INTRODUCTION

 As a state institution of higher education, the University of Alabama at Birmingham (UAB) is committed to excellence in all endeavors. This includes anticipating technology changes and providing robust and secure services that ensure an effective response to the needs of UAB faculty, staff, students, and the research community. Effective and efficient use of UAB technology is essential to advancing UAB’s mission. The purpose of this policy is to establish institutional processes and outline approval authority for the acquisition of university designated technology, artificial intelligence (AI)-related systems, and consulting services for technology.

SCOPE

This policy applies to all UAB organizations, employees, trainees, and students utilizing UAB information technology, including research information technologies and  contracted services. This policy does not apply to UAB Medical Center units supported by Health System Information Services.

DEFINITIONS

AI-related systems include systems that display intelligent behavior by analyzing information or their environment and taking actions — with some degree of autonomy — to achieve specific goals. 

Hardware includes, but is not limited to, desktop and laptop computers, instruments, peripherals, external storage drives, servers, tablets/PDAs, monitors, printers, plotters, scanners, and projectors.  This may also include, but is not limited to, multi-media players, flat panel displays/televisions, fax machines, phones, cameras, network devices and discipline-specific equipment having computer or network interfaces.

IT consulting services are advisory services that help assess different technology strategies and bring specific expertise to the design, instruction, or operations of technical solutions.

Lifecycle management is the cycle of regularly updating key elements of technology solutions, including but not limited to, operating systems, patching, and other hardware or software technology.

Software includes, but is not limited to, any software application that is installed on UAB-owned technology hardware (desktops/laptops/tablets) or used in the cloud for a UAB business purpose. 

University designated technology is an information system or technology tool that is the authoritative data source for a given data element or piece of information or the UAB resourced and preferred tool for a specific function, as shown on the UAB Designated Technology Systems website.

POLICY STATEMENT

Technology acquisition and technology-related consulting services require review and approval through UAB Information Technology in addition to standard procurement policies and procedures.

Acquisition of technology

All acquisition of information technology hardware, software, or services for use at UAB or for UAB business purposes, whether for purchase or free of charge, requires approval through the UAB procurement process, with applicable reviews by UAB Purchasing and UAB Information Technology (UAB IT).  Review requests must be submitted prior to acquisition on the UAB Technology Tool Governance Process website. Acquisitions of currently approved UAB Designated Technology Systems do not require review or prior approval. If a product submitted for review coincides with a current standard approved technology tool’s main feature, a request to acquire that product will be deemed duplicative and denied or will require an exception. This policy does not seek to standardize research software that is discipline specific. Research software, including software that is locally developed, should be submitted for review.

Acquisitions of exempted purchases do not require review or prior approval. Exempted purchases include low-cost, single-user items such as mice, keyboards, monitors, speakers, USB thumb drives, CD/DVD-ROM, webcams, etc.

1. Hardware purchases

Departments or users may request standard hardware that has already been approved through the IT Service Catalog. If special needs exist that cannot be satisfied by standard hardware, departments and/or users may request a review for non-standard hardware through following the UAB Technology Tool Governance Process website. UAB IT will consult with the requestor to ensure proper standards, security, interoperability, and support options are discussed; confirm whether schedule of implementation is attainable; and estimate costs.

2. Software purchases

Departments or users may request standard software applications by reviewing the IT Service Catalog and submitting the appropriate form. If special needs exist that cannot be satisfied by standard software, departments and/or users may request a review for non-standard software by following the UAB Technology Tool Governance Process website. UAB IT will consult with the requestor to ensure proper standards, security, interoperability, and support options are discussed; confirm whether schedule of implementation is attainable; and estimate costs.

3. Generative artificial intelligence-related systems

AI-related systems and software have additional shared governance processes and approval authorities and those processes are detailed the UAB Technology Tool Governance Process website. AI-related systems must align with the General Principles Regarding the Use of Generative Artificial Intelligence at UAB.

Capital technology acquisition and consulting services

All capital technology purchases or any consulting services that exceed the thresholds defined in Board Rule 406 must have the approval of the Board of Trustees of The University of Alabama. 

Requests to obtain consulting or staffing services

Requests for external consulting or staffing services related to technology must be reviewed and approved by UAB IT in addition to standard purchasing policies, guidelines and other applicable UAB procedures. The UAB IT review assesses the technological need for external services, designation of any applicable preferred consulting resources, and identification of any existing technology services within the UAB campus. Request for a review of external consulting or staffing services are submitted through the UAB Technology Tool Governance Process website.

Technology Management Standard Lifecycle

Technology purchases and renewals must include budgeting for Lifecycle Refresh for ongoing contracts. Refresh cycles inconsistent with recommended replacement/updates will not be held to the same service level agreement or may be unsupported. Recommended refresh cycles, dependent on funding, include, but are not limited to:

*Some units may opt for a three-year refresh lifecycle, according to warranty expiration.

**Depends on type of equipment.

APPROVAL AUTHORITY

The Vice President for Information Technology and Chief Information Officer or designee is responsible for:

• Addition or removal of approved University designated systems,
• Approval of new technology requests.

IMPLEMENTATION

The Senior Vice President for Finance and Administration is responsible for procedures related to procurement and board governance. The Vice President for Information Technology is responsible for the oversight and implementation of this policy, including the procedures related to information technology hardware, software, and services implementation and management. The Vice President for Research and the Vice President for Information Technology share responsibility for oversight of the review of research-related information technologies through a joint partnership.

NON-COMPLIANCE

Confirmed violations of this policy will result in consequences commensurate with the offense, up to and including termination of employment, appointment, student status, or other relationships with UAB. If a data breach is determined as a direct result of non-compliance to this policy, the associated department is responsible for any fines incurred. Software or hardware purchased outside of review could result in loss of funds spent on technology or loss of eligibility for reimbursement (P-card or personal).

Related Policies, Procedures, and Resources

UAB Enterprise Code of Conduct

UAB IT Governance Process

Acceptable Use of Computer and Network Resources