Thomas Virgona Doctoral Dissertation: Defense September 11, 2001: A Study of the Human Aspects of Disaster Recovery Efforts for Wall Street Financial Services Firms A Dissertation Submitted to the Faculty Of Long Island University By Thomas James Virgona In partial fulfillment of the requirements for the degree Of Doctor of Philosophy in Information Studies Spring 2008 Thomas Virgona 74 Waverly Avenues East Rockaway, New York 11518 516-599-2890 This dissertation is dedicated to public use; copying and reprinting are encouraged. Page: 1 of 237 Thomas Virgona Doctoral Dissertation: Defense Dedication To my loving wife of over twenty years, for her unwavering support and confidence. Without Denise, who has been my emotional anchor through not only the challenges of my doctoral studies, but my entire adult life, this achievement would hold no value. To my mother, for instilling the importance of hard work and higher education. To my late father, who has been my role-model for persistence and personal sacrifices, and who instilled in me the inspiration to set high goals and the confidence to achieve them. To my children, TJ, Nicole and Joey, who have grown into three of the most special people any parent could wish. To my colleagues in the program, especially Dan and Chris, who have provided (largely useless) advice and support during the coursework, comprehensive exams and dissertation process. I wish to thank my committee members who were more than generous with their expertise and precious time. A special thanks to Dr. Hunter, Dr. Knapp, and Dr. Hildreth, for their countless hours of reflecting, reading, encouraging, and most of all patience throughout the entire process. Thank you Dr. Westermann and Dr. Koenig for agreeing to serve on my committee. Page: 2 of 237 Thomas Virgona Doctoral Dissertation: Defense Table of Contents 1 INTRODUCTION AND CONTEXT ......................................................................................................8 1.1 A SUCCINCT STATEMENT OF THE PROBLEM UNDER INVESTIGATION, INCLUDING ITS IMPORTANCE TO THE DISCIPLINE .............................................................................................................................................8 1.2 THEORETICAL FRAMEWORK ............................................................................................................. 20 2 LITERATURE REVIEW ..................................................................................................................... 30 2.1 INFORMATION SYSTEMS TECHNOLOGY – THE BEGINNING ................................................................. 31 2.2 THE GROWTH OF INFORMATION SYSTEMS TECHNOLOGY ................................................................... 33 2.3 CHANGES TO DISASTER PLANNING CAUSED BY THE COLD WAR......................................................... 36 2.4 CHANGES TO DISASTER PLANNING IN RELATION TO OTHER “DISASTERS” .......................................... 42 2.5 INFORMATION SYSTEMS AND TECHNOLOGY – THEORIES AND METHODOLOGIES................................. 48 2.6 THE HUMAN COMPONENT OF INFORMATION SYSTEMS TECHNOLOGY................................................. 56 2.7 THE RELATIONSHIP OF THE EVENTS OF SEPTEMBER 11, 2001 TO INFORMATION SYSTEMS................... 61 2.8 SCHOLARLY LITERATURE; THE IMPACT OF SEPTEMBER 11, 2001 IN VARIOUS DISCIPLINES................. 64 2.9 SEPTEMBER 11, 2001: INFORMATION TECHNOLOGY AND DISASTER RECOVERY.................................. 74 3 STUDY DESIGN AND METHODOLOGY.......................................................................................... 89 3.1 RESEARCH QUESTIONS...................................................................................................................... 89 3.2 OPERATIONAL DEFINITIONS AND LIMITATIONS................................................................................... 94 3.3 A SPECIFIC METHODOLOGY AND JUSTIFICATION................................................................................. 97 3.4 SAMPLE DATA-GATHERING IMPLEMENTS ........................................................................................... 98 3.5 A STATEMENT IDENTIFYING POTENTIAL ANALYTICAL METHODS AND EXPECTED RESULTS ................. 105 3.6 MAPPING OF METHODOLOGICAL TECHNIQUES TO RESEARCH QUESTIONS........................................... 106 4 RESULTS............................................................................................................................................ 108 4.1 UNSTRUCTURED INTERVIEWS ......................................................................................................... 108 4.1.1 Senior Technology Manager................................................................................................... 108 4.1.2 Help Desk Manager ............................................................................................................... 110 4.1.3 Application Manager.............................................................................................................. 113 4.1.4 Network Engineer .................................................................................................................. 116 4.1.5 Business User......................................................................................................................... 118 4.1.6 Database Administrator ......................................................................................................... 121 4.1.7 Summary................................................................................................................................ 123 4.2 DISASTER RECOVERY TEST OBSERVATIONS .................................................................................... 124 4.2.1 Summary................................................................................................................................ 127 4.3 FOCUS GROUP ................................................................................................................................ 128 4.3.1 Summary................................................................................................................................ 130 4.4 ARTIFACT ANALYSIS ...................................................................................................................... 131 4.4.1 Asset Sales System.................................................................................................................. 131 4.4.2 Global Technology Department.............................................................................................. 136 4.4.3 Funds Transfer Application.................................................................................................... 140 4.4.4 Globally Deployed Application............................................................................................... 140 4.4.5 Loss of a Building .................................................................................................................. 144 4.4.6 Summary................................................................................................................................ 150 5 DATA ANALYSIS AND FINDINGS (AND RELATIONSHIP TO PRIOR RESEARCH)............... 152 6 CONCLUSIONS AND RECOMMENDATIONS FOR FURTHER STUDY..................................... 167 7 REFERENCES.................................................................................................................................... 172 8 GLOSSARY ........................................................................................................................................ 202 Page: 3 of 237 Thomas Virgona Doctoral Dissertation: Defense 9 APPENDICES ..................................................................................................................................... 205 9.1 APPENDIX A: SDLC DELIVERABLES AND APPROVERS...................................................................... 205 9.2 APPENDIX B: TYPES OF RESEARCH DESIGN ...................................................................................... 208 9.3 APPENDIX C: INFORMED CONSENT FORM........................................................................................ 209 9.4 APPENDIX D: INSTITUTIONAL REVIEW BOARD APPROVAL ............................................................... 210 9.5 APPENDIX E: INTERVIEW SCRIPT..................................................................................................... 212 9.6 APPENDIX F: DEFENSE ACCEPTANCE FORM .................................................................................... 214 9.7 APPENDIX G: INDIVIDUAL INTERVIEW TRANSCRIPTS ....................................................................... 216 List of Tables Table 1 – Dynes’ Four Types of Tasks ............................................................................................................ 43 Table 2 - Definition of Terms Used in this Dissertation.................................................................................... 94 Table 3 - Bergs Four Steps for Conducting a Focus Group............................................................................... 99 Table 4 - Methodical Techniques Used to Address Research Question ........................................................... 106 Table 5 - Recovery Strategy.......................................................................................................................... 138 Table 6 - Loss of staff ..................................................................................................................................