The characteristics and complexity of interdependent critical infrastructure (CI) systems make the management of emergencies upon disruption more challenging. The aim of this research is to contribute to fostering a capability-based approach for emergency management (EM) in complex systems to improve overall system resilience. It means leveraging on a wide set of capabilities with the aim of safeguarding people, guaranteeing the physical integrity of critical assets and the continuity of operations. In the context of this study, a capability can be generally defined as the “description of an [organization’s] ability to do something” and can be considered an appropriate task an organization can execute when a disruptive event occurs to minimize the resulting negative consequences for the stakeholders. How to plan and align intra- and inter-organizational EM capabilities to maximise a resilient response to emergencies is an open issue in the extant literature and the research on the topic is still limited. Despite the large majority of existing contributions is mainly of theoretical nature, a coherent methodology for the analysis and assessment of EM capabilities is lacking. Most of the contributions are focused on case-specific applications, results are sector-specific and not transferrable to different operational contexts. Given the presence of different features that characterise an EM capability, its operationalisation requires a full understanding of the organisational structure, the operational and decision-making processes of the involved actors, as well as the collective performance when an emergency occurs. Based on the above considerations, the general research question of the present thesis is: How to plan emergency management capabilities for enhancing the resilience of interdependent systems? It is then detailed into 1) What are the core intra- and inter-organizational capabilities for implementing effective emergency management in complex interdependent systems? 2) How can the intra- and inter-organizational emergency management capabilities of complex interdependent systems be modelled? 3) How to assess intra- and inter-organizational capabilities within a multi-actor EM system? The thesis consists of a collection of four papers that propose a methodology for the analysis of EM capabilities. The single papers present a framework for classifying and modelling the EM capabilities and a methodology for their assessment by making use of the Functional Resonance Analysis Method (FRAM). These contributions are tested in two relevant application domains based on: (i) collaborative capability building practices for critical infrastructure resilience, and (ii) cross-border emergency operations in critical transport infrastructure systems. 1 The results contribute to the research stream on EM by proposing a viable capability-based approach that enhances the resilience of complex socio-technical systems against disruptive events. They also originally contribute to the FRAM literature by expanding its adoption to the EM context by proposing its application to the modelling and assessment of operational capabilities. This study is of interest to researchers thanks to a robust conceptualisation and operationalisation of the capability view in the EM context, and to practitioners looking at the implementation of effective collaborative capability planning during all the phases of the EM cycle.
Le caratteristiche e la complessità dei sistemi di infrastrutture critiche interdipendenti rendono più complicata la gestione delle emergenze. Lo scopo di questa ricerca è contribuire a promuovere un approccio basato sulle capacità di gestione delle emergenze (EM capabilities) in sistemi complessi, al fine di migliorare la resilienza del sistema. Questo significa fare leva su un ampio set di capacità con l'obiettivo di salvaguardare le persone, garantire l'integrità fisica degli asset critici e la continuità delle operazioni. In questa ricerca, una capacità può essere generalmente definita come “l’abilità di un'organizzazione di fare qualcosa”, ovvero la capacità di gestire un evento dirompente per ridurre al minimo le conseguenze negative che ne derivano. La pianificazione e l’organizzazione delle capacità intra- ed inter-organizzative di gestione delle emergenze, volte a massimizzare una risposta resiliente, è un tema aperto nella letteratura esistente e la ricerca sull'argomento è ancora limitata. Nonostante la grande maggioranza dei contributi esistenti sia principalmente di natura teorica, manca una metodologia coerente per l'analisi e la valutazione delle capacità di gestione delle emergenze. La maggior parte dei contributi è incentrata su applicazioni specifiche, dunque non trasferibili in altri settori o contesti operativi differenti. Data la molteplicità di caratteristiche legate alle capacità di gestione delle emergenze, è importante avere una piena comprensione della struttura organizzativa, dei processi operativi e decisionali degli attori coinvolti. Sulla base di queste considerazioni, la domanda di ricerca generale della presente tesi è: come pianificare ed organizzare le capacità di gestione delle emergenze per migliorare la resilienza dei sistemi interdipendenti? Ovvero: 1) Quali sono le principali capacità intra- e inter-organizzative per implementare un'efficace gestione delle emergenze in sistemi complessi interdipendenti? 2) Come si possono modellare le capacità di gestione delle emergenze intra- e inter-organizzative di sistemi complessi interdipendenti? 3) Come valutare le capacità intra- e inter-organizzative all'interno di un sistema di gestione delle emergenze multi-attore? La tesi consiste in una raccolta di quattro articoli che propongono una metodologia per l'analisi delle capacità di gestione delle emergenze. I singoli articoli presentano un framework per classificare e modellare le capacità, ed una metodologia per la loro valutazione attraverso l’utilizzo del Functional Resonance Analysis Method (FRAM). Questi contributi sono testati in due domini applicativi basati su: (i) sviluppo delle capacità collaborative per la resilienza delle infrastrutture critiche e (ii) interventi di gestione delle emergenze transfrontaliere nei sistemi di infrastrutture critiche di trasporto. I risultati di questo studio contribuiscono al filone di ricerca sulla gestione delle emergenze, proponendo un approccio basato sulle capacità, volto a migliorare la resilienza di sistemi socio-tecnici complessi a fronte di eventi dirompenti. Contribuiscono inoltre ad ampliare la letteratura sul FRAM, applicando la metodologia al contesto di gestione delle emergenze e proponendone il suo utilizzo per la modellazione e valutazione delle capacità operative. Questo studio è di interesse per i ricercatori grazie ad una solida concettualizzazione e messa in pratica del concetto di capacità nel contesto di gestione delle emergenze; e per gli operatori, i first responders ed i decisori politici volti ad implementare un'efficace pianificazione delle capacità collaborative durante tutte le fasi del ciclo di gestione delle emergenze.
A novel methodology for capability-based emergency management in complex systems
PIRAINA, MARIACHIARA
2022/2023
Abstract
The characteristics and complexity of interdependent critical infrastructure (CI) systems make the management of emergencies upon disruption more challenging. The aim of this research is to contribute to fostering a capability-based approach for emergency management (EM) in complex systems to improve overall system resilience. It means leveraging on a wide set of capabilities with the aim of safeguarding people, guaranteeing the physical integrity of critical assets and the continuity of operations. In the context of this study, a capability can be generally defined as the “description of an [organization’s] ability to do something” and can be considered an appropriate task an organization can execute when a disruptive event occurs to minimize the resulting negative consequences for the stakeholders. How to plan and align intra- and inter-organizational EM capabilities to maximise a resilient response to emergencies is an open issue in the extant literature and the research on the topic is still limited. Despite the large majority of existing contributions is mainly of theoretical nature, a coherent methodology for the analysis and assessment of EM capabilities is lacking. Most of the contributions are focused on case-specific applications, results are sector-specific and not transferrable to different operational contexts. Given the presence of different features that characterise an EM capability, its operationalisation requires a full understanding of the organisational structure, the operational and decision-making processes of the involved actors, as well as the collective performance when an emergency occurs. Based on the above considerations, the general research question of the present thesis is: How to plan emergency management capabilities for enhancing the resilience of interdependent systems? It is then detailed into 1) What are the core intra- and inter-organizational capabilities for implementing effective emergency management in complex interdependent systems? 2) How can the intra- and inter-organizational emergency management capabilities of complex interdependent systems be modelled? 3) How to assess intra- and inter-organizational capabilities within a multi-actor EM system? The thesis consists of a collection of four papers that propose a methodology for the analysis of EM capabilities. The single papers present a framework for classifying and modelling the EM capabilities and a methodology for their assessment by making use of the Functional Resonance Analysis Method (FRAM). These contributions are tested in two relevant application domains based on: (i) collaborative capability building practices for critical infrastructure resilience, and (ii) cross-border emergency operations in critical transport infrastructure systems. 1 The results contribute to the research stream on EM by proposing a viable capability-based approach that enhances the resilience of complex socio-technical systems against disruptive events. They also originally contribute to the FRAM literature by expanding its adoption to the EM context by proposing its application to the modelling and assessment of operational capabilities. This study is of interest to researchers thanks to a robust conceptualisation and operationalisation of the capability view in the EM context, and to practitioners looking at the implementation of effective collaborative capability planning during all the phases of the EM cycle.| File | Dimensione | Formato | |
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35_MARIACHIARA PIRAINA.pdf
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Descrizione: The aim of this research is to contribute to fostering a capability-based approach for emergency management (EM) in complex systems to improve overall system resilience. It means leveraging on a wide set of capabilities with the aim of safeguarding people, guaranteeing the physical integrity of critical assets and the continuity of operations.
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https://hdl.handle.net/10589/196381