Case Study: An ethnographic contextual inquiry study of how stockbrokers use a webbased trading syst

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Case StudyAn ethnographic (contextual inquiry)
study of how stockbrokers use a web-based trading
system, and recommendations based on information
learned
Information Architecture Summit 2004February
29, 2004Austin, TX
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What this presentation will provide

• The importance of the Research Question
• Methods that we used, and that you can use
  specifically the contextual inquiry approach
• Description of data analysis
• Translation of data analysis from contextual
  inquiry findings
• Application of findings to design

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What this presentation will not provide

• Financial web design 101
• Academic methodology
• Confidential client information

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Human Factors and Ethnography

• Possible methods we could have used to answer the
  research question
• Telephone interviews
• Focus Groups
• One on one usability testing
• Contextual inquiries in the participants offices

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Contextual Inquiry?

• More discovery than evaluation more learning
  than testing
• Three core principles
• Elegant design hinges on the ability of the
  designer to understand the context of use.
• the user is an equal partner in the design
  process
• assessment methods like contextual inquiry and
  usability testing need to be focused in order to
  manage the volume and accuracy of data collected.
• Courtesy James Hom

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Study Background

• Primary research question How do independent
  investment professionals use a web-based system
  to complete trades? This was a follow on from an
  earlier study
• Primary research method Field study consisting
  of a series of office visits
• Research Team client representative design
  researchers
• Schedule (18) 2-hour visits over 3 weeks

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Visit Format

• Visits scheduled in advance financial
  professionals knew the purpose of visit
• First question show us how they completed
  trades
• Team observed, documented, asked questions,
  gathered samples of tools used
• Interview following observation
• Team debrief after visit

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Documentation
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Pattern Analysis

• When we analyzed the thought process, approach,
  account types and products used by each of the
  participants, we found that they tended to fall
  on a continuum between end points for each item.
• We created a graph to illustrate these
  differences.
• We graphed each participant individually on each
  item, and taken collectively, their behaviors
  tended to fall into patterns.
• Later, we assigned names to these patterns.

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Data Analyzing Patterns
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Pattern Review Take-aways

• In this case, there were 5 pivotal points that
  seemed to distinguish the types of professionals
  we viewed
• We did not know what these points were going into
  the study
• We used these initial results to test hypotheses
  as we went on later visits
• Next, we graphed individual types on to a single
  graph

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The Data What does it mean?
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The Data Looking More Closely
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The Data Continuing to Analyze
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The Data One More Set
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So?

• The team realized that the financial
  professionals we visited had some unique methods
  of approaching trades. These methods seemed to be
  common to those in the same profile or pattern
• The next question Does this change how they use
  the web and/or other tools?

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How They Performed Trades
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Comparison of Tool Usage
Trade preparation stageBasic Portfolio management

• Broker
• Handwritten notes/Post Its
• Handwritten trade ticket
• 3rd party research

• Planner/Advisor
• Software-based Contact Manager
• Copy of Prospectus Receipt
• Meeting Minutes or notes
• Fund literature

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Style of Current Offerings
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Style of Current Offerings
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What the System Offered
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Personality Descriptions

• Invented Personality Profiles (light personas)
  Carl and Dave
• Documentation told a story about how they did
  their work, what their office was like, who their
  clients were.
• Used by programmers through senior management to
  give life to the data
• Better understand the concept of User Centered
  Design and assure that the design is tailored to
  individuals

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Design Recommendations

• Modify the focus of the system so that the
  account display screen becomes primary launchpad
  for other activities
• Keep the trade entry flow as-is
• Add a portfolio management feature
• Add documentation management and contact
  management features
• Keep rich research offerings and integrate them
  across the new system

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Recommendation Flow
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Specific Recommendation Central Account Screen
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Specific RecommendationTrade Flow
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Specific RecommendationPortfolio Management
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Specific Recommendation Documentation and
Contact Management
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Specific RecommendationResearch Offerings
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Conclusions

• A field study was a great format to gather this
  information
• Better than Tell us.
• Gathered handouts
• Talked to support staff
• Much more information gathered
• Early information gathered drove the direction of
  later information gathered
• Follow-on study topics generated
• Individual pieces of trade processing studies
  currently underway

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Conclusions

• The study process and deliverables increased the
  relationship between our client and the financial
  professionals
• The client representative was invaluable for
  providing subjective feedback on what we saw
  during the visits
• Immediate debriefing kept information organized
  and allowed us to see patterns early

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Conclusions

• The use of successive research questions helped
  us to clarify and delve deeper to understand the
  issues involved
• Because of the richness of the data, we gathered
  more information and presented a larger picture
  than we were tasked to do as a result, we felt
  the design recommendations were stronger.

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Contact Info

• Laurie Gray
• Senior Usability Specialist
• HumanCentric Technologies, Inc.
• 111 James Jackson Ave.
• Suite 221
• Cary, NC 27513
• [phone]

• Kristine Delano
• Senior Human Factors Engineer
• HumanCentric Technologies, Inc.
• Portland, ME
• [phone]