This the presentation for my proposal defense.

1. 1
Commi'ee
Dr. Thomas Seager
Chair, Advisor
Members
Dr. Susan Clark
Dr. Sco' Clou;er
Dr. Erik Fisher
Human Resilience and Development in Coupled
Social, Ecological, & Technical Systems:
A Holis(c Approach to Cri(cal Infrastructure
John E. Thomas, MSEE, MBA
PhD Student, Research Associate
22 April 2016
Sustainable Engineering and the Built Environment
PhD. Proposal Defense

2. CriEcal
Infrastructure
2
Human
Resilience
Human
Development
Bio-, psycho-, socio-, environmental,
technical, cultural, economic…
systems of systems, ecologies and scales!
Ac;ons
Behaviors
Outcomes
Ar;facts
Agency
Inten;on
Mo;va;on
Photo: Felix Pharand Deschenes

3. 3 (Larry Downing / Reuters-Corbis, 2011)
Coast Guard
Commandant
Thad Allen
President
George Bush
New Orleans
Mayor Ray Nagin
Hurricane Katrina
A resilience failure…
“as if no one
was in control”
(Westrum, 2005)

4. 4
PPD-21
(PPD21, 2013)
Na;onal Infrastructure
Protec;on Plan, 2013
“U.S. efforts shall address the
security and resilience in an
integrated, holisEc manner to
reflect this infrastructure’s
interconnectedness and
interdependency.”
è Wrong about holisEc.
è LeN out the people!

5. Darnell Earley, Flint EM
Photo: Zack Wi'man/AP
Photo: Ryan Garza
Detroit Free Press
Criminal charges filed against
3 government employees 4/20/16

6. ProposiEon(s)
Photo: Felix Pharand Deschenes
Resilient
technology
requires
resilient people
Resilient people
require resilient
technology
SAAL?
?

7. 7 Photo: Felix Pharand Deschenes
Research QuesEons
What?
Theore=cal
• Rela;onships, proper;es, & characteris;cs?
How?
Conceptual • Impact, improve, assess, & measure?
Why?
Opera=onal • Frameworks, heuris;cs, tools?

8. 8
SETS Resilience Framework
KG: r c f/w integra;ng m/s & s-t-p
RQ: How to define resilience
Infrastructure problems?
SWWC: undefined
HolisEc Resilience Research
KG: inconsistent defini;on, lack of f/w
RQ: What is holis;c resilience research?
SWWC: Myriad of defini;ons,
disciplines, concepts, & applica;ons
Human resilience
KG: HR & CAS like infrastructure
RQ: Rela;onships? Linkage?
SWWC: People design, operate, and
manage infrastructure
P4: Human development
KG: HD & CAS like infrastructure
RQ: Rela;onships? Linkage?
SWWC: Align roles, enhance r&d,
predictors
• Holis;c framework
• Top 20 papers assessed
• Epistemological index
• SAAL processes
• Resilient infrastructure
problem defini;on.
• Heuris;c-Lit review
• Linking human
resilience w/ SAAL
• Linking levels w/SAAL
• Linking R&D w/SAAL
Contribu;ons
P1
P2
P4
P3

9. 9
No linkage for perspec;ves in
disparate disciplines:
engineering & psychology
Confusion & misinterpreta;ons
among disciplines (Brand & Jax, 2007)
9 9 P2: Framework P3: Human Resilience P3: Development P1: Integral Resilience

10. 10 10 P2: Framework P3: Human Resilience P3: Development P1: Integral Resilience
Exterior
processes
Interior
properEes
Psychology
• Child
• Adult
• Social
• Developmental
Psychology
• Child
• Adult
• Behavioral
• Developmental
Engineering & Technological Systems
-- What interior? --

11. 11
Integral Map of Human PerspecEves
P2: Framework P3: Human Resilience P3: Development P1: Integral Resilience
Adapted (Wilber, 2000)

12. 12
Integral map of 20 most cited arEcles
with resilience in Etle: 1900 - 2015
P2: Framework P3: Human Resilience P3: Development P1: Integral Resilience
(Thomas, 2016)
Child Psychology
Adult Psychology
4
1 3
4 4
1
1
1
4
2
Technology
0.0%
20.0%
40.0%
60.0%
80.0%
100.0%
120.0%
Q1-UL Q2-LL Q3-UR Q4-LR Total Possible
40.0%
0.0%
35.0%
50.0%
31.3%

13. • Sensing—monitor systems state variables
• AnEcipaEng—imagining possible state outcomes
• AdapEng—changing state variables
• Learning—differen;ate, integrate, & create knowledge informing system behaviors
13
Individual & Group Resilience
Ac=ons, behaviors, & ar=facts
(Park, Seager, Rao, Conver;no, & Linkov 2013)
(Hollnagel, Paries, Woods, & Wreathall 2013)
(Linkov, Eisenberg, Bates, Chang, Cover;no, Allen, Flynn, Seager 2013)
Social-technical
Resilience Enabling Processes
P1: Integral Resilience P2: Framework P3: Human Resilience P3: Development
Resilience Socio-Technical Processes
Outcomes
Sensing An;cipa;ng Adap;ng Learning
(Thomas, 2016)

14. 14
Stressors
/ Shocks
Vulnerability
factors
Protec;ve
factors (+/-)
Ecological
Technical
Social
Systems
of Systems
Outcomes
Resilience Socio-Technical Processes
An;cipa;ng Adap;ng Sensing Learning
Resilience Conceptual Framework
P1: Integral Resilience P2: Framework P3: Human Resilience P3: Development
(Thomas, 2016)
Context
Boundary
condi;ons
Exogenous
Endogenous
Domains
• 9 Components
• Scorecard
Space
Time
Meaning
Dimensions

15. 15
Social Ecology of Infrastructure Resilience
Adapted (Masten, 2010; Bronfenbrenner, 1979)
Area of
focus
Psychological
Systems
Biological
Systems
P1: Integral Resilience P2: Framework P3: Human Resilience P3: Development
Space
Time
Meaning

16. 16
PVSO
• P = Protec;ve factors
• V = Vulnerability factors
• S = Stressors / Shocks
• O = Outcomes
Adapted: (Esbjörn-Hargens, Zimmerman, 2009)
Integral map of coupled social and technical systems
PVSO PVSO
PVSO PVSO
P1: Integral Resilience P2: Framework P3: Human Resilience P3: Development

17. 17
Linking Human Resilience with Infrastructure
(Thomas, 2016)
Resilience Socio-Technical Processes
Outcomes
Cogni;ve Emo;onal Behavioral
Resilience Protec;ve Factors
Sensing An;cipa;ng Adap;ng Learning
P1: Integral Resilience P2: Framework P3: Human Resilience P3: Development

18. 18
CogniEve
(Func;onality)
Moral
Maturity
CogniEve
(Complexity)
Maturity
(Ego / Self)
Leadership
(Ac;on Logic)
Value
Systems
Human Development Stage Models
What am I aware of? Who am I? What
should
I do?
What do
I care about?
Adapted: (Wilber, 2006)
P1: Integral Resilience P2: Framework P3: Human Resilience P4: Development
Space
Time
Meaning
Why ego-development?
-Stages of meaning-making
-Interpret experience
-Shapes worldviews, perspec;ves
-Informs reasoning & behavior
-Correlates with resilience
-Enhanced predictors of outcomes
-Established & validated tools,

19. 19
0
5
10
15
20
25
30
35
40
Survivor Socialized Specialist Independent Rela;ve Integra;ve Construct
% Sample
(n=4,510)
Conven;onal Post-conven;onal
1st ;er 2nd ;er
Ego-development Stages & AcEon Logics
36.5%
29.7%
11.3%
4.9%
Research focus
Meaning-making systems
(Cook-Greuter, 1999)
P1: Integral Resilience P2: Framework P3: Human Resilience P4: Development
66.2% 16.2%
44.3% 36.0% 13.7% 6.0%
80.3% 19.7%

20. 20
!
!
Stage—Cook&Greuter,!!
(Torbert!)!!!!!!!![Stage!no.]!
!
Sensing!
!
Anticipating!
!
Adapting!
!
Learning!
Conventional* * *
Specialist!!!!!!!!!!!!!!!!!![3/4]!
(Expert)!
!
!
! ! ! !
Independent!!!!!!!!!!!!!!!![4]!
(Achievers)!
!
!
! ! ! !
Post-conventional* * *
Relative!!!!!!!!!!!!!!!!!!!!![4/5]!
(Individualist)!
!
!
! !
!
! !
Integrative!!!!!!!!!!!!!!!!!!![5]!
(Strategists)!
!
!
! ! ! !
!
!
Resilient
Human
Development
P1: Integral Resilience P2: Framework P3: Human Resilience P4: Development
Cogni;ve Emo;onal Behavioral
Resilience Protec;ve Factors
Sensing An;cipa;ng Adap;ng Learning
(Cook-Greuter, 1999; Torbert, 2004)

21. 21
Social-technical Resilience Psychograph
Sensing An;cipa;ng Adap;ng Learning
Conven;onal
Pre-conven;onal
Post-conven;onal
P1: Integral Resilience P2: Framework P3: Human Resilience P4: Development

22. ProposiEons
Photo: Felix Pharand Deschenes
Resilient
technology
requires
resilient people
Yes, and…
Resilient people
require resilient
technology

23. 23

24. Johnny Thomas, MSEE, MBA
Johnny.Thomas@asu.edu
Resilience, Simula;on for Water, Power
& Roadway Networks, NSF Grant No. 1441352
This material is based upon work supported by the Na=onal
Science Founda=on (NSF) under grant No. 1441352. Any
opinions, findings, conclusions, or recommenda=ons
expressed in this material are those of the authors and do
not necessarily reflect the views of the NSF.
Thank You
IntegralResilience.org

25. 25
References
• Brand, F., & Jax, K. (2007). Focusing the Meaning (s) of Resilience: Resilience as a Descrip;ve Concept and a Boundary Object. Ecology and Society, 12(1).
Retrieved from h'p://www.ecologyandsociety.org/vol12/iss1/art23/ES-2007-2029.pdf
• Bronfenbrenner, U. (1979). Ecology of human development. Cambridge, MA: Harvard.
• Cook-Greuter, S. (1999). Postautonomous ego development: A study of its nature and measurement (Doctoral disserta;on). Retrieved from ProQuest
Disserta;ons and Theses database h'p://search.proquest.com/docview/304503009?accoun;d=8203
• Esbjörn-Hargens, S. (2010). An Overview of Integral Theory. In Integral Theory in Ac=on: Applied, Theore=cal, and Construc=ve Perspec=ves on the AQAL
Model (pp. 33–61). State University of New York Press.
• Esbjörn-Hargens, S., Zimmerman, M. (2009). Integral Ecology, Uni=ng Mul=ple Perspec=ves on the Natural World. Integral Books.
• Hollnagel, E., Paries, J., David, D., & Wreathall, J. (2011). Resilience Engineering in Prac=ce: A Guidebook. Ashgate.
• Linkov, I., Eisenberg, D. a., Plourde, K., Seager, T. P., Allen, J., & Ko', A. (2013). Resilience metrics for cyber systems. Environment Systems and Decisions,
33(4), 471–476. doi:10.1007/s10669-013-9485-y
• Masten, A., & Obradovic, J. (2010). Disaster prepara;on and recovery: Lessons from research on resilience in human development. Ecology and Society,
13(1). Retrieved from h'p://ibcperu.org/doc/isis/8553.pdf
• Park, J., Seager, T. P., Rao, P. S. C., Conver;no, M., & Linkov, I. (2013). Integra;ng Risk and Resilience Approaches to Catastrophe Management in
Engineering Systems. Risk Analysis, 33(3), 356–67. doi:10.1111/j.1539-6924.2012.01885.x
• PPD21 (2013). Presiden=al Policy Direc=ve/PPD-21.
• Torbert, B., Cook-Greuter, S., Fisher, D., Foldy, E., Gauthier, A., Keeley, J., … Tran, M. (2004). Ac=on Inquiry: The secret of =mely and transforming
leadership. Berre'-Koehler Publishers.
• U.S. Homeland Security. (2013). Na=onal Infrastructure Protec=on Plan 2013.
• Westrum, P. R. (2005). All Coherence Gone : New Orleans as a Resilience Failure. In 2nd symposium on resilience engineering. Juan-les-Pins, France.
• Wilber, K. (2001). A Theory of Everything: An integral vision for business, poli=cs, science, and spirituality. Shambhala Publica;ons.
• Wilber, K. (2006). Integral Spirituality. Integral Books.