險性等。倘所購之商品與原先買賣雙方協議不符,消費者可要求退貨。消費者可籌 組保護團體捍衛其利益,惟該等消費者保護團體應屬非營利性質。消費者亦可向瓜國 經濟部消費者申訴及協助司申訴索賠。 義務:應確實瞭解所購買商品及勞務之各項條件。消費商品不得影響第三者。應透過 理性消費預防環境污染。 2、供貨商部分 權利:收取販賣商務或勞務應獲取之收入。 義務:開具詳列買賣資料之發票。應使用西班牙文說明買賣標的物之內容。應確實依 照廣告內容提供消費者相同之產品。所販賣之商品倘對消費者健康造成危險,應負起 相關責任。禁止刊登不實廣告。 「保證」一詞只有在詳列保證之事項為何時,方得使用。 生產商應標示警語,以確保消費者得以安全使用商品。製造商應標示商品製造及有效 日期(藥品、食品及飲料) 。此外,公共服務業者向消費者收取之費用倘較消費者以往 消費平均值高出 50%以上時,即可推測該發票有誤,消費者可按平時消費平均值支付。 倘業者提出消費者使用度數無誤時,可於下一次收費時將差額一併收取。 罰款:特殊違規事件(包括價格過高、劣貨及疏忽等) ,得處以 20 至 80% 不等之「罰 款單位」,每罰款單位相當於罰款時非農業部門最低基本月薪(2008 年底為 1660.00 瓜幣,約合 221.34 美元) 。瓜國政府原計畫設立消費者保護總署負責相關業務,然因 政府預算困難,目前先由瓜國經濟部消費者申訴及協助司辦理該項業務,並同意於 2008 年底前達成設立消費者保護總署之目標。 (八) 微中小型企業發展策略計畫 瓜國微小中型企業已達 123 萬家,占瓜國總就業人數比率高達 70%,對國內生產毛額 (GDP)貢獻達 40%。瓜地馬拉積極推動中小企業輔導計畫,在瓜國經濟部設立中小微型 11


企業便利作業登記單一窗口辦公室,藉此辦公室降低登記成本及縮短登記時間,以協助瓜 國中小微型企業從地下經濟轉型為合法登記經營之公司,同時在全國設立 7 個(Villanueva、 Sacatepéquez、Escuintla、Quetzaltenango、Alta Verapaz、Petén、Chiquimula)企業服 務據點,提供其中小企業服務。2011 年瓜國在國際組織及其他國家協助發展中小企業主要 計畫包括: 1)日本協助加強瓜地馬拉西部 Quetzaltenango、Sololá及 Totonicapán 三個地 區之工業。2)日本協助加強瓜地馬拉中小企業和供應商企業的服務能力。3)瓜地馬拉中小型 企業區域服務中心及奧地利協助建立瓜國 Quetzaltenango 省的經濟發展能力。4)歐洲聯盟 協 助 瓜 國 建 立 青 年 方 案 。 6) 中 小 企 業 區 域 促 銷 中 心 (CENTRO REGIONAL DE PROMOCIÓN DE LA MME-CENPROMYPE)促進中美洲區域內經濟發展,俾改善該區人民 生活。 7)中華民國協助瓜地馬拉中小企業加強品牌、商標及包裝之技術協助。 (九) 基本工資 瓜地馬拉前總統柯隆於 2011 年 12 月 29 日宣布自 2012 年 1 月 1 日起提高基本工資, 此為柯隆總統執政第 3 年再次調高基本工資。上述工資調整後,農業及非農業勞工薪資為 每日 68 元瓜幣,即調高 6.75%,加上每月獎金 250 瓜幣,每月薪資總額為 2,290 瓜幣,折 合 297 美元(以目前兌換率 1 美元:7.7 瓜幣計算)。另成衣加工廠勞工薪資為每日 62.5 元 瓜幣,即調高 5.13%,加上每月獎金 250 瓜幣,每月薪資總額為 2,125 瓜幣,折合 276 美 元(以目前兌換率 1 美元:7.7 瓜幣計算)。 (十) 金融改革 為符合國際貨幣基金會(International Monetary Fund, IMF)對瓜國提供貸款援助之要 求,瓜國政府自 2002 年起爰進行重要金融改革,並積極推動下列四項金融法案之立法,以 強化瓜國金融體系及其透明化: 1. 瓜國中央銀行組織法:瓜國國會已於 2002 年 4 月 23 日通過第 16-02 號瓜國中央銀行 組織法,重點包括: (1) 限制在無足夠黃金準備或擔保情形下隨意增加貨幣發行量。 (2) 中央銀行須每六個月提報帳目管理情形。 (3) 中央銀行僅可對有急需或臨時性問題之銀行提供援助。 (4) 中央銀行提供之援助貸款不得超過該銀行之資本額,且銀行必須以擔保品保證。 (5) 援助貸款期間不得超過 45 天,一年內對同一銀行提供之緊急貸款不得超過二次。 (6) 建立長期機制,以便國庫吸收中央銀行累積之損失。 (7) 中央銀行總裁由總統提名,任期四年。 2. 銀行金融團體法:瓜國於 2002 年 1 月 28 日通過第 4-02 號銀行金融團體法,重點如後: (1) 銀行經營不善面臨倒閉時,存款人可收回之存款金額最高不得超過瓜幣 20,000 元。 (2) 簡化經營不良銀行清算手續,理論上將可降低中央銀行介入之損失。 (3) 要求銀行須提報存款金額上限。 (4) 將境外銀行合法化,惟其存款不受法律之保障。 (5) 明訂擬成立並擔任銀行經營人之條件。 12


(6) 銀行須於本法通過後六個月內提供組成該銀行之所有公司資料。 (7) 明訂期限並要求銀行降低對銀行經營人貸款比率。 (8) 金融犯罪刑責提高為 5 年至 10 有期徒刑。 3. 金融監督法:瓜國國會於 2002 年 4 月 25 日通過第 18-02 號金融監督法,重點包括: (1) 授權金融監督局審查所有組成金融集團之公司財務狀況。 (2) 金融監督局可以評估在國外營運但與國內金融集團有業務關係之金融機構。 (3) 除會計資料外,金融監督局可調查與金融集團業務相關之公務人員相關資料。 (4) 金融監督局亦可查核中央銀行。 (5) 金融監督局由瓜國貨幣委員會提供三名候選人報請總統提名。 4. 貨幣法:瓜國國會已於 2002 年 4 月 24 日通過第 17-02 號貨幣法,重點如后: (1) 規定瓜國貨幣基礎。 (2) 保障外幣帳戶之開戶及存款之自由。 (3) 瓜國中央銀行為瓜國貨幣惟一之發行機構,並負責監管外匯存底。 自 2006 年 10 月至 2009 年 10 月間,在該法案的推動下,已完成 7 家銀行之合併作業。

四、

市場環境概況與分析 瓜國全國共分 22 省份,瓜地馬拉市為全國第一大工商業中心,公司行號 90%以上集中在此。瓜

國種族複雜,大致可分三類:極少數的白人、白人與印地安人混合人種,以及純印地安人等。 瓜國貧富懸殊,富有階層多為歐洲之西班牙、阿拉伯、猶太及德國人等白人後裔,擁有龐大家族 企業,壟斷市場,如啤酒、水泥、蔗糖、香蕉、咖啡、棉花、汽車、銀行、超市連鎖店等;貧窮階層 多為印地安族裔,大多為文盲,因從事勞力工作,收入微薄,入不敷出。2011 年瓜國平均國民所得 3,187 美元,但因貧富不均,貧窮人口佔大多數,故市場需求大致以次級質料之中低價位產品為主。 一般商業交易文件以西班牙文為主,英文普及率低。商業人口中僅少數管理人員諳英文。而國內 一般商業交易支付習慣以現金、信用卡及私人支票支付;對於耐久性消費財如機械、汽機車、冰箱、 電視、音響、電器產品及家具等,多以分期付款方式促銷,惟利息不低。 美國是瓜國最大貿易夥伴,對瓜國之影響深遠。瓜國多數廠商及富有階層皆在美國(洛杉磯、邁 阿密)銀行開設帳戶,進口貨品付款方式一般習慣以信用狀、部分以私人美元支票支付貨款。其他一 般中小企業,由於採購量較小,常以個人支票支付貨款,以節省開信用狀費用。再者,銀行對廠商之 融資成本較高,放款利率高達 15-25%左右,廠商負擔沉重,因而中小企業甚少採信用狀方式交易。 一般而言,廠商仍習慣採行 30%至 40%之電匯(T/T)搭配 60 至 70%之承兌交單或付款交單(D/A 或 D/P)方式交易。惟為求保險我商仍應要求以信用狀交易為宜。

13


第四章 產業介紹 一、產業概況 瓜國經濟以農立國,為中美洲最大經濟體,占中美洲區域 GDP 達 28%。2011 年瓜國產業概況: 農業為全國最主要產業,農業就業人口超過 200 萬人,2011 年農業產值佔瓜國國內生產毛額比率 13.3%,以咖啡、蔗糖、香蕉為主。 工業部門包括製造業、礦業、建築業及水電業。2011 年佔瓜國 GDP 比率 24%,其中製造業占 17.9%,包括農產品加工、塑膠加工業、紡織成衣、鞋業、家具業及化學產品如農藥等。主要供應市 場為美國、中美洲區域國家。 2011 年服務業產值占瓜國國內生產毛額比率為 60.5%,主要部門以商業為主(批發及零售商)。 (一)

農產品出口 瓜國重要的農業出口產品,主要為咖啡、蔗糖、香蕉和豆蔻,近年的出口金額請參考手冊後附

之相關統計表。 其中咖啡為瓜國最重要的出口產品,種植面積達 276,000 公頃,為全球第 5 大咖啡生產國, 出口市場以美國為主,占瓜國咖啡出口總額之 40%,次為日本及德國,占有率分別為 16%及 9%。 根據瓜國中央銀行統計資料,2011 年瓜國咖啡出口金額達 11 億 7,414 萬美元,較 2010 年之 5 億 8,228 萬美元,大幅成長 64.5%,已成為第一大出口農產品。然而 2011 年 12 月迄本年 3 月 底,國際咖啡價格由每公擔 238 美元持續下滑至每公擔 187.35 美元,主因巴西咖啡盛產過量。 近年來瓜國咖啡協會(ANACAFE)致力瓜國咖啡為頂級咖啡之形象推廣,並協助業者開發多重 銷售管道,如網路拍賣方式,以提高瓜國咖啡產品價格及市場銷售。 蔗糖為瓜國第二大傳統出口農產品,瓜國為全球第 4 大糖出口國,其出口量為 136 萬公噸, 僅次於巴西、泰國、澳洲等國;在拉丁美洲為第 2 大糖出口國及第 4 大糖生產國,年產量達 221 萬公噸,占中美洲總產量 417 萬公噸之 53.1%,全國甘蔗種植面積達 18 萬 5 千公頃。瓜國蔗糖 出口專用港口之裝卸貨效率為中美洲之冠,具巴西及澳洲等國之世界水準。依據瓜國中央銀行資 料顯示,2011 年瓜國糖業創匯金額為 6 億 4,950 萬美元,較 2010 年之 7 億 2,600 萬美元,衰 退 11.8%,主因船期問題無法出貨。80%產量外銷主要市場為美國及歐洲,其餘為國內市場。瓜 國蔗糖協會表示,亞洲市場是未來中程期拓展目標,另該協會預期 2011-2012 年度(至本年 5 月止)蔗糖產量為 5,300 萬公擔,較上年成長 10%,主因天候良好,無發生如上年 Aghata 颶風 災害。全國營運糖廠計 11 家,甘蔗種植面積達 24 萬 8,000 公頃,產區主要分布於瓜國南部之 Retalhuleu、Suchitepéquez、Escuintla 及 Santa Rosa 等四個省份,每年於甘蔗採收季節,創 造直接及間接工作機會達 35 萬個,其中直接工作機會為 6 萬人。 繼咖啡及蔗糖之後,香蕉居瓜國農產品出口值第三位,全國種植面積為 19,000 公頃,2011 年 瓜國香蕉出口金額為 5 億 468 萬美元,較 2010 年之 3 億 5,318 萬美元,大幅成長 42.8%,主要 出口市場為美國及中美洲,市場占有率分別為 64%及 2%。 14


另外,從 1980 年代開始,瓜國即躍居全球豆蔻最大生產國及出口國,2009 年全國產量達 23,794 噸,而瓜國豆蔻主要消費市場則是在中東各國。自 1990 年代開始,瓜國非傳統出口農產品在瓜 國經濟中已逐漸佔有一席之地,其中較重要者包括綠花椰菜、花卉、芒果、哈密瓜、觀賞植物及 雪豆等,其中雪豆產量更居全世界第一位。 (二)

紡織成衣 瓜國最重要產業之一,產值佔國內生產毛額 8%,占出口比例 22%,其中 40%銷往美國,紡

織成衣業就業人口約 10 萬人。自 2005 年全球紡品配額開放後,中國大陸製紡織品大舉進入美國 市場,瓜國產品在美國市佔率逐漸萎縮自 2006 年 2.2%降至 2007 年 1.4%。2007 年約有 20 餘 家紡織成衣廠關廠(遷往其他國家如:尼加拉瓜)或倒閉,減少 4 萬餘名就業機會。依據瓜國紡 織成衣委員會統計資料,2011 年瓜國紡織成衣出口金額為 12 億 1,650 萬美元,較 2010 年之 12 億 600 萬美元成長 0.08%。瓜國紡織成衣出口已呈復甦,恢復 5 萬餘名就業機會。

二、投資機會 瓜國屬開發中國家,工業尚處萌芽階段,多以民生必需品及勞力密集之工業產品為主。瓜國天然 資源豐富,近年來加工業發展迅速,主要以成衣、鞋類製造、電子電器產品裝配加工業等,除已於 2006 年 7 月 1 日實施之美國與中美洲五國及多明尼加自由貿易協定(DR-CAFTA)外,另享有歐盟及加拿大 GSP 優惠待遇。另化學品、塑膠製品及生鮮蔬果、花卉等出口亦成長迅速。木材亦為一大天然資源。 其他天然資源包括:礦產(鎳)、水力、地熱等均未充分開發利用。 瓜國地理位置優越,鄰近美、加、墨三國成立之北美自由貿易區廣大市場,加上瓜國已與墨西哥、 美國、多明尼加、巴拿馬、哥倫比亞、智利及我國等國簽署雙邊自由貿易協定,另瓜國與歐盟、厄瓜 多及秘魯等國雙邊自由貿易協定已簽署,正待生效中。同時加拿大、加勒比海共同體及千里達和托巴 哥亦正洽談推動中。瓜地馬拉以其優越地理位置及對我之傳統友誼,可作為我商進入廣大美洲市場之 跳板。茲將瓜國具潛力適合台商投資之產品別及投資利基分析如后: ■ 瓜地馬拉具投資潛力產業項目 產業利基

產業別

產業概況

農產加工業

瓜國以農立國,農業地型氣候多樣,,創 可快速進入美國及加拿大(3 億 5,000 萬

(目標市場、市場規模)

造有利之產業發展。美國為瓜國豌豆第 人口)、墨西哥(1 億 1,000 萬人口)、中 1 大進口國,瓜國在豆蔻及聖誕紅插技 美洲國家(4,400 萬人口)等主要市場。 二項產品,為全球第 1 大出口國;砂糖 為全球第 5 大出口國,同時係熱帶水果 及蔬菜之主要生產國。 具投資潛力項目為糖果、飲料及果汁、 新鮮麵包,食品罐頭。 製造和組裝業

傳統之瓜國製造和組裝業,大多從事與 主要市場為中美洲國家、美國、加勒 15


產業別

產業利基

產業概況

(目標市場、市場規模)

服裝和紡織品相關之行業。2009 年瓜 比、南美洲國家及歐盟。 國製造業占瓜國出口總額逾 30%,達 20 億美元。現階段目標希望朝電子、汽 車零配件及醫療器材等產品發展。 Call Center BPO

& 瓜國客服中心(Call Center)及業務流程 目前瓜國約有 70 個客服中心及 16,000 委外(BPO)起源於 15 年前,仍屬新興產 名客服人員。其中瓜國國內客服及中美 業,在 90 年代設立第一個客服中心。 洲、墨西哥及美國市場客服各占 50%。 瓜國擁有先進之技術和通訊能力及優 秀之人力資源,為拉丁美洲具吸引力之 投資國之一。

觀光業

瓜國擁有豐富天然資源、文化遺產及宜 外人可投資項目包括生態旅遊、農業旅 人之氣候。每年有 1,520 萬觀光客到拉 遊、會議廳及展覽館、郵輪等。瓜國觀 丁美洲旅遊,其中墨西哥及南美洲占 光客主要來自中美洲國家,占 50%,次 930 萬人,另中美洲占 590 萬人,瓜國 為北美洲國家,占 34%(其中美國占 位於中美洲區域核心,故觀光產業具投 75%),歐洲排名第三,占 9%(法國占 資機會。。

16%、西班牙占%、英國占 14.5%及德 國占 12.3%)

能源

營建及發電業

瓜國擁有發展電源、水電、石油及礦業 瓜國電力部門政策: 等潛力。能源產業為中美洲較活躍且開 

加強瓜國能源供應價格競爭力。

放產業,有生產逾 5300 兆瓦水力發電 

促進競爭力和投資。

及 1000 兆瓦地熱發電之潛力。

提高能源效率。

推動能源整合。

瓜國基礎建設落後,亟需改善以提升國 瓜京環城道路、內陸各省道路改善、平 家整體競爭力。

紡織業

價住宅及發電廠等

瓜地馬拉為美國第 15 大成衣供應國, 平織布、染整及紡織配件,以及相關紡 具有距離美國市場近及快速交貨之優 織機器之銷售。 點,另瓜國已與美國簽署自由貿易協 定,並於 2006 年 7 月 1 日生效。然在 中國大陸紡品大舉進入美國市場及 2005 年全球紡品配額制度取消等壓力 下,瓜國除強化與美國貿易夥伴合作關 係外,已將渠本身具有之快速反應交貨 能力列為其競爭利器。我國生產之長纖 布料向居我國輸瓜國主要產品之一,因 此諸如織布染整及紡織配件等在瓜國 16


產業別

產業利基

產業概況

(目標市場、市場規模)

市場均具有發展潛力。 食品加工

瓜國以農立國,農業對全國經濟影響頗 以瓜地馬拉為主之中美洲 5 國市場,可 大,然瓜國食品加工技術仍屬落後,輔 以 與 當 地 廠 商 合 資 方 式 進 軍 此 一 市 以我國相關食品加工技術,可提升其競 場,並可配合國合會提供此一區域之各 爭力。我國產製之食品加工機器設備及 項農產品食品加工技術移轉之計畫進 整廠輸出物美價廉,頗符合瓜地馬拉及 行。 中美洲地區之需求,市場商機頗具潛 力。

木材加工

瓜國木材資源豐富,惟木材加工技術落 瓜國、中美洲及美國市場 後,因此產品無法在國際市場競爭,倘 能配合我國木材加工機械及技術,將可 協助瓜國木材加工製品外銷。

包裝機器

瓜地馬拉出口產品結構仍以咖啡、蔗 以瓜地馬拉為主之中美洲五國市場,可 糖、香蕉及豆蔻等初級農產品為主,產 以 與 當 地 廠 商 合 資 方 式 進 軍 此 一 市 品附加價值低,倘能利用我國產製之農 場,並可配合國合會提供此一區域之各 產品、食品及飲料等包裝機器,將可提 項技術合作計畫進行。 高其產品國內及國際市場競爭力,商機 頗具潛力。

塑橡膠業

瓜國工業基礎薄弱,塑膠製品加工業尚 瓜國、中美洲、墨西哥及美國市場。 在起步階段,諸如多層塑膠袋、耐溫塑 膠袋、保麗龍及塑膠機械等均具市場發 展潛力。另瓜國生產天然橡膠,可作為 生產乳膠手套之原料。

17


第五章 營運成本 一、土地 土地價格及租金,因地區及各項條件差異而有不同價格。謹將蒐集資料詳列如下供參(相關數據 僅供參考,請以實際價格為準): (一)公營之工商自由區僅提供廠房出租,廠房租金每月每平方公尺 2-4 美元,廠房售價為每平方公 尺為 225-300 美元;另辦公大樓租金每月每平方公尺 3-5 美元,售價為每平方公尺為 250-350 美元。 (二)在自由區外之廠房租金每月每平方公尺 1.5-5 美元,廠房售價為每平方公尺為 290-325 美元; 另辦公大樓租金每月每平方公尺 2-9 美元,售價為每平方公尺為 550-900 美元。 (三)義大利人所建立之 Grupo Zeta 工業區內土地售價每平方公尺為 60 美元,廠房租金每月每平方 公尺 3-4 美元。如購買土地,付款方式首款為總價之 30%,其餘可分 60 個月付清,惟需另加 計 10%之利息。 (四)離瓜京 30 分鐘車程之土地,由民間整理妥善之地價每平方公尺約 40 美元,未整理者為 5 至 10 美元。 (五)其他一般民間已建有廠房者,其租金每月每平方公尺約 2 美元,未建廠房者,每平方公尺約 0.5 至 1 美元。 另瓜國並未針對加工出口區、工業區或科學園區提供特別之投資獎勵措施,所有外人投資,倘主 要目的為外銷,大部分外商均申請加工出口法(Draw-back law) 。

二、能源費用 (一) 水費 住宅區、商業區或者工業區之水價沒有差別。每月的水費包括耗水量乘費率、20%的下水 道處理費率、固定費用 16 瓜幣及增值稅 12%,這些資料皆會在帳單中出現。工業用水約 0.23-1.17 美元/立方尺,使用量越大,費率越高,惟工廠可自行鑿井取水。水費費率如后所示: 表 5-2:水費費率表(瓜幣) 立方公尺

每立方公尺費率

1 to 20

1.88

21 to 40

2.95

41 to 60

3.75

61 to 120

7.51

121 and up

9.39

資料來源:瓜國水公司(EMPAGUA) 2011.07(相關數據僅供參考,請以實際價格為準)

(二) 電費 瓜國有 60%之電力係靠火力發電,雖然偏遠鄉間仍有電力供應問題,但基本上已滿足國內 工業電力需求,惟電費仍高,供電品質尚稱穩定,偶而受氣候變化影響會短暫停電。瓜國電力公 司已部分民營化,目前有 EEGSA、DEOCSA 與 DEORSA 三家電力公司。近年來瓜國政府積也 18


極鼓勵私人投資發電廠及再生能源,瓜國政府配合區域發展計劃亦將在墨西哥與瓜地馬拉間投資 輸配電設施。費率方面,根據各千瓦數(KW)決定,商業區與住宅區的費率是相同的根據 2011 年 8 月瓜國電力能源委員會(CNEE)公布之數據,每月使用 300 KW/h 以下,費率依據不同電力公 司介於為 1.61-1.78 瓜幣之間,超過 300 KW/h,超過部分費率則介於 1.78-1.95 瓜幣間。工業用 電 費 率 為 0.21-0.24 美 元 / 千 瓦 小 時 。 最 新 電 價 可 參 考 瓜 國 電 力 能 源 委 員 會 之 網 站 , www.cnee.gob.gt。 (三) 汽油 瓜國汽油價格受國際油價影響甚大,而價格又依加油站所設立之地點不一,惟差距不大。 高級汽油約 4.81 美元/加崙,普通汽油約 4.68 美元/加崙,柴油約 4.16 美元/加崙。另瓜國使用 天然氣情形並不普遍。

三、通訊成本 (一) 電話費率 瓜地馬拉的現代電信網路包括 19 家當地營運商和 17 家國際營運商,在最瓜國較進步的前 三個地區設有先進之光纖設施,以提供最高之傳輸效率,最具競爭性之成本。根據服務等級協定 (SLA)服務保證百分之 99.9875 的有效的連接。瓜地馬拉在拉丁美洲的國家中是有最完善的電信 法律的國家之ㄧ,並允許民營企業經營特殊之電信營運服務,例如交換機房等。瓜國電信市場經 民營化自由競爭後,各項服務費率已大幅降低,電話公司有三家,即 Telgua、Comcel、Telefonica, 原國營電信公司 Telgua 已在 1998 年 7 月民營化,由墨西哥財團入主,因此在瓜京增設甚多公 共電話。 近年來電訊服務如網路寬頻使用者快速增加,行動通訊市場成長也很快,Telgua 透過子公 司 PCS Digital 發展行動通訊業務,為業界領導廠商,排名第二為 Comcel,其次為西班牙的 Telefonica。目前打台灣電話每分鐘約 1.22 美元,但透過網路電話與台灣通話,每分鐘僅約 0.05-0.09 美元。電話卡價格也相當合理。網路上網費率方面,每月約 50-1,500 美元(上網速度 為 128K-2M)。 表 5-3 中美各國國際與當地電話費率 (單位: 每分鐘/美元) 通話地點

瓜地馬拉

薩爾瓦多

宏都拉斯

尼加拉瓜

哥斯大黎加

美國與加拿大

0.09

0.10

0.84

0.17

0.45

中美洲

0.34

0.35

0.40

0.35

0.40

當地電話

0.02

0.02

0.02

0.02

0.01

資料來源:Telefónica 與 Investment in Guatemala,2011/07(相關數據僅供參考,請以實際價格為準)

19


表 5-4 國內電話費率 電話服務

公司

費率(瓜幣)

額外分鐘成本

裝機費 625,月費 44.80(含 200 0.34 撥市內電話 分鐘通話費),或月費 100 元, 0.38 撥行動電話、市外

Telgua

可無限撥打市內電話與 Claro 網 內行動電話

固定式

裝機費 625,月費 85(含 510 分 撥市內 0.21;撥市外 0.24;撥 Telecomunique

鐘通話費)或月費 175(含 1,110 行動電話 Q0.32 分鐘通話費)

移動式*

Telgua-Claro

每分鐘 0.54-0.62

Comcel-Tigo

每分鐘 0.5-0.7

Telefonica-movistar 每分鐘 0.5 *: 皆為簽約方案。瓜國使用預付制方案相當普遍,但費率計算方式較為複雜且偏高。 資料來源:Claro、Telecomunique、Tigo、Telefonica,2010/7 (數據僅供參考,請以實際價格為準)

(二) 網路費率 1. 一般家用網路 表 5-5:一般家用網路費率(瓜幣) (相關數據僅供參考,請以實際價格為準) 公司名稱

256K

1M

5M

Claro

220

445

800

月租費 54.95 美金(512K)

Inalambrico(無線網路)

資料來源:Telgua、Inalambrico,2011/07 2. 企業用網路 表 5-6:企業用網路費率(美元) (相關數據僅供參考,請以實際價格為準) 公司

頻寬

Convergence

線路

合約

安裝時間

月租費

安裝費

(美元)

(美元)

512K

光纖網路

一年

5-10 天

49

0

768K

光纖網路

一年

5-10 天

60

0

資料來源:Convergence,2011/07.http://www.guate.net/ 3. 移動式無線網路 表 5-7:手機上網費率(瓜幣) (相關數據僅供參考,請以實際價格為準) 公司名稱 Telgua-claro Comcel-Tigo

傳輸量

費率

備註

1

145

速率為 256K

3

225

速率為 512K

10

299

速率為 1.5M

1GB

145

可上網 50 小時

20


Telefonica-movistar

3GB

225

可上網 200 小時

8GB 1GB 3GB 8GB

299 120 159 229

可上網 533 小時

資料來源:各行動電話公司,2011/07

四、運輸成本 (一) 陸運 瓜國公路網有 14000 公里,泛美高速公路將瓜國與北部之墨西哥及南部或東南之薩爾瓦多 及宏都拉斯連接,兩洋之間主要港口也有快速公路相接,使瓜國與鄰近國家之貿易運輸得以順利 進行。1995 年起瓜國已將公路建設及維護業務委交民間規畫經營。據 2011 年 DHL 之報價,從 瓜京運送一 40 呎貨櫃至瓜墨邊境費用約為 850 美元、至薩爾瓦多首都 1,120 美元、至宏都拉斯 首都 1,200 美元、至尼加拉瓜首都 2,500 美元、至哥斯大黎加首都 3,000 美元、至巴拿馬首都 6,000 美元。(相關數據僅供參考,請以實際價格為準) (二) 空運 空運方面,瓜國有兩個國際機場,一為位於瓜京之 La Aurora International Airport 以及位於 北部之 Mundo Maya Airport。每週往返班機達 230 班次之多。從瓜京 La Aurora 國際機場每年 入境旅客達 400 萬人,每週約有逾 160 班次,並有直飛美國(洛杉機 5 小時及邁阿密 2.5 小時) 、 墨西哥、中美洲、秘魯及西班牙等各主要城市。該機場業務量佔瓜國整個空運量之 93%。國際 空運快遞服務 DHL、FedEx、UPS 及 US Postal 在瓜京也都設有據點。 (三) 海運 瓜國位兩洋之間,東西兩岸皆有港口,有利國際貿易進出口。其中太平洋岸的 Puerto Quetzal 港(離瓜京 98 公里)及加勒比海岸的 Santo Tomas de Castillo 港(離瓜京 297 公里)為設備 較佳之港口,這兩個港口吞吐量佔全國總吞吐量之 77.1%。由東岸大港 Sto. Tomas de Castilla 出口至邁阿密、紐奧良等接近之美國重要港口僅需 3-4 天,至荷蘭鹿特丹 22 天;從西岸 Puerto Quetzal 港至至高雄港 31 天、至日本 Kobe 港 23 天、至洛杉磯港 4 天。由瓜地馬拉市運送至各 地之成本如表 5-8,而運輸之各項費用以運至高雄與邁阿密為例,詳如表 5-9。 表 5-8 瓜地馬拉至各城市海運費用 目的國

港口

費用 (美金)

目的國

港口

費用 (美金)

薩爾瓦多

Acajutla

2112

美國

邁阿密

2562

宏都拉斯

Cortes

2309

美國

洛杉磯

3538

尼加拉瓜

Corinto

1935

日本

神戶

3792

哥斯大黎加

Limón

2714

日本

橫濱

2778

巴拿馬

Balboa

2455

台灣

基隆

2769

墨西哥

Ensenada

3045

台灣

高雄

2685

21


墨西哥

Manzanillo

新加坡

2440

新加坡

3178

資料來源: Maersk Guatemala S.A., 2011/08.

表 5-9 由瓜地馬拉市運送 40 呎貨櫃至邁阿密與高雄港成本之細項費用 (美金) 費用項目

邁阿密

高雄

燃油附加費 (Bunker Adjustment Factor)

450

850

基本海運費用 (Basic Ocean Freight)

1,015

1,449

進口聯合運輸燃料附加費 (Import Intermodal Fuel Surcharge)

108

N/A

出口內陸運輸費用 (Inland Haulage Export)

650

351

進口內陸運輸費用 (Inland Haulage Import)

295

N/A

運輸保險費 (Carrier Security Charge)

9

N/A

物流費 (Logistics Fee)

35

35

總運輸費用 (Total Freightage Fee)

2,652

2685

資料來源: Maersk Guatemala S.A., 2011/08.

22


第六章 勞工成本與法規 一、勞工素質及成本 瓜地馬拉勞工供應充沛,且素質高。瓜國人口達 1,471 萬人,勞動人口達 500 萬人,為中美洲 之最,其中 210 萬人有操作電腦及分析之能力。此外瓜國擁有 12 所大學,就學人數超過 20 萬人, 為中美洲整體大學生比率最高之國家。其中大學生雙語比率為 11%。此外瓜國有五所雙語(西班牙語 及英語)學校,每年畢業人數超過 2,000 人。鑒於技職訓練為強化國家競爭力及提升產能之重要要素, 故瓜國有職訓局(INTECAP)在全國有 34 個據點,提供人才技術訓練服務;另瓜國藍帝瓦大學亦設有 TEC-Landivar 技術中心,擁有 36 設備完善之實驗室,依瓜國企業所需,提供相關專業課程訓練。 薪資方面,工資率之訂定可由雇主與員工(工會)簽訂合約決定,但不能低於勞工部公布之最低 工資。瓜國於 2012 年再次調高基本工資,農業與非農業部門最低基本工資每日為瓜幣 68 元,每月 薪資最低為瓜幣 2,074 元,另加瓜幣 250 元工作獎金,總計瓜幣 2,161.00 元,出口與代工部門最低 基本工資每日為瓜幣 62.5 元,每月薪資最低為瓜幣 1,906.25 元,另加瓜幣 250 工作獎金,總計瓜幣 2,156.25 元。另外,加班給付為正常工資加 50%,且每日員工之正常及加班工時不能超過 12 小時。 下表為 2012 年瓜國勞工部新公布之最低工資相關數據: 類別 農業及非農業部門

每小時 瓜幣 Q. 8.50 元

每天 瓜幣 Q 68.00 元

每月 瓜幣 Q. 2,074.00 元

美金 US$ 1.06 元 美金 US$ 8.50 元 美金 US$ 259.25 元 出口與代工部門

瓜幣 Q. 7.81 元

瓜幣 Q 62.50 元

瓜幣 Q. 1,906.25 元

美金 US$ 0.98 元 美金 US$ 7.80 元 美金 US$ 238,28 元 工作獎金

瓜幣 Q 1.04 元

瓜幣 Q 8.33 元

瓜幣 Q 250.00 元

美金 US$ 0.13 元 美金 US$ 1.04 元 美金 US$ 31.25 元 資料來源:投資瓜地馬拉網站 Invest in Guatemala 以下假日皆計薪,1 月 1 日,復活節週之星期四及星期五、5 月 1 日、6 月 30 日、9 月 15 日、 10 月 20 日、11 月 1 日、12 月 24 日半天、12 月 25 日、12 月 31 日半天。另外,當一個星期內有兩 個計工假日或第七天與假日同天,第七天不計工。第七天及計工假日支薪標準為該週薪之平均日薪。 工資發放期為兩週一次,勞工性員工每週支付一次。

二、勞工法令 (一) 勞工法令 瓜地馬拉第一個勞工法為第 330 號法令,係於 1947 年 2 月 8 日由國會通過實施,其間歷 經多次修訂,最重要一次修訂為 1961 年 4 月 29 日國會通過之第 1441 號勞工法修正法案,因修 正幅度相當大,因此目前瓜國人民所稱之勞工法係指上述 1441 號勞工法。 23


(二) 法定工時 表 6-1:工作班制 班制

工作時間

最高工時 每日

每周

6︰00 至 18︰00

8

44

18︰00 至 6︰00

6

36

混合

晚上 3 小時和白天 4 小時

7

42

(三) 支薪休假 在一般行業中,員工替同一雇主連續工作滿一年得支薪休假 15 天。若在農業,雇員替同一 雇主連續工作滿一年得支薪休假 10 天。休假可以在每年工作 150 天後,按比例請休。另外,他 們也可分兩次,於不同時間休假。年假必須為每年一次,且不可用薪資抵假,除非該員工在此規 定實施前,已於該公司服務。不論如何,公司必須獲得雇員的簽名作為已休假的證據。 (四) 年中及年終獎金 雇主每年須各支付一個月年中及年終獎金予工作滿一年者,工作未滿一年者按工作時間比 例發放。七月份加發一個月之年中獎金(July Bonus),十二月加發一個月的年終獎金為聖誕節獎 金,一半應於 12 月 15 日前發放,剩下的一半於 1 月 30 日前發放。當計算 12 個月的服務週期 或者更短週期之遣散補償時,這筆紅利應被納入。 (五) 離職遣散費 雇主解僱員工時,應發放離職遣散費,每滿一年給付一個月薪資,給付標準以最後六個月 之平均薪資計算(需將年中獎金及聖誕節獎金併入計算)。 (六) 罷工 合法之罷工必須擁有工廠三分之二以上之勞工參與其事,而且在各種調停均失敗後始成 立。若勞工部認為該項罷工足以嚴重損害國家經濟時,得不准罷工。 (七) 雇主停業 工廠停業係指整個工廠完全停止營業。在各種調停均失敗後,雇主應於一個月前將停業決 定通知工人。 (八) 仲裁權 勞資糾紛事項屬勞工法,由仲裁法庭,及勞工與社會福利上訴法庭所管轄。 (九) 養老金 瓜國對雇主對其員工訂定養老金或退休制度一節尚無明文規定,如業者有此種制度者,須 事先經過稅務局許可,再呈請總統同意後始可執行,俾便在繳納所得稅時抵減。目前瓜國僅有部 分企業提供退休金之制度。 24


(十) 勞工社會保險(IGSS、IRTRA、INTECAP) 按 瓜 國 規 定 勞 工 須 參 加 社 會 安 全 保 險 (IGSS:Instituto Guatemalteco de Seguridad Social),保險項目包括意外、疾病、殘障保險,該保險費用按月由雇主負擔 10.67%(計算方式 為員工薪資總額的 10.67%) ,勞工個人負擔 4.83%。此外雇主每月還需繳交 1%的勞工職業訓練 費用(INTECAP:El Instituto Técnico de Capacitación y Productividad)及 1%的勞工育樂休閒費 用(IETRA:Instituto de Recreación de los Trabajadores),總計雇主每月需額外繳交 12.67%的費 用,作為 IGSS、IRTRA 及 INTECAP 之費用。 (十一) 孕婦之保障 孕婦在懷孕期間不能勞動,從他們於懷孕至第一年請完產假回來,除非有其他正當理由, 或勞工自願放棄其權利,否則當產假結束後,孕婦有權返回原有的工作。產假幾付(在誕生前的 30 天)即接下來的 54 天(社會保險支付母親在那個時期全部的薪水)。女性雇員生產後 10 個月內 允許晚到一小時或提早一個小時離開做為嬰兒哺乳(雇主吸收費用)。 (十二) 其他有薪假期之情況 1. 配偶、父母、小孩死亡:3 天 2. 結婚:5 天 3. 妻子分娩假:2 天 4. 生病,公司必須支付薪水至發病的第 3 天。從第 4 天起,社會保險支付薪水的 3 分之 2 最 多至 26 周。 5. 發生事故,公司必須支付薪水至意外事故發生之後的第 3 天(不論是否因公而發生)。從第 4 天起,社會保險支付薪水的 3 分之 2。

25


第七章 投資法規 一、主要投資法令 (一) 外國人投資法 1998 年 2 月 4 日瓜國國會通過 9-98 法令,把全國分散在各法律中,有關外人投資之規定 彙編成為外人投資法,使瓜國可與其他拉丁美洲國家一樣擁有外人投資法。該法律保證外國投資 人享「國民待遇(NATIONAL TREATMENT)」,不再給予外資特別處理或加以限制之措施。本法 建立一套基準(NORM),有利於雙邊投資協議之諮商,並可利用此法作為對外國投資人之查核。 本法令主要內容如下: 1. 對外人投資和外國投資人之界定(DEFINITION):外國投資,其定義係指任何形式之投資, 包括資本移入瓜地馬拉,並由外國投資人執行者。而外國投資人之定義,是指任何外國個 人或公司直接投資,或透過與瓜國個人或公司合夥之投資者。 2. 完全平等(FULL PARITY):本條款建立對外國投資者之標準化待遇。防止對於外國投資者及 其投資有任何之歧視。不要求必須具有特別條件及核准,且不規定國家出身,除非與瓜國 憲法或國際法有所抵觸,外國與本國投資者申請條件完全相同,因此可說本法令是以最惠 國待遇對待所有國家之投資者。 3. 參加(PARTICIPATION):除了憲法及少數部門法令規定外,外國投資人可加入各種合法經 濟活動,例如擔任股東或合夥人。 4. 私人財產:依憲法第 39 條規定,承認外國投資人擁有財產權。 5. 徵收(EXPROPRIATION):在國有化之特別案件上,徵收是被允許的,其不僅符合憲法第 40 條,也合乎國際原則,但同時承認此種特別徵收案件必須給予適當之補償。 6. 自由貿易(FREE TRADE):只要符合法令,允許自由進出口合法之物品及服務。再者,它 將不對外人投資增加額外執行條件,例如規定必須技術移轉或創造特別就業機會。 7. 外匯鬆綁(FOREIGN EXCHANGE ACCESS):只要有足夠外匯及合乎一般貨幣法令,允許 任何投資人自由以外匯進行交易及不受拘束權利。 8. 投資保險(INSURANCE INVESTMENT):承認對非商業性風險之保險,只要與瓜地馬拉政 府簽署雙邊或多邊投保協定。 9. 雙重課稅:法令禁止國內雙重或三重課稅,避免雙重課稅,瓜國可依國際協定在未來與他 國簽署。 (二) 外銷產業獎勵條例(Ley de Fomento y Desarrollo de la Actividad Exportadora y de la Maquila, 29-89 號法令) 此條例旨在吸收外銷產業來瓜國投資,以創造就業機會及爭取外匯。外銷產業區分為: -全部外銷公司(適用全部獎勵辦法) 。 -部份外銷公司(僅適用獎勵辦法 1、2、4、7 項)。 -外銷至中美洲經濟共同體者不算出口。 1. 獎勵辦法: 26


(1) 生產使用之原料、材料、半製成品、中間製品之進口關稅得暫時豁免,自進口日起算, 為期一年,並得於期滿前 30 天申請延期。 (2) 樣品、工程用樣品、說明書及模型等之進口關稅得暫時豁免,為期 1 年,並得申請延期。 (3) 生產所需之機械設備及其零配件之進口關稅得豁免。 (4) 生產所需但屬於外國公司之機械設備及零配件輸入者,其進口關稅得暫時豁免。 (5) 生產所需之燃料石油及潤滑劑,其進口關稅得豁免。 (6) 所得稅豁免,為期 10 年。 (7) 產品外銷時得申請許可。 2. 申請程序 依本條例第六章規定檢送由經濟學家或工業工程師所簽署之經濟報告及其他文件,向經濟部 工業政策司申請。該司於收到申請書後 45 天內提出審核報告,經濟部根據該報告後 15 天內 對該項申請書做最後決定。 3. 監督與執行: 瓜國財政部對本條例之受惠公司具有審查其各項免稅進口財物之存貨情形的權力。 4. 保證與處分: 受惠公司須依照財政部規定,提存保證金,以便對本條例第四項所稱之暫免進口關稅之財物 提供擔保。如有違法者,除予追繳進口關稅外,另課該項進口關稅等值之罰鍰一倍。 (三) 自由貿易區(Ley de ZonasFrancas,65-89 號法令) 公司可依本法設立自由貿易區,自由貿易區主要優惠如下: 1. 進口機械設備、工具及原料免稅。 2. 區內進行商業活動可免除所得稅 5 年,從事工業及服務業者可享受 10 年減免所得稅。 3. 減免區內及自由貿易區間之加值稅。 4. 是否符合自由貿易區之條件可先向瓜國經濟部查詢。 (四) 工商自由區之投資獎勵辦法(Ley Orgánica de ZOLIC,22-73 法令) 瓜地馬拉工商自由區(ZonaLibre de Industria y Comercio, Santo Tomás de Castilla,簡稱 ZOLIC),於 1973 年設立,位於瓜地馬拉東北部大西洋 SANTO TOMAS DE CASTILLA 港附近, 距 IZABAL 省會 PUERTO BARRIO 市 7 公里,該市有波音 707 可降落之機場,SANTO TOMAS DE CASTILLA 港到瓜京路程 300 公里。 自由區內生產及營運所需之各種原料、機械、設備、配料及財物均得免稅進口。自由區內 之公司前 10 年營運期內得免繳所得稅,除此項所得在外國亦可免稅者外,貨品外銷一律免稅, 也免付加值稅,僅內銷至瓜地馬拉境內者需繳交通稅額。 (五) 瓜地馬拉 ZOLIC 工商自由貿易區及新修訂法規介紹 ZOLIC 工商自由區是瓜國第一個自由貿易區,乃是瓜國政府為了促進瓜國工、商業發展而 創立,具有法人特性、自有產權、自治功能、永久限期的自由貿易區。此工商自由區位於中美洲 27


瓜地馬拉 Izabal 省的 Santo Tomás de Castilla 港,在一個鄰近於海關監督的特別區域內營運。 在此工商自由區內,可以進行以下各種營運及交易活動,例如:進口、採掘、儲存、裝運、 卸貨、製造、包裝、組合、裝配、提煉、提純、混合、轉換等等,以及所有類別的貨物、產品、 原料、包裝設備和其它貿易所有關聯到的一般交易及操作。唯一的例外的是根據瓜國其他現行法 條所記載的禁止進口貨物項目不能進口。 1. 優勢條件 ZOLIC 工商自由區所位於毗連的 Santo Tomás de Castilla 港口,乃是一個具有可以裝卸任 何級別貨物設施的一級港口,不論是貨櫃、大宗穀物或是傳統散裝。目前利用此港進入瓜國 的貨運占有很高的比例。ZOLIC 工商自由區位於 Barrios 港市,具有一般小型城市所需應有 的民生基本建設 (電話、電力、醫院、旅館、餐廳、機場,等等),可允許在此工商區內發展 任何經濟活動的一般簡易營運。 由 Barrios 港市到瓜地馬拉市(瓜國首都)有 300 公里的距離,由一條第一級的公路連接。此外, 到瓜國另一個位於太平洋岸的 Quetzal 港,則有 410 公里的距離(約 7 小時的車程)。這地理 優勢使得自由貿易區處於在一個可以於美洲大陸東、西兩岸都可裝運貨物的戰略地位。根據 ZOLIC 工商自由區的組織法,所有位於此自由貿易區內的企業,其所有用於在此自由貿易區 內營運操作上的貨物、設備、機器、零配件以及其他資產等等,都可享有豁免瓜國所有的稅 捐及任何規章費用,不論是屬於中央或是地方政府已開徵或將要開徵的任何賦稅。 除此之外,在此自由貿易區設置以及營運的企業都享有從其開始營運日計起,前 10 年的企業 所得稅(Impuesto Sobre la Renta)豁免。外國人士,不論是個人或是法人,如在其原籍國是 隸屬於被課徵相同的稅捐並且其原籍國內的稅法允許在其國內的相關稅賦申報時得以申報並 扣減其在瓜國內所繳納的稅額部分,將無法享有此優惠。 2. 設施介紹 ZOLIC 工商自由區擁有 50 公頃面積的土地,有保安人員 24 小時就近完善的保護。目前在 保稅區(Predio Fiscal)內已有不同大小、適用於不同用途(商業工業服務業)的建築設施。全部 都具備應有的基本建設需求配備(衞浴、自來水、電力,等等),與國內及國外通訊的電話設 施亦相當完備。在保稅區外,也有適合用於設置管理或是商務用途辦公室的區域。 3. 申請進入 ZOLIC 的必要條件

 用具公司或企業組織抬頭的正式信函來填寫租賃申請書,由公司或企業組織負責人簽字並 密封好,送到 ZOLIC 工商自由區的總經理處(Gerencia General de ZOLIC)。

 填好 ZOLIC 或其網站(www.zolicguate.com)上所提供的申請表。合法公證的商業執照 (Patente de Comercio)影印本。

 合法公正的負責人身份證(Cedula de Vecindad)或護照(如為外國人)影印本。由公司或企業 組織聘請的會計師或是會計事務所,對其企業所編製的最新一期的一般資產負債表 (Balance General)。

 瓜國納稅人統一編號 NIT–(Número de. Identificación Tributaria) 影印本。(外國人也可以申 請 NIT)

 在自由區內發展的工業項目活動所造成的環境影響,必須通過環境及自然資源部(Ministerio 28


de Ambiente y Recursos Naturales)的環保規定及檢驗認證。

 化學及石化產品的倉儲必須有能源礦務部(Ministerio de Energíay Minas)發給的許可證明。  公證書(Escritura de Sociedad)合法副本。  合法代理人任命的公證契約。  商業執照(Patente de Comercio)的合法副本。  理事會或董事會所授予合法代理人簽署合約權力的証明。  如為外國企業,除了以上所列舉的文件之外,還必須附上准許此外國企業在瓜國境內營運 的政府協定。 4. ZOLIC 工商自由區組織法修法的相關介紹(Reformas a la Ley Orgánica de la Zona Libre de Industria y Comercio Santo Tomás de Castilla) 瓜國政府公報(Diario Oficial)於西元 2008 年 8 月 18 日公佈了 30-2008 法令(Decreto 30-2008),修改了 22-73 法令(Decreto 22-73)Zolic 工商自由區組織法(Ley Orgánica de la Zona Libre de Industria y Comercio Santo Tomás de Castilla)的某些條文。這些法條的修改 非常有利於出口商。 修改及增添的法條裡,包括將特別關稅區(Aéreas Extra Aduanales)定義為,可設至於國 內任何地方的特別公共經濟發展區,以及處理主要地點位於 Santo Tomás de Castilla 港區內 的 ZOLIC 工商自由區,開放設施以在瓜國不同地區或是國外成立辦公室的名稱及地點等一般 問題。 此次法條的修改,涵蓋可以在自由貿易區內進行的活動,如工業生產、商業活動或是服 務的提供等活動及所有在現行法獎勵條件下的活動。除此之外,還具體規定自由貿易區董事 會及總經理功能性的改變或增加,包括以下各種具體項目:

 自由貿易區的周邊功能  自由貿易區的資產  每個財政年度對利潤的應用比例  實施聘用責任保險,以及由董事會單方面決議的租賃合同的宣告形式。 另一項重要的改變乃是,所得稅(ISR)減免的期間由 7 年增加為 10 年,以及豁免繳納記 載在自由貿易區內物業或交易合同或合約文件的印花稅,以及對被視為“拋棄”的財產執行上 的程序。其他一些重要並值得一提的是,授與稅賦總署(Superintendencia de Administración Tributaria – SAT) 稽查及控制自由貿易區內的 稅收制度以及經由勞工 部 (Ministerio de Trabajo)許可後,可從國外聘請技術人員來此服務 3 個月的選項;以及說明在自由貿易區內營 運操作的公司或企業組織,如果在自由貿易區外進行其他的活動,則必須另外成立獨立及不 同的企業。 某些法條的修改,如關稅特區的規劃及設計,提供 ZOLIC 工商自由區可在此制度下, 在瓜國的國際貿易運輸或偏遠少開發的策略區域中進行組織活動的可能性。如此一來,將有 更益於區域化發展的形成。 在設置 ZOLICS 後,最大的好處將是促進大量的就業機會,增加花卉、蔬菜、豆類、家 具等生產業者的競爭優勢,以及吸引國內和國外的投資。此外,還有工、商及服務業等,辦 29


公室的設置。此法令從西元 2008 年 7 月 1 日開始正式生效。 30-2008 號法令第一條引進了特別關稅區(Área Extra Aduanal)的定義。提供了不僅是只 有 Santo Tomás de Castilla 港的周邊界訂區域才能擁有此特性,而是全國各地任何地方都可 以設置此類特區。 5. 依照法令,什麼是特別關稅區? 依法令規定可描述如下:「一個允許進入有界線部分的具體控管區域, … 就進口關稅及 其他相關稅務而言,貨物被視為不在於海關地域之內」 。 一個出口業者今天可以有機會來劃定他用於生產廠房、倉儲以及用於其一般出口活動空 間的自有空間,並被視為一個特別海關區域,以及享有此區域所帶來的好處。在 30-2008 法 令中的第 2 條、第 13 條及第 14 條中指出,為了促進自由貿易區的各種目標,區內可進行工 業生產、商業或是服務業的活動,並能進行享有以下獎勵辦法:

 加值稅(VAT)的豁免。此稅負豁免的應用機制是經由稅赋總署核准的豁免證明。  所得稅(ISR)的豁免。為期 10 年的 100%豁免。  自由貿易區使用業者分配給股東或合夥人的股息和利潤應被視為收入免徵所得稅。如果考 量到未來可能包括納入股息和利潤為所得的所得稅改革,此豁免特別重要。由於這項稅改 如果獲得批准,將會是這項 ZOLIC 法令的改革法案後,最重要的稅改部分。

 印花稅(Impuesto de Timbre Fiscal)豁免繳納記載在自由貿易區內物業或交易合同或合約 文件的印花稅。 修改的法條中包括的海關特區的規劃及設計以及對被視為“拋棄”的財產執行上的程序。 亦包括隸屬於稅賦總署對自由貿易區及其用戶的監控。在第 20 款中指出,所有在自由貿易 區內製造、生產、加工、裝配、稀釋、混合、包裝、組合提煉、提純、混合、轉換等成品, 將可用於:

 外銷  進口  供應給國內其他的特別公共發展區和自由港。  合法設置的自由貿易區及保稅倉庫(Almacenes Generales de Depósito Fiscal)或者任何 其他享有特殊稅收待遇的管理區。 最後。在第 21 條中,規定在自由貿易區內的營運或操作的公司或企業組織,依照有關 的法令,必須另外成立獨立及不同的公司或企業組織,方可在區外進行其他工、商及服務業 的活動。此類的營運活動不享有以上所提的財政獎勵。 這項法律將開啟符合在相同目的下的貨物出口或是服務業者的商機,因此同意進行一項 詳細分析調查以確定這一法律帶來的潛在好處和隱藏成本。在自由貿易區內允許企業享受稅 賦優惠政策。 22-73 號法令的修改,嘗試透過賦稅或非賦稅優惠的方式來刺激對需要滿足勞力需求及 發展,但其本身不具有吸引到偏遠及落後地區投資的能力。30-2008 號法令將這些自由貿易 區設立於貧窮指數高的地區以及在那些策略上准許吸引外商來瓜國設立工廠的地區。例如與 墨西哥鄰近的邊界地區。 30


此外,瓜國政府、ZOLIC 工商自由區或是地方市政府也可賦予其他非稅賦的獎勵條件。 例如,土地或服務的提供。根據這項法律規定,瓜國政府可獲得這些自由貿易區 20%的結算 盈餘,自由經濟區所在的市政府則可獲得 10%。其他的 10%保留為公司的合法準備金,5% 作為員工的年度分紅,5%將提作退休撫卹準備金。到目前為止,全瓜國有 184 間企業設在 12 個營運中的自由貿易區,雇用有約 1 萬 3 千名員工。 6. 貨物進入 ZOLIC 之程序與必要文件 表 7-1 ZOLIC 貨物進入程序 相關人員

程序

活動

承運人

1

抵達運輸工具及提出申報單和支援文件

自由貿易區用戶

2

通知海關代表貨物抵達了

貨物稽查員

3

收取並驗證相關文件是否正確進行運輸單位的物體認可

貨物稽查員

4

抽樣檢驗承運人運抵的樣品,剪去簽條及准許卸貨

貨物稽查員

5

檢查貨物和在承運人的樣品上貼上封條及簽字並執行確認系統

承運人

6

當貨物數量出現多餘或是短少時必須提出正當理由

收貨人或代表

7

傳達貨物收到的報告

必要文件:

貨物申報單 (Declaración de Mercancías)

商業發票 (Factura Comercial)

運輸文件(Documento de Transporte)

裝箱單(Lista de Empaque)

 

確定進口制(Régimen de Importación Definitiva)的海關評價申報 (Declaración del Valor Aduanero) 附上可證明已繳納海關封條或簽條費的表格副本

貨物輸入申報單

原始產地證明。如申請優惠待遇

遵守受管制貨物的非關稅限制及規章的執照、許可或參考證明,以及其他因其性質及海關制 度所要求的許可或擔保

卸貨控制單

經濟部的許可決議

7. 一般規定

如果有顯示出違反海關犯罪規定的跡象,必須依照海關反詐騙走私法、刑法或刑事訴訟法的 相關規定來處置。

貨物的抵達必須由執行運輸工具具體檢驗的人員准許,同樣也必須在海關資訊系統上執行。 如果沒有存在差異或者其差異是可原諒的,將被允許輸入。除了是被海關當局認同的情有可 原因素之外,是禁止執行文件的抵達(無貨物抵達)。

審核管理區貨物的抵達是依照海關代表規定服務的時間而定。如果申請規定外時間的服務, 31


必須視為符合稅賦總署董事會決議第 11-2001 條款及第 552 號總統法令之第 44 條款,以及 行政法令第 33-73 條修訂過的”國家預算、審計及國庫組織法”及其法規第 37 及 38 條,所 指出的特別服務規定。

所有透過編號為 154-ZI、24-ZT、150-DA、24-DZ 的貨物申報方式抵達審核管理區的貨物。 必須經由海關服務登記有案的國內海關承運者來進行。為此,將在海關申報單上使用『AT』 承運者授權的許可,其中包括承運者的標號以及所使用的運輸工具的牌照號碼。

在跟運輸單位檢驗並對照過所委託承運者的資料之後,就該進行申報單抵達的執行。隨後, 進行簽條的剪去以及檢驗卸下的貨物,基於檢驗程序來進行數量的一般計量。

在某些情況下,如果海關代表發現貨物的關稅編碼不在經濟部工業政策司所公告的用戶設置 及操作決議許可中時,相關的用戶必須馬上出示有該工業政策司收件印章的申請書副本。

編號 22-ZN、157-MR、157-PE、157-LR、157-ZQ 是保障從國內領域內的貨物進入自由貿 易區。因為運輸工具不需要海關的封條,所以不需辦理海關手續。

貨物在到達的當時,若其性質是易損壞(或腐壞)的或具有對其他的貨物或設施造成損害的風 險,用戶必須立即通知收貨委託人和相關的海關當局給予貨物的撤離或後面的目的地,5 天 的期限。如未在規定期限內轉移貨物,被遺棄及必須被轉離或銷毀的貨物所需的費用將由收 貨委託人或用戶承擔。

所有在海關管轄區准許的活動所利用的自由流通的原料及產品。必須使用海關服務的報表及 規定條間來申報其輸入。

8. 一般規定

如果有顯示出違反海關犯罪規定的跡象,必須依照海關反詐騙走私法、刑法或刑事訴訟法的 相關規定來處置。

貨物的抵達必須由執行運輸工具具體檢驗的人員准許,同樣也必須在海關資訊系統上執行。 如果沒有存在差異或者其差異是可原諒的,將被允許輸入。除了是被海關當局認同的情有可 原因素之外,是禁止執行文件的抵達(無貨物抵達)。

審核管理區貨物的抵達是依照海關代表規定服務的時間而定。如果申請規定外時間的服務, 必須視為符合稅賦總署董事會決議第 11-2001 條款及第 552 號總統法令之第 44 條款,以及 行政法令第 33-73 條修訂過的”國家預算、審計及國庫組織法”及其法規第 37 及 38 條,所 指出的特別服務規定。

所有透過編號為 154-ZI、24-ZT、150-DA、24-DZ 的貨物申報方式抵達審核管理區的貨物。 必須經由海關服務登記有案的國內海關承運者來進行。為此,將在海關申報單上使用『AT』 承運者授權的許可,其中包括承運者的標號以及所使用的運輸工具的牌照號碼。

在跟運輸單位檢驗並對照過所委託承運者的資料之後,就該進行申報單抵達的執行。隨後, 進行簽條的剪去以及檢驗卸下的貨物,基於檢驗程序來進行數量的一般計量。

在某些情況下,如果海關代表發現貨物的關稅編碼不在經濟部工業政策司所公告的用戶設置 及操作決議許可中時,相關的用戶必須馬上出示有該工業政策司收件印章的申請書副本。

編號 22-ZN、157-MR、157-PE、157-LR、157-ZQ 是保障從國內領域內的貨物進入自由貿 易區。因為運輸工具不需要海關的封條,所以不需辦理海關手續。 32


貨物在到達的當時,若其性質是易損壞(或腐壞)的或具有對其他的貨物或設施造成損害的風 險,用戶必須立即通知收貨委託人和相關的海關當局給予貨物的撤離或後面的目的地,5 天 的期限。如未在規定期限內轉移貨物,被遺棄及必須被轉離或銷毀的貨物所需的費用將由收 貨委託人或用戶承擔。

所有在海關管轄區准許的活動所利用的自由流通的原料及產品。必須使用海關服務的報表及 規定條間來申報其輸入。 該免稅區之各項最新資料可參考其網頁,http://www.zolicguate.com/。

9. 其他參考資料

    

aduanamoderna@sat.gob.gt www.sat.gob.gt www.prensalibre.com/pl/2008/mayo/01/235406.htm www.deguate.com/artman/publish/ecofin_articulos/Modernizaci_n_de_la_Ley_de_Zolic Doing Business 2011, American Chamber of Commerce in Guatemala

二、投資獎勵措施 瓜國並無對外人投資提供特別獎勵,外人投資經合法登記即視為本國公司,其權利與義務均與本 國公司相同,不因外資而享有特別優惠。瓜國僅對於出口企業提供租稅獎勵,包括進口機械設備、原 料免稅及所得稅減免 10 年等。

三、投資限制 一般而言,瓜國對投資項目並無限制,惟近年因環保意識抬頭,凡新投資之工業均須作環境污染 評估,並經環保主管單位核准後方得設廠。

四、投資主管機關 瓜國負責投資業務之主管機關,包括:經濟部投資處、工業局、工商登記處、財政部、中央銀行、 勞工部、內政部(移民局) 、環保署。瓜國政府為加強吸引外資,爰於 2006 年於瓜國經濟部下成立 單一投資窗口「 INVEST IN GUATEMALA 」,我國廠商各項登記或有關投資問題皆可逕洽該單位請 求 協 助 , 其 連 絡 資 料 為 : TEL : (502)2421-2484 , FAX : (502)2421-2480 , 電 子 郵 件 : info@investinguatemala.org,網頁:www.investinguatemala.org。

五、其他投資相關法令 1. 石油法(第 109-83 法令) 2. 石油及其衍生物商業化法(第 109-97 法令) 3. 礦產法(第 48-97 法令) 4. 電力總法(第 93-96 法及政府協定第 256-97 號) 5. 促進森林發展法(第 101-96 號法令)與森林法 (第 70-89 號法令) 其中森林法第 70-89 所提供基本利益如下: (1) 森林投資證明可用來抵所得稅,最高到 50%及車輛通行稅(Vehicle Circulation Tax),該證明 33


有限期間為 4 年。 (2) 如在自有林地種植超過 50%範圍之林木,該土地所有人可免繳財產稅最高到 10 年。 另依據第 101-96 法令提供下列優惠:國家將透過國家森林機構(INAB)及財政部提供從事種植超過兩 公頃林業計劃 5 年之優惠。由國家森林機構以種植林木及維持一公頃土地成本以一年為基礎,計算其 成本並提供優惠。其餘 1-4 項相關法令並未提供投資優惠措施。

六、投資注意事項 綜觀上述,瓜國投資環境仍待改善,尤其政府人事更動頻繁、政府政策缺乏一貫性、治安欠佳等因素 仍須改善。瓜國商業總會亦呼籲政府應加強改善投資環境、打破某些產業壟斷局面、根絕特權、改善 治安、推行保護智慧財產權,提升行政效率、與外國簽訂避免雙重課稅及投資保護協定等。為改善投 資環境瓜國國會已於 1998 年 2 月通過 9-98 法令,制定外人投資法。該法令保障外國投資人享有國 民待遇,成立單一投資服務窗口,廢除最低資本額之要求,鼓勵外人來瓜投資。此外美國與中美洲五 國已簽署自由貿易協定,美國關切之重點在於透過自由貿易協定談判,促使中美洲五國貿易環境更為 公平及透明,因此,在美國的壓力下,中美洲五國包括瓜地馬拉在內投資經商環境可望獲進一步之改 善。鑑於美國為全球最重要之消費市場,我商可利用此一機會評估來瓜國投資或設立據點之可行性, 除可分散投資風險,並可避免過於集中在中國大陸或其他亞洲國家,畢竟我商主要市場仍為美國,可 利用瓜國地理環境臨近北美自由貿易區及與美國簽署自由貿易協定等諸多有利因素。有關瓜地馬拉自 由貿易區、加工區與外人投資優惠之相關法案比較,可於以下網址參考本團之整理文件: http://www.taiwantrade.com.tw/CH/resources/SUB/MK/FTA/Guatemala_compare.pdf

七、台灣外交部「鼓勵業者赴有邦交國家投資補助辦法」 (一) 補助投資類別 本辦法投資類別以製造業、手工藝業、礦業、農業、林業、漁業、畜牧業、運輸業、 倉庫業、公用事業、公共設施興闢業、國民住宅興建業、技術服務業、旅館業、營造業、 金融服務業、石油探勘業、電視媒體業、觀光旅遊業及經審查符合本辦法訂定宗旨之其他 事業為限。 (二) 補助項目 包括僱用當地國員工薪資補助、廠房設備或營業處所或土地租金補助,分別以員工每 人每月薪資、廠房設備或營業處所或土地租金百分之三十為準;申請融資利息補助,以向 金融機構融資期間實付利息百分之五十為準,補助期限均以五年為限,累計最高補助金額 不得超過新台幣 2000 萬元。

34


第八章 公司申請設立程序 依瓜國外人投資法第 9-98 號法令,外國人享有國民待遇,因此外國人可直接成立外國公司(分公 司)或本地公司(子公司)。

一、 外國分公司(Branch) (一) 外國法人擬在瓜國營業或設立分公司須依下列程序辦理 1. 商業登記處辦理登記。 2. 稅務局(SAT)辦理登記。 (二) 商業登記需備文件 1. 母公司依法登記之證明文件。 2. 經認證之公司章程。 3. 公司董事會決議來瓜經營之決議書。 4. 指派法律代表人(由持有工作證之外人或瓜國公民擔任皆可,但只有瓜國律師有權擔任司 法代理)。 5. 證明已撥款給予在瓜分公司營運資金之文件,母公司將負責在瓜及海外所有資產,並提 存最少 50,000 美元之債券或等值之瓜幣,以作為對第三者傷害之擔保,該款於公司結 束後退還。 6. 同意遵守瓜國法律與瓜國法院之管轄權。 7. 公司撤離前履行全部義務之聲明。 8. 提供經過認證之最新財務報告。(資產負債表與損益表) 以上文件須由原發證國有關機關及瓜國領事館認證,每一文件瓜國大使館之驗證費為 10 美 元。所有文件必須譯成西班牙文,在提出商業登記之前,文件須先經瓜地馬拉公證人公證。 (三) 商業登記程序 1. 商業登記處首先查驗申請文件是否齊備,及與瓜國法令有否牴觸。如前兩項均通過,則 商業登記處發出請求在政府公報刊登通知,通告申請登記事項。在公告 8 天內如無人異 議,在查驗資金或資產已否匯到及保證金已繳足後,再造冊並發給外國公司營業執照 (Patente de Comercio),完成登記程序,該執照印花為 200 瓜幣(約 26.3 美元)。 2. 在登記後一年內必須開始營運,一家公司由申請到核准約須 4 個月,不過在取得臨時執 照(約 4 天),即可營運。 (四) 完成營業登記後須向稅務局(SAT)申請稅籍號碼(NIT),以利所得稅及加值稅申報之需要,申 請 NIT 之條件 1. 完成商業登記之證明。 2. 指定在瓜之法律代理人。 3. 依 SAT-0011 法令,提供一般公司資料。 (五) 其他義務 公司在瓜國營業之資產負債表必須每年在政府公報通告。關於公司組織章程(by-laws)、資 35


本、法律代表人及營業目的有修正時,必須檢附有關文件呈送商業登記處及稅務局(SAT)。 在原登記國之總公司如發生清算、破產須陳報商業登記處。 (六) 在瓜國臨時營業 若外國公司之預定在瓜國營業時間不超過兩年者,可向商業登記處申請特別核准。文件包 括母公司之公司執照及授權書,保證金 5 萬美元公債在申請提出三天內,需存入在瓜國授 權銀行。 (七) 無須申請許可之商業活動 依照瓜商業法第 220 條規定,若干合法組設之外國公司無須申請許可及辦理商業登記即可 從事下列活動: 1. 成為瓜國法庭案件當事人。 2. 僅在授權銀行中開立及維持帳戶者。 3. 對依瓜國法令成立之獨立商業機構進行買賣交易者。 4. 透過代理商請求確認及接受訂貨者。 5. 其業務僅對瓜國進行貸款及授信者。 6. 對在瓜國信貸文件之開立、背書或收集及保管此一文件者。 7. 取得屬於財產性質之設備、不動產或權利,且非屬公司所有者。

二、瓜地馬拉本國公司 登記為本國公司之手續甚為簡單而快速,可能在 48 小時內取得註冊,其後最長 4 個月內完成公 司登記,公司亦可在取得臨時註冊後開始營業。 (一) 組織種類 依第 2-70 號法令商業法之規定,公司組織形態為: 1. 無限公司(SOCIEDADES COLECTIVAS):所有合夥人對公司皆負責無限責任,股東最 多 20 人。 2. 兩合公司(SOCIEDADES EN COMANDITA SIMPLE):有兩種形式合夥,一種為一個或 多個一般合夥人直接經營、聯合或分別承擔債務責任。另一種為一或多個有限合夥人, 其所負之債務責任係以出資額為限,有限合夥人對公司無經營權。 3. 股份有限公司(SOCIEDADES ANONIMAS):此種公司最為普遍,股東以所認購股份負 責,公司必須有董事會或一獨立行政管理人,每年股東會應依法登記在財政部商業登記 處指定紀錄本上。不限制外國人在董事會之席位,公司需有一位住在本地之經理,該經 理可以為一有工作証之外國人或瓜國公民。 4. 股份兩合公司(SOCIEDADES EN COMUNDITA POR ACCIONES):與兩合公司相同, 此種公司須以股份代表股權。 組織公司之印花稅為設定資本額之 3%。另外,民法(第三章第 1728~1789 條)有非 營利組織之規定(SOCIEDAD CIVIL)。 (二) 外人在瓜國設立本國公司 外國人准許在瓜國成立擁有 100%股權之本國公司,其合夥人或股東均可為外籍人士。 (三) 公司章程(Deed of Constitution of A Company) 36


依照商業法,章程須經公證,並需載明下列各項: 1. 建立章程日期及地點。 2. 公司組織種類。 3. 公司名稱及營業項目。 4. 公司營業所在地。 5. 公司設立之目的。 6. 營業期限。 7. 資本總額。實收資本額(paid-in capital),最少為 5,000 瓜幣。 8. 公司行政及監督部門之規定。 9. 公司籌組人之簽字。 10. 公證人之簽名及蓋章。 當公司章程證明影本發行時,在章程第一頁必須貼 250 瓜幣(約 32 美元)之財稅印花, 同時支付商業登記處之規費,該規費是依據登記資本額(authorized capital)之千分之四,最 高為 25,000(約 3,246 美元)瓜幣,同時,指定法律代表人草擬合法紀錄,這些文件必須 貼 100 瓜幣(約 13 美元)之印花。 (四) 商業登記處之登記 檢送公司章程向商業登記處申請登記。送審之公司章程若符合一切法律規定,並且未 與法律相牴觸者,商業登記處准予暫時登記,並於一個月內在政府公報及另一種日報中通 告三次,通告內容需包括第三節各項,如為有限或無限公司,須載明股東姓名。在第三次 通告刊載 15 天後,如無異議或法律上之障礙,即發予正式登記,有效日期追溯至臨時登記 日期。更多詳細規則請見商業登記處網站: http://www.registromercantil.gob.gt/procesosRegistrales.asp (五) 稅捐稽徵處(SAT)之登記 合夥性公司需檢具下列經認證文件影本辦理登記: 1. 合夥契約書。 2. 商業登記證書。 公司須檢具經過認證之公司章程,經會計師之認證資本實收額證明辦理申報。 (六) 本國公司與外國公司分公司 登記所需時間本國公司者約 2 個月。外國公司者於瓜國收到有關文件後約 4 個月或 4 個月以上。 (七) 以資產出資規定(Assets as Capital Contribution) 編造財產清冊,依公開市場價值需詳列此項資產,股東若對該項資產故意灌水加價, 應向第三者負責。應列冊資產包括:不動產、動產、發明、專利,可行性研究費、籌設及 推廣費用。各項估價與費用均須列入財產清冊,並須事前徵獲全體關係人之同意。以應收 款項出資者,須對該款之合法存在及償付性負責。以股票出資者,股票估價應以市場價格 定之,但不能超過該項股票之帳面價值。

37


三、投資申請程序及審核流程 有關流程部分,瓜國經濟部投資處提供各項有關投資資料並負責與各部門之協調→工商登記處辦 理工商登記→向財政部稅務局(SAT)申請統一編號→向中央銀行申請進出口商統一編號→工業局評定 工業類別及適用獎勵條例→分別向勞工部及移民局申請管理人員及技術人員之工作證及入境、居留簽 證。另瓜國經濟部為簡化微小中型公司設立流程,已於 2006 年 5 月成立單一服務窗口「Ventanilla Ágil」 辦理新設公司事宜,所有瓜京申請案件可於送件後 24 小時內完成所有相關流程,瓜京以外地區約 2-3 天即可完成。 表8-1 公司設立程序表 程序 1

2

3

4

向瓜國商業登記處檢查欲登記之公 司名稱是否已被使用 持瓜國公證人(notary public)之有效 證明以開設銀行帳戶 在銀行存入認定資本(subscribed capital)並取得證明收據 由公證人草擬(draw)公司章程(the deed of constitution)

處理時間(天)

Registro Mercantil

1

www.registromercantil.gob.gt

5

司章程證明影本以進行商業登記程

瓜國當地銀行

1

7 8 9 10 11

12

向商業登記處遞交登記所需之相關 公證文件 於中美洲日報(Diario de Centro América)發佈公司成立之訊息 與公司之法定代理人進行面談 取得正式登記、社會安全與賦稅編 號,以及提供發票之權力。 申請交易許可(trading license) 向商業登記局提交公司會計資料、 董事會名單 自勞工部申請正式之員工薪資清冊

無 Q6800 + 稅

3

(平均) 印花稅

1

6

處理成本

1

由該公證人購買公司之印花稅票 (fiscal stamp),並發出經認證之公

負責機關

Superintendencia de

Q250;營運執

Administración Tributaria

照申請費

http://portal.sat.gob.gt/sitio

Q300;公司章 程影本 Q100

4

Registro Mercantil Diario de América

8

http://www.dca.gob.gt

Q2000

Q525.62

1

Registro Mercantil

14

Registro Mercantil

1

Q165

1

Registro Mercantil Ministerio de Trabajo

1

http://www.mintrabajo.gob.gt

每頁約Q0.15

每頁約Q0.15

資料來源:The World Bank and the International Financial Cooperation (2011), Doing the Business in Guatemala

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第九章 產品進出口申請程序 一、

進口 (一) 進口程序 1. 發出詢價單 2. 得到報價單 3. 確認訂單及貨款 4. 透過銀行支付貨款 5. 聯絡海陸或航空運輸 6. 貨運價格和保險 7. 與出口商確定所有進口產品所需文件及資料等相關細節 貨運公司提供貨櫃到達目的港之日期,當產品到達港口時,通關需要填寫提貨單及陸路運 輸申請表,並在港口直接支付稅款。這些原始提單發出時,運費就被運輸公司支付。進口商取得 原始提單(FOB 價格)後,即可向海關辦理清關的動作,此時必須備齊所有相關文件以便進行進口 證明書之申請。此文件內容包括出口商與進口商的聯繫資料及產品類別等。 每項產品都有所屬的稅則號碼,視它所屬的類型而定,當確定應支付的部分超過到岸價 CIF (FOB + insurance + freight)時,進口商取得一份電子證明書,並支付進口稅款。在海關檢查進口 證明書等相關文件與支付稅款後,會進行貨櫃檢查。在任何合理懷疑下,海關人員可針對提單上 之貨物和費用進行二次檢查,再行通過。根據國際金融協會(IFC)之資料,從相關文件準備、清 關、港口處理到內陸運輸等程序,約需 17 個工作天與 1302 美元之成本。 (二) 產品稅額 在瓜國含酒精飲料、水泥和糖是最受保護的產品。因此,進口這類產品必須支付額外稅款。 1. 水泥 若公司想要進口,他們必須支付每袋 150 瓜幣(每袋 42.5 公斤)及 9-10%之進口權稅,若 該產品由美國進口,則上述一般進口稅款已被附加。 2. 含酒精飲料:必須支付 30%到 40%進口稅款(決於原產地、酒精度、品牌)及一般稅款。 法令禁止國內雙重或三重課稅,避免雙重課稅,瓜國可依國際協定在未來與他國簽署。

二、

出口 (一) 出口程序 瓜地馬拉出口協會有一單一窗口。除了咖啡和糖,其他產品出口所需的全部文書工作都在 這個辦公室進行。另外,此辦公室提供電子出口授權服務 EADEX(Servicio Electrónico de Autorización de Exportaciones); 出 口 商 可 以 隨 時 將 資 料 上 傳 , 不 需 要 人 員 到 現 場 處 理 。 www.agexpront.gob.gt。 為了進行出口,公司必須具備條件如下︰ 1. 企業必須具有一般商業登記,並在稅務局(SAT)登記有案。 39


2. 必須有出口商代碼,透過出口商協會(AGEXPORT)取得。取得出口商代碼需支付 10 瓜幣之費用,約需 2 小時。 (二) 出口要求文件 1. 股份公司 (1) 營利事業登記證 (2) 法定代表人 (3) 稅務局登記(稅號) (4) 身分證或護照(外國人) (5) 空白發票 2. 獨資公司 (1) 營利事業登記證 (2) 稅務局登記(稅號) (3) 身分證或護照(外國人) (4) 空白發票 (三) 出口商分為兩種 FAUCA:將產品出口至中美洲國家,此類出口商為產品源自於瓜地馬拉或中美洲國家 DEPREX:此類進口商將瓜地馬拉作為轉口地,產品經由瓜國轉口、出口至世界各地 (四) 出口程序與費用 1. 每類支付 35 瓜幣 2. 附上發票給顧客 3. 若產品經進口商進口,需附上進口證明書。 程序約花費 5 個小時,所有文書作業在同地點進行即可。出口商可藉由此文件進行出口, 通常不需要另外雇用員工來從事出口申請的文書作業。此種文書作業服務的平均費用約為 300 瓜幣。以出口來說,除資本利得稅和增值稅外,不需支付其他稅款。有一些成衣加工廠 有特別稅賦優惠,他們不需支付稅額。此外,裝運費約 800 瓜幣。每次出口均需特別許可 之產品如:藥,木頭,水果和蔬菜等。根據國際金融協會(IFC)之資料,從相關文件準備、 清關、港口處理到內陸運輸等程序,約需 17 個工作天與 1182 美元之成本。 (五) 產品出口至美國,公司必須申請下列許可及檢驗 1. 食品及藥品管理局許可(可在網路上進行) 2. 耕種、加工及其他加工處理之檢驗 3. 生物恐怖主義法令之許可(Bioterrorism 法,可在網路上申請) ,該法案規定美國國內和 外國製造、處理、包裝、或準備食物之廠商需向美國 FDA 登記。 進出口相關表單可於以下 SAT 網站取得: http://portal.sat.gob.gt/sitio/index.php/aduanas/documentacion-y-asistencia.html 40


第十章 台瓜自由貿易協定 一、自由貿易區基本概念 (一) 法源:世界貿易組織(WTO)1994 年關稅及貿易總協定第 24 條(GATT § 24)及貿易總協定第 5 條(GAT § 5)。 (二) 目的:促進區域間 WTO 會員國貨品及服務之貿易,減少貿易障礙。 (三) 形式:關稅同盟協定或自由貿易協定。 

自由貿易區:由關稅同盟協定或自由貿易協定構成

關稅同盟:例如南方共同市場(MERCOSUR)

自由貿易協定:例如北美自由貿易協定(NAFTA)

二、台瓜自由貿易協定概要 協定包含前言與本文 21 章,計 225 條文,以及關稅調降表、特定原產地規定與投資與服務業清 單等附件。涵蓋內容包含貨品之國民待遇及市場進入、原產地規定及其海關作業程序、防衛措施、不 公平貿易行為、食品與動植物安全檢驗及防檢疫措施、標準度量衡及授權程序、投資、跨境貿易服務、 短期商務人士入境、海空運、智財權、透明化、爭端解決與協定之管理等相關規範。條文詳細內容與 關稅調降方式等,可於以下網址參考國貿局提供之詳細資訊。 http://ekm92.trade.gov.tw/BOFT/web/report_list.jsp?data_base_id=DB009&category_id=CAT3515

三、市場進入相關規範 (一) 進出口限制 除以下附件 3.09 所列貨品外,不得採取或維持限制措施。 1. 瓜:厚度 11 公分以上圓木或加工木材、咖啡、武器等 23 項貨品管制出口。 2. 台:狗肉、河豚、化學品、煙火等 47 項貨品管制進口,鱒魚、鮭魚、武器等 23 項貨品 管制出口。 (二) 特殊防衛措施 1. 附件 3.13。瓜國 20 項,台灣 18 項。 2. 過去三年該產品之平均成長百分比達到啟動水準(需三年連續進口),進口關稅將調整為 最惠國待遇關稅,以進口當時或 2005 年 7 月 31 日較低者。例如:瓜:稅號 2103.10.11 -醬油,啟動水準 20%;2007.12.31-台灣 13%,最惠國待遇 14%;2005.07.31-最 惠國待遇 15%,啟動後台灣之優惠關稅為 14% 。 (三) 獨特產品 基於標示之目的,台灣政府承認咖啡為瓜地馬拉之獨特產品,特別是 Antigua、 Huehuetenango、Cobán、San Marcos、Oriente、Atitlán 及 Fraijanes 區域之咖啡。上述 咖啡名稱之標示,受到台灣政府所保護,除原產地之業者可使用此名稱標示外,台灣政府 不允許其他業者以「瓜地馬拉咖啡」之產品名稱,作為產品標示與銷售。 41


(四) 原產地規則 出口貨品符合附件 4.03 特定原產地規則,出口人向認證機關,或其委託機關申請台瓜自由 貿易協定原產地證明書,以享受優惠關稅。 (五) 認證機關 瓜:經濟部。台:經濟部國際貿易局 (六) 原產貨品 1. 完全於締約國領域內取得或生產之貨物。如:礦物、植物、活動物。 2. 完全於締約國一方或雙方領域內生產之貨品,以協定第 4 章認定之原材料生產。 3. 非以原產材料生產,符合附件 4.03 規定稅則分類變更或區域產值含量(35%-50%) 4. 生產該貨物使用之非原產材料未能符合分類變更:貨品未組裝或拆裝進口,但被歸類為 已組裝、貨品與零件歸於同一節,未細分目、貨品與零件歸於同一目。(第 61-63 章紡 織品不適用) (七) 原產地規定 例:第 84 章核子反應爐、鍋爐、機器及機械用具;及其零件。8406.10-8406.82:從其他任 何節之貨品變更為 8406.10 目至 8406.82 目之貨品;或從任何其他目之貨品變更為 8406.10 目至 8406.82 目之貨品,且區域產值含量不得低於 40%。 (八) 區域產值計算:(以百分比標示)

其他相關網址 

稅則號列(財政部):http://web.customs.gov.tw [稅則稅率查詢,第二欄標示 GT 者)

原產地規定(經濟部國際貿易局):http://cweb.trade.gov.tw

[原產地證明書]

四、 中瓜經貿關係 根據我國財政部統計資料顯示,2011 年台瓜雙邊貿易額為 1 億 7,590 萬美元,較 2010 年成長 14.7%,其中我國對瓜國出口金額為 1 億 518 萬美元,較 2010 年成長 28.7%,主要出口產品包括化 學原料、機動車輛零件、染色梭織物、塑膠製品、空白光學媒體、天線、腳特車或機動車輛用之車燈 及尾燈等。由於全球經濟復甦影響,2011 年我出口至瓜國之光學產品聚縮醛出口金額為 1,260 萬美 元,較 2010 年大幅增加 1,024 萬美元,成長率高達 432.9%,另機動車輛零件、塑膠產品及腳踏車 或機動車輛用之照明信號設備之出口金額亦分別成長 10.9%、40.8%及 35.5% 2011 年我國自瓜國進口金額為 7,073 萬美元,較 2010 年減少 91 萬美元,主因我對瓜蔗糖進口 減少 17.9%所致。我國自瓜國主要進口項目為蔗糖(粗及精糖)、咖啡、菸及菸葉、冷凍蝦、鋼鐵廢料 及碎屑、鋁廢料及碎屑、鋅廢料及碎屑等。 另根據瓜國中央銀行資料顯示,瓜地馬拉與亞洲主要國家進出口貿易比重很小,分別僅占進出口 總額之 12%及 4.17%,且集中在少數產品項目。瓜國出口至亞洲國家產品以咖啡、蔗糖、蝦類、廢 42


金屬、木材、塑膠原料、鋁、銅等少數產品為主。瓜國自亞洲國家進口產品亦同,如自日、韓兩國進 口均以車輛佔絕大比例。2011 年瓜國輸入我國出口額為 3,816 萬美元,較上年減少 0.13%。瓜國自 我國進口額為 1 億 2,275 萬美元,成長 31.5%,產品以塑膠原料、紡織布料、電機、車輛、化工產品、 玩具等為主,均為小量。 台瓜自由貿易協定(FTA)於 2006 年 7 月 1 日正式生效實施,係我國繼巴拿馬之後與中美洲國家簽 署的第二個自由貿易協定,同時是瓜地馬拉與亞洲國家所簽署的第一個自由貿易協定,深具意義。台 瓜自由貿易協定(FTA)生效以來,兩國貿易量逐年增加,2010 年雙邊貿易額成長 44%,2011 年台瓜 雙邊貿易額為 1 億 7,590 萬美元,較 2010 年成長 14.7%。我經濟部仍續加強推動並鼓勵業者善用台 瓜自由貿易協定利基,協助瓜國產品拓銷台灣及拓銷至其他亞洲市場。由於瓜國出口至亞洲國家產品 項目極少,主要為咖啡、蔗糖、廢金屬、木材等項目,協助瓜國研發適合輸銷亞洲產品、改善其包裝、 提升產品品質及產量,以及產品競爭力為瓜國當務之急。瓜國應加強產品多元化,提升產能,足以將 產品打進亞洲市場。

43


第十一章

外商與台商在瓜國經營現況

一、外商在當地經營現況 (一) 外商概況 依據瓜地馬拉中央銀行最新資料,2011 年外人在瓜國投資金額達 9 億 5,800 萬美元,比 2010 年成長 22%。瓜國外商投資以美國及墨西哥為主,美國投資主要為旅館、航空、通訊、石油、 國際物流、金融、量販店等產業,近年來 call center 之投資亦逐漸增加。墨西哥投資主要為農產 食品加工、營建、電信、交通、金融、影視娛樂業等。我國主要競爭對手韓國在瓜國投資多以成 衣加工廠為主,佔瓜國成衣加工廠半數以上,頗具影響力。至於中國大陸,目前有港商 SML Group 於 2006 年 7 月投資 600 萬美元設立標籤工廠,中機新能源公司(CMNC)投資發電廠及華衞電 訊公司投資網通手機部門。 (二) 我競爭對手國在當地行銷策略 1. 日本 日本產品之拓銷一般均透過瓜國實力雄厚之企業為其代理商,少數日本商社亦有在 瓜國設立公司者,其完整之商情蒐集及拓銷策略,加上傳播媒體如報紙、雜誌、電視及 大 型 看 板 等 廣 告 , 使 得 日 本 產 品 知 名 度 及 市 場 佔 有 率 日 益 提 高 , 如 SONY 、 PANASONIC、TOYOTA、MITSUBISHI、NISSAN、SUZUKI、TOSHIBA、CANNON 等品牌之音響、電視、汽車、筆記型電腦及照像器材等產品,在瓜國均有重要之市場佔 有率。2011 年日本對瓜國出口金額達 3 億 242 萬美元,較 2010 年成長 9.3%,係瓜國 第 10 大進口來源國。 2. 韓國 韓國在瓜國市場行銷策略上採取與日本類似之作法,惟將其產品市場區隔定位在中 低價位。為建立消費者對韓國市場之形象,除透過代理商或經銷商之直接促銷外,並經 常在傳播媒體中刊登廣告大作宣傳,諸如現代汽車、三星及金星等韓國跨國企業等,因 價位低廉,瓜市場對韓國產品反應尚稱良好,因此市場佔有率逐漸提高,尤其在手機、 家電及電腦產品等領域。且韓國品牌產品在瓜設有售後服務中心,更有益拓展在瓜市場。 2011 年韓國對瓜國出口金額達 3 億 6,899 萬美元,較 2010 年減少 5%,係瓜國第 8 大 進口來源國。 另韓國成衣加工廠在瓜國亦具有十分重要之地位。近年來雖因受到全球經濟不景氣 及瓜國最大出口市場美國市場低迷,部分韓國成衣廠面臨關廠危機及計畫外移至尼加拉 瓜等地之抉擇,然因韓商在瓜國耕耘已久,目前又有中美洲五國與美國自由貿易協定即 將簽署之利基,可預見韓商將繼續利用在瓜國之優勢地位,擴大對美國市場之出口。 3. 中國大陸 中國大陸之產品特色為價格低廉,且付款條件較佳,如以貨到三至六個月為付款方 44


式,因此頗適合瓜國市場。除部分由大陸人士自歐美轉到瓜國經營外,大都由本地僑商 或台商進口,或由瓜商自國外或中國大陸直接採購。大陸製成衣、鞋類、玩具、文具、 飾品、塑膠製品、小家電等充斥瓜國各大超市及市場。近年來中國大陸出口至瓜國金額 成長速度驚人,從 2001 年的 4,629 萬美元增加至 2010 年 8 億 1,570 萬美元,短短 10 年內成長近 17 倍,而 2011 年出口金額 11 億 4,406 萬美元,較 2010 年成長 16.3%, 為瓜國第 3 大進口來源國,僅次於美國及墨西哥。

二、台(華)商在當地經營現況 (一) 台(華)商概況 瓜地馬拉從台灣來的家庭在 1988 年至 1990 年之間較多,到目前為止約有 300 餘人。其中 因宗教原因(天道)移民而來的約有 25 戶,他們大都從事基本的謀生行業,如生產豆腐,豆芽, 販賣炒飯,雞蛋糕,或是水電修理等。另外約 125 戶的台灣移民中較熱心公益者,組成了兩個 重要的商會組織: 「瓜地馬拉台灣商會」 、 「中美洲瓜地馬拉中華商會」 ,兩會會員多有重疊之處。 台灣商會為最大之組織,成立於 1986 年,目前登記會員約 81 名(除去雙重會籍者);中華商會約 80 名(除去雙重會籍者),另有純聯誼性質的瓜地馬拉台灣工商協會約 15 位(除去雙重會籍者)。 除此以外則為顯少參加社團活動,獨來獨往的僑民約 30 名。 截至 2011 年 4 月,我商在瓜國投資計有 53 件,金額達 3 億 5,156 萬美元,其中以平價國 民住宅及製造業以泡麵生產較具規模。其餘台商投資為百貨批發及零售、餐飲、名牌運動鞋代理 商、咖啡及機車零件進出口代理商、電腦週邊、旅行社、旅館、東方蔬菜及火龍果種植等。

(二) 旅瓜台僑主要的工商活動 目前我旅瓜台、僑商約 1,200 人,其中廣東老僑約 7、8 百人,台灣新僑約 3 百餘人。我在 瓜投資廠商大部分係以家族或個人方式在瓜經商,老僑多從事餐飲業、南北雜貨業,其次為布料、 拉鍊、塑膠射出成型廠、五金、農場、進出口、旅館等;台商則多經營進出口貿易、小型超市等。 在此地的台僑所從事的主要行業如下: 1、百貨批發及零售:約 20 餘家,以飾品,乾燥花最重要,其次為毛衣,內衣等針織品及一般 平織品。 2、餐飲:5 家,多為小吃店的形態,僅 1 家為稍具規模的蒙古烤肉,另 1 家為餐廳旅館。 3、美耐皿餐具生產工廠:2 家,正面對大陸貨的無情低價競爭。 4、汽車、摩托車修理及零組件販賣:5 家。 5、電動玩具:25-30 家,分佈於瓜國全國各地。 6、食品加工廠:2 家,分別為速食麵製造及果凍生產。 7、進出口代理商:有規模者 2 家,代理咖啡、木材出口;汽機車零配件及鞋類進口等。 8、名牌運動鞋代理商:2 家。 9、鞋材進口批發:1 家。 10、機器代理商:1 家,以食品加工機及塑膠加工機為主。 11、盆景:1 家,為退休之農技團團員所經營。 12、拉鍊加工:2-3 家,每家僅有數名員工,成品原料由台灣進口,本地依訂單所需長度裁剪後 45


分銷。 13、電腦及週邊設備:2 家,1 家為電腦組裝,1 家為週邊設備供應。 14、網路服務相關行業:2 家。 15、泡麵工廠:1 家,生產自有品牌泡麵,積極拓銷瓜國及其他中美洲市場。 16、尚有診所 2 間(齒科及小兒科) ,網路咖啡廳 2 家,迪斯可舞廳 1 家,藥房 1 家等。 17、建材:1 家,以 C 型鋼為主之建材。 18、農業:2 家,以種植黃火龍果及東方蔬菜為主。

(三) 主要台(華)商組織 1. 瓜地馬拉台灣商會  9 Calle 12-50, zona 1, 01001 Guatemala, Guatemala. C.A.  TEL: (502)2253-1566,(502)2253-1469 FAX: (502)2253-1472 2. 瓜地馬拉中華商會  34 Avenida 1-83, zona 7 Col.Toledo,Guatemala, Guatemala. C.A.  TEL: (502)2439-4065 FAX: (502)2439-4804 3、台灣工商會  16 Calle 6-18, zona 1, Guatemala, Guatemala. C.A.  TEL: (502)2232-7648 FAX: (502)2232-7648  E-mail:ipw@itelgua.com

46


第十二章

台灣駐瓜地馬拉大使館、技術團、投貿團

一、台灣駐瓜地馬拉大使館 1935 年我在瓜國設置總領事館,1954 年我在瓜設立公使館,1960 年 10 月升格為大使館迄今。 現任瓜國駐華大使為艾斯比諾沙先生(H.E.AMB. HéctorIván Espinoza Farfán),駐瓜大使孫大成先生 於 2008 年 6 月到任。 (一) 一般關係現況 台瓜傳統邦誼敦睦友好,自民國 1993 年起,瓜國每年均在聯大總辯論中發言支持我參 與聯合國,另瓜國亦支持我參與世界衛生組織、加勒比海國家協會、美洲熱帶鮪魚委員會、 國際糖業組織等,瓜政府現給予我國人入境免簽證,我國亦給予持瓜國外交及公務護照人 士免簽證待遇。 (二) 重要條約協定 農技合作協定、職訓合作協定、技術合作協定、文化協定、體育合作協定、公務人員 交流備忘錄、投資保障協定、相互保護智慧財產權協定、自由貿易協定、空運協定、海運 協定、派遣志工協定、臺瓜自由貿易協定(2006 年 6 月 29 日兩國互換批准書)。 (三) 駐外單位概況 台瓜互派大使駐節,我駐瓜大使館除外交部有館員同仁外,另設有新參處、經參處、 武官處、僑務秘書等,我政府並依中瓜有關合作協定,委由財團法人國際合作發展基金會 派有技術團及駐中美洲投資貿易服務團在瓜服務,工作深入瓜國朝野各界。 (四) 經貿關係 台瓜兩國簽有相互促進及投資保障協定,多年來我政府推動國內業者赴瓜投資。我國 廠商在瓜投資者約 40 家,均屬中小企業,主要製造美耐皿、速食麵、拉鍊、成衣和家具等。 為增進兩國經貿關係,台瓜簽署自由貿易協定。二、每年我中華民國對外貿易發展協會均 率廠商赴瓜參加全國商展、工業展及紡織展等。三、近年來曾有航空運輸業、觀光旅行業、 水力發電等業者赴瓜考察,促進雙方產業交流。 (五) 聯絡方式   

TEL:(502)2339-0711 FAX: (502)2332-2668 E-MAIL: gtm@mofa.gov.tw 地址:4a. Avenida “A”, 13-25, Zona 9,Apdo,Ciudad de Guatemala , Guatemala, Central America.

二、台灣駐瓜地馬拉技術團 (一) 台瓜農業技術合作經緯 1971 年 12 月 22 日,於瓜地馬拉市簽訂“中瓜農業技術合作協定”,1972 年 12 月 12 日生效。1973 年 2 月 14 日,農技團首批人員抵瓜。1985 年 9 月 19 日,於瓜京重新簽 47


訂“中瓜農業技術合作協定”。擴大技術合作範圍,增進瓜國農業生產,提高人民生活水 準。 (二) 合作項目 1973 年技術團成立之初,進行稻作、蔬菜、養魚及養豬技術示範。之後,亦包括雜作、 果樹、竹栽培、茶作、養雞、竹工藝、竹建築、農產加工等項目。技術之轉移方式亦由示 範轉為推廣,再轉為產銷一貫之農民組織輔導。 (三) 工作現況與展望 技術團目前人員共七人,及外交替代役男兩人。執行之計畫項目包括:竹發展計畫、 北碇木瓜銷美發展計畫、園藝作物產銷一貫化計畫(外銷蔬菜部分)、Remate 與 Sabana Grande 水產養殖發展計畫。各項計畫均以農牧暨糧食部為主要合作對象,另外和交通、建 設暨住宅部,環境暨天然資源部,非傳統產品外銷協會,聖卡洛斯大學及職業訓練局進行 計畫性三方或多方合作。 (四) 執行中計畫 1. 竹整體發展計畫經協助農牧暨糧食部設立竹栽培及竹利用發展中心後,整合瓜全國竹發 展有限資源,已喚起瓜國各界重視。瓜地馬拉竹整體發展計畫書目前正由環境暨天然資 源部主導編撰中。自 2008 年史坦颶風之後,計畫興建 600 間竹屋供受災戶使用。 2. 北碇省外銷作物產銷發展計畫完成木瓜等多項外銷水果推廣工作,亦完成木瓜外銷市場 開拓工作。確實發揮北碇省為非地中海果蠅疫區之優勢。其他具外銷美、歐市場潛力之 檸檬、酪梨等,將自 2006 年起陸續進入量產階段。自 2011 年起木瓜銷美之行銷業務 與中美洲投資貿易團共同合作進行,以期達成產銷專業分工之效。 3. 外銷作物產銷發展計畫結合技術團及農牧暨糧食部技術,配合外銷商之市場開拓,已確 實達到增進瓜國農業生產及提高人民生活水準目標。目前工作目標為發展設施農業,生 產有機蔬果,直銷歐洲超級市場。並配合強化組織及運作功能,達到產銷班永續經營目 標。 4. 水產養殖技術發展計畫持續提升 Sabana Grande 及 El Remate 兩處水產繁養殖中心之 規模及五處水產養殖試驗站管理改善工作,亦突破瀕臨絕種白魚之人工繁殖技術瓶頸。 經密集舉辦吳郭魚養殖技術訓練,瓜國吳郭魚養殖事業正加速發展中,農牧暨糧食部初 期目標為供應內需,取代鄰國進口。其他項目尚包括嘉臘魚、白魚人工養殖技術開發等 工作。 (五) 聯絡方式   

TEL:(502)2369-2532 FAX: (502)2369-2554 E-MAIL: mitac512@quik.guate.com 地址:25 Avenida 1-51, Zona 15 Vista Hermosa II, Guatemala, Central America.

三、台灣駐中美洲投資貿易服務團: (一) 創團緣起 台灣駐中美洲投資貿易服務團係依據我國與瓜地馬拉政府所簽協定,於 2001 年七月正式成 立。 48


(二) 設團目標 該團之設立,主要係與瓜地馬拉分享台灣經濟發展經驗,並以促進台商與瓜地馬拉商界合 作及投資貿易交流往來為主要宗旨。近年來隨著科技發展,本團於 2005 年設立資訊科技合 作計畫,分享台灣科技發展的經驗及成果,協助友邦縮短數位落差。此外,協助台商發掘 及投資於瓜地馬拉之可行投資機會,並協助瓜地馬拉政府及企業建立出口推廣機制、電子 商務與相關策略。分享台灣中小企業及科技發展經驗,協助瓜地馬拉政府建立合適中小企 業及資訊科技發展之法令、政府機制及成長環境。該團專家致力於提供專業服務,協助台 商及瓜國企業。每日主要工作包括蒐集及分析瓜國投資環境相關法令及資料,提供完整的 商情及投資機會分析,同時並不斷地改進我們的服務品質,協助台商及瓜國企業進行貿易、 投資合作。自 2011 年起,本團始接手經營農企業行銷與農產加工發展等兩計畫,以期同步 提升瓜國農業產銷面之發展。 (三) 執行中計畫 1. 【中小企業發展計畫】:提供中小企業輔導與諮詢、出口發展政策諮詢、商機提供、教 育訓練等相關服務,旨於提升瓜國中小企業之產品設計能力與品質,並協助開發市場, 提高收益,改善生活,與建立合作單位計畫執行之能力。 2. 【資訊科技合作計畫】:提供瓜國科技發展策略諮詢,並藉由培養資訊種子師資,辦理 資訊運用訓練與設立數位中心,及開發適合瓜國之資訊平台及應用軟體,協助瓜國中小 企業建置電子商務環境,最終以輔導企業管理資訊化提昇企業競爭力為大目標。 3. 【農產加工發展計畫】:藉由建立農產加工示範廠,提供相關生產技術之服務與種子人 才訓練,並與當地國際援助組織交流合作,以改善及開發農產加工技術,並進行高階食 品加工人才訓練及技術轉移。同時藉由建立加工產業與專業知識之資料庫,提供包括產 品開發與認證之專業諮詢與輔導,以促進加工業產品之行銷。 4. 【農企業計畫】 :藉由推動國際合作發展之貿易援助(Aid For Trade)新趨勢,協助瓜國農 民農產品提升農產品市場競爭力,輔導小農加強生產管理與建立品管系統,開拓外銷市 場,並改善鄉村地區貧農生計。 (四) 聯絡方式   

TEL:(502)2385-1344 FAX: (502)2385-1345 E-MAIL: mision@misiontw.org 地址:25 Avenida 1-51, Zona 15 Vista.Hermosa.II, Guatemala, Central América.

四、當地重要投資相關機構 1. Invest in Guatemala 瓜國經濟部外人投資推廣中心(投資優惠及法令) 10 Calle 3-17, Zona 10, Edificio Aseguradora General, 4 Nivel, Guatemala City, Guatemala.  TEL:(502) 2421-2484 FAX: (502) 2421-2480  E-MAIL:info@investinguatemala.org  網址:www.investinguatemala.org 2. Ministry of Economy  

 

瓜國經濟部(經濟政策及各部門服務內容) 8Av. 10-43 Zona 1 Ciudad de Guatemala. 49


 TEL: (502) 2238-3330 FAX: (502) 2251-6708  網址:www.mineco.gob.gt 3. Registro Mercantil de Guatemala  瓜國公司登記局  7a. Av. 7.51 zona 4  TEL:(502) 2332-7678  E-MAIL: info@registromercantil.gob.gt  網址:www.registromercantil.gob.gt 4. Superintendencia de Administración Tributaria – SAT  瓜國稅務局,有關稅賦資料均可在網上查詢。  7a Av. 3-73 Zona 9, Edificio Torre SAT, Guatemala, Guatemala  TEL: (502) 2362-7561  網址:www.sat.gob.gt 5. AGEXPROT  瓜國出口商協會 -AsociaciónGuatemalteca de Exportadores  15 Avda. 14-72, Zona 13 Guatemala, Guatemala, C.A.  TEL: (502) 2422-3400 FAX: (502) 2422-3434  E-MAIL: portal@agexport.org.gt  網址:www.agexport.com.gt 6. Bank of Guatemala, BANGUAT  瓜國中央銀行(可查統計資料)  7a. Av. 22-01, zona 1, Guatemala, C.A.  TEL: (502) 2429-6000,(502) 2485-6000 FAX: (502) 2253-4035  網址:www.banguat.gob.gt 7. Secretaria de IntegraciónEconómicaCentroamérica  中美洲經濟整合委員會(可查中美洲各國關稅制度及貿易額)  Apartado Postal 1237, Guatemala 01901, Guatemala TEL: (502) 2368-2151 al 54. FAX (502) 2368-1071,(502) 2337-3750  E-MAIL: info@sieca.org.gt  網址:www.sieca.org.gt 8. Chamber of Industry  瓜國工業總會(Cámara de Industria de Guatemala)  Ruta 6, 9-21, Zona 4, Nivel 9, Guatemala, Guatemala, C.A.  TEL: (502)2331-9191 FAX: (502)2334-1090  E-MAIL:crecig@industriaguate.com  網址:www.industriaguate.com 9. Chamber of Commerce  瓜國商業總會(Cámara de Comercio de Guatemala)  10 Calle 3-80, Zona 1 Guatemala, Guatemala, C.A.  TEL: (502)2253-5353 FAX: (502)2220-9393  E-MAIL: info@camaradecomercio.org.gt 

網址:www.negociosenguatemala.com

50


第十三章 一、

租稅及金融制度賦稅

租稅

瓜國本(2012)年 2 月 16 日瓜國國會通過之第 10-2012 號「賦稅更新法」法令(LEY DE ACTUALIZACION TRIBUTARIA DECRETO 10-2012),上述法令共分 6 冊,計 181 條款。詳細內容 請參閱瓜國財政部賦稅署(SAT)網址:www.sat.gob.gt。 法令名稱

內容

生效日期

備註

所得稅(ISR)

第1冊

2013 年 1 月 1 日

1. 採逐年調降 2. 原第 26-92 法令廢止

車輛首次登記特別稅 (1prima)

第2冊

俟中美洲部長委員會 1. 新法 (Consejo de Ministros de 2. 以進口車輛零關稅 Centroamerica)通過進口 為取代 車輛零關稅始生效

國家海關法

第3冊

2012 年 3 月 13 日

1.新法 2.延至 2012 年 6 月 15 日生效

加值營業稅(IVA)

第4冊

2012 年 3 月 13 日

修改第 27-92 法令

陸海空交通運輸工具

第5冊

2013 年 1 月 1 日

修改第 70-94 法令

第6冊

2013 年 1 月 1 日

修改第 37-92 法令

行照稅(ISCV) 印花稅

(一) 加值營業稅(IVA) 根據瓜國第 27-92 號有關加值稅法令,下列交易將在初期價格課徵 12%之加值營業稅: 1. 商品出售 2. 國境內提供各種服務 3. 進口 4. 商品及不動產之出租 5. 以商品或不動產償還債務 6. 公司產品移點租用 7. 不動產之出售及交換 8. 捐贈設備及不動產 出口、保險移轉與股市交易等項目不需課徵加值稅。 (二) 營業所得稅 1. 納稅人 依瓜國第 26-92 法令有關所得稅法規定,所有個人及公司對渠在瓜國境內之各項收入及 資本利得均需繳交所得稅,外國自然人或法人只要在瓜地馬拉經營事業並有資產及可稅 51


所得者,均需繳納所得稅。課稅之標的包括: (1) 有利潤分配之契約 (2) 合資事業 (3) 共有財產(Community property) (4) 薪資、紅利、理監事酬勞及其他酬勞。 (5) 從海外支付在瓜國個人或公司權利金、技術服務、財務管理或其他形式之顧問費用 等。 (6) 權利、使用權及受益權。 (7) 股利、其他所得及外匯交易所得等。 2. 所得稅率 所得稅對於居民或非居民之個人或公司,假設該收入來自瓜境,所得稅率為 31%。其 可課稅所得計算公式如下:毛收入減去成本及費用等於淨收入,然後減免稅額再加不能 抵減之費用即為可課稅所得。而個人從事此項活動應繳之稅賦可以在申報個人所得稅時 抵減。 惟 2013 年1月1日起將依瓜地馬拉第 10-2012 號「賦稅更新法」法令規定,公司營利 所得稅分兩種制度:1.每月公司營業所得介於 0.01 元至 3 萬元瓜幣者免繳固定稅,但須 繳納 5%強制所得稅(2013 為 6%、2014 為 5%);每月公司營業所得 3 萬元瓜幣以上者 繳固定稅 1,,500 元瓜幣,及繳納 7%強制所得稅。2.年繳營業額 25%稅率(2013 為 31%、 2014 為 28%、2015 為 25%)。 3. 所得稅申報 納稅義務人,須在徵稅結束 90 天內,將所得稅申報單填送當地稅務機構,同時繳納稅 款,申報時須檢附下列資料:資產負債表、損益表、生產成本表、現金流量表。 (三) 個人所得稅 1. 居民 (1) 所得稅率 瓜國所得稅法於 2004 年 7 月做出重大變革,所得稅法規定受雇者之個人年免稅額 36,000 瓜幣,並分四級累進稅率,所得收入 0-65,000 瓜幣者徵收 15%; 65,000-180,000 瓜幣者除徵收 9,750 瓜幣外,其超出 65,000 瓜幣以上部份加徵 20%;180,000-295,000 瓜幣以上者除徵收 32,750 瓜幣外,其超出 180,000 瓜幣 以上部份加徵 25%。295,000 瓜幣及以上者除徵收 61,500 瓜幣外,其超出 295,000 瓜幣以上部份加徵 31%。非受雇者超出免稅額之毛收入採 5%之單一稅率計算, 或可自行選擇採用可課稅所得之 31%計算。可課稅所得即為毛收入扣除成本及費 用,再計算免稅額與不能抵減之費用。 惟 2013 年1月1日起將依瓜地馬拉第 10-2012 號「賦稅更新法」法令規定,年薪 淨額介於 0.01 元至 300,000 元瓜幣者免繳固定稅,但須繳納 5%強制所得稅;年 薪淨額 300,000 元瓜幣以上者繳固定稅 15,000 元瓜幣及繳納 7%強制所得稅。扣 52


除額提高至 60,000 元瓜幣(48,000 元瓜幣扣除,12,000 元瓜幣必須檢據發票扣 抵) 。員工年中福利金(BONO14)及年終聖誕獎金全額免稅扣抵。 (2) 個人扣除額

每年 24,000 瓜幣(約 US$3,116),惟 2013 年 1 月 1 日起將依瓜地馬拉第 10-2012 號「賦稅更新法」法令規定,扣除額提高至 60,000 元瓜幣(48,000 元瓜幣扣除,12,000 元瓜幣必須檢據發票扣抵) 。

列舉扣除項目:社保費、軍人福利費、退休救濟金配額、社會福利計畫支出、 私人部門工人退休金、意外基金、醫療及壽險單與已在瓜國業經主管當局核 准之保險公司合約等、理監事費及其他醫療費用例如住院及檢驗所檢驗費用 等。

依家庭法院宣佈之贍養費

對國家及社會福利機構之捐贈(如非營利事業機構、大學、政黨等,不超過 50 萬瓜幣)

個人使用之貨品及服務,亦可在不超過其個人所得之 10%範圍內抵稅。

2. 非居民 (1) 當瓜國公司支付非居民股東之股利、利潤及其他所得前,若已代繳該項股利所得稅 時,則此項股利等所得稅為零,否則應繳 10%之所得稅。 (2) 利息、理監事酬勞、佣金、紅利及其他收入包括薪津及工資,必須繳 10%所得稅。 假設一項貸款來自國家銀行(National Bank),則取自該等金融機構之貸款利息,可 免除預繳稅款。 (3) 權利金、技術服務、融資協助及前款所述之其他服務,則所得稅率為 31%。 (4) 保險、再保險及債券:課稅所得為其商業行為毛收入之 10%,而預繳稅率則為 25%。 (5) 影片、製作人、配銷商及有關中間人:以在瓜國所產生收入之 60%為課稅所得, 其稅率為 25%。 (6) 國際新聞服務業:課稅所得為在瓜地馬拉取得之毛收入之 60%,所得稅率為 31% 非瓜國居民在獲得瓜國之工作許可之後,所適用之相關稅制相同於瓜國居民。 (四) 進出口稅 依進口貨物之 CIF 價按中美洲統一關稅制度(SAC)之適用稅則課徵。一般進口關稅資 本財大多零關稅,其他約在 0%-15%之間。出口部分並無課徵出口關稅。 (五) 其他重要稅制 1. 權利金 權利金係支付在瓜國工業財產註冊處登記之商標、專利及取得生產配方生產權者。該項 權利金支付限於毛所得 5%作為所得稅扣抵,該項權利必須有書面簽約文件。如果支付 權利金之對象為非居民、則課徵 31%預繳稅。 2. 和平協定之團結稅(ISO) ISO 之前身 IEMA 已遭憲法法院裁定停止課徵,自 2009 年 1 月後,依據第 72-2008 號 53


法令改為執行和平協定之團結稅,其計算方式為視總資產減去準備款、折舊、財政信用 餘額之四分之一,或毛收入總額何者為高,並課以 1%之稅率。 3. 金融商品稅 居 民 個 人 支 付 其 他 居 民 之 利 息 應 扣 繳 10 % 之 稅 , 除 非 支 付 予 受 銀 行 總 監 (Bank Supervisory Board)管理之機構,例如銀行、保險公司及其他金融機構。利息所得雖被 課稅但可在所得稅中扣抵。 4. 印花稅(第 37-92 號法令) 本項稅率以法律文件所載之價值之 3%課徵,交易則課徵加值稅,不課印花稅。 5. 遺產及捐贈稅(Inheritances and Donation Tax) 表 13-1 遺產及捐贈稅率表 項目 遺產及捐贈金額 等級

(單位:瓜幣;稅率)

受益人

小孩及配偶

前輩及後輩 親戚

法定第三

2 等親 3 等親 4 等親

陌生人

50,000 以下

1%

2%

3%

5%

7%

9%

12%

100,000

2%

3%

4%

6%

9%

10%

12%

200,000

3%

4%

5%

7%

10%

11%

16%

300,000

4%

5%

6%

8%

11%

12%

18%

500,000

5%

6%

7%

9%

12%

13%

20%

超過 500,000

6%

7%

8%

10%

13%

14%

25%

6. 贈與(Gifts) 一般人之間的贈與課徵如加值稅率一樣之 12%稅率。 7. 消費稅 飲料、雪茄、香煙、菸草、汽油、汽車牌照、機票均需繳消費稅。機票之消費稅為 10 %,另需付 12%加值稅,機場出境費為每人 33 美元(一般航空公司已內含於機票內), 另需付機場維護費為每人 20 瓜幣(約 2.6 美元) 。 (六) 與外國簽訂之租稅條約 瓜國外人投資法禁止國內雙重或三重課稅,避免雙重課稅,瓜國目前尚未與其他國家簽訂 租稅條約或協定。 (七) 其他 1. 所得稅 (1) 所得稅之預繳(IncomeTaxAdvancePayments) 54


個人或公司在前述瓜國境內營運所獲得之收入,每年依三個月一次預繳稅款,其有 下列選擇方式:  準備季財務報表,以便決定這期間應繳之稅賦。  估計每季毛收入之 5%為應繳所得。  依前年已繳之所得稅額繳納 25%。  繳納每季毛收入之 1%(不包括租稅支付已依法被固定其產品價格者)。  納稅人出售石油副產品給最終消費者,依當季毛利 1.5%繳稅。  出口商可以當季出口產品 FOB 價之 1.5%繳稅。 

一般公司以每年毛收入低於 1,000,000 瓜幣(約 US$129,870)者,可依其 毛收入之 8%繳稅。

(2) 固定資產再評價 法律允許可折舊之資產再評價,以求得最新資產價值,再評價之支付規定如下:  不動產 0%。  其他固定資產 10%。 (3) 折舊率 法律規定依直線法計算折舊,每年最大折舊率如下 表 13-2 折舊率表 項目

折舊率(%)

項目

折舊率(%)

不動產(建物及建築工程物)

5

不動產以外之辦公室設備

20

林、果蔬植物

15

設備、機械及車輛

33.33

工具及電腦設備

25

其他

10

(4) 損耗(Depletion) 法律允許如森林及相同資源攤提每年一定額度之損耗,其計算公式如下:  每一單位成本被決定在一個估計總數。 單位成本=總成本/預期開挖單位。  每年損耗攤提則為: 損耗額=單位成本×真正開挖單位。 (5) 攤提(Amortization) 無形資產例如商標、製程、專利、智慧財產權、配方及其他相似之資產,得以至少 5 年時間用直線法攤提該項成本。至於購得之商譽則可在持續經營期間,以 10 年 平均攤提方式抵減。 (6) 新成立公司前五年之虧損得以在其公司聲明後之次年內,自其應稅所得中扣除。 (7) 資本利得及損失 資本利得係指非正常商業營運之收入,其稅率為利得之 10%,其支付日期為納稅 義務人每年申報所得時繳納之。資本損失僅可在有資本利得中扣抵,其間為發生損 55


失後最長 5 年內進行。 (8) 不得抵減之費用  費用或支出非因正常商業營運而發生。  費用或支出並無合法文件支持,或不屬於當年課稅期間所發生之費用。  紅利或利潤撥給公司董事會人員或顧問、經營或資深幹部等。  利息超過當地稅務機構規定上限。分公司、代理商或子公司以記帳或匯出現金 或實物股利至總公司。  分公司、子公司或代理商與總公司之間之匯差。  養老金保險費或任何其他可產生回收償還保險費,或其他可退還之福利或個人 保險契約等。 (9) 利潤再投資可當作費用再扣抵 公司如再投資其現有工廠,機械及設備時,該公司最多至總收益之 5%之淨所得可 抵減於再投資當年所得稅。另外如投資於員工訓練,可在 5%範圍內扣抵所得稅。 上述再投資項目必須直接與生產製程及設計有關,並增加可課稅所得者。而且上述 設備之使用年限不得低於 4 年。 2. 關稅 (1) 貨物入境 所有進口貨品之申報必須檢附貨品提單、發票及相關依法要求文件數份。限制進口 貨品須先取得輸入許可;藥品必須在原產地國已註冊;生鮮動植物及食品皆需進口 許可文件,廠商最好先查清楚。文件不齊,海關可要求提供現金保證,在 60 天內 補齊文件。貨品存關超過貨品到關日起算 60 天,該貨品將被視為放棄,或取消進 口申報。一種標準海關表格(不是一種進口申報)被用來中美洲共同市場商品進出使 用。中美洲共同市場(CACM)包括瓜地馬拉、宏都拉斯、薩爾瓦多、尼加拉瓜及哥 斯大黎加。 (2) 關稅分類 排除特別工業優惠方案及政府直接採購外,所有進口貨品皆依中美洲共同市場保證 對外關稅,係以 WTO 指導下之調和關稅(HS)制度分類,大多數進口貨按 CIF 價格 課稅。 (3) 關稅級距 依對外關稅表,瓜國將產品分 19 類,關稅由從價(CIF)最高 20%到最低 0%。 (4) 其他進口稅捐 進口貨除上述關稅外,另加 12%營業加值稅(IVA),石油有 3%之附加捐。 3.

賦稅更新法重點條文

以下就本(2012)年 3 月 5 日於中美洲公報(Diario de Centro América)所公布的「賦稅更新 法」中,各冊之重點條文,作如下簡介:

56


公司營利所得稅(採逐年調降法)

1.

第 44 條.

Tipo impositivos y determinación del impuesto 稅率和稅額之決定. 有關前項條文

可課稅所得之適用稅率,如以下計算方式: 此部分分兩種制度,以下為第一種: (1) 每月可課稅所得範圍 瓜幣 Q0.01 至瓜幣 Q30,000.00

固定稅

依收入課稅部分稅率

瓜幣 Q0.00

課徵可課稅所得之 5% (分兩年,2013 為 6%、2014 為 5%)

瓜幣 Q30,000.01 (含)以上

瓜幣 Q1,500.00

課徵可課稅所得超過瓜 幣 Q30,000.00 部分之 7%

另一種則為: (2)

年繳營業額 25%稅率(分三年調降,2013 為 31%、2014 為 28%、2015 為 25%)

(3)

資本所得及其獲利扣 10%稅、公司紅利分配及其他利息所得等扣 5%稅。

個人所得稅(ISR)

2.

第 73 條. Tipos impositivos y determinación del impuesto 稅率和稅額之決定. 有關前項條文 可課稅所得之適用稅率,主要根據每月可課稅所得之範圍,為 5%及 7%,如下表所示。 每月可課稅所得範圍

固定稅

依收入課稅部分稅率

瓜幣 Q0.01 至 瓜幣 Q300,000.00

瓜幣 Q0.00

課徵可課稅所得之 5%

瓜幣 Q300,000.01 (含)以上

瓜幣 Q1,5000.00

課徵可課稅所得超過瓜 幣 Q300,000.00 部分之 7%

加值營業稅(IVA)

3.

一般貨品仍維持 12%。首次不動產買賣將課稅 12%。嗣後則僅為 3%。汽機車加值營業稅依表課 稅(每年調整一次)。排除二次課稅和相關不動產所有權的移轉,並改課印花稅。至於教育機構則採條 件式免稅,僅限註冊費、學費及考試費可享免稅。此法令有助於舊車之移轉。 陸海空交通運輸工具行照稅(ISCV)

4.

第 159 條. 修訂瓜地馬拉國會第 70-94 號法令第十條─陸海空交通運輸工具行照稅規定,內容如 下: Artículo 10. 個人汽車行照稅適用準則 有關個人汽車行照稅額之決定,適用以下車況及稅率對照表。 編號 1

車況

稅率 2.0%

一年以下 57


2

滿一年未滿兩年

1.8%

3

滿兩年未滿三年

1.6%

4

滿三年未滿四年

1.4%

5

滿四年未滿五年

1.2%

6

滿五年未滿六年

1.0%

7

滿六年未滿七年

0.8%

8

滿七年未滿八年

0.6%

9

滿八年未滿九年

0.4%

10

九年以上

0.2%

第 160 條. 修訂瓜地馬拉國會第 70-94 號法令第十一條─陸海空交通運輸工具行照稅規定,內容 如下: Artículo 11. 課稅總額將以前一條文中所列的課徵稅率計算。最低個人汽車行照稅由 110 元瓜幣 調整為 220 元瓜幣。 原車輛進口稅取消。而上述所提及各車種之進口車主未繳稅者,最終繳交之期限為購車後的第三 年。前述包括其逃漏稅及相關罰責,且繳納稅金後尚須向海關註冊登記。 5.

印花稅 第 170 條. 新增第九點至印花稅法第二條,協議之內容如下述: 九、 房地產已銷售或轉讓二次以上者,課徵印花稅。

6.

車輛首次登記特別稅(1prima) 凡 進口車及 在本地 裝配或 生產的所 有車輛 均將以 車輛市場 價格課 徵車輛 首次登記 特別 稅

(1prima),稅率介於 5%-20%間,但進口關稅則降為零關稅。此作法引起油罐車、貨櫃車、連節拖車、 垃圾車等由原零進口稅、現須繳 5%-10%車輛首次登記特別稅者之反彈。此外,禁 10 年以上舊車進 口(為 1,000c.c.舊車為 15 年;貨車、公車及小巴士無禁止登記規定)。舊車以賣方開發之發票價格課 徵車輛首次登記特別稅。此修正案須俟中美洲部長委員會(Consejo de Ministros de Centroamerica) 通過進口車輛零關稅始生效。 第 114 條. 稅率 有關車輛首次登記特別稅(1prima),以下表之對照稅率為基準: 說明 五人座(含駕駛)以內之二輪或四輪傳

稅率 20%

動小客車、跑車或三至四輪之機器腳踏車 葬儀車

20%

六~九人座(含駕駛)四輪傳動小巴士

15%

十人座以上(含駕駛)四輪傳動交通車

5%

四輪傳動車但具內嵌系統可調整至二

15%

輪傳動者 58


救護車及消防車

5%

高爾夫球場代步車

20%

越野車

5%

曳引機

5%

負重 2.5 噸(含)以下載貨車

5%

負重 2.5 噸以上載貨車

5%

坦克車、冷藏運輸車、垃圾車

10%

特殊用途之自動車

20%

載人、載貨、冷藏、垃圾收集等特殊

5%

用途之電力車或油電混和車 摩托車

7.

10%

海關法 此為瓜國新法,於 2012 年 3 月 13 日生效實施,但有關罰則部分,因實施過於匆促,造成海關

官員及報關行人員對法令規定生疏不熟,產生罰款不斷,引起報關人士不滿。因此瓜國總統隨後於 3 月 16 日緊急發布第 51-2012 號命令,將罰款部分之實施日期延後三個月至 6 月 15 日生效。有關主 要罰則,摘錄自法令如下: 第 124 條. Determinación incorrecta del pago de tributo 報關錯誤判定 進口申報錯誤時,須補繳與該產品稅率(依其所屬稅號判定)100%等值之罰款以及可能衍生之利 息,因此,進口申報時須特別注意以下三點: 1.

進口產品之稅則號碼務必正確。

2.

報價單及匯款單等單據務必留存,以做為日後報關之證明。

3.

提供產地證明書,有時可享關稅減免。但稅則號碼、供應商及進口商資料務必正確,

以免遭後續罰款或補稅。 第 126 條. Infracciones aduaneras administrativas 海關行政罰則 若觸犯相關文件提供之規定,將處以 250 元中美洲幣之罰金(Pesos Centroamericanos, $CA, 現 與美金等值)。以下僅列出重點 1.

針對其商品未確實報關者,或檢附報關提單之影本者。

2.

未檢具商業發票、提單、或其他足以確定其產品在中美洲統一稅則中之稅號者。

3.

未提供技術報告足以說明其產品用途者。

※欲詳知相關規定請參見中美洲公報所公布之「賦稅更新法」第 10-2012 法令(Decreto 10-2012)

第 127 條. Otras infracciones administrativas aduaneras 其他海關行政罰則 若觸犯相關文件提供之規定,將處以 US$500 元之罰金。以下重點摘錄自部分條文: 1.

承運人未指定人員進行商品裝載、包裝及轉運者;在海關人員對貨品進行檢驗時未在 59


現場檢具應出示文件或對進口商品進行說明者;未向海關據實申報其貨品數量、標籤數及其他須 檢附資料者,或裝載其他來源不明之物品者。 2.

海關保管人未遵照規定呈具技術報告、貨品清單、報關申請單以驗證其產地、裝載處、

授權放行貨品之效期…等相關資訊者;未主動告知海關負責人有關其貨品在運送途中遺失或棄置 之情事者。 3.

報關行人員未在期限內到場說明其貨品並接受檢驗者;未在 48 小時內(自海關當局提

出要求時起算)指派技術人員或專家等至海關協助進行檢驗者;未提交足以說明貨品內容之證明 文件,以決定其貨品是否依中美洲統一稅則課稅者。 ※欲詳知其他相關規定請參見中美洲公報所公布之「賦稅更新法」第 10-2012 法令(Decreto 10-2012) 第 130 條. Sanción por información inexacta en el Registro de Importadores 進口商貨品 資訊登記錯誤之罰則 進口商提供錯誤產品資訊或在報關申請上不符合國稅局 SAT 規定時,若未在 30 天內進行更正或 補齊再經註冊認可者,將處以 US$1,000 元之罰金。此措施擬於 2013 年 1 月 1 日正式生效。 第 141 條. Mercancías sensibles 敏感性商品 入關的商品若被認定為敏感性(請參見瓜國國稅局 SAT 網站 http://portal.sat.gob.gt/sitio 所公布之 內部相關服務名單),則須俟二十天待國稅局將該項商品列入名單並上網公告後,收歸國有。 第 149 條. Seguro de mercancías en tránsito o traslado 貨品運輸保險 本法規定的產物運輸保險為強制險,規範海關承運人、進口商、收貨人及相關利益關係人等必須 作為產品無法兌現時的課稅保證人。而所有進入瓜國海關的商品,包括在海關內部轉運者,進入海關 倉庫、國庫及自由貿易區存放者,或作為轉出口用途…等,皆須加保此強制險。另外,海關服務也在 此保險的保障中。

二、金融 (一) 金融制度及概況 瓜國設有中央銀行,為唯一貨幣發行單位,該行成立宗旨為透過貨幣、匯率及信用制 度維持物價在合理水準。瓜國 2006 年發生多起銀行整併及不良吸金倒閉案件,使原本 26 家銀行整合為 18 家銀行、14 家財務金融公司、28 家保險公司、12 家保險債券公司及 2 家外匯兌換行,前述單位受瓜國銀行監督委員會管理(Superintendencia de Bancos)。 (二) 外商貸款管道及現況 外商可直接向瓜國銀行申請貸款,貸款利率及比例可依其擔保品多寡而定,以台商而 言,可搭配華僑信保基金或國合會信用保證向中國國際商業銀行巴拿馬分行貸款。 (三) 利率水準 瓜國利率採自由化,由市場供需而決定,各家銀行依其主要業務性質訂定存放款利率。 以 10,000 瓜幣一年期定存而言,利率由 1.5%至 5%不等。以瓜國工業銀行為例,瓜幣貸款 60


年利率為 19.6%,美金貸款年利率 8%,另瓜幣存款年利率為 2.5%,美金存款年利率為 1.5%,10,000 瓜幣一年期定年利率為 2.75。 (四) 國際收支情形 瓜國外匯準備自 2000 年以來皆以近 2 位數成長,獨冠中美洲其他國家,2011 年達 61 億 8,790 萬美元。 (五) 貨幣制度 瓜國貨幣以國鳥「給薩爾」 (Quetzal)為名,發行紙幣面額為 200 元、100 元、50 元、 20 元、10 元及 5 元,硬幣為 1 元、50 分、25 分、10 分、5 分及 1 分。自 2001 年 5 月 1 日實施外幣自由交易法以來,與美元之匯率水準維持在 1 美元兌換 7.5-8.0 瓜幣之間,2011 年美元兌換瓜幣介於 1:7.5 至 1:7.8 之間。另外瓜國遵守國際洗錢防治條約之相關規定。 (六) 外匯管制制度 瓜國外幣自由交易法自 2001 年 5 月 1 日起正式實施。實施前由於民間業界對瓜國經 濟躊躇不定及對該法實施前之預期心理,造成美元需求增加,美元匯率上揚。實施後瓜國 各銀行均以開立美元存款不同之開戶金額及存款利率來吸收存款。外幣自由交易法實施 後,支持或反對該法之意見均有。金融界咸表支持,認為外幣自由交易法保留瓜國國幣並 將美元之使用合法化,係一具正面意義之政策,可降低利率,同時恢復瓜國人民對國家之 信心,有助於促進投資及儲蓄。學術界則認為倘美元用於生產投資,則具正面意義,惟擔 心可能轉為投機行為,將影響匯率穩定。茲將外幣自由交易法之重點略述如后: 1. 外幣自由使用、持有、訂約、匯款、移轉、買賣及支付。 2. 自由持有外幣帳戶及外幣存款。國內或國外銀行之金融仲介交易亦同。 3. 貨幣基金委員會授權之銀行及金融機構可發行外幣之信貸證券或有價證券。

61


第十四章

居留與移民

一、居留權之取得及移民相關規定 (一) 臨時居留(第 529-99 移民法第 71 條) 1. 申請表 2. 護照正本及本人相片(須經驗證) 3. 必備文件 

駐瓜地馬拉本國大使館或領事館核發之有效護照證明文件。來自與瓜地馬拉無邦交 關係之國家國民須檢附出生證明。

最近照片。

瓜地馬拉籍,個人或法人之保證人證明;及經濟償付能力證明。

保證人需向法院申報經濟能力文件,並明列納稅編號及繳稅(營業稅及所得稅)申 報文件。

保證人經合法驗證之身份證影本。

保證人收入證明。

近五年內居住國核發之無犯罪前科紀錄證明。倘該國無核發無犯罪前科紀錄或類似 證明,應檢具該國無核發該項紀錄證明文件。

(二) 永久居留(第 529-99 移民法第 70 條) 1. 申請表 2. 護照正本及本人相片(須經驗證) 3. 必備文件 

駐瓜地馬拉本國大使館或領事館核發之有效護照證明文件。與瓜地馬拉無邦交關係 之國家國民須檢附出生證明。

近五年內居住國核發之無犯罪前科紀錄證明。倘該國無核發無犯罪前科紀錄或類似 證明,應檢具該國無核發該項紀錄證明文件。

依據第 529-99 移民法第 20 條規定: A. 以投資人身份,需檢附合法投資文件予以證明。 B. 以投資人配偶或未成年或未婚子女身份 C. 瓜地馬拉籍國民之眷屬(無瓜地馬拉籍之配偶,子女及父母親。) D. 臨時居留之裁定影本。 E. 具科學、技術、藝術及體育方面傑出表現證明。

前瓜地馬拉保證人或新保證人保證擔保或同意函。新保證人「來自列為 D 等級之國 家」須符合第 529-99 移民法第 71 條 D 款規定。

二、聘用外籍員工之規定、承辦機關及申辦程序 62


外國員工之聘僱不論是否為技術人員,均須向瓜國勞工暨社會福利部申請許可。外國員工聘僱准 許之條件為,須在「國家就業服務所」 (SERVICIO NACIONAL DE EMPLED)無法提供該項員工時 始能聘用。 外國技術人員若得核可,其僱用期限為一年,期間僱用之公司必須同時僱用同樣數量之瓜國員工 從事同樣工作,外國人員聘僱之時間得以延長至瓜國學徒能夠接替工作時為止。 瓜國學徒若自認已可接替時,可向瓜國工業研究及技術局(INSTITUTO GUATEMATECO DE INVESTIGACION Y TECNOLOGIA INDUSTRIAL)或其他相關機構申請技能測驗與認定。

三、外商子女可就讀之教育機關及經營情形 瓜地馬拉外商及駐外人員子女較常就讀之學校有二所,詳情如後: (一) Colegio Maya The American International School of Guatemala,提供包括幼稚園、小學、國中及高 中之教育。該校設立於 1958 年,以英語教學為主,並輔以必要之西語課程。2009-2010 學 年共有 55 位全職教師,其中美籍教師 39 位、瓜籍教師 12 位、其他國籍教師 4 位,所 有教育須具備至少學士學位。該校每學年約招收 325-350 位學生,其中約 20%美籍學生、 15%為瓜籍學生、其餘為其他國籍學生。一般而言,該校畢業生大多直接赴美國攻讀大學。 Colegio Maya 校址及聯絡資料如后: 

地址:KM. 12.5 Carretera a El Salvador, Santa Catarina Pinula, Guatemala

TEL:(502) 2365-4868,(502) 2365-0037

E-MAIL: info@cm.edu.gt 網址:www.cm.edu.gt

FAX:(502) 2365-0116

(二) Colegio Americano de Guatemala American School of Guatemala 提供包括幼稚園、小學、國中及高中之教育。該校設 立於 1945 年,採英語及西班牙語雙語教學,近年來英語教學比重逐漸提高,以提升學生之 英文程度。該校佔地 53 英畝,校園面積廣闊,學生人數約 1,200 人。一般而言,該校畢業 生大多赴美國攻讀大學或直接在瓜國本地大學就讀。Colegio Americano de Guatemala 校 址及聯絡資料如后: 

地址:11 calle 15-79 Zona 15 Vista Hermosa III, Guatemala, Guatemala

  

TEL:(502) 23690791-95 E-MAIL:admissions@cag.edu.gt 網址:www.cag.edu.gt

FAX:(502) 23698335

63


第十五章

中美洲六國 2011 世界銀行全球商業環境調查 表 15-1 中美洲六國商業環境排名

指標

瓜地馬拉

尼加拉瓜

巴拿馬

薩爾瓦多

宏都拉斯

哥斯大黎加

環境

101

117

72

86

131

125

開辦企業

162

97

23

129

145

116

申請許可

144

138

66

124

73

131

註冊財產

23

142

113

49

89

52

獲得信貸

6

89

32

46

32

65

投資者保護

132

93

109

120

167

167

繳納稅款

116

158

175

137

147

155

跨境貿易

122

85

11

65

110

69

合同執行

101

66

119

51

175

130

企業破產

94

75

78

87

120

114

本章資料來源: http://www.doingbusiness.org/

雇用工人(Employing Workers)指標衡量雇主在中美洲六國雇用和解雇工人所面臨的困難。每個 指數的取值範圍為 0 至 100,數值越高,說明法規越嚴格。雇用嚴格指數是三個指數的平均值。 表 15-2 雇用工人難度相關指標 指標

瓜地馬拉

尼加拉瓜

巴拿馬

薩爾瓦多

宏都拉斯

哥斯大黎加

地區

經合組織

雇用難度指數

44

22

78

33

89

44

34.7

25.7

工時嚴格指數

40

60

60

40

20

40

33.1

42.2

解雇難度指數

0

0

60

0

50

0

25.6

26.3

雇用嚴格指數

28

27

66

24

53

28

31.2

31.4

雇用成本

12.7

17.0

19.4

8.9

9.5

26.0

12.5

21.4

解雇成本

101

24

44

86

74

35

53.9

25.8

註: 雇用成本為工資之百分比,解雇成本為週數工資。雇用成本為 2006 年資料

申請許可(Dealing with Construction Permits)指標紀錄建造一座倉庫所需完成的步驟、花費的時 間和費用,包括申請規定的許可證和批文,辦理規定的公告和查驗,以及接通水電通訊設施的整 個過程。表 15-3 申請許可相關指標 指標

瓜地馬拉

尼加拉瓜

巴拿馬

薩爾瓦多

宏都拉斯

哥斯大黎加

地區

經合組織

程序(個)

22

17

20

35

17

23

16.6

15.8

時間(天)

178

219

116

155

106

191

219.9

166.3

成本 (GDP 的%)

599.4

767.1

99.1

171.7

469.3

172.2

191.1

62.1

開辦企業(Starting a Business)指標分析了在中美洲六國開辦企業的難度。以下資料顯示一個有 限責任公司從註冊到正式運營所需完成的步驟,花費的時間和費用。 64


表 15-4 開辦企業相關指標 指標

瓜地馬拉

尼加拉瓜

巴拿馬

薩爾瓦多

宏都拉斯

哥斯大黎加

地區

經合組織

程序(個)

12

6

6

12

13

12

9.3

5.6

時間(天)

37

39

9

60

14

60

56.7

13.8

成本(GDP 的%)

49.1

117.9

10.3

10.5

47.2

10.5

36.2

5.3

24.2

0.0

0.0

0.0

17.5

0.0

4.6

15.3

最低資本 (GDP 的%)

註冊財產(Registering Property)指標反映中美洲六國企業獲得產權保護的程度。資料顯示註冊登 記一件財產所需的步驟、時間和費用。 表 15-5:註冊財產相關指標 指標

瓜地馬拉

尼加拉瓜

巴拿馬

薩爾瓦多

宏都拉斯

哥斯大黎加

地區

經合組織

程序(個)

4

8

8

5

7

6

6.8

4.8

時間(天)

23

124

32

31

23

21

68.6

32.7

1.0

3.9

5.4

3.8

5.5

3.4

5.9

4.4

成本 (財產價值的%)

合同執行(Enforcing Contracts)該課題分析了在中美洲六國合同執行的效率,通過追蹤一起支付 爭議案件,收集從原告向法院提交訴訟到最終獲得賠付所花費的時間、費用和步驟。 表 15-6:合同執行相關指標 指標

瓜地馬拉

尼加拉瓜

巴拿馬

薩爾瓦多

宏都拉斯

哥斯大黎加

地區

經合組織

程序(個)

31

35

31

30

45

40

39.8

31.2

時間(天)

1459

540

686

786

900

852

707.0

517.5

成本(債務的%)

26.5

26.8

50.0

19.2

35.2

24.3

31.2

19.2

繳納稅款(Paying Taxes)指標記錄了中美洲六國裡一家中型企業一年所需支付或負擔的稅負,並 對繳付稅款過程中的行政負擔進行評估。 表 15-7:繳納稅款相關指標 指標

瓜地馬拉

尼加拉瓜

巴拿馬

薩爾瓦多

宏都拉斯

哥斯大黎加

地區

經合組織

納稅(次)

24

64

62

53

47

42

33.2

14.2

時間(小時)

344

222

482

320

224

272

384.7

199.3

25.9

24.8

17.0

17.0

26.7

18.9

20.9

16.8

14.3

19.2

22.6

17.2

10.7

29.5

14.7

23.3

0.7

19.2

10.5

0.8

10.9

6.6

12.4

3.0

40.9

63.2

50.1

35.0

48.3

55.0

48.0

43.0

利潤稅 (佔利潤%) 勞動稅及繳付 (佔利潤%) 其他稅 (佔利潤%) 應稅總額

65


(%毛利潤)

中美洲六國信用資訊、及借款人和貸款人合法權利等獲得信貸(Getting Credit)指標如下。合法權 利指數取值範圍為 0-10,數值越高,表示法律設計越有利於獲得信貸。信用資訊指數反映通過 公共註冊處或私營調查機構取得的信用資訊的範圍、途徑和品質。該指數取值範圍為 0-6。數值 越高,表示通過公共註冊或私營調查機構可以取得的信用資訊越多。 表 15-8:獲得信貸 指標

瓜地馬拉

尼加拉瓜

巴拿馬

薩爾瓦多

宏都拉斯

哥斯大黎加

地區

經合組織

合法權利指數

8

3

6

5

6

5

5.5

6.9

信用資訊指數

6

5

6

6

6

5

3.3

4.7

16.4

14.0

0.0

21.8

22.7

23.3

10.1

8.0

8.8

21.4

31.9

95.0

100.0

64.8

31.5

61.0

公共註冊處 覆蓋範圍 (%成年人) 私營調查機構 覆蓋範圍 (%成年人)

在中美洲六國進出口標準裝運貨物所涉及的成本和程序如下跨境貿易(Trading Across Borders) 相關指標所示。其記錄進出口涉及的每一個正式程序,從雙方簽署最終合約協定開始,到交付貨 物為止所需之成本與時間。 表 15-9:跨境貿易 指標

瓜地馬拉

尼加拉瓜

巴拿馬

薩爾瓦多

宏都拉斯

哥斯大黎加

地區

經合組織

出口文件(數)

10

5

3

8

6

6

6.6

4.4

出口時間(天)

17

26

9

14

19

13

18.0

10.9

1182

1140

765

845

1193

1190

1228.3

1058.7

進口文件(數)

10

5

4

8

12

7

7.1

4.9

進口時間(天)

17

26

9

10

23

15

20.1

11.4

1302

1220

915

845

1205

1190

1487.9

1106.3

出口成本 (美元/箱)

進口成本 (美元/箱)

投資者保護(Protecting Investors)指標說明投資者保護的三個方面:交易透明度(披露範圍指 數) 、關聯交易責任(董事責任範圍指數) 、股東起訴管理層及董事行為不當的能力(股東訴訟難 易程度指數)及投資者保護力度指數。這些指數的取值範圍為 0 至 10,數值越高,表示交易透 明度越高,董事責任越大,股東挑戰交易的能力越高,投資者保護越好。 表 15-10:投資者保護 指標

瓜地馬拉

尼加拉瓜

巴拿馬

薩爾瓦多

宏都拉斯

哥斯大黎加

地區

經合組織

披露指數

3

4

1

5

0

2

4.1

6.0

董事責任指數

3

5

4

2

5

5

5.3

5.2

66


股東訴訟指數

6

6

9

6

4

2

6.0

6.8

投資者保護指數

4.0

5.0

4.7

4.3

3.0

3.0

5.1

6.0

企業破產(Closing a Business)指標估算中美洲六國破產程序的時間和成本,歸納破產法規中存 在的程序障礙指標,另外還包括以每一元債權人資產能夠從破產企業收回的價值計算之資產回收 率。 表 15-11:企業破產 指標

瓜地馬拉

尼加拉瓜

巴拿馬

薩爾瓦多

宏都拉斯

哥斯大黎加

地區

經合組織

時間(年)

27.5

33.7

32.4

29.2

19.9

21.2

32.8

69.1

成本(財產的%)

3.0

2.2

2.5

4.0

3.8

3.5

3.3

1.7

15

15

18

9

15

15

15.9

9.1

回收率 (美分/每美元)

67


第十六章

其他經貿相關資料

一、瓜地馬拉 2011 經貿與環境回顧 自 1996 年簽署的和平協定,結束了近 36 年的內戰,瓜地馬拉現今是一個面對許多發展挑戰及 多元文化的中低收入國家。瓜國經濟近五年持續成長,即使 2008 與 2009 年金融風暴的衝擊下,2009 年仍有 0.54%之經濟成長率,2010 年也逐步復甦至 2.59%,2011 年仍預估會有更大幅度的成長。長 久以來,瓜地馬拉在財政與金融方面,都有許多管理上的問題。其國內生產總值和政府負債比在拉丁 美洲與加勒比地區,也是其中最低的一個。此外,雖然瓜國政府逐漸加強稅務的監督管理,但是其關 鍵問題卻依舊存在,瓜國的稅賦收入仍處於相對低的水平(2009 年僅佔 GDP 的 10.45%),使得政府 缺少資源(如:政府公共支出、社會服務、基礎建設等。)解決貧困等問題。 雖然近來瓜國之經濟發展與建設確有成果,然貧困與不均之問題仍持續存在。瓜地馬拉全部人口 的 51%籠罩在貧困之中,鄉村地區更高達 70.5%,所得與教育的不均都相當嚴重,使得瓜地馬拉社 會指標經常低於其他國家的人均水準,如雖然有中美洲最多的大學畢業生,但成年人口平均受教育時 間卻為全中美最低,僅 4.1 年。健康方面,在預期壽命、嬰兒及母親死亡率方面,與開發程度接近之 國家相比也相對較弱,孩童營養不良比率情況更是特別嚴重。 貧困與不均所衍生的還有嚴重的社會安全問題,根據瓜地馬拉自由報所作之抽樣調查,於 2010 年 8 月 2011 年 7 月期間,自身遭遇過搶劫案件之比例高達 38.6%,身邊親人曾遭遇搶劫之比例更達 65.8%。治安不佳的狀況也同時影響到瓜國的觀光業,涉及層面相當廣泛,使得強化社會安全成為 2011 年大選多數候選人強調之議題。

二、相關經貿數據 (一)中美洲 5 國經濟自由度(Economics Liberty)(表 16-1) 國家

2008 年排名

2009 年排名

2010 年排名

2011 年排名

薩爾瓦多

33

33

32

39

瓜地馬拉

78

87

83

79

宏都拉斯

79

91

99

99

尼加拉瓜

81

84

98

98

哥斯大黎加

49

46

54

49

資料來源:傳統基金 2011.07,http://www.heritage.org/index/

(二)中美洲 5 國人類發展指標(Human Development Index)(表 16-2) 國家

2009 年指數

2009 年排名

2010 年指數

2010 年排名

薩爾瓦多

0.655

106

0.659

90

瓜地馬拉

0.556

124

0.56

116

68


宏都拉斯

0.601

112

0.604

106

尼加拉瓜

0.562

122

0.565

115

哥斯大黎加

0.723

54

0.725

62

資料來源:聯合國開發署(UNDP),Human Development Report;http://www.undp.org/

(三)中美洲六國外資直接投資金額(FDI)(表 16-3)單位:百萬美元 國家

2006 年

2007 年

2008 年

2009 年

薩爾瓦多

267

1,408

719

562

瓜地馬拉

552

720

738

573

宏都拉斯

669

926

901

500

尼加拉瓜

287

382

626

434

哥斯大黎加

1,371

1,634

2,072

1,339

資料來源:世界銀行 Country Data Profile

(四)瓜地馬拉 2006 年~2010 年出口統計(表 16-4)單位:百萬美元 2006

2007

2008

2009

2010

出口

3,716

4,520

5,377

4,999

5,812

進口

10,073

11,846

12,839

10,076

12,040

出、入超

(6,357)

(7,326)

(7,463)

(5,077)

(6,228)

資料來源:Sistema de Estadisticas de Comercio de Centroamérica, SIECA.

(五)瓜地馬拉對台灣貿易統計(表 16-5)單位:百萬美元 2006

2007

2008

2009

2010

出口

12.84

19.61

19.91

27.00

43.67

進口

110.08

101.36

84.36

66.02

70.61

出、入超

(97.24)

(81.72)

(64.45)

(39.02)

(26.64)

資料來源:Sistema de Estadisticas de Comercio de Centroamérica,SIECA.

(六)瓜地馬拉傳統出口農產品金額(表 16-6)單位:百萬美元 2006

2007

2008

2009

2010

咖啡(0901)

464.29

577.57

647.05

582.47

714.30

蔗糖(1701)

298.57

358.13

378.06

509.35

726.00

香蕉(0803)

233.03

322.89

342.09

513.86

380.01

豆蔻(0908)

83.44

137.07

208.00

304.04

308.12

資料來源:Banco de Guatemala 2011 69


(七)瓜地馬拉重要港口吞吐量(表 16-7)(進出口額單位: 百萬美元;進出口量單位:千噸) Santo Tomas de Castilla

Barrios

Quetzal

出口額

2016.42

427.08

915.95

出口量

1827.23

454.49

1842.46

進口額

2674.70

643.47

3858.17

進口量

1724.74

711.49

4315.13

出口額

2148.35

596.39

1375.60

出口量

1985.50

1260.68

2217.26

進口額

3223.54

820.79

5192.60

進口量

1891.90

933.99

5075.77

出口額

2311.25

547.63

1539.51

出口量

2406.52

1305.29

2267.80

進口額

2624.78

660.57

4243.29

進口量

1576.65

724.43

4237.00

港口

2005

2007

2009

資料來源:ComisiónPortuariaNacional 2010.02, https://www.cpn.gob.gt

70


A Knowledge Gap Assessment Tool for Interface Design and Research

Technical Report HFA-TR-1007 Atlanta, GA: Georgia Institute of Technology School of Psychology â&#x20AC;&#x201C; Human Factors and Aging Laboratory 2010

Requests for more information may be sent to Wendy A. Rogers (wendy@gatech.edu)


Table of Contents 1.

Executive Summary .............................................................................................................. 3

2.

Introduction ........................................................................................................................... 5

3.

Overview of the Knowledge Taxonomy ............................................................................... 7

4.

Conducting a Knowledge Gap Assessment ........................................................................ 10

5.

4.1

Assessment of knowledge demands by prototype design ............................................... 11

4.2

Assessment of current user knowledge ........................................................................... 12

4.3

Analysis of required and current interface knowledge.................................................... 15 References ........................................................................................................................... 19

Appendix A. Materials used to create JD X749 Ultimate Tractor Knowledge Inventory ............. 20 Appendix B. John Deere X749 Ultimate Tractor Required Knowledge Inventory ....................... 28 Appendix C. Current User Knowledge Questionnaire Sample ..................................................... 30 Part 1 â&#x20AC;&#x201C; Knowledge about Motor Vehicles ................................................................................ 30 Part 2 â&#x20AC;&#x201C; Experience with Motor Vehicles .................................................................................. 43


1.

Executive Summary

The general goal of this project is to study user knowledge in the context of purportedly â&#x20AC;&#x153;intuitiveâ&#x20AC;? user interfaces. Ideally, we want to develop assessment tools and protocols to evaluate how knowledge is incorporated into these interfaces. This is the third report in a series. We first conducted an in-depth literature review to identify the definitions and design attributes relevant to the general construct of intuitive design (Oâ&#x20AC;&#x2122;Brien, Rogers, & Fisk, 2010). We then developed an organizing framework called the Knowledge Taxonomy to systematically assess and document human-machine interface knowledge in activities related to the design and evaluation of user interfaces, in particular, interface knowledge required for successful interactions with a specific design (Serrano Bacquero & Rogers, 2010). The Knowledge Taxonomy encompassed a hierarchy of six high-level categories (and their subcategories) that capture knowledge required by a user to successfully interact with a prototype design. This knowledge pertains specifically to displays, controls, procedures, context of operation, additional equipment involved, and other interfaces that share commonalities with the given design. In the present report we provide an overview of a Knowledge Gap Assessment Tool, illustrated with the example of a John Deere X749 Ultimate Tractor. In the first step of this application, the Knowledge Taxonomy is used to assess, in a comprehensive fashion, the knowledge demands that a prototype design imposes for a majority of users. This is accomplished by first determining a set of benchmark tasks, the main tasks to be performed with the interface, with users, and members of the design team. Next, all instances of required knowledge pertaining to displays, controls and procedures (for each benchmark task) are to be compiled using the Knowledge Taxonomy as a template. The corresponding sub-categories in the Knowledge Taxonomy were used to identify and organize this knowledge from instructional material, simulations, or direct contact with the prototype design.


The Knowledge Taxonomy is then used in an assessment of interface knowledge that users currently have about a prototype design as well as knowledge activated in these users when presented with such design. This can be accomplished by labeling and defining an Interface Family of related interfaces that the prototype design belongs to, with users and designers. This label and definition can be used to create a survey instrument for users where specific Knowledge Taxonomy categories (as described in the report) are expanded into questions and probes that will elicit knowledge respondents have about the prototype design, related interfaces, and their experience with both. The outcomes from the two previous assessments can then be compared quantitatively or qualitatively with the level of granularity desired, to identify topic areas where users lack required interface knowledge, where they meet interface knowledge requirements, or where available knowledge conflicts with that required. In this way, the proposed guide supports a highly-targeted approach to the assessment of training needs and the design of training curricula and materials. A summary of the steps involved to implement the proposed Knowledge Gap Assessment Tool is provided in Table 1. Table 1. Implementation Summary for the Knowledge Gap Assessment Tool.

Necessary steps 1 Determine benchmark tasks as the main tasks that users will be performing (with users). 2 Determine benchmark tasks as the main tasks that users will be performing (with design team). 3 Contrast benchmark tasks defined in steps 1 and 2 and unify into a single set. 4 Compile required interface knowledge for prototype design and benchmark tasks. 5 Label the Interface Family that the prototype-design belongs to (with users). 6 Label the Interface Family that the prototype-design belongs to (with design team). 7 Contrast Interface Family labels created in steps 5 and 6 and unify into a single label. 8 Create a glossary definition for the Interface Family to use in current user knowledge assessment. 9 Create a two-part survey instrument that elicits respondent interface knowledge and experience based on Knowledge Taxonomy categories. Provide examples from required interface knowledge. 10 Complete surveys with users from relevant user profiles. 11 Compare required knowledge with current user knowledge to identify knowledge gaps.


2.

Introduction

We approached the study of attributes that characterize intuitive technology interactions, with the goals of developing assessment tools and protocols to evaluate these attributes in interfaces, to understand how prior experience with distinct products and contexts could be leveraged in these interactions, and to develop tools that could support designers in incorporating these attributes into their interfaces. In the first stage of this process, we conducted a systematic review of the literature related to intuitive design (Oâ&#x20AC;&#x2122;Brien et al., 2010). Based on the analysis of the literature we developed a framework for intuitive human-computer interaction (HCI). In the next stage, documented in a previous technical report (Serrano-Baquero et al., 2010), we used this framework for intuitive HCI and incorporated other models of HCI to illustrate the importance of user interface knowledge (and operations that users perform with knowledge) for successful interactions with novel technologies. Interface knowledge is a component of HCI in primarily two forms. Knowledge that users accumulate through experience, culture, and their abilities (i.e., knowledge in the head); and knowledge that is available to users in the moment of the interaction, through affordances, instructions, and labels (i.e., knowledge in the world). The availability of the latter in a prototype design and its support to elicit and guide use of user-accumulated knowledge, can be a determining factor in the success or failure of an intuitive interaction. We developed a Knowledge Taxonomy that could be used to organize human-machine interface knowledge required for successful interactions. We developed this framework to be complete, in that it would capture all the different facets of interface knowledge in context; flexible, in that it would be used in activities where varying information is available about the interface, the context and the environment of operation; and we developed it to be scalable, in that it should be applicable to document knowledge about different interface types, interaction styles, modalities and product lines. The Knowledge Taxonomy can be used to systematically assess, document and communicate user interface knowledge in activities that design and research teams engage in as part of user interface


design and evaluation. These applications are proposed in the aforementioned technical report in the form of five potential applications for the Knowledge Taxonomy. As a continuation of our work in further developing potential applications for this Knowledge Taxonomy, this technical report describes a proposed guide to 1) assess and document the knowledge demands imposed by a prototype design, 2) assess and document interface knowledge that users currently have about a prototype design, and 3) combine the outcomes of the two previous assessments into a knowledge gap assessment that highlights weaknesses to address with training programs and materials. In this report, we provide a brief overview of the components that make up the Knowledge Taxonomy (for more details see Serrano Baquero et al., 2010). We then introduce an exemplar interface from a Deere & Company product that is used to illustrate the guide. This is followed by the description of the steps that make up the Knowledge Gap Assessment Tool implementation, the primary outcomes of each step, as well as additional outcomes that can serve other analyses.


3.

Overview of the Knowledge Taxonomy

In the development of the Knowledge Taxonomy, interface knowledge required to interact successfully with five commercial interface implementations was considered. These interfaces were selected to be representative of different interface implementations, contexts, and platforms. We selected a word-processing application (Microsoft Word 2007), an institutional web portal (Medicare.gov), an automated Interactive Voice Response system (Amtrak 1800-USA-RAIL), the John Deere 6615 utility tractor in an orchard mowing application, and the John Deere Greenstar 2 Management Console. We started development of the Knowledge Taxonomy with the compilation of an inventory of knowledge required to complete specific benchmark tasks with the interfaces mentioned above. Next, similar to developing a coding scheme, two researchers followed numerous iterations to synthesize a mutually-exclusive categorization for interface knowledge and definitions. The resulting Knowledge Taxonomy is comprised of six-high level categories that capture different aspects of required interface knowledge (Figure 1).

Figure 1. The Knowledge Taxonomy and its six categories of knowledge.

The first of the six high-level categories, Interface Family Knowledge, can be used to document general knowledge common to a collection of interfaces, that can be given a group label, and that share additional similarities:


-

Interface Family Knowledge: Knowledge that a user requires that is common to a collection of interfaces and not specific to a system or task. The next five high-level categories can be used to capture interface knowledge required to

interact with a specific interface implementation, like a prototype design being considered. The three categories described next can be used to capture knowledge required about the design of the interface and its operation: -

Specific Displays Knowledge: Knowledge a user requires about means with which to perceive the state of a specific interface. Specific Controls Knowledge: Knowledge a user requires about means with which to provide input to a specific interface. Specific Procedures Knowledge: Knowledge about how to use a specific interface to complete a task. When available, the framework can be used to organize knowledge about factors that are external

to the interface but are critical to successful operation. The Knowledge Taxonomy captures this knowledge in the last two of the high-level categories: -

Contextual Knowledge: Knowledge a user requires about factors external to the interface and that affect task performance. Equipment Knowledge: Knowledge a user requires about specific mechanical components that support system use. Error! Reference source not found. 2 presents a summary of the high level categories in the

Knowledge Taxonomy, as well as detailed definitions of the sub-categories that each one encompasses. The sub-categories can be used to document user interface knowledge with greater granularity. .


Table 2. Categories and Sub-Categories of the Knowledge Taxonomy

Interface Family Knowledge: Knowledge a user requires that is common to a collection of interfaces and not specific to a system or task.

Specific Displays Knowledge: Knowledge a user requires about means with which to perceive the state of a specific interface.

Specific Controls Knowledge: Knowledge a user requires about means with which to provide input to a specific interface.

Specific Procedures Knowledge: Knowledge about how to use a specific interface to complete a task. Contextual Knowledge: Knowledge a user requires about factors external to the interface and that affect task performance. Equipment Knowledge: Knowledge a user requires about specific mechanical components that support system use.

Sub-categories Family name User goals Available tasks Task flow Common displays Common controls Color Icons Layout Saliency variations Sensory modality Textual labels Related event Appearance Feedback Function Layout Operation Sensory modality Available tasks Task flow Interface modes

Definitions The label that identifies the Interface Family that a prototype design belongs to Common objectives that can be achieved with all interfaces in an Interface Family Activities that can be performed with all interfaces in the family The sequence of use common to the family Display attributes (e.g., information content, placement, modality) that extend across the family Control attributes (e.g., type, location, operation, coding) that extend across the family Meaning of color, saturation, and hue combinations used Representations of objects, actions or scenes used (excludes alphanumerical characters) Arrangement of display components Meaning of differences in how display components are exposed Type of stimulus used by the display (auditory, visual, somatosensory, olfactory, gustatory) System of words and alphanumerical characters from a specific set used to identify display components System occurrences notified to the user through a change in the display Cues that inform users that an interface element is a control and its affordances Interface response that follows user input through a control What the control does Arrangement of control components Method with which a control can be manipulated Type of stimulus required for input (auditory, visual, somatosensory) Activities that can be performed exclusively with a specific interface The sequence of use specific to a task and a prototype design (functions) Different system states that render different responses to a given input

Environment Lexicon Organizational Social nature Installed equipment Optional equipment Maintenance Problems

Knowledge a user has about his/her physical surroundings Terminology inherent to the task Rules or guidelines that must be considered in task (when interface is associated with organization) Knowledge about the individual or collaborative nature of supported tasks Attributes of existing system mechanical components used in the task Attributes of available components that are not part of the system but that may be used in the task Procedures required to keep components in good working order Technical difficulties that components can experience


4.

Conducting a Knowledge Gap Assessment

Serrano Baquero et al. (2010) described potential applications for the Knowledge Taxonomy. These potential applications included the assessment of knowledge demands imposed by a prototype design, where the Knowledge Taxonomy (Error! Reference source not found. 2) is used as a template to organize and document knowledge required to interact successfully with a prototype design. This can facilitate the communication and documentation of knowledge in design and evaluation activities. The Knowledge Taxonomy can also be used in an assessment of user interface knowledge that users bring to the interaction with technology. Such a procedure can be conducted in different stages of research and design activities (e.g., before, during, and after training), and relies on user self-report of knowledge in the head. In this section we propose a guide to analyze the outcomes of the two aforementioned assessments and identify knowledge gaps and weaknesses that can be addressed with training programs and materials. This guide, called the Knowledge Gap Assessment Tool, constitutes a targeted approach to determining training needs. To illustrate the description of the steps involved in this guide, we used a Deere & Company product, the John Deere X749 Ultimate Tractor (Figure 2) as an example in the use of the Knowledge Gap Assessment Tool. In the appendix, we include samples and materials based on this product for all the deliverables mentioned below, in each step of the guide.

Figure 2. The John Deere X749 Ultimate Tractor used as example.


4.1

Assessment of knowledge demands by prototype design The proposed process (Figure 3) starts by determining a set of benchmark tasks, the main tasks

that will be performed with the prototype design. These tasks will be used to provide a context to the assembly of the knowledge inventory. These tasks are first determined with users of the prototype design and then determined with representatives of the design team (these can include all product stakeholders: marketing, product management, engineering, and interface designers). Contrasting the mismatches between tasks and their priority as identified by each group is an opportunity for richer analysis in which conflicting perceptions might be found between these product stakeholders.

Figure 3. Using the Knowledge Taxonomy to assess knowledge demands by a prototype design.

With a unified set of benchmark tasks, the required specific interface knowledge is compiled using the Knowledge Taxonomy as a template (Specific Displays, Controls, and Procedures categories and sub-categories). This is accomplished by listing required interface knowledge for each benchmark task, using the sub-category definitions (Error! Reference source not found. 2) as probes, while performing a documentary review of available materials (operation manuals, simulators) and/or direct interface interaction (Figure 1). A sample of materials used in the example discussed below (John Deere X749 Ultimate Tractor) is provided in Appendix A and the Knowledge Inventory of required interface knowledge compiled for the same example is provided in Appendix B.


Figure 4. Compiling an inventory of required interface knowledge.

4.2

Assessment of current user knowledge This process (Figure 5) begins with the definition of a label for the Interface Family that contains

the prototype design. Similar to the assessment described in the previous section, the label should be determined with users as well as with members of the design team. Further study can be conducted by comparing the labels produced by these two groups. This can identify differences in knowledge activated by the user when interacting with a prototype and knowledge that designers intended to activate. With a unified Interface Family label, a glossary definition for the label needs to be created, that will be incorporated in documentation and survey instruments. The label and definition will be used in a self report survey instrument to probe respondents and query them on their current interface knowledge. The label and definition should also reflect the project and/or research objectives, to include brands, product families, or competitor products that respondents should think about.


Figure 5. Assessment of current user interface knowledge.

Next, a two-part survey instrument for users to self-report on current interface knowledge is developed. Each survey part starts with the Interface Family label and definition in an introduction, and questions are developed by expanding on selected categories from the Knowledge Taxonomy, as discussed below (Interface Family, Contextual, and Equipment Knowledge). Examples and multiple choice answers should be populated with knowledge compiled in the Knowledge Inventory. Question formats and illustrations should be selected to require the least effort from the respondent to complete. The first part of the survey is designed to help users verbalize interface knowledge available to them about the specific prototype design and about related interfaces. The second part of the instrument asks users about their experience with related interfaces (as defined in the Interface Family) to identify the source of available interface knowledge. A complete sample of the two-part survey is provided in Appendix C. First, respondents are presented with the label and definition for the Interface Family, that is, the collection of interfaces they should consider in their answers. Next, the sub-categories in the Interface Family taxonomy category are expanded into questions that probe users as described below:


-

Family label: Questions are created expanding on this category to determine the appropriateness of the Interface Family label and definition. Users are asked to describe in their own words graphics of the prototype design and its interface components.

-

User goals, Available Tasks, Task Flow: These categories are expanded into questions populated with the Knowledge Inventory, to identify the most accessible knowledge users have about goals and the sequence of steps associated with performing tasks with the prototype design. To assess knowledge that respondents might have about the specifics of the prototype design,

questions are created based on some of the Specific Displays → Related events, Color, Icons, Saliency variations, Sensory modality, Textual labels, Layout subcategories; and Specific Controls → Appearance, Layout, Feedback, Operation, Sensory modalities subcategories. Questions are also created based on the Contextual Knowledge → Environment sub-category, to identify the most accessible knowledge users have about the context of operation and its impact on operation; and the Equipment Knowledge → Installed Equipment sub-category to identify accessible knowledge about mechanical equipment that supports operation, its availability and applications. In the second part of the survey, that assesses experience with interfaces, respondents are presented with questions that expand on some of the sub-categories in the Knowledge Taxonomy to trace the source of knowledge verbalized in part one, to a type of interface in the Interface Family, and how it was acquired. The sub-categories in the Interface Family category are expanded into questions as described below: -

Family Label, User Goals, and Available Tasks: Questions based on these sub-categories assess the experience respondents have with interfaces related to the prototype design. They are asked about the frequency of their experiences with distinct interfaces, as well as with performing certain tasks.


To gain an understanding of the experience users have had with specific interface components from the prototype design, questions are created based on the Specific Displays → Related events, Color, Icons, Saliency variations, Sensory modality, Textual Labels sub-categories; and Specific Controls → Appearance, Feedback, Operation, Sensory modalities sub-categories. Questions are also created expanding on the Contextual Knowledge → Environment, Lexicon sub-categories, to assess the frequency and nature of experience with different contexts and environments of operation as well as with the vocabulary used in the human-computer system. As mentioned before, a full example of a questionnaire developed with this procedure is provided in Appendix C. The sample provided in the appendix for the two part survey instrument was developed over several iterations and pilot tested at the individual question (labels and wording) and the complete survey level. It lists all the categories and sub-categories in which each of the questions are based, highlighted in yellow. Options provided for the multiple choice questions (e.g., related to cabin locations) are intended to be exhaustive and were pilot tested as well. The administration of the questionnaire was pilot-tested with university undergrads, and their experiences used to determine a time of 1.5 hours to complete the two-part survey. 4.3

Analysis of required and current interface knowledge Once the questionnaire is completed with participants from relevant user profiles, their answers

are collected and organized with the Knowledge Taxonomy sub-categories used in its development (Interface Family Knowledge, Contextual Knowledge and Equipment Knowledge). Next, a comparative analysis of knowledge required (4.1) and current user knowledge (4.2) is conducted, for which we propose a guide below. In these sections, we proposed secondary analyses, to study mismatches between user and designer perceptions of what the priority tasks are as well as what the Interface Family label is. Nonetheless, the primary analysis that should be conducted is the assessment of the Knowledge Gap and is described in the current section.


Our proposed guide starts by assessing the knowledge gap on knowledge required about displays. Items compiled in the Knowledge Inventory (Appendix A) related to displays (Specific Displays Knowledge) can be compared with current knowledge questionnaire answers based on particular subcategories from the Specific Displays and Interface Family â&#x2020;&#x2019; Common displays sub-categories, as depicted in Figure 6.

Figure 6. Assessing the knowledge gap for displays knowledge.

Next, the knowledge gap is evaluated on knowledge about controls. The Knowledge Inventory entries under the Specific Controls Knowledge category can be compared with current knowledge questionnaire answers to questions based on particular sub-categories in the Specific controls and Interface Family â&#x2020;&#x2019; Common controls categories, as shown in Figure 7.


Figure 7. Assessing the knowledge gap for controls knowledge.

Similar to the previous assessments, the knowledge gap assessment can also be conducted for knowledge required about procedures required by an interface. Knowledge captured in the Knowledge Inventory under the Specific Procedures Knowledge categories can be compared with answers to questions based on the sub-categories in the Specific Procedures, Interface Family and Contextual knowledge categories, shown in Figure 8.

Figure 8. Assessing the knowledge gap for procedures knowledge.

It is up to researchers and designers (and their goals) to determine the specific method with which to conduct the comparisons of required knowledge and questionnaire responses described above. The assessment can be conducted quantitatively, with a numerical measure of the knowledge gap for each category and sub-categories (e.g. individual and/or summary scores). Additionally, the assessment can be


conducted qualitatively to identify salient themes and describe topic areas where current user knowledge is insufficient or to highlight significant trends such as current knowledge that contradicts required interface knowledge. A combination of these qualitative and quantitative assessments can provide great inputs to user interface design and evaluation activities such as walking a user through a novel interface or pilot testing a prototype design. Further studies that build on the proposed guide are required to develop more detailed procedures and recommendations to conduct Knowledge Gap Assessments in a time and cost-effective manner. The proposed guide and support materials were based on a scientific foundation and serve as a starting point to these efforts.


5.

References

Oâ&#x20AC;&#x2122;Brien, M. A., Rogers, W. A., & Fisk, A. D. (2010). Developing an organizational model for intuitive design. (HFA-TR-1001). Atlanta, GA: Georgia Institute of Technology, School of Psychology, Human Factors and Aging Laboratory. Serrano Baquero, D., & Rogers, W. A. (2010). Knowledge and intuitive interface design: Developing a knowledge taxonomy (HFA-TR-1004). Atlanta, GA: Georgia Institute of Technology, School of Psychology, Human Factors and Aging Laboratory.


Appendix A. Materials used to create required JD X749 Ultimate Tractor Knowledge Inventory Taken from product catalog: http://www.deere.com/en_US/homeowners/online_brochures/rle_literature/static/select_series_zmags.html


Taken from operatorâ&#x20AC;&#x2122;s manual: http://manuals.deere.com/cceomview/OMM157071_K7/Output/Index.html?tM=HO

Using Mower Height Control Knob

Use mower height control knob (A) to adjust mower cutting height, and lock mower deck lift arms in raised position. See your mower deck operatorâ&#x20AC;&#x2122;s manual for instructions. IMPORTANT: Avoid damage! To avoid machine damage when operating without a mower deck, fully raise mower deck lift arms and turn mower height control knob clockwise to highest setting to lock lift arms in raised position.


Using Park Brake

Using Key Switch

Locking Park Brake

CAUTION: Avoid injury! Children or bystanders may attempt to move or operate an unattended machine. Always lock the park brake and remove the key before leaving the machine unattended.

MX39542 A - Stop (Off) B - Run C - Start (Crank)

MX13638 1. Fully depress brake pedal (A). 2. Pull park brake latch (B) up to lock park brake. 3. Release brake pedal and then park brake latch. Pedal should stay down and park brake latch should stay up in locked position. Unlocking Park Brake 1. Fully depress brake pedal. 2. Push park brake latch down. 3. Release brake pedal. Pedal should come up to operating position.


Using Indicator Lights

Starting the Engine NOTE: You must depress brake pedal, or lock park brake, before you can start engine. Be sure PTO/RIO switch is off. 1. Open fuel shut-off valve. 2. Lock park brake or depress brake pedal. 3. Push throttle lever up to between 1/2 and fast position. 4. Turn key to run position. 5. Check indicator lights: • Oil pressure indicator light will be ON.

A - Fuel Gauge - indicates fuel level.

• Battery discharge indicator light will be ON.

B - Engine Preheat Light - will come on for up to 8 seconds when starting engine. If engine has been run and then cooled, the time may be less.

• Engine preheat indicator light will come on and go out within approximately 8 seconds. If engine has been run and then cooled, the time may be less. Wait for indicator to go out before cranking engine.

C - Coolant Temperature Gauge - indicates temperature of cooling system. If needle on gauge reaches red range, the engine is overheating. If PTO is engaged, it will automatically shut off.

6. Turn key to start position: • Crank engine.

D - Air Restriction Indicator Light - will come on if air restriction indicator shows that air cleaner requires service.

• If engine does not start within 5 seconds, turn key to stop position and wait 10 seconds.

E - Battery Discharge Indicator Light - will come on when there is no alternator output. If indicator comes on during operation, stop engine and perform appropriate service.

• Crank engine again for 5 seconds.

F - Hour Meter - shows number of hours engine has run. Check hour meter daily, and see periodic service required chart located under hood for service requirements. G and I - PTO Indicator Lights - will come on when mid/front and/or rear PTO is engaged. Light will blink when Reverse Implement Option (RIO) is engaged. H - Oil Pressure Indicator Light - will come on when engine oil pressure is too low. If indicator comes on during operation, stop engine and perform appropriate service. This is an indication that the engine is low on oil. J - Park Brake Light - will come on when park brake is set. If engine is overheated, disengage PTO, let engine cool at idle speed until needle returns to green range. Shut off engine and clean air intake screens and radiator screen.

Repeat this procedure if necessary. IMPORTANT: Avoid damage! Unnecessary engine idling may cause engine damage. Excessive idling can cause engine overheating, carbon build-up, and poor performance.

7. As soon as engine starts, release key. The key will return to run position and all indicator lights should be off. If a light does not go off, stop engine and perform appropriate service.


Using Reverse Implement Option (RIO)

Using Traction Assist

CAUTION: Avoid injury! Driving at high speeds with the traction assist CAUTION: Avoid injury! Rotating blades are dangerous. Children or bystanders may

engaged may result in loss of steering control. Do not engage traction assist or turn

be injured by run over and rotating blades.

with the traction assist engaged while operating machine at high speeds or on slopes.

Before backing up, carefully check the area around the machine.

Traction assist is used to provide better traction when rear wheels start to slip. Do not use traction assist unless you are experiencing rear wheel slippage. Engaging traction

NOTE: Backing up while mower is engaged is strongly discouraged. The Reverse Implement Option should be used only when operating another attachment or when

assist will cause both rear wheels to drive equally to improve traction. Engaging Traction Assist

operator deems it necessary to reposition machine with mower engaged. 1. Stop machine forward travel with attachment engaged.

IMPORTANT: Avoid damage! Using the traction assist function improperly can damage the transaxle:

2. Look behind machine to be sure there are no bystanders. • Reduce speed and allow drive wheels to rotate at same speed before engaging or NOTE: If attachment stops while repositioning machine, return PTO/RIO switch to off

disengaging traction assist.

position. Begin again with Step 2 in procedure. • Disengage traction assist when driving on dry asphalt or concrete. • Use traction assist only when necessary for improved ground engagement. 1. Stop or slow machine down. 2. Push down on traction assist pedal. Traction assist will remain engaged as long as pedal is depressed. NOTE: Turning radius is increased when traction assist is engaged. When brake pedal is depressed, traction assist will automatically engage. Disengaging Traction Assist 1. Release traction assist pedal. MX22575, MX39639 2. Once the load on the transmission is equalized and reduced, traction assist will 3. Lift and hold PTO/RIO switch (A) up past the PTO engagement position to activate


the reverse implement option while depressing reverse travel pedal slightly. Instrument panel PTO indicator light (B) will blink when RIO is engaged.

disengage automatically.

Using Cruise Control

4. As machine begins to move backward, release PTO/RIO switch and reposition machine. Instrument panel PTO indicator light will stop blinking when switch is

Use cruise control when you want to maintain travel speed without having to hold the

released.

forward travel pedal down. Cruise control operates only for forward travel.

5. Resume forward travel. The attachment should continue operating.

Operate machine in a large, open area to learn how cruise control works.

6. Repeat Steps 1 through 5 to reposition machine again.

Engaging Cruise Control 1. Depress forward travel pedal until you reach desired travel speed. 2. Pull cruise latch up to lock cruise control. 3. Remove foot from forward travel pedal. 4. Release cruise latch. Disengaging Cruise Control 1. Depress forward travel pedal or depress brake pedal.

Using Hydraulic Control Levers

Using 4-Wheel Drive (MFWD)

NOTE: Hydraulic control levers operate differently depending on attachment. See

NOTE: Use four-wheel drive when more traction is needed. Tires will wear faster if

attachment operatorâ&#x20AC;&#x2122;s manual before using hydraulic control levers with an attachment.

four-wheel drive is always engaged. Four-wheel drive enables the power train to drive all four wheels for improved traction on difficult ground conditions. The mechanical front wheel drive system can be engaged and disengaged on-the-go with light loads and on low-traction surfaces.

CAUTION: Avoid injury! Use extra caution when driving on slopes. To increase traction and provide four-wheel braking, engage mechanical front wheel drive (MFWD) when driving on slopes. Be aware that MFWD can improve access to


dangerously sloped terrain, thereby increasing the possibility of tip over. To improve braking on sloped, icy, wet, or graveled surfaces, engage the MFWD. Add ballast to the tractor and travel at a reduced speed to avoid skidding and loss of steering control. Ballasting When operating in 4WD without a mower deck installed on machine, it is recommended you install rear wheel weights to increase stability: â&#x20AC;˘ Install minimum of one BM17976 Weight Kit on each rear wheel. MX39015 Using 2WD/4WD Lever When attachment hydraulic hoses are connected to couplers (A) (black) and (B) (green), push lower hydraulic control lever (C) forward to divert fluid to coupler (A) and return through coupler (B). Pull lever backward to divert fluid to coupler (B) and return through coupler (A). Push lever to the full forward or float position to remove pressure in both lines and allow fluid to flow back and forth between lines. Lever should return to neutral position when released. When attachment hydraulic hoses are connected to couplers (D) (yellow) and (E) (silver), push upper hydraulic control lever (F) forward to divert fluid to coupler (D) and return through coupler (E). Pull lever backward to divert fluid to coupler (E) and return through coupler (D). Lever should return to neutral position when released. MX13569 NOTE: When not using lower hydraulic control lever, periodically move lever back and forth to maintain lubrication. Be sure lever is returned to middle (neutral) position and not locked in forward (float) position.

1. Move 2WD/4WD lever (A) forward to engage two-wheel drive. 2. Move 2WD/4WD lever (A) rearward to engage four-wheel drive.

Using the PTO (Power-Take-Off) NOTE: Any operating attachment should stop as the reverse travel pedal or brake pedal is depressed with attachment engaged. Prior to operating the PTO, see Using Reverse Implement Option (RIO) in this section.


This machine is equipped with a 2000 rpm mid PTO. Always operate engine at maximum speed when PTO is engaged.

Engaging PTO 1. Reduce travel speed or stop machine. 2. After engine has warmed, move throttle lever up to maximum engine speed.

MX22575, MX39619 3. Pull PTO/RIO switch (A) up. Instrument panel PTO indicator light(s) (B) will come on when PTO is engaged.

Disengaging PTO NOTE: If reverse travel pedal or brake pedal is depressed, PTO will disengage. 1. Push PTO/RIO switch down to disengage PTO. Instrument panel PTO indicator light(s) will go out.


Appendix B. John Deere X749 Ultimate Tractor Required Knowledge Inventory Specific Interface Knowledge Specific Displays Color Icons

Layout Saliency variations Sensory modality Textual labels Related event

Specific Controls Appearance Feedback

Function

Layout

Benchmark Tasks Start-up Tractor Red/Green range for engine temperature Indicator light color Oil pressure indicator light Battery discharge indicator light Engine preheat indicator light PTO/RIO switch icons Stop/Run/Start icons in Key switch Indicator lights panel above steering wheel Above and around key switch Engine preheat indicator goes on, after 8 seconds, turns off. Visual (lights) Start, Stop Mower/PTO switch label Engine preheat light OFF -> Ready to crank engine All lights OFF -> Startup successful Park brake light ON -> park brake engaged Start-up Tractor Pedal, Latch, Lever, Key-Knob, Switch Park brake light on when park brake is set PTO/RIO light off when PTO/RIO deactivated Oil pressure, battery discharge, engine preheat lights on when key is set to â&#x20AC;&#x153;runâ&#x20AC;? Key switch clicks into one of three positions Park brake latch: parking brake on/off PTO/RIO switch: PTO/RIO on/off Throttle lever: increase/decrease engine rpm Key: off/run/start engine settings Controls behind and below steering wheel Move forward/braking pedals right side Accessory controls under right elbow

Use mower going forward Red/Green range for engine temperature Indicator light color PTO/RIO switch icons Throttle lever icons (rabbit, turtle) Engine temperature gauge icon PTO indicator light Forward/backward icons in pedals Indicator lights panel above steering wheel

Visual (lights) Engine temperature (H, C) Mower/PTO switch label Engine temp. gauge in green range-> engine is warm PTO indicator lights (2) ON -> PTO engaged

Use mower going in reverse Indicator light color PTO/RIO switch icons PTO indicator light Forward/backward icons in pedals

Indicator lights panel above steering wheel PTO light in indicator panel blinks when RIO feature is engaged. Visual (lights) Mower/PTO switch label PTO light blinks -> RIO feature is engaged PTO light back to ON -> RIO feature is disengaged

Use mower going forward Pedal, Lever, Switch, Knob, Wheel PTO/RIO light ON when PTO/RIO activated

Use mower going in reverse Pedal, Switch, Wheel PTO/RIO light blinks when RIO activated

PTO/RIO switch: PTO/RIO on/off Throttle lever: increase/decrease engine rpm Mower height knob: adjust mower cutting height Forward travel pedal: move tractor Throttle controls left of steering wheel PTO controls lower right of steering wheel Move forward pedals right side

PTO/RIO switch: PTO/RIO on/off Backward travel pedal: move tractor back

PTO controls lower right of steering wheel Move forward pedals right side


Operation Sensory modality Specific Procedures Available tasks

Task flow

Interface modes

Seat slide control under seat Press, Pull, Push, Turn Somatosensory Start-up Tractor Start-up tractor Use mower going forward Use mower going in reverse Use cruise control, traction assist, four-wheel drive Set parking brake Increase throttle to between ½ and fast positions Turn key to “run” position Check indicator lights (oil pressure, battery discharge ON; engine preheat OFF after 8 seconds) Turn key to “start” position When engine starts, release key Check indicator lights (all lights OFF) Brake or Parking brake activated/deactivated, allows/blocks engine start

Mower height knob below steering wheel Press, Pull, Push, Turn Somatosensory Use mower going forward

Push, Pull-and-hold, Turn Somatosensory Use mower going in reverse

Reduce travel speed Increase throttle to maximum position Pull PTO/RIO switch up Check indicator lights (PTO/RIO lights ON) Move forward to mow

Stop machine Pull PTO/RIO switch up and hold to activate RIO option Press backward travel pedal slightly Check indicator lights (PTO/RIO light blinking) Reposition machine with steering wheel Release PTO/RIO switch

Activated implement stops when brake/reverse pedals are pushed

PTO/RIO switch activated, RIO activated


Appendix C. Current User Knowledge Questionnaire Sample Part 1 â&#x20AC;&#x201C; Knowledge about Motor Vehicles The purpose of this set of questions is to help us get an understanding of the knowledge you have about driving a Motor Vehicle and how you would use it to drive a new or unfamiliar one. There are not right or wrong answers, you will only be asked in this section about the knowledge you have about motor vehicles, even if you have not had experience with some of them. Please answer all questions as indicated in each section, and thinking about motor vehicles in general rather than a specific make or model. What do we mean by Motor Vehicle? A motor vehicle is a land-based, wheeled means of transportation and productivity propelled by an engine and driven by a human.


Section Objective: Gain understanding of the most accessible knowledge that participants have about different types of motor vehicles, that can be used to approach John Deere X749 tractors for the first time. This section focuses on knowledge about goals, common tasks and the sequences of steps required to complete those tasks. Answers from this section can be traced to a type of motor vehicle to study knowledge transfer. Interface Family Knowledge / Family name 1.

What words would you use to describe the motor vehicle pictured in Figure 1? (please provide 5 descriptive words or phrases below)

a.

b.

c.

d.

e. Figure 1


2.

What words would you use to describe the controls pictured below? (Continues in the next pageâ&#x20AC;Ś)

a: f: b:

c:

g:

d: h: e:


2.

What words would you use to describe the controls pictured below? (Continued from previous pageâ&#x20AC;Ś)

m: i: n:

j:

o: k:

l:


Interface Family Knowledge / User goals 3.

To the best of your knowledge, which of these purposes are motor vehicles well suited for? (Select all that apply)

Agriculture

Business, commercial maintenance

Fun/Pleasure

Group transport (2+ people)

Home maintenance

Individual transport (1 person)

Motorsport

Towing a load

Interface Family Knowledge / Available tasks 4.

To the best of your knowledge, which of these tasks can be performed with motor vehicles? (Select all that apply)

Drive forward

Drive backward

Hook up accessory*

Hook up a trailer

Diagnosing problems w/ controls

Diagnosing problems w/ accessory*

Turn on accessory*

Turn on fourwheel drive

Turn on cruise control

Turn on traction assistance system

Turn vehicle on/off

* What do we mean by accessory? Accessory in a motor vehicle refers to vehicle components or features that can be installed, turned on, turned off or that can experience functioning problems.


Interface Family Knowledge / Task flow 5. To the best of your knowledge, what steps would you follow to complete the tasks specified below, starting with the vehicle in Figure 2 powered off?

Figure 2

Task a: Turn vehicle on

Task b: Hook-up a mower accessory and mow driving forward

Task c: Hook-up a mower accessory and mow driving backward

Step 1:

Step 1:

Step 1:

Step 2:

Step 2:

Step 2:

Step 3:

Step 3:

Step 3:

Step 4:

Step 4:

Step 4:

Step 5:

Step 5:

Step 5:

Step 6:

Step 6:

Step 6:

Step 7:

Step 7:

Step 7:


Section Objective: Gain understanding of the most accessible knowledge participants have about 1) displays (the information they communicate, where and how to find them) and 2) controls (what they do, how to use them, where and how to find them) used to interact with a motor vehicle. Variations in answers from this section are expected to be influenced by specific makes and models driven more than by vehicle type, they cannot be traced to a type of motor vehicle for the study of knowledge transfer. We want to learn about your knowledge of displays in motor vehicles. Displays provide the driver information about the status of the motor vehicle through gauges, labels, lights, and sounds, among others. Specific Displays Knowledge / Related events 6. To the best of your knowledge, which of these pieces of information is typically communicated through displays in motor vehicles? (Select all that apply) Engine ready for startup

Engine overheating

Engine temperature OK

Engine start successful

Accessory* turned on

Accessory* turned off

Gas cap location

Accessory* problem

* What do we mean by accessory? Accessory in a motor vehicle refers to vehicle components or features that can be installed, turned on, turned off or that can experience functioning problems. Specific Displays Knowledge / Color, Icons, Saliency variations, Sensory modality, Textual labels 7.

To the best of your knowledge, which of these characteristics make displays noticeable in motor vehicles? (Select all that apply) Flashing or blinking

Contrasting colors

Icons or symbols

Location of displays

Lights

Progress bars

Sounds

Text labels

Specific Displays Knowledge / Layout 8.

To the best of your knowledge, in which of these locations in motor vehicles are displays typically located? (Select all that apply) Instrument panel behind steering column

Mounted left of steering column

Mounted right of steering column

Mounted above instrument console

Mounted on windshield

Part of instrument console

Part of the steering wheel


We want to learn about your knowledge of controls in motor vehicles. Controls let the driver operate a motor vehicle through levers, knobs, buttons, and wheels, among others. Specific Controls Knowledge / Appearance 9.

To the best of your knowledge, which of these controls are typically found in motor vehicles? (Select all that apply)

Button

Lever

Pedal

Rotary dial

Screen* button

Screen* checkbox

Screen* list

Screen* scrollbar

Screen* tabs

Steering wheel

Switch

Voice control

* What do we mean by screen? Screen refers to onboard computer systems found in motor vehicles that incorporate controls drawn on a screen. Examples of these are touch-screens or computers controlled with a dial. Specific Controls Knowledge / Layout 10.

To the best of your knowledge, in which of these locations are controls typically located in motor vehicles? (Select all that apply)

Cabin floor

Instrument panel behind steering column

Mounted left of steering column

Mounted right of steering column

Mounted above instrument console

Mounted on windshield

Part of instrument console

Part of the steering wheel

Under seat

Specific Controls Knowledge / Feedback, Operation, Sensory modalities 11.

To the best of your knowledge, which of these operations are typically used with motor vehicle controls? (Select all that apply)

Pull once

Pull-and-hold

Push once

Push-and-hold

Push-to-release

Turn

Turn-and-hold

Use voice

12.

To the best of your knowledge, which of these events is a typical response to the use of a control in motor vehicles (Select all that apply)


Accessory* turned on

Accessory* turned off

Indicator light turns on

Indicator light turns off

Indicator light blinks

Sound from accessory*

Sound from controls panel

* What do we mean by accessory? Accessory in a motor vehicle refers to vehicle components or features that can be installed, turned on, turned off or that can experience functioning problems. Section Objective: Gain understanding of the most accessible knowledge participants have about the context in which they use motor vehicles and how this context impacts its use. Contextual Knowledge / Environment 13.

To the best of your knowledge, in which of these conditions can motor vehicles be typically operated? (Select all that apply)

Grass Sand Mud Gravel Pavement Rain Hail Sun Fog Lightning

 

   

Inclined surfaces

Around obstacles*

Around people

Day Night

 

* What do we mean by obstacles? Obstacles are static elements that stand in the way of the circulation of a motor vehicle. Among others, they include: poles, posts, walls, trees.

14.

To the best of your knowledge, rate the typical difficulty of driving an automobile in these conditions.

Grass Sand Mud Gravel Pavement Rain Hail Sun

   

 (1) very easy

Fog Lightning

    (2) easy

(3) difficult

Inclined surfaces

Around obstacles*

Around people

Day Night

 

(4) very difficult

(X) I do not know

* What do we mean by obstacles? Obstacles are static elements that stand in the way of the circulation of a motor vehicle. Among others, they include: poles, posts, walls, trees.


15.

Briefly explain your answer to the previous question, where you described contexts as (3) difficult and (4) very difficult to drive in:

16.

To the best of your knowledge, rate the typical difficulty of driving an all-terrain vehicle (ATV) in these conditions.

Grass Sand Mud Gravel Pavement Rain Hail Sun

   

 (1) very easy

Fog Lightning

    (2) easy

(3) difficult

Inclined surfaces

Around obstacles*

Around people

Day Night

 

(4) very difficult

(X) I do not know

* What do we mean by obstacles? Obstacles are static elements that stand in the way of the circulation of a motor vehicle. Among others, they include: poles, posts, walls, trees.

17.

Briefly explain your answer to the previous question, where you described contexts as (3) difficult and (4) very difficult to drive in:

18.

To the best of your knowledge, rate the typical difficulty of driving a bus in these conditions.

Grass Sand Mud Gravel Pavement Rain Hail Sun

   

 (1) very easy

Fog Lightning

    (2) easy

(3) difficult

Inclined surfaces

Around obstacles*

Around people

Day Night

 

(4) very difficult

(X) I do not know

* What do we mean by obstacles? Obstacles are static elements that stand in the way of the circulation of a motor vehicle. Among others, they include: poles, posts, walls, trees.

19.

Briefly explain your answer to the previous question, where you described contexts as (3) difficult and (4) very difficult to drive in:

20.

To the best of your knowledge, rate the typical difficulty of driving a motorcycle in these conditions.

Grass Sand Mud Gravel Pavement Rain Hail Sun

Fog Lightning

Inclined

Around

Around

Day Night


   

 (1) very easy

    (2) easy

(3) difficult

surfaces

obstacles*

people

(4) very difficult

 

(X) I do not know

* What do we mean by obstacles? Obstacles are static elements that stand in the way of the circulation of a motor vehicle. Among others, they include: poles, posts, walls, trees.

21.

Briefly explain your answer to the previous question, where you described contexts as (3) difficult and (4) very difficult to drive in:

22.

To the best of your knowledge, rate the typical difficulty of driving a riding mower in these conditions.

Grass Sand Mud Gravel Pavement Rain Hail Sun

   

 (1) very easy

Fog Lightning

    (2) easy

(3) difficult

Inclined surfaces

Around obstacles*

Around people

Day Night

 

(4) very difficult

(X) I do not know

* What do we mean by obstacles? Obstacles are static elements that stand in the way of the circulation of a motor vehicle. Among others, they include: poles, posts, walls, trees.

23.

Briefly explain your answer to the previous question, where you described contexts as (3) difficult and (4) very difficult to drive in:

24.

To the best of your knowledge, rate the typical difficulty of driving a tractor in these conditions.

Grass Sand Mud Gravel Pavement Rain Hail Sun

   

 (1) very easy

Fog Lightning

    (2) easy

(3) difficult

Inclined surfaces

Around obstacles*

Around people

Day Night

 

(4) very difficult

(X) I do not know

* What do we mean by obstacles? Obstacles are static elements that stand in the way of the circulation of a motor vehicle. Among others, they include: poles, posts, walls, trees.


25.

Briefly explain your answer to the previous question, where you described contexts as (3) difficult and (4) very difficult to drive in:

26.

To the best of your knowledge, rate the typical difficulty of driving a truck in these conditions.

Grass Sand Mud Gravel Pavement Rain Hail Sun

   

Fog Lightning

   

(1) very easy

(2) easy

(3) difficult

Inclined surfaces

Around obstacles*

Around people

Day Night

 

(4) very difficult

(X) I do not know

* What do we mean by obstacles? Obstacles are static elements that stand in the way of the circulation of a motor vehicle. Among others, they include: poles, posts, walls, trees.

27.

Briefly explain your answer to the previous question, where you described contexts as (3) difficult and (4) very difficult to drive in:

Section Objective: Gain understanding of the most accessible knowledge that participants have about mechanical equipment and how it impacts motor vehicle operation. Equipment Knowledge / Installed equipment 28. To the best of your knowledge, which of these mechanical components are typically found in the following motor vehicles? (Select all that apply) Emergency lights

Engine oil

Headlights

Mower

Parking brake

Vehicle battery

Metal wheel rim

Rubber tire

29.

To the best of your knowledge, which of these purposes are the following mechanical components typically used for? (Select all that apply)

Component

Agriculture

Commercial maintenance

Fun/Pleasure

Group transport

Home maintenance

Individual transport

Motorsport

Towing a load


(2+ people) Emergency lights Engine oil Headlights Mower Parking brake Vehicle battery Vehicle wheel rim Vehicle wheel tire

(1 person)

     

     

     

     

     

     

     

     


Part 2 â&#x20AC;&#x201C; Experience with Motor Vehicles The purpose of this set of questions is to help us get an understanding of the experience you have about driving a Motor Vehicle and how you use that experience to drive a new or unfamiliar Motor Vehicle. There are not right or wrong answers, because we are interested in learning about your personal experience driving motor vehicles. Please answer all questions as indicated in each section.


Section Objective: Gain understanding of the experience that participants have with certain types of motor vehicles, and tasks to identify the source for the knowledge they exhibited answering Part 1 of the questionnaire. Interface Family Knowledge / Family name / User goals

 Yes

Have you driven an automobile before? (select only one)

1.

 No

If you answered No to the previous question, skip to Question 4. 2.

How often to do you drive an automobile for these purposes?

Agriculture Commercial maintenance Fun/Pleasure Group transport Home maintenance Individual transport Motorsport Towing a load (2+ people) (1 person)

(1) used only once or twice 3.

 (2) yearly

(3) monthly

(4) every day

(5) more than once a day

How often do you perform these tasks related to driving an automobile?

Drive forward

Drive backward

Hook up accessory

Hook up a trailer

Diagnosing problems w/ control

Diagnosing problems w/ accessory

Turn on accessory

Turn on fourwheel drive

Turn on cruise control

Turn on traction assistance system

Turn vehicle on/off

(1) performed only once or twice 4.

(2) yearly

(3) monthly

Have you driven an all-terrain vehicle (ATV) before? (select only one)

If you answered No to the previous question, skip to Question 7.

 Yes

(4) every day

 No

(5) more than once a day


How often to do you drive an all-terrain vehicle (ATV) for these purposes?

5.

Agriculture Commercial maintenance Fun/Pleasure Group transport Home maintenance Individual transport Motorsport Towing a load (2+ people) (1 person)

(1) used only once or twice 6.

 (2) yearly

(3) monthly

(4) every day

(5) more than once a day

How often do you perform these tasks related to driving an all-terrain vehicle (ATV)?

Drive forward

Drive backward

Hook up accessory

Hook up a trailer

Diagnosing problems w/ control

Diagnosing problems w/ accessory

Turn on accessory

Turn on fourwheel drive

Turn on cruise control

Turn on assistance system

Turn vehicle on/off

(1) performed only once or twice 7.

Have you driven a bus before? (select only one)

(2) yearly

 Yes

(3) monthly

(4) every day

(5) more than once a day

 No

If you answered No to the previous question, skip to Question 10. 8.

How often to do you drive a bus for these purposes?

Agriculture Commercial maintenance Fun/Pleasure Group transport Home maintenance Individual transport Motorsport Towing a load (2+ people) (1 person)

(1) used only once or twice

 (2) yearly

(3) monthly

 (4) every day

(5) more than once a day


9.

How often do you perform these tasks related to driving a bus?

Drive forward

Drive backward

Hook up accessory

Hook up a trailer

Diagnosing problems w/ control

Diagnosing problems w/ accessory

Turn on accessory

Turn on fourwheel drive

Turn on cruise control

Turn on traction assistance system

Turn vehicle on/off

(1) performed only once or twice

(2) yearly

Have you driven a motorcycle before? (select only one)

10.

(3) monthly

 Yes

(4) every day

(5) more than once a day

 No

If you answered No to the previous question, skip to Question 13. 11.

How often to do you drive a motorcycle for these purposes?

Agriculture Commercial maintenance Fun/Pleasure Group transport Home maintenance Individual transport Motorsport Towing a load (2+ people) (1 person)

(1) used only once or twice 12.

 (2) yearly

(3) monthly

(4) every day

(5) more than once a day

How often do you perform these tasks related to driving a motorcycle?

Drive forward

Drive backward

Hook up accessory

Hook up a trailer

Diagnosing problems w/ control

Diagnosing problems w/ accessory

Turn on accessory

Turn on fourwheel drive

Turn on cruise control

Turn on traction assistance system

Turn vehicle on/off


(1) performed only once or twice

(2) yearly

 Yes

Have you driven a riding mower before? (select only one)

13.

(3) monthly

(4) every day

(5) more than once a day

 No

If you answered No to the previous question, skip to Question 16. 14.

How often to do you drive a riding mower for these purposes?

Agriculture Commercial maintenance Fun/Pleasure Group transport Home maintenance Individual transport Motorsport Towing a load (2+ people) (1 person)

(1) used only once or twice

15.

 (2) yearly

(3) monthly

(4) every day

(5) more than once a day

How often do you perform these tasks related to driving a riding mower?

Drive forward

Drive backward

Hook up accessory

Hook up a trailer

Diagnosing problems w/ control

Diagnosing problems w/ accessory

Turn on accessory

Turn on fourwheel drive

Turn on cruise control

Turn on traction assistance system

Turn vehicle on/off

(1) performed only once or twice 16.

(2) yearly

Have you driven a tractor before? (select only one)

 Yes

If you answered No to the previous question, skip to Question 19. 17.

How often to do you drive a tractor for these purposes?

(3) monthly

 No

(4) every day

(5) more than once a day


Agriculture Commercial maintenance Fun/Pleasure Group transport Home maintenance Individual transport Motorsport Towing a load (2+ people) (1 person)

(1) used only once or twice 18.

 (2) yearly

(3) monthly

(4) every day

(5) more than once a day

How often do you perform these tasks related to driving a tractor?

Drive forward

Drive backward

Hook up accessory

Hook up a trailer

Diagnosing problems w/ control

Diagnosing problems w/ accessory

Turn on accessory

Turn on fourwheel drive

Turn on cruise control

Turn on traction assistance system

Turn vehicle on/off

(1) performed only once or twice 19.

(2) yearly

Have you driven a truck before? (select only one)

 Yes

(3) monthly

(4) every day

(5) more than once a day

 No

If you answered No to the previous question, skip to Question 22. 20.

How often to do you drive a truck for these purposes?

Agriculture Commercial maintenance Fun/Pleasure Group transport Home maintenance Individual transport Motorsport Towing a load (2+ people) (1 person)

(1) used only once or twice 21.

 (2) yearly

(3) monthly

How often do you perform these tasks related to driving a truck?

 (4) every day

(5) more than once a day


Drive forward

Drive backward

Hook up accessory

Hook up a trailer

Diagnosing problems w/ control

Diagnosing problems w/ accessory

Turn on accessory

Turn on fourwheel drive

Turn on cruise control

Turn on traction assistance system

Turn vehicle on/off

(1) performed only once or twice 22.

(2) yearly

(3) monthly

(4) every day

(5) more than once a day

What training did you receive when you drove these motor vehicles for the first time? (Select all that apply)

Classroom training sessions

In-the-vehicle training by instructor

In-the-vehicle training by a peer

Operator Manual

Trial and error

Specific Displays Knowledge / Related events 23.

How often do you see a display communicating these pieces of information while driving motor vehicles in general?

Engine ready for startup Engine overheating Engine temperature OK Engine start successful Accessory turned on Accessory turned off Gas cap location Accessory problem

Never

Seen only once or twice

Yearly

Monthly

Every day

More than once a day

       

       

       

       

       

       


Specific Displays Knowledge / Color, Icons, Saliency variations, Sensory modality, Textual labels 24.

How often do you notice a display because of the following characteristics while driving motor vehicles in general?

Flashing or blinking Contrasting colors Icons or symbols Location of displays Lights Progress bars Sounds Text labels

Never

Noticed only once or twice

Yearly

Monthly

Every day

More than once a day

       

       

       

       

       

       

Specific Controls Knowledge / Appearance 25.

How often do you use the following types of controls while driving motor vehicles in general?

Button Lever Pedal Rotary dial Screen* button

Never

Used only once or twice

Yearly

Monthly

Every day

More than once a day

    

    

    

    

    

    


Screen*checkbox Screen* list Screen* scrollbar Screen* tabs Steering wheel Switch Voice control

      

      

      

      

      

      

* What do we mean by screen? Screen refers to onboard computer systems found in motor vehicles that incorporate controls drawn on a screen. Examples of these are touch-screens or computers controlled with a dial. Specific Controls Knowledge / Feedback, Operation, Sensory modalities 26.

How often do you use the following operations with controls while driving motor vehicles in general?

Pull once Pull-and-hold Push once Push-and-hold Push-to-release Turn Turn-and-hold Use voice

Never

Used only once or twice

Yearly

Monthly

Every day

More than once a day

       

       

       

       

       

       


27.

How often do you see the following responses to the use of a control while driving motor vehicles in general?

Accessory turned on Accessory turned off Indicator light turns on Indicator light turns off Indicator light blinks Sound from accessory Sound from controls panel

Never

Seen only once or twice

Yearly

Monthly

Every day

More than once a day

  

  

  

  

  

  

   

   

   

   

   

   

Contextual Knowledge / Environment 28.

How often do you operate motor vehicles in general, in the following conditions?

Grass Sand Mud Gravel Pavement Rain

Never

Operated only once or twice

Yearly

Monthly

Every day

More than once a day

     

     

     

     

     

     


Hail Sun Fog Lightning Inclined surfaces Around obstacles* Around people Day Night

        

        

        

        

        

        

* What do we mean by obstacles? Obstacles are static elements that stand in the way of the circulation of a motor vehicle. Among others, they include: poles, posts, walls, trees.

Contextual Knowledge / Lexicon 29.

Indicate if you have seen the representations pictured in Figure 3 below and what they typically mean.

Representation A B C

Figure 9

Seen at least once? (choose one)

 Yes  Yes  Yes

 No  No  No

Specify the typical meaning for each representation below, or “I do not know”

 I do not know  I do not know  I do not know


30.

Indicate if you have seen the representations pictured in Figure 4 below and what they typically mean.

Representation A B G H I Figure 4

31.

J

Seen at least once? (choose one)

 Yes  Yes  Yes  Yes  Yes  Yes

Specify the typical meaning for each representation below, or “I do not know”

 No  No  No  No  No  No

 I do not know  I do not know  I do not know  I do not know  I do not know  I do not know

Indicate if you have seen the representations pictured in Figure 5 below and what they typically mean.

Representation

Specify the typical meaning for each representation below, or “I do not know”

 Yes

 No

 I do not know

E

 Yes  Yes

 No  No

 I do not know  I do not know

F

 Yes

 No

 I do not know

C D

Figure 5

Seen at least once? (choose one)


Knowledge and Intuitive Interface Design: Developing a Knowledge Taxonomy

Technical Report HFA-TR-1004 Atlanta, GA: Georgia Institute of Technology School of Psychology â&#x20AC;&#x201C; Human Factors and Aging Lab 2010

Requests for more information may be sent to Wendy A. Rogers (wendy@gatech.edu)

1


Table of Contents 1.

Executive Summary ............................................................................................................................ 4

2.

Introduction ......................................................................................................................................... 6

3.

Relevant Literature .............................................................................................................................. 8

4.

Creating a Taxonomy of Knowledge ................................................................................................ 12

5.

The Knowledge Taxonomy in Detail ................................................................................................ 16 5.1.

Interface Family Knowledge ..................................................................................................... 16 5.1.1. Family name.............................................................................................................. 17 5.1.2. User goals.................................................................................................................. 17 5.1.3. Available tasks. ......................................................................................................... 17 5.1.4. Task flow. ................................................................................................................. 17 5.1.5. Common displays...................................................................................................... 17 5.1.6. Common controls. ..................................................................................................... 17

5.2.

Specific Displays Knowledge ................................................................................................... 18 5.2.1. Color. ........................................................................................................................ 19 5.2.2. Icons. ......................................................................................................................... 19 5.2.3. Layout. ...................................................................................................................... 19 5.2.4. Saliency variations. ................................................................................................... 19 5.2.5. Sensory modality. ..................................................................................................... 19 5.2.6. Textual labels. ........................................................................................................... 19 5.2.7. Related event. ............................................................................................................ 19

5.3.

Specific Controls Knowledge ................................................................................................... 19 5.3.1. Appearance. .............................................................................................................. 20 5.3.2. Feedback. .................................................................................................................. 20 5.3.3. Function. ................................................................................................................... 20 5.3.4. Layout. ...................................................................................................................... 21 5.3.5. Operation................................................................................................................... 21 5.3.6. Sensory modality. ..................................................................................................... 21

5.4.

Specific Procedures Knowledge ............................................................................................... 21 5.4.1. Available tasks. ......................................................................................................... 21 5.4.2. Task flow. ................................................................................................................. 22 5.4.3. Interface modes. ........................................................................................................ 22

2


5.5.

Contextual Knowledge.............................................................................................................. 22 5.5.1 Environment. .............................................................................................................. 22 5.5.2 Lexicon. ..................................................................................................................... 22 5.5.3 Organizational. ........................................................................................................... 23 5.5.4 Social nature............................................................................................................... 23

5.6.

Equipment Knowledge.............................................................................................................. 23 5.6.1 Installed equipment. ................................................................................................... 23 5.6.2 Optional equipment. ................................................................................................... 24 5.6.3 Maintenance. .............................................................................................................. 24 5.6.4 Problems. ................................................................................................................... 24

6.

Potential Applications ....................................................................................................................... 26 6.1.

Assess Knowledge Demands in a Prototype Design................................................................. 26

6.2.

Assess Current User Knowledge............................................................................................... 27

6.3.

Evaluate Knowledge Demand Consistencies across Product Lines.......................................... 28

6.4.

Develop Training Curriculums and Materials........................................................................... 28

6.5.

Create Designer Orientation Materials ..................................................................................... 29

7.

References ......................................................................................................................................... 30

A.

Examples of an application of the Knowledge Taxonomy ............................................................... 31

B.

Interfaces used to assemble the initial knowledge inventory ............................................................ 38

3


1. Executive Summary Creating an intuitive design is a design goal that is commonly sought in different industries and contexts; the objective is a design that can be operated successfully in a first attempt. Nonetheless, what makes a design intuitive is not necessarily well understood and has been implemented traditionally with the use of analogy, replicating characteristics from well-known or popular designs. This approach does not provide an understanding of the cognitive processes that make intuitive interactions possible. The goal of this project was to develop an assessment tool based on understanding the knowledge that enables intuitive interactions with a prototype design. With this tool, the prototypeâ&#x20AC;&#x2122;s designers can gain understanding of how knowledge transfers between technology experiences and develop recommendations to facilitate incorporating this knowledge. Outcomes from the project will be applicable to diverse human-machine interfaces, representative of those in Deere & Company product lines. A building block for the proposed assessment tool is a representation of knowledge, as research (discussed in Section 3) suggests that the use of knowledge is central to intuitive interactions. This report describes a specific categorization that we developed to classify knowledge required for interface use. We developed this representation, named the Knowledge Taxonomy, through a process that is described in detail in Section 4 and that resulted in six high-level categories of knowledge required by a user: Interface Family, Specific Displays, Specific Controls, Specific Procedures, Contextual, and Equipment Knowledge. These categories (and their underlying sub-categories) are presented in detail together with examples of their application with Deere & Company products in Section 5. In addition to the assessment tool described above, we identified several potential applications for the Knowledge Taxonomy in the realm of human-machine interface development and evaluation. These applications are described in detail in Section 6 and summarized in Table 1.

4


Table 1. Summary of Potential Applications for the Knowledge Taxonomy

Application Assess knowledge demands in a prototype design Assess current user knowledge Evaluate knowledge demand consistencies across product lines Develop training curricula and materials Create designer orientation materials

Brief summary Evaluate and document knowledge demands imposed by a prototype design. Evaluate and document knowledge that users have about a prototype design at any given moment. Identify knowledge demands for different products and compare them for consistency. Evaluate and address training needs to bridge knowledge demands and current knowledge. Design training programs that help orient new members of design teams.

5


2. Introduction The usability of a prototype design can be greatly improved by incorporating what can be referred to as “intuitive design” attributes. Although often mentioned as a design goal in different industries and contexts, the specific attributes that constitute intuitive design are not well understood and varying definitions exist (for an in-depth discussion of this literature, see O’Brien, Rogers, & Fisk, 2010). Traditionally, attempts to create intuitive designs have relied on the concept of analogy, where a prototype design mimics that of an artifact that users are familiar or experienced with (Figure 1 provides an example). This approach is incomplete as it lacks an understanding of how prior experience with the analogous artifact and knowledge gained through those experiences are used in intuitive technology interactions.

Figure 1. Analogous use of human anatomy in a Human-Machine Interface. (Source: Volvo Car Corporation)

The goal of the current project was to gain a deeper understanding of the characteristics that make a design appear “intuitive” by eliciting in users knowledge gained through previous experience and allowing them to use such knowledge effectively. Through this understanding we sought to: 

Develop an assessment tool and an accompanying protocol to evaluate a prototype design’s incorporation of knowledge that users can apply to engage in intuitive interactions.

Understand how users transfer knowledge gained through previous experience with systems and contexts to engage in intuitive interactions. 6


ď&#x201A;ˇ

Produce recommendations for system and user interface designers to incorporate knowledge that enables intuitive interactions. With this project we also sought to provide outcomes that can be applied to a broad set of Deere

products that involve human operators. For that purpose, the analysis focused on intuitive characteristics in human-machine interfaces, defined as â&#x20AC;&#x153;the means by which the human is connected to the machineâ&#x20AC;? (Salvendy, 1997, p. 37). Interfaces are designed artifacts where interaction between a human and a machine occur, allowing users to complete specific tasks.

Figure 2. Conceptual Model of Human-Machine Interfaces. (Adapted from Salvendy, 1997, p. 37)

7


3. Relevant Literature Previous work in human interaction with novel technologies provided formal and informal definitions for intuitive interface interactions. Literature describes these interactions as those that take place with minimal training, when a user walks up to a device and quickly understands the basics of its operation (Spool, 2005). More formally, it has been defined to include additional aspects: “interactions between humans and high technology in lenient learning environments that allow the human to use a combination of prior experience and feedforward methods to achieve their functional and abstract goals” (O’Brien, Rogers, & Fisk, 2008, pp. 1645-1649). This definition provided by O’Brien et al. (2008) has commonalities with other models of Human-Machine Interaction discussed in the literature. It considers the motivations and goals that a user, as a rational being, is trying to achieve as contemplated by the GOMS analysis (Card, Moran, & Newell, 1983) and the applications of Activity Theory in HCI (Kaptelinin, 1996). The definition also considers cognitive processes that lead to actions (deciding what to do next) similar to the evaluation of conditions and selection of actions in the Human Information Processor Model-HIPM (Newell & Simon, 1972) and the GOMS analysis. Nonetheless, the four models differ on the type of computer use they focus on: Intuitive Interactions addresses novel technology use, HIPM and GOMS describe expert interactions and Activity Theory describes computer use in social and cultural contexts. Research in this space coincides on the importance of knowledge and operations with knowledge (acquisition, transfer, elicitation) as enabling intuitive interactions. This research references two types of knowledge as components of a technology interaction (Norman, 2002). The first is Knowledge in the Head, which a user brings from developing abilities, from culture, and from prior experience with other systems and contexts. The second type of knowledge is Knowledge in the World, which users acquire in the moment of interaction through the environment, instructions, and labels incorporated in the system.

8


O’Brien suggested that intuitive technology interactions take place when these two types of knowledge are articulated to successfully interact with a design. This is facilitated by the incorporation of the appropriate Knowledge in the World to elicit and guide use of a user’s target Knowledge in the Head (O'Brien, 2010, pp. 150-152). The relationship between these types of knowledge and intuitive interactions is summarized in Figure 3.

Figure 3. Knowledge in intuitive interface interactions.

Target Knowledge in the Head that a prototype design will attempt to elicit from the user should be identified early in design stages. Not doing so could result in eliciting unintended, confusing knowledge and bring problems to the interaction. This negative transfer, occurs when the elicited Knowledge in the Head interferes with the user’s ability to interact with a system. Similar to this is the use of dead metaphors, where a design presents users with representations that they cannot relate to and that do not elicit any Knowledge in the Head. Some examples of these occurrences are presented next. Figure 4 shows a computer printer software interface that elicits knowledge a user would have from prior experience with a VCR. This knowledge might cause confusion, however, because it requires mapping VCR actions to those of a printer. This mapping is not always direct as in the case with the “rewind” action and its effect on a printer.

9


Figure 4. Negative transfer in a computer interface. (Source: Isys Information Architects)

Figure 5 provides an example of a metaphor that is increasingly disappearing from many environments today and might confuse specific user audiences if used in an interface to elicit knowledge related to storage or safekeeping.

Figure 5. File cabinets represent an example of a dead metaphor. (Source: Flickr)

Intuitive interactions, as mentioned above, involve presenting users Knowledge in the World in the form of cues (instructions, labels, and other interface elements). This requires awareness of the cognitive limits that users have to associate cues with specific Knowledge in the World. The concept of vicarious mediation, introduced in Brunswikâ&#x20AC;&#x2122;s Lens model (Brunswik, 1955), suggests that cues available to a user are only probabilistically related to a specific event, or in this case, to specific knowledge. Brunswik also suggested that users learn from encounters with cues, and his model included a feedback loop that reflects how learning about a presented cue can be used in future encounters with it.

10


In summary, successful intuitive interactions with novel technology are explained in the literature with concepts that revolve around knowledge, and its effective use and incorporation into design. Nonetheless, there are risks that need to be considered, related to drawing unintended knowledge from the user. Because of the relevance of knowledge, we saw the need to develop a representation for it that could be used systematically and unambiguously to describe interface knowledge and incorporate it into design. To address this need, we developed a categorization of knowledge that could be used to assess knowledge and its use, but also to document and make use of outcomes from these assessments.

11


4. Creating a Taxonomy of Knowledge To accurately describe knowledge required for interface use and its role in intuitive interactions, we developed a general representation for knowledge. We created a Knowledge Taxonomy, which is a hierarchical taxonomy of knowledge for analyses at different levels of granularity. We designed the Knowledge Taxonomy as a scalable tool, to be applied in diverse activities such as evaluating knowledge demands imposed by a prototype design or assessing current knowledge that users have. We also designed the Knowledge Taxonomy as a flexible tool that can be used even when information about some aspects of interface operation is incomplete. A more detailed description of potential applications is provided in Section 6. The process we used to create the Knowledge Taxonomy borrowed from Knowledge Engineering methods to include an inventory of all relevant knowledge. We compiled a wide-ranging inventory of knowledge that users require for specific tasks with five human-machine interfaces. These interfaces were selected to represent a broad array of platforms, contexts, and interaction modalities, because we wanted to create a Knowledge Taxonomy that could be applied to a broad number of interface implementations. The five interfaces and the exemplar tasks used to compile the inventory are presented in Table 2. Table 2. Interfaces and Tasks Used in the Knowledge Inventory

Interface John Deere 6615 Tractor Cabin John Deere Greenstar 2 Console Microsoft Word 2007 Medicare.gov website Amtrak Phone Reservations (IVR) 1-800-872-7245

Exemplar Tasks Mow a citrus orchard as part of a team where each team member is equipped with a tractor and a mower implement. Configure a custom display layout and view the current state of the guidance equipment. Create an empty document with a 4x4 table, format it with the Word 2007 built-in styles and center and bold its headers. Use the Medicare website to determine Medicare eligibility and compare Home Health providers. Get schedules and AAA discount rates for three train tickets for a senior adult, an adult, and an infant between New York and Orlando.

After we assembled an initial inventory of knowledge, we followed several iterations to identify salient themes and to group instances of knowledge accordingly. With this process, we refined the identified themes into six high level categories (and their sub-categories) that comprehensively cover 12


interface interaction knowledge. This section provides an overview of the six high level categories of knowledge and they are described (together with their sub-categories) with more detail in Section 5. The first of the six high-level categories we identified consists of general knowledge that is common to a group of interfaces that share a denomination and other similarities (described as subcategories in Section 5): 

Interface Family Knowledge: Knowledge that a user requires that is common to a collection of interfaces and not specific to a system or task. In this report, we refer to the collection of interfaces defined above as an Interface Family. Two

examples of Interface Families are provided by Figure 6, and described in detail in Section 5: “Tractor Cabins” captures knowledge required to operate a group of tractor cabin implementations and “Management Software Consoles” would capture knowledge required to operate devices used to monitor and configure electronic equipment.

Figure 6. The Interface Family category of knowledge and two examples: Tractor Cabins and Management Software Consoles.

The Knowledge Taxonomy includes five high-level categories that capture knowledge required to interact with a specific interface within the Interface Family. A specific interface can also be thought of as

13


a prototype design that is being studied with the Knowledge Taxonomy. Continuing with the examples provided above, these categories capture knowledge users would require to interact with a specific Tractor Cabin (e.g., the John Deere 6615 Tractor Cabin) or a specific Management Software Console (e.g., John Deere Greenstar 2 console). Interface-specific knowledge includes details about the design of the interface and its operation, and is captured in these categories: 

Specific Displays Knowledge: Knowledge a user requires about means with which to perceive the state of a specific interface.

Specific Controls Knowledge: Knowledge a user requires about means with which to provide input to a specific interface.

Specific Procedures Knowledge: Knowledge about how to use a specific interface to complete a task. In many circumstances, users require knowledge about factors that are external to the interface

(as defined in Section 2) and are critical to successful interaction. For this purpose, the Knowledge Taxonomy includes Contextual and Equipment Knowledge categories: 

Contextual Knowledge: Knowledge a user requires about factors external to the interface and that affect task performance.

Equipment Knowledge: Knowledge a user requires about specific mechanical components that support system use. In summary, successful interactions with prototype designs require knowledge that can be

categorized with the Knowledge Taxonomy as: knowledge general to a collection of interfaces (Interface Family Knowledge); knowledge about a specific interface implementation (Specific Displays, Specific Controls and Specific Procedures Knowledge); and knowledge about factors external to a specific interface implementation (Contextual and Equipment Knowledge). The relationship between these six 14


categories is illustrated in Figure 7. We present each category and its use in further detail in the next section.

Figure 7. Categories for knowledge common to a collection of interfaces (left) and interface-specific knowledge (right).

15


5. The Knowledge Taxonomy in Detail As we discussed in the previous section, the Knowledge Taxonomy describes knowledge general to a collection of interfaces (Interface Family Knowledge), knowledge about a specific interface implementation (Specific Displays, Specific Controls and Specific Procedures Knowledge), and knowledge about factors external to a specific interface implementation (Contextual and Equipment Knowledge). In this section, we present these six high-level categories and their sub-categories, and illustrate them with two non-exhaustive examples: a John Deere 6615 Tractor Cabin used in orchard mowing (rich with context knowledge) and a John Deere Greenstar 2 Console used to monitor and configure tractor guidance equipment.

5.1.

Interface Family Knowledge The Interface Family category includes knowledge that users require for interface operation that

is common to a collection of implementations, not specific to a system or task. When applying the Knowledge Taxonomy to a prototype design, it is critical to adequately define the Interface Family that the design belongs to. Such definition has two elements: 1) the Interface Family is subject to a name or label that identifies all interfaces that make it up, and 2) it is possible to identify a set of user goals that can be achieved with all interfaces in the family. Additionally, the purpose with which the Knowledge Taxonomy is being applied can also affect the definition of the Interface Family. The definition could be restricted to interfaces of a particular manufacturer or belonging to a particular period in time, again depending on the purpose of the analysis. Some examples of Interface Families that are expanded on with further detail in Appendix A include: Word-processing Software, Institutional Websites, and Interactive Voice Response (IVR) Systems. We present the sub-categories that make up Interface Family Knowledge in Table 3, using the examples discussed in Section 4.

16


Table 3. Examples of Interface Family Knowledge

Interface Family Sub-Categories Family name User goals Available tasks Task flow

Common displays

Common controls

John Deere 6615 Tractor Cabin in orchard mowing Tractor Cabins Cover a certain area Perform agricultural task Start equipment and go Power an implement Turn ignition on, certain indicators turn on and off, shift into gear, press gas pedal Slow-down, engage PTO, implement is powered Speed, RPM gauges Engine-related indicator lights Gas and brake pedals Steering wheel Gear change levers

John Deere Greenstar 2 Console in monitoring and configuration Management Software Consoles Learn about an issue Accomplish a task Configure a feature supported by the Console Look for an option menu Bring up main menu Select icon menu option Evaluate displayed content Explore menu, content Color graphics and text Bounded, non-clickable areas Widgets with different functionality Bounded areas identified as buttons Buttons have a pressed state (feedback) Single-press required Screen keyboards for text input

The Interface Family Knowledge sub-categories capture knowledge about the user goals supported by all interfaces in the Interface Family and the mechanisms they provide to allow users to achieve those goals. The definition for each sub-category is provided next. 5.1.1.

Family name. Knowledge about the label that identifies the Interface Family where a

prototype design belongs. 5.1.2.

User goals. Knowledge about common objectives that can be achieved with all interfaces

in an Interface Family. Together with the family name, they define what a Family is. 5.1.3.

Available tasks. Knowledge about activities that can be performed with all interfaces in

the family. These activities are completed using functions implemented in the interfaces. 5.1.4.

Task flow. Knowledge about the sequence of function use that is common to all

interfaces in the family. 5.1.5.

Common displays. Knowledge about the display attributes that are common to all

interfaces in the family. These attributes can include information content, placement, or sensory modality. 5.1.6.

Common controls. Knowledge about the control attributes that are common to all

interfaces in the family. These attributes can include control type, location, operation or coding used.

17


5.2.

Specific Displays Knowledge The category in this section and those described in the following sections are specific to an

interface implementation member of an Interface Family (e.g., a prototype design). The Specific Displays Knowledge category captures interface knowledge about the means with which to perceive the state of the interface and the outcomes of operations performed in it. We present the sub-categories that make up this category in Table 4. Table 4. Examples of Specific Displays Knowledge

Specific Displays Sub-Categories Color

John Deere 6615 Tractor Cabin in orchard mowing Meaning of colors used in indicators: red, green, orange

Icons

Layout

Identify control panel functions Lever settings Indicator lights Row of lights -instrument panel Cluster -above steering wheel, controls panel Array of lights in progress bar (temp.)

Saliency variations Sensory modality

Flashing lights (on startup) Static lights (signal a feature on) Visual (color codes, lights, gauges)

Textual labels

Numeric-speed/RPM gauges Text -safety warnings Numeric -gear positions (I, II, III) Numeric -hydraulics positions Engine problems present Feature has been activated

Related event

John Deere GreenStar 2 Console in monitoring and configuration Colors highlight buttons, panels, need for input, covered area in map display Equipment status, settings Identify the Home, Menu buttons Functionality icons Equipment components Buttons panel on right Clock widget Menu, home buttons Progress bars Different layouts, custom layouts Static elements on screen Auditory (display alerts) Visual (color codes, icons) Text -Feature labels Text -Settings labels Text -Status messages, output Equipment performance status Task performance (area covered, alignment) Call for action or input

The Specific Displays Knowledge sub-categories capture knowledge required to identify an interface element as a display, the formats it uses, and the information it conveys.

18


5.2.1.

Color. Knowledge related to the meaning of color, saturation and hue combinations used

in the interface. This includes knowledge about color codes used or colors that signal specific circumstances. 5.2.2.

Icons. Knowledge about representations of objects, actions or scenes used in the interface

that excludes the use of alphanumerical characters. 5.2.3.

Layout. Knowledge related to the meaning of an arrangement of display components.

This includes knowledge about displays grouped together or the order in which displays are sequenced. 5.2.4.

Saliency variations. Knowledge about the meaning of differences in how display

components are exposed. This includes knowledge about the meaning of a display being intermittent or static. 5.2.5.

Sensory modality. Knowledge about the type of stimulus used by the display (auditory,

visual, somatosensory, olfactory, and gustatory). 5.2.6.

Textual labels. Knowledge about the system of words and alphanumerical characters

(from a specific set or alphabet) used in displays to identify or communicate. 5.2.7.

Related event. Knowledge about system occurrences that are notified to the user through

a change in a display.

5.3.

Specific Controls Knowledge The Specific Controls Knowledge category captures knowledge required to interact with a

specific interface, pertaining to the means with which to provide input to that interface. We present the sub-categories that make up this category in Table 5.

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Table 5. Examples of Specific Controls Knowledge

Specific Controls Sub-Categories Appearance

John Deere 6615 Tractor Cabin in orchard mowing Dial Buttons Wheels Pedals Switches

Feedback

Indicator lights (features) Engine gauges (speed change) Dial click / lever travel Change speed Change of direction Raising/lowering implement Steering column buttons Hydraulics levers Controls panel dials Gas, brake, differential lock pedals near the floor Pressing Pushing FW/BW Turning Pushing-to-release Somatosensory (switches, wheels, levers, knobs)

Function

Layout

Operation

Sensory modality

John Deere GreenStar 2 Console in monitoring and configuration Icon, text buttons Scroll lists Drop-down lists Non-draggable bar Tabs for additional pages Checkboxes Button state/color changes on input Change in gauges, fields Large number of functions associated with control types listed in appearance Top row tabs Vertical menu button panel (right) Content display w/ zoom Different layouts, alignment between screens Pressing

Somatosensory (used for input)

The sub-categories under Specific Controls Knowledge capture knowledge required to identify an interface element as a control, understand its mechanics and operation and recognize when input has been provided through a control. 5.3.1.

Appearance. Knowledge about cues that inform users that an interface element is a

control and its specific set of affordances. 5.3.2.

Feedback. Knowledge required to distinguish an interface response that follows

successful user input with a control. 5.3.3.

Function. Knowledge about what a specific control does and its effect on the interface

and the environment.

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5.3.4.

Layout. Knowledge about the meaning of the arrangement of control components in the

interface. This includes knowledge about controls grouped together or the order in which controls are sequenced. 5.3.5.

Operation. Knowledge about the method with which a control can be manipulated.

5.3.6.

Sensory modality. Knowledge about the type of stimulus required to provide input to the

interface (auditory, visual, and somatosensory).

5.4.

Specific Procedures Knowledge The Specific Procedures Knowledge category captures knowledge that users require about a

specific interface, capturing knowledge about how to use such interface for a task. We present the subcategories that make up this category in Table 6. Table 6. Examples of Specific Procedures Knowledge

Specific Procedures Sub-Categories Available tasks

Task flow

Interface modes

John Deere 6615 Tractor Cabin in orchard mowing Use wing mower Use differential lock Use front wheel drive Slow down, activate PTO, activate hydraulics Slow down, press differential lock button, wait for indicator to turn on, press gas Slow down, press FWD, wait for indicator to turn on, press gas

Left/Right brake lock on/off Floating or fixed wings in hydraulics settings

John Deere GreenStar 2 Console in monitoring and configuration Configure display layout View guidance status Configure Greenstar setup Press Menu button, press on “Layout Manager” menu option, and press “J four-way split” option. Select each one of four areas and assign a display from the three main options (Greenstar, Performance Monitor, and Rate). Press Home Page button to go to the preset home page. Full screen view mode on/off

The sub-categories under Specific Procedures Knowledge capture knowledge required to understand the tasks that can be completed with the interface and how to complete them. 5.4.1.

Available tasks. Knowledge about the activities that can be performed exclusively with a

specific interface. 21


5.4.2.

Task flow. Knowledge about the sequence of use specific to a task and a prototype

design. This includes the sequence in which actions (with displays and controls) have to be performed to complete the task. 5.4.3.

Interface modes. Knowledge about the different system states that render different

responses to a given input.

5.5.

Contextual Knowledge The Contextual Knowledge category captures interface-specific knowledge related to factors that

are external to the interface (as defined in Section 2) and affect task performance. We present the subcategories that make up Contextual Knowledge in Table 7. Table 7. Examples of Contextual Knowledge

Contextual Sub-Categories Environment

Lexicon

Organizational Social nature

John Deere 6615 Tractor Cabin in orchard mowing Grove layout Other grove activities Terrain characteristics Weather (rain, wind, fog) Citrus grove elements Tractor component names Mower component names Teamwork coordination Expectation, guideline sources, types Roles Individual interface use Teamwork for mowing area

John Deere GreenStar 2 Console in monitoring and configuration Latitude, longitude, speed, altitude Field, crop and row layout

Greenstar equipment GPS, data communication, John Deere Licensing Specific to agricultural task Individual tractor use

The sub-categories under Contextual Knowledge capture interface knowledge required for a specific context of operation. If the information is available, it captures knowledge about the physical surroundings and the social implications that technology use involves. 5.5.1.

Environment. Knowledge users require about their physical surroundings and how they

affect interface operation. 5.5.2.

Lexicon. Knowledge about the terminology and vocabulary that is inherent to the tasks

being completed. 22


5.5.3.

Organizational. Knowledge required about the rules or guidelines that must be

considered to complete a task with the prototype design. This knowledge is relevant when an interface is associated with or used to interact with an organization. 5.5.4.

Social nature. Knowledge about the individual or collaborative nature of the tasks

supported by the interface.

5.6.

Equipment Knowledge The Equipment Knowledge category captures interface-specific knowledge that users require

about specific mechanical components that support and affect use (see Table 8). Table 8. Examples of Equipment Knowledge

Equipment Sub-Categories Installed equipment

Optional equipment

Maintenance

Problems

John Deere 6615 Tractor Cabin in orchard mowing Engine parts Filters Hydraulics, PTO Wheels Connections Flex wing mowing implement: widths, wings, clutches, bolts Equipment selection depending on terrain (bed or swales) Dusting air filters Checking oil/water levels Clean mower Grease/tighten bolts Check tire air pressure Check blades Hitting obstacles with mower Bent, worn blades raise dust Clutch wear produces smoke Hydraulics hose tangling

John Deere GreenStar 2 Console in monitoring and configuration GPS receiver Greenstar display

AutoTrac steering kits HarvestLab NIR sensors External Display Control Keep screen clean Turn switch OFF when performing maintenance

When system fails to respond, perform 3 second reset

The sub-categories under the Equipment Knowledge category capture knowledge required to identify, troubleshoot and maintain interface support mechanisms. 5.6.1.

Installed equipment. Knowledge about the attributes of mechanical components that are

part of the system and the task. 23


5.6.2.

Optional equipment. Knowledge about the attributes of available mechanical

components that are not part of the system but that may be used in the task. 5.6.3.

Maintenance. Knowledge about procedures required to keep mechanical components in

good working order. 5.6.4.

Problems. Knowledge required about technical difficulties related to mechanical

components. In summary, in this section we provided descriptions and examples of the knowledge that can be captured with the Knowledge Taxonomy. The examples were taken from the inventory we created for its development. As we discussed in the introduction of Section 4, we developed the Knowledge Taxonomy as a scalable tool. The hierarchy of categories, sub-categories and the definitions presented in this section can be applied to study interface knowledge required by a diverse set of interfaces independent of the modalities of interaction or the platform where they are implemented. Appendix A summarizes the application of the Knowledge Taxonomy to list interface knowledge for five distinct implementations, demonstrating its scalability. We also designed the Knowledge Taxonomy as a flexible tool, an aspect highlighted by Appendix A, as the amount of information available for all interfaces differs. The examples presented using the Knowledge Taxonomy include both general purpose applications (Microsoft Word 2007) as well as specific purpose applications (JD 6615 Tractor Cabin for Orchard Mowing). The flexibility with which the Knowledge Taxonomy can be applied also relies on the way the Interface Family is defined. As discussed in Section 4, the definition can include or exclude certain interfaces and user goals depending on the objectives of the knowledge analysis. We present a summary of the categories, sub-categories and definition that make up the Knowledge Taxonomy in Table 9 and a discussion of its potential applications follows in the next section.

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Table 9. Categories and sub-categories of the Knowledge Taxonomy

Interface Family Knowledge: Knowledge a user requires that is common to a collection of interfaces and not specific to a system or task.

Specific Displays Knowledge: Knowledge a user requires about means with which to perceive the state of a specific interface.

Specific Controls Knowledge: Knowledge a user requires about means with which to provide input to a specific interface.

Specific Procedures Knowledge: Knowledge about how to use a specific interface to complete a task. Contextual Knowledge: Knowledge a user requires about factors external to the interface and that affect task performance. Equipment Knowledge: Knowledge a user requires about specific mechanical components that support system use.

Sub-categories Family name User goals Available tasks Task flow Common displays Common controls Color Icons Layout Saliency variations Sensory modality Textual labels Related event Appearance Feedback Function Layout Operation Sensory modality Available tasks Task flow Interface modes

Definitions The label that identifies the Interface Family that a prototype design belongs to Common objectives that can be achieved with all interfaces in an Interface Family Activities that can be performed with all interfaces in the family The sequence of use common to the family Display attributes (e.g., information content, placement, modality) that extend across the family Control attributes (e.g., type, location, operation, coding) that extend across the family Meaning of color, saturation, and hue combinations used Representations of objects, actions or scenes used (excludes alphanumerical characters) Arrangement of display components Meaning of differences in how display components are exposed Type of stimulus used by the display (auditory, visual, somatosensory, olfactory, gustatory) System of words and alphanumerical characters from a specific set used to identify display components System occurrences notified to the user through a change in the display Cues that inform users that an interface element is a control and its affordances Interface response that follows user input through a control What the control does Arrangement of control components Method with which a control can be manipulated Type of stimulus required for input (auditory, visual, somatosensory) Activities that can be performed exclusively with a specific interface The sequence of use specific to a task and a prototype design (functions) Different system states that render different responses to a given input

Environment Lexicon Organizational Social nature Installed equipment Optional equipment Maintenance Problems

Knowledge a user has about his/her physical surroundings Terminology inherent to the task Rules or guidelines that must be considered in task (when interface is associated with organization) Knowledge about the individual or collaborative nature of supported tasks Attributes of existing system mechanical components used in the task Attributes of available components that are not part of the system but that may be used in the task Procedures required to keep components in good working order Technical difficulties that components can experience 25


6. Potential Applications The Knowledge Taxonomy we developed can be used as a general representation for required interface knowledge in distinct applications. Potential applications are outlined in this section of the report and they are also summarized in Table 10. Table 10. Summary of Potential Applications for the Knowledge Taxonomy

Application 6.1 Assess knowledge demands in a prototype design 6.2 Assess current user knowledge 6.3 Evaluate knowledge demand consistencies across product lines 6.4 Develop training curriculums and materials 6.5 Create designer orientation materials

6.1.

Brief summary Evaluate and document knowledge demands imposed by a prototype design. Evaluate and document knowledge that users have about a prototype design at any given moment. Identify knowledge demands for different products and compare them for consistency. Evaluate and address training needs to bridge knowledge demands (6.1) and current knowledge (6.3). Design training programs that help orient new members of design teams.

Assess Knowledge Demands in a Prototype Design The Knowledge Taxonomy we developed can be used to systematically assess the knowledge

demands imposed by a specific prototype design. The Knowledge Taxonomy is a template that can be used to document the range and types of interface knowledge required by users. The process starts with the definition of an Interface Family for the prototype design as discussed in Section 4. The definition includes determining a label that identifies the Interface Family and determining a set of user goals that interfaces in the family support and that the prototype design will also support. As we illustrate in Figure 8, the definition of the Interface Family is followed by the definition of benchmark tasks that involve the prototype design and that are exemplar of its use in support of the familyâ&#x20AC;&#x2122;s user goals. With these requirements met, a knowledge inventory for the selected task can be assembled using the Knowledge Taxonomy as a template and a guide to identify and classify knowledge.

26


A ready-to-use template of the Knowledge Taxonomy categories and sub-categories is included in Appendix C and a glossary of definitions for the whole hierarchy is presented in Section 5.

Define Interface Family • Determine family name • Determine user goals supported

Define Benchmark Tasks

Assemble Knowledge Inventory

• Select exemplar tasks • Use Knowledge in support of user Taxonomy to guide and goals document analysis

Figure 8. Using the Knowledge Taxonomy to assess knowledge demands from a design prototype.

The first table in Appendix A provides an example of the definition of an Interface Family, with sub-categories that list the family name, user goals, and benchmark tasks selected for five distinct interfaces. The complete inventory of knowledge for the same interfaces is provided in the six tables in the Appendix, one for each high-level category in the Knowledge Taxonomy.

6.2.

Assess Current User Knowledge The assessment we described in the previous section focused on the knowledge demands imposed

by a prototype, but the Knowledge Taxonomy can be used to understand knowledge that users bring to the interaction at any given moment. We referred to this type of knowledge in Section 3 as Knowledge in the Head. This assessment can target specific user groups and collect data with inquiry and observation methods to understand interface knowledge that users have about an Interface Family and about a prototype design. The Knowledge Taxonomy can then be used to classify the knowledge into categories and sub-categories. Although we are at an early stage of development for this application as part of this project, the analysis of user knowledge could benefit from the systematic organization and categorization provided by

27


the Knowledge Taxonomy. User knowledge could be documented with modified versions of tools such as user personas, used to document user profiles, needs, and preferences. These extended personas (enhanced with the hierarchy of the Knowledge Taxonomy) could be used to facilitate communication between design teams and improve the teamâ&#x20AC;&#x2122;s understanding of users and their capabilities.

6.3.

Evaluate Knowledge Demand Consistencies across Product Lines As we described in Section 6.1 and illustrated with examples in Appendix A, the Knowledge

Taxonomy provides a detailed hierarchy to document knowledge demands imposed by a prototype design. These assessments can be conducted for designs in different product lines and the outcomes compared to highlight consistent and contradicting knowledge demands that might be posed by products. This comparative analysis can be performed matching knowledge demands at the level of each subcategory and might include products that a user might be exposed to simultaneously (e.g., the John Deere 6615 Tractor Cabin and Greenstar 2 Console used as examples in Appendix A). The analysis of consistencies that we describe in this section could support the creation of interface design guidelines that build on the Knowledge Taxonomy hierarchy to go beyond display and control attributes. These guidelines would borrow from the six high-level categories to include parameters on how procedures with displays and controls are implemented in interfaces, how the equipment and context of operation are referred to, and the different Interface Families that were identified in the analysis of product lines.

6.4.

Develop Training Curriculums and Materials As a result of documenting knowledge demands from a prototype design and current user

knowledge about the same design, an assessment of knowledge gaps can also be performed. This assessment can be performed with the granularity desired (categories or sub-categories) to better understand the needs that a training program and instructional material need to address. Using the hierarchy of the Knowledge Taxonomy and the knowledge gap assessment to design training programs is

28


a highly-targeted approach to training efforts that emphasize specific knowledge categories and subcategories. The construction and evaluation of instructional material used in a training program could also benefit from the Knowledge Taxonomy hierarchy. The content in training materials should elaborate on the categories and sub-categories that a knowledge gap assessment suggests. The same hierarchy could be used to evaluate the effectiveness of training materials and programs, because materials, knowledge gaps, and learning evaluations can be all traced to specific categories and sub-categories.

6.5.

Create Designer Orientation Materials An additional application we consider for the Knowledge Taxonomy (in particular Interface

Family Knowledge) is as part of an orientation programs for design teams. The Interface Family Knowledge category and its sub-categories could be used to document general characteristics that products from a design team share. These could include display and control attributes, and the user goals and technology use their products support. This application could help new members of a design team become familiar with the guidelines and motivations of design activities in their team. In Figure 7, we provide an illustration of the six-high level categories that make up the Knowledge Taxonomy. This figure can be also used to illustrate the different spaces where design activities take place. Objectives and a shared vision of a design team can be captured by the subcategories in the Interface Family (Section 5.1). The space where the creative process takes place, where individual designers can innovate lies in the Specific Displays, Specific Controls and the Specific Procedures (Sections 5.2, 5.3, and 5.4) that they can create to accomplish the intended user goals.

29


7. References Brunswik, E. (1955). The conceptual framework of psychology. In O. Neurath (Ed.), International Encyclopedia of Unified Science. Chicago, Illinois: University of Chicago Press. Card, S. K., Moran, T. P., & Newell, A. (1983). The psychology of human-computer interaction. Hillsdale, New Jersey: Lawrence Erlbaum Associates. Kaptelinin, V. (1996). Activity theory: Implications for human-computer interaction. In B. A. Nardi (Ed.), Context and consciousness: Activity theory and human-computer interaction (pp. 103–116). Cambridge, Massachussetts: MIT Press. Newell, A., & Simon, H. A. (1972). Human problem solving. Englewood Cliffs, New Jersey: Prentice-Hall. Norman, D. A. (2002). The design of everyday things. New York, NY: Basic Books. O'Brien, M. A. (2010). Understanding human-technology interactions: The role of prior experience and age. Unpublished doctoral dissertation. Georgia Institute of Technology, Atlanta, GA. O’Brien, M., Rogers, W. A., & Fisk, A. D. (2008). Developing a framework for intuitive humancomputer interaction. Paper presented at the Human Factors and Ergonomics Society 52nd Annual Meeting, New York, NY. O’Brien, M. A., Rogers, W. A., & Fisk, A. D. (2010). Developing an organizational model for intuitive design. (HFA-TR-1001). Atlanta, GA: Georgia Institute of Technology, School of Psychology, Human Factors and Aging Laboratory. Salvendy, G. (1997). Handbook of Human Factors and Ergonomics (3rd ed.). Hoboken, New Jersey: John Wiley and Sons Inc. Spool, J. M. (2005). What makes a design seem "intuitive”? [Electronic Version]. Retrieved 02/01/10 from http://uie.com/articles/design_intuitive/.

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Appendix A. Examples of an Application of the Knowledge Taxonomy This appendix summarizes the inventory of interface knowledge that we assembled in the process of development of the Knowledge Taxonomy. It illustrates the flexibility and scalability of the Knowledge Taxonomy capturing knowledge from diverse interfaces, contexts and applications. The tables in this Appendix can be used to compare how interface knowledge demands vary and between some implementations and maintain between others.

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Table A1. Examples of a knowledge inventory for Interface Family Knowledge

John Deere 6615 Tractor Cabin in orchard mowing Interface Family Knowledge Definition: knowledge a user requires that is common to a collection of interfaces and not specific to a system or task.

Family name Tractor Cabins

John Deere Greenstar 2 Console in monitoring and configuration Family name Management Software Consoles

Microsoft Word 2007

Medicare.gov

Amtrak Reservations 1-800-872-7245

Family name Word-processing Software

Family name Institutional Websites

Family name Interactive Voice Response (IVR) Systems

User goals Cover a certain area Perform agricultural task

User goals Learn about an issue Accomplish a task

User goals Modify a document to an intended state

User goals Learn about an issue Accomplish a task

User goals Learn about an issue Accomplish a task

Available tasks Start equipment and go Power an implement

Available tasks Configure a feature supported by the Console

Available tasks Format a document and its objects

Available tasks Find specific content Sign-up/Log-in w/ user id Search

Available tasks Speak to a representative Get help

Task flow Turn ignition on, certain indicators turn on and off, shift into gear, press gas pedal Slow-down, engage PTO, implement is powered

Task flow Look for an option menu Bring up main menu Select icon menu option Evaluate displayed content Explore menu, content

Task flow Create an empty document Enter text using the cursor Select a document object Find desired format option Evaluate format applied Additional formatting

Task flow Start Internet browser Type web address to go to Wait for website to load Click on website links Evaluate content displayed Click on website links

Task flow Number is dialed Listen to system prompt and options Say representative/dial 0 Wait for human repress.

Common displays Speed, RPM gauges Engine-related indicator lights

Common displays Color graphics and text Bounded, non-clickable areas Widgets with different functionality

Common displays Edited document Flashing cursor

Common displays Common sections (about, contact, help, homepage) Website search results Displayed content changes Visited links color change

Common displays Lists of results output Lists of menu options (with numbers)

Common controls Entered text Formatting options

Common controls Standard web form fields Mouse pointer (2 modes) Search box Field states (chk, unchk) Page scroll (bar, button)

Common controls Silence following a prompt

Common controls Gas, brake pedals Steering wheel Gear change levers

Common controls Bounded areas identified as buttons Buttons have a pressed state (feedback) Single-press required Screen keyboards for text input

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Table A1. Examples of a knowledge inventory for Specific Displays Knowledge

John Deere 6615 Tractor Cabin in orchard mowing Specific Displays Knowledge Definition: knowledge a user requires about means with which to perceive the state of an interface.

John Deere Greenstar 2 Console in monitoring and configuration Color Colors highlight buttons, panels, need for input, covered area in map display Equipment status, settings

Microsoft Word 2007

Medicare.gov

Amtrak Reservations 1-800-872-7245

Color Selected text (dark color) Feature on/off (shades) Highlighted text Comments/track changes

Color Identify groups of links Separate form items Marks text headers â&#x20AC;&#x153;Importantâ&#x20AC;? text (red)

Color N/A

Icons Control panel functions Lever settings Indicator lights

Icons Home, Menu buttons Functionality icons Equipment components

Icons Activated format icon Functionality icons Mouse pointer mode (x2)

Icons Bullets, text items, menus Links (help, listserv) Features (secure)

Icons Processing search message

Layout Row of lights (instrument panel) Cluster (above steering wheel, controls panel) Progress bar lights (temp.)

Layout Buttons panel on right Clock widget, Menu, Home buttons Progress bars Pre-set, custom layouts

Layout Ribbon Rulers Edited document Scroll bar Status bar

Layout Header links Header logo Section tabs Displayed content Results from filtering

Layout Options available list Option selected confirm Search parameters confirm Schedule search result

Saliency variations Flashing lights (on startup) Static lights (signal a feature on)

Saliency variations Static elements on screen

Saliency variations Flashing (cursor) Intermittent info (save) Static (selection, toggle)

Saliency variations Static Hidden content

Saliency variations Static

Sensory modality Visual (color codes, lights, gauges)

Sensory modality Auditory (display alerts) Visual (color codes, icons)

Sensory modality Auditory (alerts, errors) Visual (control feedback, state of edited document)

Sensory modality Visual (color codes in content, different color for visited links)

Sensory modality Auditory (output)

Textual labels Numeric (speed/RPM gauge) Text (safety warnings) Numeric (gears I, II, III) Numeric (hydraulics lever)

Textual labels Text -Feature labels Text -Settings labels Text -Status messages, output

Textual labels Feature labels Settings labels

Textual labels Feature labels Section labels

Related event Engine problems present Feature has been activated

Related event Equipment performance Task performance (area covered, alignment) Call for action or input

Related event Formatting was applied Functionality was activated Document was saved

Related event Sign-in successful Missing form data Form input successful Found requested content

Color Meaning of colors used in indicators: red, green, orange

Textual labels Keyword to access options

Related event Search parameters entered Train schedules available Fares available

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Table A2. Examples of a knowledge inventory for Specific Controls Knowledge

John Deere 6615 Tractor Cabin in orchard mowing Specific Controls Knowledge Definition: knowledge a user requires about means with which to provide input to a specific interface.

Appearance Levers Dial Buttons Wheels Pedals Switches

John Deere Greenstar 2 Console in monitoring and configuration Appearance Icon, text buttons Scroll lists Drop-down lists Non-draggable bar Tabs for additional pages Checkboxes

Microsoft Word 2007

Medicare.gov

Amtrak Reservations 1-800-872-7245

Appearance Toggle buttons Ribbon menu tab Formatted result buttons Mouse pointer Hotkeys and combinations Drop-down menus Ruler controls

Appearance Special buttons (sign-up) Collapsible sections (+/-) Links (white, blue, orange) Links (underlined on hover)

Appearance Yes/No questions Fixed keywords for input Flexible input (date, time)

Feedback Tone for keypad press Low volume input msg. Error (“I didn’t get that”) Successful input (“got it”)

Feedback Indicator lights (features) Engine gauges (speed change) Dial click / lever travel

Feedback Button state/color changes on input Change in gauges, fields

Feedback Button state/color Changes in displayed doc. Information messages

Feedback Error messages w/ missing information

Function Change speed Change of direction Raising/lowering implement

Function Large number of functions associated with control types listed in appearance

Function Large number of functions associated with control types listed in appearance

Function Start eligibility tool wizard Home health agencies tool Drug plan compare tool

Layout Steering column buttons Hydraulics levers Controls panel dials Gas, brake, differential lock pedals near the floor

Layout Top row tabs Vertical menu button panel (right) Content display w/ zoom Different layouts, alignment between screens

Layout Quick access toolbar File menu Ribbon tabs/menus Rulers Edited document Scroll bar Status bar

Layout Header links Header logo (home) Section tabs (some sections) Multiple content layouts

Operation Pressing Pushing forward, backward Turning Pushing-to-release

Operation Pressing

Operation Hover-over Pressing Press-drag (selection) Press-release-drag (move) Moving to target

Operation Hover (navigation menu) Pressing Moving to target

Sensory modality Somatosensory (switches, wheels, levers, knobs)

Sensory modality Somatosensory (used for input)

Sensory modality Somatosensory (used in input devices)

Sensory modality Somatosensory (used in input devices)

Function Access train schedules Access train status Access reservations Connect with agent Layout Keyword or keypad # options Provides examples of formatted input Both w/ “you can say:”

Operation Provide input w/ speech Keypad number selection No wait for full prompt

Sensory modality Auditory (input) Somatosensory (keypad)

34


Table A3. Examples of a knowledge inventory for Specific Procedures Knowledge

John Deere 6615 Tractor Cabin in orchard mowing Specific Procedures Knowledge Definition: knowledge about how to use a specific interface to complete a task.

John Deere Greenstar 2 Console in monitoring and configuration Available tasks Configure display layout View guidance status Configure Greenstar setup

Microsoft Word 2007

Medicare.gov

Amtrak Reservations 1-800-872-7245

Available tasks Create table and apply theme Import from Office apps.

Available tasks Learn about Medicare plans and services File insurance claims Access enrollment services

Available tasks Find schedules and prices Find train status Make reservations Get help on system

Task flow Slow down, activate PTO, activate hydraulics Slow down, press differential lock button, wait for indicator to turn on, press gas Slow down, press FWD, wait for indicator to turn on, press gas

Task flow Press Menu button, press on “Layout Manager” menu option, and press “J fourway split” option. Select each one of four areas and assign a display from the three main options (Greenstar, Performance Monitor, and Rate). Press Home Page button to go to the preset home page.

Task flow Press Office button, create new document, insert content Press on “insert” ribbon tab, select “table” button, use table drag control to create a 4x4 table. Select “design” ribbon tab, select “light list – accent 1” from the “table styles” formatted result buttons.

Task flow Hover over “search tools” menu option, move pointer and select “Find Medicare Eligibility”, fill wizard form fields, move to next screens and fill fields, read about eligibility

Interface modes Left/Right brake lock on/off Floating or fixed wings in hydraulics settings

Interface modes Full screen view mode on/off

Interface modes Current document view Hotkey combos visible (Alt)

Interface modes Signed-in, not signed in Duplicate links in search tools Tabbed interface present

Available tasks Use wing mower Use differential lock Use front wheel drive

Task flow Dial number on touchtone phone, wait for input options, and say “schedules”. Say departure city, wait for confirmation, say arrival city, wait for confirmation, say departure date and time, listen for schedule search results.

Interface modes Default, novice modes Availability of help option

35


Table A4. Examples of a knowledge inventory for Contextual Knowledge

John Deere 6615 Tractor Cabin in orchard mowing Contextual Knowledge Definition: knowledge a user requires about nonsystem-related factors that affect task performance.

John Deere Greenstar 2 Console in monitoring and configuration Environment Latitude, longitude, speed, altitude Field, crop and row layout

Microsoft Word 2007

Medicare.gov

Amtrak Reservations 1-800-872-7245

Environment Specific to each document editing task, and operational environment

Environment Location geography: state, county, city, area/zip codes

Environment Location geography: states, cities

Lexicon Citrus grove elements Tractor component names Mower component names Teamwork coordination

Lexicon Greenstar equipment GPS, data communication, John Deere Licensing

Lexicon Document editing formats Conventions: sections, fonts, paragraphs, spacing Operating system actions

Lexicon Medicare services Health insurance Health care services Web browsing (link, click)

Lexicon Rail travel Train names, times, cities

Organizational Expectation, guideline sources, types Roles

Organizational Specific to agricultural task

Organizational Specific to document editing task

Organizational Medicare policies Local insurance companies Care quality measures vs. state, national averages

Organizational Amtrak fare policies and restrictions

Social nature Individual interface use Teamwork for mowing area

Social nature Individual tractor use

Social nature Editing individually Collaborate, track changes

Social nature Browsing individually

Social nature Querying individually

Environment Grove layout Other grove activities Terrain characteristics Weather (rain, wind, fog)

36


Table A5. Examples of a knowledge inventory for Equipment Knowledge

John Deere 6615 Tractor Cabin in orchard mowing Equipment Knowledge Definition: knowledge a user requires about mechanical components that support system use.

Installed equipment Engine parts Filters Hydraulics, PTO Wheels Connections

John Deere Greenstar 2 Console in monitoring and configuration Installed equipment GPS receiver Greenstar display

Microsoft Word 2007

Medicare.gov

Amtrak Reservations 1-800-872-7245

Installed equipment Input devices CPU Computer screen

Installed equipment Input devices CPU Computer screen Network

Installed equipment Keypad Speaker Microphone

Optional equipment Flex wing mowing implement: widths, wings, clutches, bolts Equipment selection depending on terrain (bed or swales)

Optional equipment AutoTrac steering kits HarvestLab NIR sensors External Display Control

Optional equipment Printer Network

Optional equipment Printer

Optional equipment Headset Speakerphone

Maintenance Dusting air filters Checking oil/water levels Clean mower Grease/tighten bolts Check tire air pressure Check blades

Maintenance Keep screen clean Turn switch OFF when performing maintenance

Maintenance Clean screen, input devices Dust CPU and fans

Maintenance Clean screen, input devices Dust CPU and fans

Maintenance Dust microphone, keypad

Problems/Damage Hitting obstacles with mower Bent, worn blades raise dust Clutch wear produces smoke Hydraulics hose tangling

Problems/Damage When system fails to respond, perform 3 second reset

Problems/Damage Electrical failures Program/OS crash

Problems/Damage Electrical failures Program/OS crash

Problems/Damage Electrical failures Call dropped

37


Appendix B. Five interfaces used to assemble the initial knowledge inventory

Figure B1. The John Deere 6615 Tractor Cabin

38


Figure B2. The John Deere Greenstar 2 Console Layout Manager screen (left) and the guidance status screen (right)

39


Figure B3. Microsoft Word 2007

40


Figure B4. Medicare.gov website

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