1010 Training and Other Requirements

Responsible Official: 
Deputy Provost for Health Affairs and Academic Integrity
Responsible Office: 
Provost
Effective Date: 
September 1, 2006
Revision Date: 
September 12, 2016

Scope

This Policy:

  • Articulates the University’s expectations regarding training and other requirements;
  • Articulates to whom this Policy applies; and
  • Establishes roles and responsibilities for ensuring compliance with training and other requirements.

Policy Statement

Individuals who engage in a Yale activity or who are authorized to enter a Yale work environment, including visitors, must comply with training and other requirements in accordance with applicable laws, external standards, and University policies.

Reason for the Policy

This Policy is established to promote a safe University environment and to ensure that the University fulfills its legal and external sponsor obligations.

Requirement

A requirement is an action (e.g., a training, attestation, disclosure, immunization) mandated by law; an external standard; or by University policy, that an individual must complete to participate in a Yale activity or to enter a Yale work environment. Examples of external standards include accreditation standards and national safety standards that Yale has adopted.  Please see 1010GD.01 Matrix of University-Wide Requirements for more information.

This Policy generally does not apply to career development, continuing education, or other training/education not related to compliance with laws, external standards and University policies. 

Requirement Owner

A requirement owner is the University official or organization with the responsibility for oversight of a requirement (as defined above).

Policy Sections

1010.01       Oversight of Requirements

The University will identify, through policies established by the relevant requirement owners, specific requirements applicable to individuals engaging in Yale activities or entering University work environments.  

In addition, the University will monitor individuals’ completion of assigned requirements and will take appropriate action, including escalation to the appropriate University officer, to ensure compliance with related University policies.

1010.02       Completion of Requirements

Faculty, staff, and other individuals (as defined by this Policy) must complete training and other requirements in accordance with applicable University policies.  Failure to complete assigned requirements may result in no longer being allowed to participate in certain activities and/or corrective action and/or disciplinary consequences as established by the policies of the relevant requirement owners and other appropriate University policies.

1010.03       Applicability

This Policy applies to all faculty, staff, students, and other individuals who participate in Yale activities or who enter Yale work environments.  Please see 1010 GD.01 Matrix for University-Wide Requirements for more information.

Roles and Responsibilities

Requirement Owner

  • Understand the applicable laws, external standards, or University policies and related sponsor requirements that apply to their specific programs.
  • Develop, maintain, and communicate University policies and procedures that define the scope, reason, application, implementation, and appropriate timelines for compliance with their requirements.
  • Develop and maintain effective mechanisms for identifying individuals subject to the requirement.
  • Develop and maintain mechanisms for accurately associating requirements to the individuals subject to the requirement.
  • Communicate requirements to the unit, supervisor, and/or relevant individuals.
  • Develop methods to provide the necessary training or other requirement.
  • Develop and maintain accurate records of requirement completion.
  • Develop and maintain effective processes to monitor and report on compliance with requirements.
  • Proactively address compliance issues in collaboration with supervisors, principal investigators, lead administrators, and individuals subject to the requirement.
  • Escalate, as appropriate, compliance, resource, and authority issues to department chairs/heads, directors, deans, and other relevant University leadership.
  • Recommend corrective actions and sanctions in consultation with appropriate University offices or committees.

Individuals subject to training or other requirements (Faculty, Staff, Students, and Others)

  • Understand the requirements that are applicable to their Yale activities or the work environments that they enter.
  • Complete requirements within the prescribed deadlines. 
  • Monitor and verify the completion status of training and other requirements.

Supervisors, Managers, and Principal Investigators

  • Assure that the relevant requirements are associated with the individuals under their direction.
  • Ensure that requirements have been clearly communicated to the individuals under their direction.
  • Ensure that individuals under their direction have completed all relevant requirements in accordance with University policy.
  • Provide hands-on instruction specific to the workplace.

Lead Administrators

  • Monitor the completion of requirements for individuals in their unit.
  • Support Requirement Owners in communicating requirements to individuals in their unit. 
  • Provide information on relevant requirements to their unit’s individuals.
  • Work with supervisors, managers, principal investigators, Requirement Owners, and Human Resource Generalists to resolve recordkeeping and compliance issues.
  • Escalate unresolved compliance issues to their relevant department chair/head, director, dean, or provost.

Human Resources Generalist

  • Assist supervisors with identifying relevant requirements for the individuals under the supervisor’s direction.
  • Guide supervisors, managers, and principal investigators to take appropriate action when individuals under their direction do not complete any relevant requirement.
  • Guide lead administrators, deans, directors, and department chairs/heads to appropriate resolution of compliance issues.

Deans, Directors, Department Chairs/Heads

  • Exert appropriate authority to enforce and achieve compliance in accordance with procedures established by the officers or within the realm of their authority.
  • Escalate unresolved compliance issues to their relevant director, dean, or provost.

University Officers

  • Establish reasonable standards and expectations for compliance.
  • Allocate resources to support compliance standards.
  • Enforce compliance standards.