Financial Management University-Wide Policy Documents

Document Type Numbersort descending Extension Documents Revision Date
Guides 1101 GD.10 Financial Review Principles May 5, 2011
Forms 1101 FR.02 Manual Journal Entry Request June 20, 2017
Procedures 1101 PR.01 Controls and Business Process Questionnaire August 28, 2013
Forms 1101 FR.01 Financial Review Checklist July 16, 2018
Policies 1101 Guiding Principles for Business and Financial Administration July 17, 2015
Procedures 1101 PR.02 Financial Transaction Review and Budget Monitoring October 27, 2014
Procedures 1101 PR.03 Journal Entries November 16, 2017
Policies 1104 Signature Authority, Approval Authority and Access for Financial Transactions April 13, 2017
Procedures 1104 PR.02 Reviewing User Access Security and Review Procedures April 23, 2013
Procedures 1200 PR.01 Identification and Approval of Private Business Use Activities April 17, 2018
Procedures 1200 PR.02 Procedure for Ensuring Post-Issuance Tax-Exempt Bond Compliance April 17, 2018
Policies 1200 Post-Issuance Tax-Exempt Bond Compliance September 17, 2015
Forms 1300 FR.01 COA - Yale Designated Forms May 22, 2017
Forms 1300 FR.02 COA - Cost Center Forms May 22, 2017
Forms 1300 FR.03 COA - Program Forms May 22, 2017
Forms 1300 FR.04 COA - Project Forms May 22, 2017
Forms 1300 FR.05 COA - Assignee Forms May 22, 2017
Policies 1300 Chart of Accounts Governance February 2, 2018
Procedures 1300 PR.01 Requesting, Modifying, and Closing Chart of Accounts Segments February 2, 2018
Procedures 1301 PR.04 Applying Facilities and Administrative Rate to Genomic Array Purchases June 2, 2017
Policies 1301 Sponsored Projects Financial Reporting and Financial Closeout May 26, 2017
Procedures 1301 PR.05 Residual Balance Fund Transfers June 30, 2017
Procedures 1304 PR.01 Requesting and Modifying Sponsored Project Accounts March 11, 2016
Procedures 1304 PR.02 Distinguishing Between Gifts and Sponsored Awards April 25, 2017
Forms 1305 FR.15 Manual Journal-Cost Transfer Justification June 29, 2017
Policies 1305 Cost Transfers Involving Sponsored Projects June 27, 2018
Procedures 1305 PR.04 Unallowable Costs June 30, 2017
Procedures 1305 PR.05 Reclassification and Transfer of Funds April 25, 2014
Procedures 1305 PR.06 Reclassification and Transfer of Funds - CENTRAL August 19, 2014
Forms 1306 FR.01 Cost Sharing Approval Request April 4, 2018
Policies 1306 Cost Sharing on Sponsored Projects May 25, 2017
Policies 1308 Program Income Associated with Sponsored Projects June 6, 2017
Procedures 1315 PR.03 Salaries Above a Sponsor Imposed Rate Cap and Other Program Salary Limitations June 26, 2017
Procedures 1315 PR.04 Effort Reporting September 6, 2018
Guides 1316 GD.01 Effort Percent/Calendar Month Conversion Tables November 30, 2016
Policies 1403 Charging of Administrative and Clerical Salaries and Certain Other Expenses to Federal Funds June 20, 2017
Policies 1405 Charging of Facilities and Administrative Type Expenses to Non-Federal Sponsored Projects June 6, 2017
Procedures 1410 PR.01 Internal Service Providers: Registration and Annual Renewal January 18, 2011
Procedures 1410 PR.02 Internal Service Providers: Rate Calculations March 11, 2014
Procedures 1410 PR.03 Internal Service Providers: Accounting and Billing March 11, 2014
Forms 1410 FR.13 Internal Service Providers: Registration May 31, 2018
Forms 1410 FR.14 Internal Service Providers: Rate Calculation (Manual) May 31, 2018
Policies 1410 Internal Service Providers June 13, 2013
Procedures 1415 PR.01 Allocating the Cost of University Services February 6, 2012
Policies 1415 Allocating the Cost of University Services February 3, 2012
Policies 1501 University Auditing February 1, 2006
Policies 1601 Information Access and Security April 16, 2013
Policies 1613 Electronic Signatures and Records December 9, 2014
Procedures 2100 PR.02 External Sales Approval Process September 7, 2018
Forms 2100 FR.01 External Sales Approval Request - Short Form September 7, 2018
Policies 2100 Revenue Principles, General August 7, 2018
Forms 2100 FR.02 External Sales Approval Request - Standard Form September 7, 2018
Procedures 2100 PR.01 Executing Revenue Agreements July 6, 2017
Forms 2100 FR.03 External Sales Annual Reapproval Form September 7, 2018
Forms 2100 FR.04 External Sales Compliance Checklist September 7, 2018
Policies 2200 Gifts to the University June 2, 2017
Procedures 2200 PR.01 Gifts Processing and Stewardship June 2, 2017
Forms 2200 FR.01 Donee Information Return (IRS Form 8282) April 26, 2017
Forms 2200 FR.02 Noncash Charitable Contributions (IRS Form 8283) April 26, 2017
Policies 2201 Gifts from External Parties to Employees August 16, 2006
Forms 2203 FR.08 YSM - Request to Set-Up or Add to a University Fund Functioning as Endowment (UFFE) August 1, 2018
Forms 2203 FR.09 YSM - Request to Decapitalize an Existing University Fund Functioning as Endowment (UFFE) August 1, 2018
Policies 2203 University Funds Functioning as Endowment (UFFEs) June 2, 2017
Procedures 2203 PR.01 Establishing and Liquidating a University Fund Functioning as Endowment (UFFE) June 2, 2017
Forms 2203 FR.10 Request to Set Up a New Gift July 2, 2017
Forms 2203 FR.03 Request to Reinvest Unspent Endowment Income to Principal June 2, 2017
Forms 2203 FR.04 Request to Set-Up or Add to a University Fund Functioning as Endowment (UFFE) August 1, 2018
Forms 2203 FR.05 Request to Decapitalize an Existing University Fund Functioning as Endowment (UFFE) August 1, 2018
Forms 2203 FR.06 Request to Close Spendable Gift June 2, 2017
Forms 2203 FR.07 YSM - Request to Reinvest Unspent Endowment Income to Principal June 2, 2017
Guides 2801 GD.01 Deposits of Sponsored Project Payments April 10, 2018
Forms 2801 FR.02 Money Transfer Form June 22, 2017
Policies 2801 Depositing and Recording University Funds June 22, 2017
Procedures 2801 PR.01 Recording and Depositing Cash Receipts May 23, 2017
Procedures 2801 PR.02 Patient Account Collections in Clinical Practices June 20, 2017
Forms 2805 FR.01 Cash Sale Worksheet June 22, 2017
Policies 2805 Establishing and Maintaining University Bank Accounts May 25, 2017
Forms 2810 FR.02 Sales Tax Report August 8, 2017
Procedures 2810 PR.01 Sales Tax Collection April 21, 2008
Forms 2815 FR.01 Petty Cash Voucher June 22, 2017
Forms 2815 FR.02 Petty Cash Quick Voucher June 22, 2017
Forms 2815 FR.03 Petty Cash Fund Request June 22, 2017
Forms 2815 FR.04 Petty Cash Replenishment June 22, 2017
Policies 2815 Petty Cash Funds May 23, 2017
Forms 2815 FR.05 Mileage Record November 1, 2011
Procedures 2815 PR.01 Administering a Specialized Petty Cash Fund May 23, 2017
Policies 2820 Acceptance of Credit & Debit Card Payments May 21, 2018
Procedures 2820 PR.01 Payment (Credit & Debit) Card May 21, 2018
Procedures 3101 PR.01 Expenditure Item Date February 1, 2006
Forms 3205 FR.04 Application for IRS Individual Taxpayer Identification Number (IRS Form W-7) May 31, 2017
Forms 3205 FR.05 Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding and Reporting (Individuals)(IRS Form W-8BEN) May 31, 2017
Forms 3205 FR.06 Request for Taxpayer Identification Number and Certification (IRS Form W-9) May 31, 2017
Forms 3205 FR.07 Application for a Social Security Card (SSA Form SS-5) May 31, 2017
Procedures 3215 PR.02 Yale Expense Management (PCard and Out-of-Pocket Expenses) July 1, 2017
Forms 3215 FR.07 Request to Delegate Authority to Prepare Expense Reports and Spend Authorizations July 13, 2017
Procedures 3215 PR.03 Yale Spend Authorization (Cash Advance) July 1, 2017
Forms 3215 FR.09 120-366 Day Taxable Expense Reimbursement April 6, 2018
Policies 3301 Travel on University Business February 2, 2018
Procedures 3301 PR.02 Obtaining Cash for Yale Activities Abroad December 10, 2014
Policies 3302 Business Meals, Entertainment, and Other Social Events February 25, 2014
Policies 3303 Gifts from University Funds May 16, 2016
Policies 3305 Expense Advances May 4, 2018
Forms 3401 FR.01 Wire Payment Setup Form January 18, 2018
Procedures 3401 PR.06 Requesting a Wire Transfer July 20, 2018
Forms 3401 FR.04 Centralized Billing Account Maintenance January 18, 2018
Forms 3410 FR.02 Athlete or Entertainer Request for Waiver of Withholding (Form CT-590) August 7, 2017
Policies 3410 CT Income Tax Withholding for Nonresident Athletes and Entertainers July 20, 2015
Procedures 3410 PR.01 Obtaining Exemption or Reduced Rate of Withholding for CT A&E Tax June 1, 2011
Forms 3410 FR.01 Athlete or Entertainer Request for Reduced Withholding (Form CT-588) August 7, 2017
Policies 3411 Joint Venture June 30, 2009
Policies 3415 Payments to Individuals Who Are Neither Citizens nor Permanent Residents of the United States August 19, 2009
Forms 3415 FR.01 International Information Form (IIF) October 26, 2009
Guides 3415 GD.01 Description of Forms Associated with Payments to Individuals Who Are Neither Citizens Nor Permanent Residents of the United States (GD.01) September 7, 2005
Forms 3415 FR.02 Exemption From Withholding on Compensation for Independent (and Certain Dependent) Personal Services of a Nonresident Alien Individual (IRS Form 8233) August 4, 2017
Guides 3415 GD.02 Commonly Used Immigration Status Categories Associated With Individuals Who Are Neither Citizens Nor Permanent Residents of the United States (GD.02) September 7, 2005
Forms 3415 FR.04 T-100 July 1, 2000
Guides 3415 GD.04 Nonresident Alien Reporting and Withholding Table Income Tax Treaty Benefit Claimed Associated With Individuals Who Are Neither Citizens nor Permanent Residents of the United States (GD.04) September 7, 2005
Forms 3505 FR.02 Out-of-State (International) Hiring & Placement Questionnaire August 3, 2018
Policies 3505 Out-of-State Work Locations August 3, 2018
Procedures 3505 PR.01 Out-of-State Work Locations Procedure August 3, 2018
Forms 3505 FR.01 Out-of-State (U.S.) Hiring & Placement Questionnaire August 3, 2018
Forms 3510 FR.01 Relocation Reimbursement Request May 9, 2018
Policies 4202 Capitalization, Depreciation, and Disposal of Capital Assets January 25, 2018
Policies 4203 Accounting for Internal Use Software Costs, Including Cloud-Based Computing Arrangements, and Business Process Reengineering March 24, 2017
Procedures 4203 PR.01 Accounting for ITS Capital Projects June 28, 2017
Policies 4209 Equipment June 2, 2017
Forms 4209 FR.04 Request for Capitalization of MEI Composite Assets and Accessories May 18, 2017
Forms 4209 FR.05 Capital Equipment Transfer Release Form June 1, 2017
Procedures 4209 PR.04 Moveable Equipment Accessories and Composite Assets June 2, 2017
Procedures 4209 PR.05 Capital Equipment Under Departing Prinicpal Investigator (PI) Jurisdiction June 2, 2017
Procedures 4209 PR.06 Transfer, Sale, or Release of Equipment to Other Institutions or Third Parties June 2, 2017
Procedures 4209 PR.02 Non-Building Capital Project Requests June 28, 2017
Procedures 4209 PR.01 Fabricated Moveable Equipment June 2, 2017
Policies 4210 Valuation of Inventory December 18, 2013