Responsible Parties Policy on Policies Policy Prepared By Document Version Number Phone Number Deb Davis Version 1.1 7-2545 Effective Date 1/19/2011 Last Updated 1/19/2011 Department(s) Responsible Quality Assurance Name of Responsible Department Person Affan Waheed Group(s) Responsible QA: Information Security Name of Responsible Group Person Affan Waheed Approved By Affan Waheed Date of Approval 1/19/2011 Date of Last Review 1/19/2011 Date of Next Review 1/19/2012 Audience This document applies to all Saint Louis University (SLU) departments, information technology services (ITS) systems and applications. Responsibilities Executive Sponsor Key Stakeholders Document Custodian Document Management Implementers SLU Chief Information Officer SLU, SLU ITS, Quality Assurance, Information Security SLU ITS Quality Assurance Office SLU Quality Assurance Office is responsible for the publication, notification and maintenance of this document. The Executive Sponsor is responsible for approving all changes to this policy. ITS Quality Assurance, Information Security is responsible for ensuring that the requirements in this document are implemented. Page 1 of 7
Table of Contents Revision History... 3 Introduction... 4 Scope... 4 Purpose... 4 Definitions... 4 Policy... 5 Roles and Responsibilities... 5 Affected Applications... 6 Other Policies or Procedures Referenced... 6 Questions About This Policy... 7 Approval and Amendments... 7 Page 2 of 7
Revision History Version Number* Prepared By Description of Changes Date of Approval Approved By 1.0 Deb Davis Initial Version 1/19/2011 1.1 Melody Beacham Move content into revised Policy Template 1/19/2011 *Minor revisions should be indicated by changing the minor number (i.e. 1.3 to 1.4 would indicate a minor revision). Minor revisions include, but are not limited to, changes in verbiage or minor policy changes that do not require the document to be rerouted through the approval process. Major revisions should be indicated by changing the major number (i.e. 1.4 to 2.0 would indicate a major revision). Major revisions include significant content changes that require the document to be rerouted through the approval process. Page 3 of 7
Introduction A policy is an important tool to present the documents of record in a standardized format to communicate to the University population how the University and its respective organizational units will accomplish its mission, maintain accountability and provide a clear explanation of how the University and its organizational units conduct their business and manage their responsibilities. Scope Nearly 200 federal laws impose duties upon the workforces (faculty and staff) and students at institutions of higher education. Policies guide faculty and staff members in the pursuit of University and organizational unit goals and objectives. This is also designed to acquaint existing and new faculty and staff members, consultants/contractors with the organizational unit aims of the University, and with their goals, objectives, obligations, expectations and performance requirements as it relates to the respective University as a whole. These policies are often of an institutional scope, are highly visible, and are approved at the organizational unit as well as the University level. Sanctions for violation of University Policy should be defined and could vary, but some standard language could include may lead to suspension, termination and expulsion. Purpose The purpose of this policy is to insure a clear definition of expectations and accountability for the members of the Saint Louis University workforce. Policies are the tool to further lay the groundwork for the University and organizational units to draft and implement the applicable and appropriate policies within the unit that are in-line with University policies, then draft and implement the applicable and appropriate procedures, processes and controls that demonstrates consistency and security of each aspect of the Saint Louis University organization and organizational units. Definitions The following are definitions of commonly used terms for which the general meaning may not be known or clearly understood: Consultant/Contractor a person or persons or company contracted to provide a specific set of tasks or provide needed administrative or technical skills for a pre-determined length of time. Organizational Unit an entity within the University that operates as a distinct function, such as a department, division, business unit, school, college and/or library. Policies a high level statement of direction and goals and objective for a specific scenario and set of goals and objectives within the organizational unit and/or University. Procedures procedures further define at a more finite level the steps that are taken to fulfill the intent and purpose of the policy. Process(es) processes are the finite details of how policies and procedures are carried out and is a step by step mapping for compliance. Page 4 of 7
Policy Workforce - employees, volunteers, trainees, contractors, temporary workers/staff augmentation and other persons under the direct control of the covered entity, whether or not paid by the University. This Policy on Policies is meant to direct, define and otherwise lay the groundwork for establishing the proper method in which to address for example, departmental functions, information resources, security. It is to serve as the base in which to form the administrative and operational procedures and processes for Saint Louis University Information Technology Services. All University policies will be posted on the official University website. The Vice Presidents, or their designees, will identify all of the places in University communications where a policy appears and ensure standardization of print and on-line policies. All organizational unit web pages must link to the official University policy website instead of posting their own versions of the approved policy. The Vice Presidents shall review and approve printed versions of University policies that are referenced in the Faculty Manual, Staff Handbook, Student Handbook, or other communications prior to their publication. All printed versions of University policies must include a disclaimer that the official University policy website should be consulted for the latest version. Organizational units may develop supplemental academic or administrative policies that pertain to their units. These specific policies may augment, but not conflict, with this policy. It is the responsibility of the Dean or comparable administrator to seek the pertinent Vice Presidents approval before implementing such policies. It is likewise the responsibility of the Dean or comparable administrator to review such policies for consistency with University policies. Roles and Responsibilities It is the responsibility of SLU workforce members to read, understand, and follow this policy. Any person with questions regarding the application or meaning of these guidelines should seek clarification from his or her supervisor or the document owner. Role Responsibilities President of the University The President of the University is responsible for the general and active management, control and direction of the business operations, educational activities and other affairs of the University, and also the development and implementation of all of the University s policies. The President of the University and the Vice Presidents may establish and implement an interim policy in situations where this University policy must be amended in a time period too short to permit the completion of the process delineated in this policy. An interim policy may remain in force for up to six months from the date of issuance. Page 5 of 7
Vice Presidents The Vice Presidents will solicit, as appropriate, the advice of the Council of Academic Deans and Directors, Faculty Senate Executive Committee, Staff Advisory Committee, Student Government Association, and Office of General Counsel before University policies are sent to the President s Coordinating Council for review and approval. Board of Trustees Some policies also may require the approval of the Board of Trustees if it is so stipulated in the University By-Laws or if other established policy or legitimate past practice suggests that Board approval would be desirable. Executive sponsor of the Policy(ies) It is the responsibility of the Executive sponsor of the Policy(ies) to insure that they are accurate, reflect the objective of the organizational unit and do not conflict with established University policies. The Executive Sponsor may establish and implement an interim policy in situations where this University policy must be amended in a time period too short to permit the completion of the process delineated in this policy. An interim policy may remain in force for up to six months from the date of issuance. Director of Quality Assurance The director of Quality Assurance, Information Security Officer and their Compliance designee are responsible for monitoring overall compliance with University and organizational unit policies and procedures, making recommendations for improvement. Affected Applications N/A Application Name Version Business Owner Other Policies or Procedures Referenced Policy Number (If Applicable) Policy or SOP Title Online Location N/A Page 6 of 7
Questions About This Policy If you have questions about this policy, please contact the Quality Assurance Office at qaoffice@slu.edu. Failure to follow this policy can result in disciplinary action as provided in the Staff Employee Handbook, any Student Worker/Intern employment information and Faculty Handbook. Disciplinary action for not following this policy may include termination, as provided in the applicable handbook or employment guide. Approval and Amendments Changes to this policy may be necessary from time to time. At a minimum, this policy will be reviewed and approved annually. All changes to this policy will go through the published revision and approval process. This policy, associated policies and documentation, including a record of all changes, will be maintained by the Quality Assurance Office and available for inspection. Page 7 of 7