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Contents 1. Introduction 1.1 Statement of Intent 1.2 Assumptions 3 1.3 Mission of ITS 1.4 Overall Responsibilities 2. Standards 2.1 Hardware 2.1.1 Desktops 2.1.2 Server Infrastructure 2.2 Software 2.2.1 Desktop Operating Systems 2.2.2 Server Operating Systems 2.2.3 Networked Applications 2.3 Network Infrastructure 3. Support and Service Requirements 3.1 Hardware Support 3.2 Software Support 3.3 Training 3.4 Operations 3.4.1 Backups 3.4.2 Planned Downtimes 3.5 Application Integration 3.6 E-MAIL 3.7 Hours of support 4. Problem Process 4.1 Emory University Help Desk 4.2 Request for Service 4.2.1 New Requests: Hardware 4.3 Project Management 4.4 Planning 4.4.1 Scope 5. Hosting Services 5.1 Server Hosting 5.2 Web Hosting 5.3 Application Hosting 5.4 Other Hosting Services 6. Service Level Agreements

Document of Understanding (DOU) between Emory School of Medicine Office of Information Technology Services (SOM-ITS) and Emory School of Medicine Customers Located at Emory Main Campus Last updated: May 27, 2005 1. Introduction 1.1 Statement of Intent This Document of Understanding (DOU) describes the responsibilities of Emory School of Medicine Information Technology Services (ITS) in providing services to Emory School of Medicine located on the main Emory campus. The document is to establish mutual expectations by ensuring the proper understanding and commitments between both parties in order to provide effective support and services. A key concept in this document is the recognition that adherence to hardware and software standards is important throughout Emory School of Medicine in order to provide efficient, cost-effective support. The main Emory School of Medicine ITS web site is located here. 1.2 Assumptions This is a dynamic document, which will reflect the changing needs of Emory School of Medicine customers located at the main Emory campus. This Document of Understanding will be the foundation from which more specific Service Level Agreements (SLA) will be negotiated with individual departments. As such, the SLA's will also be dynamic documents. 1.3 Mission of Emory School of Medicine Information Technology Services SOM-ITS provides information technology solutions, innovation and leadership to support the mission and strategic plans of the Emory School of Medicine. 1.4 Overall Responsibilities SOM-ITS is the information technology organization for the Emory School of Medicine. This section describes the responsibilities of SOM-ITS and the departments or groups seeking services from SOM-ITS. Project planning, implementation, and support SOM-ITS will provide overall consultation and hardware/software implementation or planning services. This will include timelines, hardware and software purchase consultation, and service level agreements where appropriate. SOM-ITS will assist with project management, implementation, and ongoing support of projects subsequent to approval of the Emory School of Medicine CIO and the department SLA. SOM-ITS will provide resolution of issues, monitor and backup systems, review the agreement and implementation, and administer software specific to the project based on the final SLA. The departments or groups working with SOM-ITS will provide information and resources to support this process, assist with project management as appropriate, comply with DOU and SLA, and communicate changes and needs in advance. General Support Responsibilities SOM-ITS: Identify the resources necessary to provide support. Ensure support or service is available during hours outlined in SLA or normal business hours (8:00 am-5:00 pm) Define processes and implement tools necessary to provide consistent and timely support to faculty and staff. Ensure that all levels of hardware and software delivered are current. Resolve all open problems reported via the Helpdesk and recorded in the ITD Support Magic / ManageIT. Notify the affected department(s) in advance of non-emergency infrastructure and organizational changes that will impact availability of the application or ability to provide support via the SOM-ITS web page. Notify the department in advance of planned downtime due to network, equipment, or system maintenance demands via e-mail. Notify the department of emergency downtime by contacting the departmental coordinator(s) via e-mail or telephone. Provide a test system if applicable. Create and maintain project plans where appropriate. Thoroughly test all application changes before transition to production. Department Responsibilities Report all problems via the Help desk (7-7777 or http://help.emory.edu). Educate faculty and staff about the process for obtaining assistance. Provide 1st level of support where possible (lower level application assistance). Each department should designate a contact person within the department to coordinate requests or assist users with general support questions. Provide application training for faculty and staff. Provide advance notice to SOM-ITS of requests and/or enhancements and coordinate activities with the vendor and SOM-ITS on any major changes. Notify users of planned downtime and other announcements from SOM-ITS, ITD, EhcIS, or NCD. Perform functionality testing on new application releases when applicable. Maintain documentation when appropriate. Approve application releases in writing. Inform SOM-ITS of anticipated significant changes in workload or application requirements. Maintain a set of current operating procedures. Backup any data as defined in the SLA. Submit, in advance, documentation to support expected support-related changes for the budgeting process each fiscal year. Inform all users of Emory University computing and information technology policies available on the ITD web site at http://it.emory.edu/showdoc.cfm?docid=1856 Participate in testing exercises and user consultation on request. 2. Standards All hardware and software purchases should follow University standard purchasing processes. It is the preference of SOM-ITS not to support non-standard hardware or software; support of these non-standard applications or hardware may result in additional costs for support and service as defined in the departmental SLA. The recommended Emory University list can be found at http://it.emory.edu/showdoc.cfm?docid=3329. Any additional recommendations can be found on the main School of Medicine ITS web page. Important: Recommendations listed in SLA will override recommendations listed in the above-mentioned ITD SOM/ITS web sites. 2.1 Hardware SOM-ITS will maintain published standards and recommendations for hardware in the Emory School of Medicine. These standards will be placed on the SOM ITS web site and from updated when technologies or available components change. Recommended SOM hardware configurations. Local support personnel should be consulted prior to purchasing equipment. Current minimum recommendations include a Pentium Class chipset with clock speed higher than 2000 MHz (2 GHz), 512 MB of RAM, hard drive capacity greater than 40 GB, 3.5" floppy drive, CD-R/W / DVD ROM combo drive, NIC card preinstalled 10/100 (Ethernet card), 17" color monitor, mouse, and keyboard. 2.1.1 Desktops The standard hardware/software and desktop configuration is found on the Emory School of Medicine ITS web page (Note: this site is under construction. Until this site is available, please call SOM ITS at 404 712 9628). Individual SLA's may modify this recommendation as appropriate. 2.1.2 Server Infrastructure Standard server recommendations may be found on the Emory School of Medicine ITS web page. (Note: this site is under construction. Until this site is available, please call SOM ITS at 404 712 9628). Specific SLA's may modify this recommendation as appropriate. Specific SLA's may further cover server deployment and consolidation within a department. 2.2 Software 2.2.1 Desktop Operating Systems SOM-ITS supports Windows NT, 2000, and XP desktop operating systems; variations of this must be approved via a departmental SLA. Updates to this list of standard OS will be published on the SOM ITS web site. Software packages noted on the web site are supported. However, occasionally there will be a business need for a non-standard software package; those must be approved in compliance with SLA guidelines. 2.2.2 Server Operating Systems Microsoft Windows Server 2000 and 2003 are the current network operating systems used by the SOM-ITS. All applicable service packs and patches are tested, evaluated and applied to servers as available and necessary. As new versions of server operating systems are released for BETA testing and/or final sale, SOM-ITS will perform extensive testing and evaluation in an independent test (i.e., non-production) environment. No department or individual should load these operating systems on computers connected into the production network environment without prior approval from NCD and/or SOM-ITS. 2.2.3 Networked Applications Limited support will be provided for departmental networked applications on SOM-ITS servers. Due to the number and nature of the various applications and data that share the same network infrastructure, it is imperative that all applications go through analysis prior to installation on the network. Any networked application that causes negative impact to the network may be removed immediately and without warning by NCD. Any application which requires server reconfiguration, shared network storage space, or unsecured internet services must be approved by SOM-ITS prior to installation. 2.3 Network Infrastructure NCD is responsible for the proper installation, maintenance, and operation of network equipment and services. SOM-ITS will act as facilitator between the department and NCD as requested by the department. 3. Support and Service Requirements "Standard" software and hardware will be supported by SOM-ITS (refer to the School of Medicine Grady web page for the lists or recommendations for software and hardware). "Non-standard" software and hardware as well as extraordinary requests that fall outside established Service Level Agreements will be "reasonably" attempted by SOM-ITS staff but will be undertaken only after standard support calls are resolved. If SOM-ITS determines that service beyond reasonable support is needed to resolve an issue arising from non-standard software or hardware, then the department will have the option to have service provided via an outside contractor of their choosing or one recommended by SOM-ITS. If an outside contractor is engaged, all expenses will be charged to the department. 3.1 Hardware Support All hardware issues should be reported to the Help Desk via the Support Request form (http://help.emory.edu) or 7-7777. SOM-ITS may coordinate warranty and non-warranty repair. All non-warranty costs are the responsibility of the department (this includes equipment with expired warranties). Desktop Computer Equipment Repair Policy Desktop computer equipment includes a processor (PC), keyboard, monitor, printer, and other peripheral items such as an external modem, mouse or zip drive. To protect the asset, the department should purchase and maintain at minimum a surge protector, and can include an Un-interruptible Power Source (UPS). The processor, keyboard, mouse, and monitor are purchased by the user department with a recommended on-site warranty that covers repairs and replacements on site for three years from the date of purchase. For "non-standard" desktop hardware the department is responsible for contracting with a vendor for problem resolution. Printers are purchased by the user department with a recommended on site 3 year warranty that covers repairs and replacements. SOM-ITS will triage printers, though locating a vendor for all warranty and non-warranty repairs is the department's responsibility. After the warranty expires, costs for repairs for all desktop equipment are the responsibility of the department. SOM-ITS desktop support personnel will assist in facilitating required maintenance performed by recommended local repair businesses. All network hardware is supported by NCD, and no faculty or staff member should attempt to resolve any problems with the network or add any unapproved servers, hubs, switches etc. to the network. Any unapproved equipment may be immediately removed from the network by NCD without notification to the department. Damages to such equipment will not be considered to be the responsibility of NCD or SOM-ITS. Response Times for Desktop Support: If possible, the department provides Level 1 support. This includes general application, operating system, and connectivity questions. Any Level 1 calls that cannot be solved by local support personnel should be forwarded to the ITD Help Desk (7-7777) for their assistance. If it is determined by the Help Desk that the call should be forwarded to SOM-ITS, it is considered a Level 2 call and will be assigned a priority rating by SOM-ITS. 3.2 Software Support All faculty or staff must have adequate licenses to use software and must be able to maintain accurate records of such licensure. This does not include software for which Emory University has site licenses. Each department must produce verification of software legitimacy upon internal audit, which may be conducted without notice. Software purchases go through Purchasing and/or Emory University's Software Distribution Center located in Cox Hall on the Emory Campus. Requests for software installations and upgrades may be directed to 7-7777 or http://help.emory.edu. It is the faculty or staff member's responsibility to attend training on software utilized in his position and to backup data on department PCs (backup of data on SOM-ITS servers is the responsibility of SOM-ITS). Where a desktop or departmental server has "nonstandard" software that has caused a conflict, support personnel will spend up to one hour trying to resolve the problem. If, at the end of that hour the problem persists, support personnel will determine resolution with the user and restore standard service and software. Nonstandard software will not be reloaded by SOM-ITS personnel. Desktops that use Windows 95/98 operating system or earlier will have a minimum of Windows 2000 installed at the department's expense as needed to resolve the problem or, if the faculty or staff member does not or is not able to upgrade to a newer OS, support cannot be provided by SOM-ITS for that system unless clearly specified in a SLA. Specific SLAs may alter standard Software Support. 3.3 Training Training is offered by ITD to University employees. All faculty and staff should be trained on the applications used in fulfillment of job duties. If it is determined that a faculty or staff member is taking up significant 7-7777 or other SOM-ITS resources due to lack of training, that department will be informed and a recommendation will be made that the individual attend training before any further assistance will be provided. A full schedule of classes is available on the ITD web site. 3.4 Operations 3.4.1 Backups Regular backups of data stored on equipment operated by SOM-ITS are performed to guard against data integrity corruption and/or loss. This includes data recovery as well as disaster recovery/business continuity planning. In addition, preventative maintenance on this equipment is the responsibility of SOM-ITS. The frequency of the back-ups and other specific information pertaining to operations will be established in the individual SLAs. In the event of data loss on a supported server, restoration of the data can be arranged by contacting 7-7777 or referring to the SLA. Backup of information stored on individual desktops and/or servers which are not maintained by SOM-ITS is the responsibility of the faculty or staff member. Copying a local hard drive to a file server (e.g. the USER or HOME directory or a departmental shared area) for redundancy will not be allowed. Backing up local information can be accomplished through use of hardware solutions. Wherever possible, users should store work on networked server space, as the risk of data loss is greatly diminished. 3.4.2 Planned Downtimes Standard or Announced Downtimes: From time to time, SOM ITS servers will be brought down for routine maintaining and enhancement procedures. SOM ITS will attempt to avoid any server downtime during standard business hours of 8:00 AM to 5:00 PM, Monday through Friday; however, in some cases servers and/or individual services will need to be brought down during standard hours. When this occurs, advance notification will be provided. Users will receive advance warning of all scheduled Downtimes. Whenever possible, notification will be two weeks prior to a downtime. A reminder notification will be distributed shortly before the actual downtime occurs. SOM-ITS performs regular server maintenance on Wednesday evenings from 8:00 PM to 10:00 PM. Patches and updates to the operating system and / or application may be applied at this time. Service interruptions may occur during this interval. Emergency: There are times when a piece of equipment is not functioning properly and needs to be repaired immediately. If possible, SOM-ITS will broadcast a message warning users to exit their systems to minimize application problems. Any loss of data resulting from this type of downtime is not the responsibility of SOM-ITS. In the event of downtime on a system designated as "mission critical" SOM-ITS will reallocate resources on a priority basis and will extend repair procedures beyond business hors in order to return the system to working condition as quickly as possible. 3.5 Application Integration All new applications that will run on the network must meet certain criteria for interoperability with existing applications and systems. A list of questions that must be answered by vendors during the RFP process has been prepared and is available by contacting the main SOM-ITS office at 404/712-9628. 3.6 E-MAIL SOM-ITS does not require all faculty, staff, and students to use the same email software, however this software must be SMTP-compliant. SOM-ITS supports Emory University email system access via Netscape, Outlook Express, Learn Link or Telnet. Specific SLAs may cover non-standard e-mail systems. 3.7 Hours of support Support hours are Monday - Friday, 8:00 - 5:00 p.m. 4. Problem Process SOM-ITS has a defined process for providing problem resolution. This process includes recording or reported problems, root cause analysis, processes involved in restoring service, and the recording of metrics for management reporting. 4.1 Emory University Help Desk Telephone Number: 7-777 Telephone support is available via the helpdesk at 404/727-7777 (internally, simply dial "7-7777"). Desktop on-site support is provided from 8am to 5pm Monday through Friday via 7-7777. All requests to the Help Desk will be assigned a call ticket number. Calls that cannot be resolved over the phone will be assigned a call ticket number. This call ticket number is a unique identifier that will be used for tracking specific problems. SOM ITS and the faculty or staff member will be kept abreast of that call by a 7-7777 representative. The 7-7777 representatives are knowledgeable about a variety of hardware issues as well as software applications. However, there are some department-specific applications which cannot be supported at the same level as the more common applications and which will require additional assistance. Departments having local support staff should contact those personnel first for problem resolution (local support indicates that one or more personnel employed by the department has basic support skills that may be used to resolve simple problems). If a call is made by a faculty or staff member to 7-7777 without first contacting departmental support staff those calls will be directed back to the department. If the departmental support staff are unable to resolve the call that information should be communicated to the Help Desk attendant when placing a call to 7-7777. At that time the call will be forwarded to the SOM-ITS group. Although modifiable by specific SLAs, SOM-ITS desktop support staff provides the following forms of assistance: installations, limited equipment moves, upgrades, troubleshooting, and repair. Please note: Departments that have support contracts with SOM ITS are still required to follow the above process. 4.2 Request for Service Requests for SOM-ITS resources cover a large spectrum of work. Requests can range from production support requests (such as moving a single PC) to projects (installation of new servers). The type of request will determine which approval path the request will follow. Policies SOM-ITS will only work on projects and production support tasks that have been approved and scheduled through the SOM-ITS office. Network and infrastructure reviews must be completed for all requests for new applications that utilize the network or server, and any issues should be included in a written report. SOM-ITS can assist in these reviews as necessary. All requests for service must be entered into the ITD Helpdesk Support Magic database by calling 7-7777. Requests for service for equipment not owned by Emory University cannot be fulfilled by the SOM-ITS desktop support group working as employees of the School of Medicine. 4.2.1 New Requests: Hardware (Installs, Moves, Adds, and Changes) SOM ITS is only able to assist with installs, moves, adds, or changes if a specific SLA exists between a department and SOM ITS. SOM ITS will, however, suggested procedures for contracting with outside entities as well as other Emory entities, such as ITD. Examples of specific hardware requests may include the following: The movement process of the old equipment, including removal and disposal, if applicable. Set up of new equipment delivered directly to the installation site. Limited moves of equipment. For extensive move requests, a department should contact Emory staging or an outside vendor. Specific SLAs may detail procedures for New Requests-Hardware. 4.3 Project Management, Tracking and Reporting A department may contract directly with SOM-ITS for Project initiation and/or management. The department representative may contact SOM ITS directly and request assistance with a specific initiative. The SOM ITS office will review the merits of a request and determine if the SOM ITS office is able to allocate resources for the resulting project. Accepted requests will require the development of a project SLA. Project tracking processes are used to collect actual time spent on each project. This information is used to monitor the allocation of resources. For projects that have an increase in scope or duration, resource allocation and the existing SLA will need to be reassessed. If resource allocation needs to be increased, the appropriate individuals will be contacted for discussion. 4.4 Planning Information Services uses data, application and technical architecture standards to ensure that information technology solutions meet business requirements. SOM-ITS staff are available to work with faculty or staff on a limited basis to understand their business and determine data, application and technical requirements necessary to perform their jobs. Large areas/sections/departments who are working on strategic plans should work closely with the SOM-ITS main office. 4.4.1 Scope A scope of services will result from all agreements between SOM ITS and a department. Actions or deliverables not included in the scope statement are considered out of scope. For emphasis, SOM ITS may provide a statement outlining out of scope actions or deliverables. 5. Hosting Services SOM ITS is able to assist departments with specific hosting needs. 5.1 Server Hosting Server hosting for shared file space, database access, and other pure storage needs can be provided on a fee-per-usage basis. 5.2 Web Application Hosting Web content which is dynamic, database-driven, utilizes proprietary extensions, or is otherwise not supported by university systems may be hosted by SOM-ITS on a fee-per-usage basis. 5.3 Application Hosting SOM-ITS supports and maintains a variety of enterprise-wide applications. Before considering a special purpose application, departments should consult with SOM-ITS to determine if any existing enterprise applications meet the need or can be enhanced to perform additional functions. If this is not possible, application hosting is available on a fee-for-service basis. 6. Service Level Agreements This document is a general support document. Service Level Agreements (SLA) may be created between specific departments and SOM-ITS based upon the department's unique business needs.