3503 Staff Workplace Policies

Responsible Official: 
Vice President for Human Resources & Administration
Responsible Office: 
Human Resources
Effective Date: 
November 15, 2017
Revision Date: 
November 15, 2017

Policy Sections

     3503.100 Employment

          3503.101 Yale University’s Equal Opportunity Statement

          3503.102 Categories of Employment

          3503.103 Hiring of Regular Employees

          3503.104 Hiring of Temporary Employees

          3503.105 Orientation

          3503.106 Probationary Period

          3503.107 Termination

          3503.108 Reduced Hours

          3503.109 Unemployment Compensation

3503.200 Compensation Policies

          3503.201 Compensation Objectives

          3503.202 Job Evaluation Process

          3503.203 Job Summaries

          3503.204 Job Titles

          3503.205 Position Analysis and Design

          3503.206 Establishing and Administering Salaries

          3503.207 Annual Salary and Performance Management Review

          3503.208 Appeals Process

3503.300 Paid Time Off and Leaves

          3503.301 Holidays

          3503.302 Recess Days

          3503.303 PTO (Paid Time Off) Days

          3503.304 Sick Time and Short-Term Disability

          3503.305 Flex Days

          3503.306 Additional Paid Time Off

          3503.307 Long-Term Disability (LTD)

          3503.308 Workers’ Compensation

          3503.309 Leaves of Absence

3503.400 Health and Wellness Benefits

          3503.401 Health Insurance (Medical, Dental, Vision, Healthcare Flexible Spending)

          3503.402 Life Insurance

          3503.403 Groups Insurance Plans at Retirement

          3503.404 Flexible Spending Accounts

          3503.405 Scholarship Plan for Sons and Daughters

          3503.406 Death Benefit

          3503.407 Benefits at Termination (Resignation or Discharge)

          3503.408 Appeals

3503.500 Retirement Plans Policies

          3503.501 Yale University Retirement Account Plan (YURAP)

          3503.502 Yale University Retirement Plan for Staff Employees (Staff Pension Plan)

          3503.503 Yale University Tax Deferred 403(b) Savings Plan

3503.600 Workplace Practices Policies

          3503.601 Work Schedules

          3503.602 Employee Records

          3503.603 Employee Health and Safety

          3503.604 Use of University Services and Property

          3503.605 Conflict of Interest

          3503.606 Patent Policy

          3503.607 Copyright Policy

          3503.608 Reimbursement for Expenses

          3503.609 Campus and Workplace Violence Prevention

3503.700 Staff Development Policies

          3503.701 Promotion and Transfer Opportunities

          3503.702 Training and Development Programs

          3503.703 Tuition Assistance for Non-Yale Courses or Degree Programs

          3503.704 Program for Non-Degree Students

          3503.705 Yale Summer Session

          3503.706 Auditing Courses at Yale (Non-Credit Courses)

          3503.707 Graduate School of Arts and Sciences Program

          3503.708 Spousal Tuition Benefit

3503.800 Performance and Conduct Policies

          3503.801 Performance Management

          3503.802 Meeting Performance and Conduct Standards

          3503.803 Adhering to Conduct Expectations

3503.900 Staff Dispute Policies

          3503.901 Dispute Policy

          3503.902 Informal Review

          3503.903 Formal Dispute Hearing

Scope

These policies of the University govern aspects of employment for managers and professional staff.  These policies also govern aspects of employment for administrative staff not covered by union contracts.  This edition supersedes all previous manuals and revisions.

Policy Statement

The University reserves the right to modify any of these policies at any time and to amend the terms of any staff member benefit described herein, in accordance with the terms of the applicable plan document.  Specific questions should be directed to the Employee Service Center.  Additional questions about department-specific practices not covered in these policies should be directed to a supervisor or business office.

Distribution

These policies are available on the Yale Policy website and are meant to be a resource for each department or unit of the University where managers and professional staff are employed.

Administration of Policy

The Vice President for Human Resources & Administration has overall responsibility for implementation and administration of these policies.  On a day-to-day basis, however, it is the responsibility of each staff member covered by these policies to administer and follow all policies in a manner consistent with the provisions of these policies.

Changes in Policy

Changes in policy must be authorized by the Vice President for Human Resources & Administration, or by his or her designee.

The University reserves the right to change policies and practices regarding pay, benefits, or other conditions of employment outlined in these policies with or without prior notice.  Changes and updates will be made electronically and communicated accordingly.

These policies are not intended to be a contract of employment.

Reason for the Policy

It is intended that these policies be used for the following purposes:

  • to provide uniform reference for administering the human resources functions of the University as they affect managerial and professional staff;
  • to promote a uniform understanding and application of University policies;
  • to identify areas of responsibility for administering and monitoring human resources policy; and
  • to provide a reference tool for use in orientation sessions of new staff and incumbents.

Policy Sections

The following sections encompass Yale’s general employment policies.

The University is committed to basing judgments concerning the employment of individuals upon their qualifications and abilities and affirmatively seeks to attract to its staff qualified persons of diverse backgrounds.  In accordance with this policy and as delineated by federal and Connecticut law, Yale does not discriminate in employment against any individual on account of that individual’s sex, race, color, religion, age, disability, status as a veteran, or national or ethnic origin; nor does Yale discriminate on the basis of sexual orientation or gender identity or expression.

University policy is committed to affirmative action under law in employment of women, minority group members, individuals with disabilities, and covered veterans.

Inquiries concerning these policies may be referred to the Office for Equal Opportunity Programs or your Human Resources Generalist.

The University has the following categories of employment pertaining to staff positions:

102.1 Regular Employment

Regular employment consists of continuous, predictable, and scheduled employment of six months’ duration or longer.  Positions at Yale require, at a minimum, a high school diploma or GED.  Regular employment may be:

102.1a Full-Time or Part-Time

Full-time employment consists of a regular schedule of 37.5 hours per week (or 40 hours per week if so specified at time of hire or if there is prior departmental practice).  Part-time employment consists of a regular schedule of less than 37.5 hours per week.  Staff members regularly scheduled to work 20 or more hours per week are eligible for participation in most benefit programs, subject to any specific requirements described under each benefit program.

102.1b Term

Term or fixed-duration employment is of at least six months’ duration, but with a date of termination specified at the time of hire or extension.  Term appointments may be governed by specific terms and conditions of employment established at the time of hire and approved by Human Resources or the Office of the Provost.  Such terms and conditions of employment specific to a position take precedence over any general University policies.  Unless eligibility for benefits is modified by the specific terms of the appointment, term staff members scheduled to work 20 or more hours per week are eligible for participation in most employee benefit programs.

102.1c Part-Year

Salaried staff members may be employed for successive terms of 9, 10, or 11 months. Departments or schools may designate any vacant position as a part-year position.  An existing filled position may be converted from a 12-month to a part-year position with the incumbent having the option of continuing in the part-year position or giving up his or her position and electing layoff status.

Part-year staff members scheduled to work 20 or more hours per week are eligible for participation in most employee benefit programs.  Access to paid time-off programs will be on the same basis as for other regular staff members with proration as described under the PTO and Sick Time policies. At the end of a renewable part-year appointment, the staff member is placed on an unpaid seasonal leave of absence. During the leave, a staff member may continue to participate in University programs, including benefit programs, upon payment of the applicable employee contributions or fees.

102.1d Dual Faculty/Managerial and Professional Appointments

When an individual holds both a faculty appointment and an appointment as a managerial or professional staff member, each appointment is designated as either primary or secondary. Ordinarily, one appointment is primary and the other(s) secondary, but, in some cases, there can be more than one primary.  The designation is determined at the time the second appointment is made, but it may be changed at any time by the Dean or Provost (provided that if a faculty appointment is designated as secondary in the middle of the appointment term, the designation does not become effective until the expiration of a period equal to the required notice of non-reappointment for that appointment.)  If no formal designation is made, a faculty appointment in a ladder or research rank is presumed to be primary in a dual faculty/managerial and professional appointment, and a faculty appointment in an adjunct, clinical or other instructional rank is presumed to be secondary in a dual faculty/managerial and professional appointment.

The termination of a primary appointment, whether faculty or managerial or professional, automatically terminates a secondary dual appointment, without any notice, grievance or similar rights with respect to the secondary appointment otherwise afforded by the Faculty Handbook or these policies.  Termination of (or other human resources action directed toward) the secondary appointment only will not automatically affect the primary appointment.  In such instances, the individual will be extended such notice, grievance and similar rights as are afforded by the Faculty Handbook or these policies with respect to the secondary appointment.  The termination of a secondary appointment is effective at the same time as the termination of the primary appointment, except that if the individual is teaching a course during the current academic term under the secondary appointment, the termination is effective at the end of the academic term.

See also Section 3503.107.4.

102.2 Temporary Employment

Temporary employment consists of employment of less than six calendar months’ duration, whether continuous or discontinuous, with a regular, intermittent or non-standard schedule. Temporary employment can be full-time or part-time.  Temporary employees are not eligible for most benefits, including holiday or recess pay. 

See also Section 3503.104.

102.3 Consultant/Independent Contractor

Persons in this category are not University employees.  They are on contract to provide services to a department or unit and are typically self-employed or paid by another organization. Guidelines, including the definition of a contract worker prescribed by the Internal Revenue Service, are described in the Controller’s Office policy regarding Consultants and Professional Services Agreements.

103.1 Recruitment and Selection of Candidates for Regular Positions

The recruitment of candidates for regular positions in the University is the mutual responsibility of Human Resources and the department that has the job opening.  A department that wishes to engage an outside search firm on a contingent or retained basis must consult Human Resources in advance of making such an arrangement.  Only designated members of the Procurement Department can represent the University and officially enter into contract with a vendor after an agreement has been reached between Human Resources and the hiring department.

Responsibility for justifying the necessary staffing level and job responsibilities assigned to a position resides with the hiring department.  The hiring department is also responsible for identifying and communicating to Human Resources any apparent potential safety and health hazards or dangerous substances associated with the work of the position.

Offers of employment to external candidates, and under certain circumstances internal candidates, are contingent upon the successful completion of a background check.

No department at Yale may make a direct offer or arrangement to hire, promote, establish, or change a wage or salary, or to provide any level of benefits without prior review and approval by Human Resources, which is responsible for reviewing the job specifications, the job classification, the proposed salary or wage rate, and the level of benefits, as well as determining the need for an affirmative action search and for posting each position.  The Payroll Department is instructed to accept and process only those requests for initial payment or change of salaries and wages that have received prior approval from Human Resources.  Requests lacking such approval will be returned to the requesting department.

103.1a Classification for Regular Positions

Responsibility for classification of job responsibilities within the salary grade or band system resides with the Compensation Department of Human Resources.  Prior to posting, the Compensation Department will review all requests for positions new to the University and positions with major changes in scope, and will establish the appropriate title and grade/band.

See also Section 3503.201.

103.1b Posting and Advertising for Regular Positions

Listings of vacant regular positions of 20 or more hours per week are available online at Yale’s web-based job posting and recruitment system, STARS.  Postings are normally maintained for at least one week and no offer of employment may be made until the end of the posting period.

Examples of positions which may not be posted include:

  • positions that require credentials consistent with a faculty or decanal appointment.
  • authorized reorganizations that substantially change or eliminate the functions of a specific position but create others for the incumbent.
  • positions that were filled within the last 30 calendar days but subsequently became vacant.

Advertising, when deemed necessary, must conform with University EEO policies and is prepared in cooperation with the requesting department and is approved and typically placed by the Staffing and Career Development Department.  Based on certain factors, the Staffing and Career Development Department will decide if the advertising costs for a position are borne by the hiring department or by Human Resources.

103.1c Screening and Referral for Regular Positions

The Staffing and Career Development Department conducts the initial screening of applicants and refers qualified candidates to the appropriate hiring departments.  Applicants for employment may be asked to provide evidence of competence in one or more skills required for the job being sought.  All applicants for a specific position must be evaluated on the same job-related criteria and may be required to demonstrate mastery of the skills required.  No screening or placement tests may be given without the specific authorization of Human Resources.

103.1d Offer of Employment for Regular Positions

No firm or formal offer of employment to an individual may be made until mutually agreed upon by the Staffing and Career Development Department and the requesting department.  The Staffing and Career Development Department will extend the formal offer of employment to the successful candidate and outline benefits, financial details, and conditions of employment.  Offers of employment to external applicants, and under certain circumstances internal applicants, are contingent upon the successful completion of a background check.  The requesting department is notified when the applicant’s response to the offer becomes known.  In certain situations, if the Staffing and Career Development Department approves, the hiring department may be permitted to extend the offer after the salary is agreed upon.

In Connecticut, as in most states, in the absence of a specific contract of employment that provides otherwise, employment is “at will” and both staff members and the University have the right to terminate the employment relationship. 

103.1e Background Check

The University requires all new staff, including temporary employees, to complete a background check.  Background checks may also be required on current staff members moving into areas in which certain checks are required.  Candidates subject to the background check cannot begin working at Yale (or, if internal, in their new role) until the background check has completed with a result that meets Yale policy.  The background check is generally to be completed after a conditional offer of employment has been made and accepted.

The background check includes the following:

  • criminal history
  • employment verification
  • academic verification
  • motor vehicle records check for positions requiring driving
  • credit history check for positions involving handling of money, access to financial records, and/or access to special collections consistent with state law

Generally, hiring supervisors are not provided any details revealed in criminal, motor vehicle or credit checks, but instead are informed if the candidate passes or fails the check.

A record of criminal or motor vehicle conviction does not preclude employment.  The review committee makes an individualized assessment in each case by evaluating the relevance of the criminal history of the candidate to the position for which the candidate is being considered.

103.1f Offer Letter

After a verbal offer of employment has been accepted, a written offer letter will be sent to the candidate that is contingent upon the successful completion of all necessary pre-employment screenings, which includes a background check.  This letter will confirm the terms of employment, including title, salary and start date.  Offer letters that include relocation assistance and/or a signing bonus must be signed and returned by the candidate.

See also 3503 PR.06.

103.2 Special Employment Situations

103.2a Employment of Foreign Nationals

In order to ensure that the individual’s visa status allows him or her to work in the United States, hiring units must consult with the Office of International Students and Scholars (OISS) prior to making a commitment of employment to an individual who is neither a U.S. citizen nor U.S. permanent resident.  OISS will advise the department if the appointment is possible.

Foreign nationals must maintain, at all times, a valid immigration status that permits working at Yale University.  Employment may be terminated by the University at any time an individual does not have valid work authorization.

103.2b Employment of Relatives

There is no prohibition against employing two members of the same family in the same school or department.  However, no member of a family may participate in decisions affecting the terms and conditions of employment of another member of the family, including supervision of said family member.

If an applicant is related to another individual within the hiring department, the hiring supervisor and staff member must notify the Staffing and Career Development Department.  Prior to any job offer to that individual, the appropriate dean, director, or chair must give approval.

Subsequent to the hire of a candidate related to another staff member in the same department, any decision affecting any aspect of employment (for example, supervision, transfer, promotion, salary, termination) will be made by disinterested and qualified supervisory employees chosen by and acting under the direction of the appropriate dean, director, or chair.

103.2c Employment of Minors

There are statutory restrictions on the employment of students and others under the age of eighteen (18).  Minors under the age of eighteen may be employed, subject to the successful completion of a background check, but may not be permitted to work in any occupation which is pronounced hazardous to health by the State Department of Health Services or pronounced hazardous in other respects by the State Department of Labor.  There are also restrictions on work activities permitted for minors under sixteen (16) years of age.  Such minors may not be employed in work involving, among other things, moving machinery, dangerous acids, gases or explosives, scaffolding, continuous standing, or locations which contain radiation-producing equipment.

Sixteen- and 17-year-olds working in certain occupations must secure certificates (work permits) from their school or from the Board of Education.  The hiring department must retain a copy of the teenager’s employment certificate.  Working papers are not transferable from one employer or department to another.  Each new assignment requires a separate set of working papers.

In many cases where minors are employed, the following restrictions must be observed:

  • Working hours are limited by State law to a normal day. No work may be scheduled before 6 a.m. or after 10 p.m.
  • During the orientation procedure, all apparent potential hazards in the job or surroundings must be pointed out and identified.
  • The minor should be instructed to report even the slightest injury to their immediate supervisor.
  • After the minor has had a chance to become familiar with the job, a check should be made to determine that he or she is performing it safely.
  • If a minor is employed in a lab, the Policy Governing Minors in Yale Laboratories must be followed.

There are other special situations, including, for example, cooperative work-study programs, in which minors may be employed under specified conditions.  All employment of minors must be approved in advance by the Staffing and Career Development Department.

Employee Health and Environmental Health & Safety are available to assist in the examination of any work area for potential hazards.

103.2d Employment of Retirees

Former employees in retirement status who are receiving pension payments under the Yale University Retirement Plan for Staff Employees may be re-employed, but their work schedules should be set up and carefully monitored by the Retiree to avoid any unintended suspension of monthly pension payments.

If the Retiree is re-employed in a benefit level position, pension payments will be suspended upon rehire and will remain suspended until he/she subsequently retires from this period of service. 

If the Retiree is re-employed below benefit level, the pension payments will be suspended once the hours worked in a fiscal year exceed 900.  The suspension of payments will begin as of the first of the month after attaining 900 hours worked, and continue for the remainder of the fiscal year.

Pension payments will resume when the Retiree contacts Yale’s pension administrator to re-commence the pension benefit.   The pension benefit will be adjusted to account for previous payments and additional benefit credits (if applicable) and may result in a lower pension benefit.

See also Section 3503.206.1.

103.3 Health and Safety

103.3a Job Safety Notification

Yale University is committed to providing a place of employment that is safe. In the case of an emergency, staff members are encouraged to contact Emergency Management.

All applicants for a position are to be notified in writing of potential hazards and hazardous substances during the job interview with the hiring supervisor.  The hiring supervisor will respond to questions a job applicant may have about potential safety and health hazards and will advise him or her of the health and safety procedures and measures in the work unit.

Once hired, staff members may be required to attend or participate in special safety training programs to help ensure safe work operations.  Participation in any mandatory training, including any required refresher classes, is an ongoing job responsibility for affected staff members.

Staff members who have concerns or questions about potential or perceived safety and health hazards in the workplace are encouraged to contact Environmental Health & Safety.

103.3b Physical Examination and Medical Assessments

Offers of employment may be conditional, pending the results of physical examinations, assessments, or drug tests.  Such examinations may test an individual’s ability to perform, with reasonable accommodation if necessary, functions that are job-related and consistent with business necessity.  Offers of employment may be revoked to individuals whose physical examination, assessment or drug test results are deemed unsatisfactory by Employee Health.

103.4 Relocation Policy

A hiring department may cover full or partial relocation expenses for staff members who move a distance of more than 50 miles from the campus to within commuting distance of New Haven. The departmental business office and the Staffing and Career Development Department will work together with guidance from Yale Relocation and Logistics Management to assess and approve an appropriate relocation allowance.  The staff member must move within one year from the date of hire for the relocation allowance to be considered a qualified moving expense.  More comprehensive information about potential financial and logistical support for the relocation of a newly hired staff member, including procedures, general guidelines, covered expenses, and forms, can be found at the Relocation and Logistics Management website.

At the discretion of the hiring department, a staff member who is terminated or voluntarily resigns from the University with less than one year of service may be liable for repayment of the relocation cost.

The Staffing and Career Development Department can support the recruitment efforts of departments looking to hire temporary workers.  Departments may directly hire qualified individuals for temporary employment only after having submitted a Temporary Requisition Submittal Form to the Staffing and Career Development Department.  Transfers from the temporary to the regular payroll will be treated as new hires subject to the provisions of the background check program, standard classification, posting, and recruiting procedures of Human Resources.  All temporary employees are required to complete a pre-employment screening prior to starting their assignment at Yale.  Temporary employees hired through an agency are required to have successfully completed a pre-employment screening performed by their agency that is consistent with University policy.

Once hired, temporary employees may be required to attend or participate in special safety training programs to help ensure safe work operations.  Participation in any of these programs or other related mandatory training, including any required refresher classes, is an ongoing job responsibility for affected temporary employees.

See also Section 3503.103.1e.

104.1 Student Employment

The Student Employment Office is a section of the University Financial Aid Office.  The office, in response to requests from schools and departments, refers students for employment openings throughout the University.  Financial aid students are given priority in placement.

See also 3503 PR.17.

104.2 Outside Agencies

An alternative source for temporary employees may be an outside employment agency. Departments should consult with the Staffing and Career Development Department regarding standard procedures.  All temporary work that is filled by an outside agency requires a University requisition; the requisition request must be approved through STARS.  In using the service, the department makes direct contact with the agency and is responsible for payment.  Questions regarding specific contractual arrangements, particularly in the case of new agencies, should be directed to the Procurement Office.  Temporary employees hired through an agency are required to have successfully completed a pre-employment screening performed by their agency consistent with University policy.

See also Temporary Staffing.

New employees will be scheduled to attend an orientation conducted by Human Resources.

The hiring supervisor is responsible for the orientation of the new staff member to the job, the job site, potential job-related hazards, and appropriate safety practices including training.

105.1 Identification Card

A new staff member should arrange to secure an identification (ID) card as soon as possible after starting work.  The card is the bearer’s official University identification and should be carried at all times.  It is to be shown upon request to any University employee whose assigned responsibilities authorize him or her to verify employee identification.

The card is not transferable and is the property of Yale University.  It must be returned to the University upon termination of employment.

Loss of a card should be reported immediately to the I.D. Center.  A replacement fee will be charged.

105.2 Official Forms and Updates

New staff members will be asked to complete forms for payroll and benefit purposes, many of which can be completed online via the Yale portal at “My Pay and Info” or “My Benefits.”  Staff members are responsible for the continuing accuracy of their own information.

105.3 I-9 Form

To verify identity and employment eligibility, all new staff members must complete via Workday Section 1 of Form I-9 Employment Eligibility Verification no later than his or her first day of employment, as required by federal law.  New staff members must then visit one of the I-9 Centers located around campus with their proper documentation to verify their identity.  The University must complete and sign Section 2 of Form I-9 within 3 business days of the date of the employee’s date of hire.

All newly-hired staff members of the University are on probationary status for the first 90 calendar days of their employment.  This is an opportunity for the staff member and supervisor to evaluate the suitability of the placement.  During this period, the supervisor should endeavor to train and orient the staff member in such a manner as to promote satisfactory performance. If for any reason, at or before the end of this period, the staff member is dissatisfied with the job, or it is determined that he or she is not suited for the work, he or she may resign or be terminated by the University.

Staff members who move to or from different job categories, or between benefit and non-benefit level positions, may be required to pass an additional 90-day probationary period.

If a new staff member is performing marginally or appears unsuited to the job, the supervisor should discuss the situation with the appropriate Human Resources Generalist before the expiration of the probationary period.  The probationary period may be extended once for up to 90 additional calendar days with the approval of Human Resources.  A supervisor requesting an extension of the probationary period must do so in writing prior to the end of the original 90-day period, specifying the reason for the request.  The staff member must be advised of the extension and the reasons for it.

When a supervisor proposes to terminate a probationary employee, the nature of the unsatisfactory performance/ behavior should be clearly explained to the Human Resources Generalist who will normally process the termination without investigation, unless there is a basis for further inquiry.  In any event, other disciplinary and termination procedures discussed in later sections do not apply to probationary employees.  Probationary employees are not eligible to use the staff grievance procedure.

106.1 Probationary Period for Transfers and Rehires

Staff members who have successfully completed a probationary period and who are transferring to or being promoted into a new position will not be subject to another probationary period.

Former staff members who are rehired will be considered new employees and will have another probationary period.  This rule will not apply to a former staff member who is rehired to the same job in the same department within one year after termination.

106.2 Benefit Status during Probationary Period

Staff members on probationary status, who are otherwise eligible, may enroll in benefit programs, and may use PTO and/or Sick days as soon as they are earned.  

106.3 Requests for Leave of Absence during Probationary Period

Unless otherwise required by law, staff members on probationary status are not eligible for a leave of absence under Yale’s Leaves of Absence policies; however, in extenuating circumstances, a request for a leave of absence may be granted by Human Resources in consultation with the staff member’s supervisor.  If a staff member on probationary status is granted a leave of absence, the probationary period may be extended for up to an additional 90 days once the staff member returns to work.  Paid time off is not accrued during probationary Leaves of Absence.

See also Section 3503.309.

Paid time off may not be used to extend a termination, with the exception being an active staff member who is retiring.

107.1 Retirement

The University’s retirement plans are described in Section 500.  Staff members planning retirement are encouraged to contact the Employee Service Center to arrange for a meeting 90 days prior to their planned retirement date.

See also Section 3503.500.

107.2 Resignation

Resignation is voluntary relinquishment of employment by a staff member.  When a staff member resigns from his or her position, the department should obtain a written resignation.

A regular staff member is expected to notify his or her supervisor of plans to resign as far in advance as possible, giving notice of at least one pay period.  Before leaving, the staff member must return all University property including keys, I.D. card, etc.

See also Section 3503.407 and 3503 PR.13.

107.3 Discharge

Discharge of staff member requires approval of the Department of Human Resources.  In most cases, the discipline procedure described in the Performance and Conduct section of these policies will be followed.

When notified of discharge, the staff member must return all University property and must leave the University premises by the date specified.

See also Section 3503.407 and Section 3503.800.

107.4 Layoff

Layoff status results from:

  • the elimination of a position of 20 hours or more per week, or
  • the reduction of such a position to less than 20 hours per week, or
  • the conversion of a 12-month position to a part-year position (9, 10, or 11 months).

Prior to the issuance of a formal notice of layoff to a staff member, the department’s decision to lay off a staff member must be approved by Human Resources.

A layoff is normally initiated by a department because of one or more of the following reasons:

  • a lack of work (for example, as a result of a reorganization, restructuring or elimination of work, or measures undertaken to improve the efficiency of the work unit).
  • a lack of funds (for example, as a result of a budgetary reduction, measures to achieve budgetary savings, or end of grant funding).

See also Section 3503.102.1 and 3503 PR.11.

107.4a Eligibility for Layoff Status

A non-probationary regular or term staff member scheduled to work 20 hours or more each week is eligible for notice of layoff and continuation of certain benefits and salary in the event of layoff. If the staff member has been unsuccessful in finding an alternative position during the period of notice, the staff member shall be considered on layoff status for a period of 18 months from the effective date of layoff.  If, during this period, the individual successfully secures another position at the University or is recalled into the same position, no break in service will have occurred.  All accrued sick time will be restored, and time previously worked will be bridged for the purposes of applying the policies on earned PTO, bonus vacation for long-term staff members, scholarship plan for sons and daughters, tuition assistance, and long-term disability.

Failure to return to work when recalled or when offered alternative employment deemed appropriate by Human Resources will result in cessation of layoff status, and further benefits under this policy will end.

New or transferring staff members who, at the time of their hire or transfer, are informed that their position is one of term or fixed duration employment, will not be eligible for layoff status when the stated terminal date is reached, unless subsequent to their hire, the original terminal date is shortened or hours of work are reduced to less than benefit level.  However, staff members in term or fixed duration appointments who have three or more years of continuous service on the date of layoff will be entitled to layoff status unless specifically stated otherwise in the terms of employment.

See also Section 3503.304.4.

107.4b Notice of Impending Layoff 

Staff members should be given written notice of an impending layoff as soon as possible but not less than 90 calendar days prior to the effective date.  If the department wishes to do so, the individual may receive pay in lieu of notice, but such pay should ordinarily not be for a period longer than 30 calendar days.  Exceptions must be approved by Human Resources.

Staff members given notice of layoff are not eligible for a merit increase.

107.4c Salary Continuation during Layoff

A laid off staff member shall be eligible to receive periodic salary continuation payments equal to one week’s salary for each completed year of continuous service as of the effective date of layoff as long as the layoff continues.  For prior breaks of service of three months or less, for any reason other than discharge for cause, completed service in a regular position will be credited in full for the purposes of salary continuation, except that this salary continuation shall not be provided a staff member with less than three (3) years of continuous service at the effective date of the layoff working in a term or fixed duration position of 20 or more hours of which the staff member has been notified at the time of hire or transfer.

107.4d Continuation of Benefits during Layoff

Health, dental and vision insurance will be available at active employee contribution rates to a laid off staff member as follows:

Health insurance coverage is based on one month of coverage for each complete year of continuous service to a maximum of six months.  A laid off staff member may thereafter continue health insurance coverage at full cost, plus 2% for administrative costs, for a combined total of 18 months (which includes the up-to-6-month period of continued health insurance coverage).

Participation in the non-contributory life insurance plan will continue through to the 90 day notice period.  Once salary continuation begins, the staff member may elect to have this benefit continue through an individual policy and direct payment arrangement.  Laid off staff members will receive a portability notice from the insurance company and must respond within 30 days in order to continue the coverage.  If the laid off staff member is age 70 or older, a conversion notice will be sent in lieu of the portability notice.  Although the amount of coverage continues, the premium rates will differ from those charged as an active employee.  Laid off staff members are eligible for coverage they elected while in active status.

Arrangements for continuation of benefits should be made through Human Resources.

107.4e Retirement Benefits during Layoff

Participation in both the Yale University Retirement Plan for Staff Employees or the Yale University Retirement Account Plan will be continued during the period covered by salary continuation.  The Yale University Retirement Account Plan is limited to employer contributions only; there are no employee contributions to the Yale University Retirement Account Plan during salary continuation.

Vesting credit for the full period of layoff shall be available to a participating member of the Yale University Retirement Plan for Staff Employees if all of the following conditions are met:

  • the staff member’s date of layoff was within a specified timeframe, as defined by the Plan, of the normal retirement date; and
  • the staff member returns to a position covered by the Plan within 18 months of the date of layoff; and
  • the staff member had not joined the Yale University Retirement Annuity Plan prior to layoff.

For up to one year, the salary and hours used to calculate pensions under the Yale University Retirement Plan for Staff Employees shall be considered on a “full-time equivalent basis” for a staff member whose hours have been involuntarily reduced below 20 hours per week.

107.4f Training and Counseling

Advice and counseling regarding job opportunities and placement services shall be provided to an eligible staff member through the Staffing and Career Development Department during the period of notice of layoff and the period thereafter during which the individual is on layoff status.

A regular full-time or part-time staff member whose schedule, because of operational needs, must be reduced to not less than 20 hours, will receive written notice of the change at least 30 calendar days prior to the effective date of the reduction, or at a time agreed to by the University and the staff member.

Reduction of a regular full-time or part-time staff member’s schedule to less than 20 hours entitles the staff member to layoff privileges.

See also Section 3503.107.4.

Yale staff members are covered by the Connecticut Unemployment Compensation Act. Determination of eligibility for Unemployment Compensation rests with the State Unemployment Compensation Board.

Questions regarding eligibility for payments should be directed to the Unemployment Compensation Division of the Connecticut Department of Labor.

The following sections encompass Yale’s general compensation policies.

Yale develops its compensation and classification programs with several goals in mind:

  • To attract and retain extraordinary talent.
  • To create appropriate salary structures based on the responsibilities and technical requirements of each position, and to establish salaries accordingly.
  • To award salary increases based on individual contributions and performance.
  • To pay salaries that are competitive with those of comparable positions at comparable employers, within comparable labor markets.
  • To develop salaries that are consistent with the University’s budgetary guidelines and are a key element of the University’s total rewards package.

A job evaluation process allows an organization to measure, compare and categorize job information so that each job can be placed in the appropriate structure for salary administration purposes.

The University uses a “whole job comparison” evaluation for its job evaluation process, wherein Yale looks at both internal and external market comparisons to help determine the appropriate salary.

In addition to market factors, Yale evaluates positions based on requirements for the job that include the level of knowledge and skill, problem solving and decision making, scope and complexity, and impact and accountability of the position.

202.1 Fair Labor Standards Act

Yale University is subject to the provisions of the federal Fair Labor Standards Act (FLSA), which regulates employers’ activities concerning hours of work, the payment of wages and salaries, minimum rates of pay, overtime payment and record keeping requirements.  Job positions at the University are defined as exempt or non-exempt, as per the FLSA, based on the duties and responsibilities of that position.  Each position is classified and is assigned a specific pay range by Human Resources.  Human Resources reviews specific positions to ensure that they are correctly classified and that the job descriptions reflect any changes in the duties and responsibilities of the positions.  The FLSA also requires that employers pay employees a minimum wage for each hour worked and pay non-exempt employees overtime pay at the rate of one-and-one-half times the employee’s regular rate for each hour worked over forty in a work week.

At Yale, most staff members are considered “exempt” from the provisions of the FLSA which govern the payment of overtime and the record keeping requirements.  To be classified as an exempt position, the responsibilities must meet the exemption standards established by the FLSA regulations.

The provisions of the Fair Labor Standards Act which govern exemption from the Act are complex. Job responsibilities must meet defined criteria in order to be considered exempt from certain provisions of the Act; jobs are classified as either Executive, Administrative, Professional, or Computer Professional.  The Compensation Department applies these provisions when reviewing a staff member’s job responsibilities to determine whether a job is exempt or non-exempt from these provisions.

Staff members classified as exempt are paid a salary for duties performed.

202.2 Salary Ranges/Bands

Each salary grade/band has an established salary range.  These ranges define the minimum and maximum salaries to be paid for a job, but also allow sufficient latitude for an individual to progress through the salary range as a result of merit increases.

Salary ranges/bands are reviewed annually, and may be adjusted periodically to respond to economic and market conditions.

Staff members are typically paid at least the minimum of the appropriate salary range/band, but not more than the maximum, with rare exceptions based on authorization from Human Resources.

Staff members whose salaries are at or above the maximum of their assigned salary range/band are not eligible for regular merit increases, but are eligible to receive non-base building salary increases.  The salary increase will be based on individual performance as well as the annual guidelines issued by Human Resources for merit increases.  Exceptions to this policy must be requested in writing and approved by the Director of Compensation and Benefits.

The University has standardized job summaries for positions within each job family, which include the basic purpose of the job, the representative duties characteristic of the level of work being performed in a job, and the minimum qualifications needed to perform a job, such as education and experience.

University job titles facilitate the identification of career paths at the University.  Schools and departments may also use individual working titles, which have been approved by school and departmental leadership.  For this purpose, the use of any individual working title that includes the word ‘Director’ (i.e. Executive Director, Associate Director, etc.) must be approved in advance by the Compensation Department for positions where the University job title does not include the word ‘Director’.  The use of an academic title must be approved in advance by the Provost’s office.

Position analysis is the mechanism to review the duties and responsibilities of individual positions to ensure that a position continues to be properly classified within the classification structure in relation to other University positions.  After such a review, a position may be upgraded to a higher classification, remain in the same classification, or be downgraded to a lower classification. Position analysis is a review of the responsibilities assigned to a position, not an evaluation of an individual’s performance.

A position analysis may be requested by both a supervisor and a second level departmental review or may be initiated by the Compensation Department.  A position analysis is appropriate when the responsibilities of a position have changed significantly and substantially, either through expanded or reduced responsibilities or through reorganization.

Departmental and school management have the prerogative to design positions in a manner that best suits their operational and financial needs.  The classification of jobs and positions, and assignment of a salary grade/band within the classification structure, is the responsibility of the Compensation Department.

Position analyses will typically occur with two effective dates: September 1 and March 1.

See also Section 3503.103.1a.

The University establishes and administers salaries in line with its compensation objectives. Salaries must be approved by Human Resources before a job offer is made to the candidate.

206.1 Newly Hired/Rehired Employees

The salary for a newly hired or rehired staff member is set based on the classification of the position, the salary range, internal peer equity and external market values for like positions, and the candidate’s education, skills, and related experience.

206.2 Promotion

A promotion occurs when a staff member moves into a higher level job with a significant increase in responsibility and accountability. 

Upon promotion, a staff member is typically eligible for a salary increase.  Promotion increases are determined on an individual case basis.

Factors generally considered when determining a promotion increase are previous experience or education which might now be relevant, the salary range/band of the new position, internal salary relationships and market.

See also 3503 PR.20.

206.3 Lateral Transfer

A lateral transfer is a change in job assignment within the same salary grade/band.  Lateral transfers do not typically result in a change in salary.  There are, however, certain rare situations that may justify salary adjustments, which must be requested in writing and approved in advance by the Compensation Department.

See also 3503 PR.20.

206.4 Demotion

A demotion is a reassignment from one position to another position in a lower salary grade/band.

Involuntary demotions may occur if work is eliminated or reorganized, or if a staff member is unable to perform the work satisfactorily and is involuntarily reassigned.  The salary for an individual who is involuntarily reassigned to a position in a lower salary grade/band will be established by the Compensation Department.

Voluntary demotions may result in a lower salary, commensurate with the new grade/band, especially when the employee’s salary is greater than the maximum of the grade/band to which he or she is moving.

See also 3503 PR.20.

206.5 Compensation Above Salary

In the case where a temporary assignment of responsibility in a higher classification is necessary, both the assignment and any associated extra compensation for that assignment must be approved by Human Resources.

Special pay (non-base building) for extraordinary effort or accomplishments must be approved by Human Resources, and may be awarded upon completion of special assignments or projects which meet the following criteria:

  • Extraordinary in nature, requiring significant time
  • Non-recurring
  • Requiring significant effort well beyond a position’s defined scope
  • Performed in addition to the normal position responsibilities

See also 1001 PR.01.

206.6 Recall/Transfer from Layoff Status

A staff member who has been laid off and who is recalled while on layoff status for the same position in the same department will receive the previous salary or the minimum of the salary grade, whichever is greater, with full privileges and benefits.

If a staff member on layoff status is offered and accepts a voluntary transfer to a different position, the salary will be determined in the same manner as it would be for a new hire.

See also Section 3503.107.4.

The University’s compensation programs are designed to recognize and reward staff members based on individual performance.  Most salary actions, including merit increases, salary adjustments and position reviews, will typically occur on a coordinated basis during the annual Salary and Performance Management Review Process.  The funds available for merit increases vary from year to year depending upon budgetary considerations, salaries paid in the identified marketplace and economic conditions.  Merit increases are not subject to the grievance procedure.

207.1 Merit Increases

The University develops merit increase guidelines which establish ranges for individual increases based on several factors:

  • Individual performance during the most recently completed fiscal year (July 1 – June 30)
  • Individual’s current salary compared to the salary range for the job or position in range (PIR)
  • Consideration of salaries and qualifications of peers in comparable positions
  • Available budget

Merit increases are normally awarded on an annual basis during the Salary and Performance Management Review Process and are normally effective on September 1.  In some cases, merit increases can be deferred for performance or other reasons.  Merit increases are recommended by supervisors based on their evaluation of performance and other salary considerations.

Staff members hired from April 1 to August 31 will normally not receive a merit increase until September of the following year.

207.2 Salary Adjustments

Managers are encouraged to perform a yearly review of salaries for their direct reports.  Salary adjustments are defined as special salary increases designed to address internal or external factors which cannot be addressed through the annual merit review.

Salary adjustments are normally effective September 1 (recommended) or March 1 and not made retroactively.

A salary adjustment may be requested by a supervisor with a second level departmental review or may be initiated by the Compensation Department.

Requests for salary adjustment should be submitted sufficiently in advance for timely review, and must be approved by the Compensation Department.

The Appeals process is the only method to resolve disagreements between Human Resources and department management on matters of job classification, targeted hiring salary or employee compensation.

Only department management, not individual staff members, can submit an appeal.  If staff members have concerns regarding compensation or classification, they should discuss the situation with their Human Resources Generalist.

The process operates as follows:

  • Department management and Human Resources work together to make decisions on job classification or employee compensation.
  • If department management and the Human Resources Generalist/Staffing cannot reach an agreement, the Compensation Department reviews the case and works with both parties to resolve the issue.
  • If the issue cannot be resolved with the Compensation Department, the process for reaching final decisions is as follows:
  • Human Resources’ decisions can be appealed to the Director of Compensation and Benefits.
  • The Director of Compensation’s decisions can be appealed to the Vice President for Human Resources and Administration, who will make the final decision.

All decisions made by the Vice President for Human Resources and Administration are final.

The following sections encompass Yale’s general paid time off policies.

300.1 Paid Time Off Eligibility

Regular staff members scheduled to work 20 hours or more each week are eligible to receive paid time off as outlined below.  Any leave of absence requires application and approval.

Further information is available on the My Benefits web site, accessible via the Yale Portal.

300.2 Reporting Time Off

Each staff member is responsible for accurately reporting time off usage over the course of each month. The staff member’s timecard approver shall provide managerial approval.

See also Policy 3502.

The eight University holidays are:

  • New Year’s Day
  • Martin Luther King, Jr. Birthday
  • Good Friday
  • Memorial Day
  • Independence Day
  • Labor Day
  • Thanksgiving Day
  • Christmas Day

If a holiday falls on a Saturday, the preceding Friday is observed as a holiday.  If it falls on a Sunday, the holiday is observed on the following Monday.

Regular staff members who are scheduled to work 20 hours or more each week will receive pay for University holidays, as will staff members on a paid leave of absence that allows for holiday pay.

If a University holiday falls on a staff member’s regularly scheduled day off, the staff member will be granted compensatory time equal to 20% of the staff member’s work week, to be used at a time mutually agreeable to the supervisor and the staff member.

Staff members who are asked to work on a holiday or recess day may only record that time worked in half-day or full-day increments, and they will receive an equivalent half-day or full-day of compensatory time.  Compensatory time must be taken before the end of the fiscal year, and is not included in terminal vacation pay.

See also Section 3503.102.1 and Section 3503.309.

The Friday after Thanksgiving, the last weekday before the day officially observed as the Christmas holiday, and the four working days that fall between Christmas and New Year’s Day are considered recess days on which most staff members are not required to work. 

Except for those departments, laboratories, libraries, and offices that must remain open to maintain services during the recess period, all parts of the University observe a common recess period.

Regular staff members who are scheduled to work 20 hours or more each week will receive pay for University recess days, as will staff members on a paid leave of absence that allows for recess day pay.  When staff members are required to work a half-day or full-day on a recess day, they will receive an equivalent half-day or full-day of compensatory time to use at a later date.  If a recess day falls on a staff member’s regularly scheduled day off, the staff member will be granted compensatory time equal to 20% of the staff member’s work week, to be used at a time mutually agreeable to the supervisor and the staff member.  Compensatory time must be taken prior to the end of the fiscal year, and is not included in terminal vacation pay.

Staff members are encouraged to take their accrued PTO each year.  PTO may only be used in half-day or full-day increments, and can be used as soon as it is earned.

See also Section 3503.102.1.

303.1 PTO Allowance

Staff members accrue PTO based on hire date and years of service.  PTO is accrued on the 15th of each month.  Each PTO day is equal to one-fifth of a staff member’s normal scheduled weekly hours.

303.2 Carryover of Unused PTO

Unused PTO can be carried over into the following fiscal year, subject to a maximum carryover of 15 days or the number of days carried over from the prior year, whichever is greater.

303.3 90-Day PTO Extension

At the start of each fiscal year, unused PTO from the previous fiscal year in excess of the maximum carryover will be reclassified as PTO Max Extension, and can be used during the first ninety days of the fiscal year with supervisory approval.  At the end of the ninety day period, any unused PTO Max Extension time will expire.  PTO Max Extension time is not compensable upon termination.

See also Section 3503.300.2.

303.4 Scheduling of PTO

Staff members are encouraged to use their time off.  Requests for PTO should be made as far in advance as possible.  Insofar as practicable, PTO will be approved to suit the needs of the staff member, provided the needs of the department are also met.

303.5 Payment Upon Separation

Pay for accumulated PTO and Bonus Vacation days will be paid to staff members with at least six months of continuous service who leave the employment of the University, including to those staff members who retire.  Should a staff member die while in active service, pay for accumulated PTO and Bonus Vacation days will be paid to the estate of the staff member.  Staff members who are terminated for incidents of serious misconduct, including but not limited to theft, fraud or violence in the workplace, are not eligible to be paid for accumulated PTO and Bonus Vacation days. Negative PTO balances will be recovered at the time of separation via payroll deduction.

See also Section 3503.107.3 and Section 3503.306.3a and Policy 3501

303.6 Rehire

Staff members who are rehired within 90 days will receive the PTO package they had upon termination.

Payment for an absence of a half-day or more from work for illness, injury or routine medical or dental appointments for a staff member or an eligible family member can be covered by Sick Time.  Sick Time must be used in half-day or full-day increments, and can be used as soon as it is granted.  Eligible family members are defined as: child, spouse, parent, parent-in law, civil union partner or same-sex domestic partner (on file with Yale prior to April 2006).

Staff members are eligible for a comprehensive Short-Term Disability (STD) plan that is fully integrated with Sick Time.  STD, in conjunction with Sick Time, provides salary protection for up to 26 weeks for extended absence due to a non-work-related illness or disability.  The plan is applied per disability, and requires an application and approval.  If faced with an extended period of illness or injury, the staff member may apply for a disability leave of absence.  More information is available on the Disability webpage.

As an alternative, a staff member has the option of substituting Sick Time in lieu of Short-Term Disability.

Staff members not eligible for Sick Time may be eligible for Connecticut Paid Sick Leave.

304.1 Sick Days

Eligible staff members receive nine Sick Days at the beginning of the fiscal year.  Any unused Sick Days in a fiscal year are carried forward to the following fiscal year, subject to a maximum carryover of 50 days or the number of days carried over into the current fiscal year, whichever is greater.  Part-time staff members scheduled to work 20 hours or more per week are paid for Sick Days on a prorated basis.

In the fiscal year of hire, new staff members will be credited with Sick Time on a prorated basis for any month in which they have been employed at least 15 calendar days.  Staff members who exhaust their Sick Time and need additional days may use PTO days or apply for a disability leave of absence.

Part-year staff members will be credited with Sick Time at the beginning of the fiscal year on a prorated basis for each month in which the staff member is scheduled to work at least 15 days.

304.2 Reporting Absences

Sick Time absences are expected to be reported on a timely basis directly to a supervisor or department head.  Staff members absent for prolonged periods should be in frequent communication with their supervisors.

304.3 Medical Certification or Examination

Supervisors may require certification of illness from the treating health care provider to verify the need for an absence.

To be certain that a staff member’s health permits his or her safe return to work, the University may require medical certification or an examination by Employee Health in appropriate cases.

304.4 Reinstatement of Accumulated Sick Days Upon Return from Layoff

A staff member who returns to benefit-eligible employment within 18 months of a layoff will receive reinstatement of unpaid Sick Days at the time of layoff.

Staff members may use up to two days per fiscal year for discretionary paid time off.  Part-time staff who are scheduled to work 20 hours or more per week are entitled to flex days on a prorated basis.  Staff members hired during the first half of the fiscal year will receive two flex days that year; staff members hired during the second half of the fiscal year will receive one flex day that year.  Flex days will be available for use by new staff members on the first of the month following their date of hire.

Flex days may only be used in half-day or full-day increments, and can be used as soon as they are earned.

Supervisors should be given as much advance notice of the absence as possible.  Flex days do not accumulate from year to year and are not compensable upon termination.

306.1 Bereavement Days

Benefit-eligible staff members are entitled to up to three days off without loss of pay in the event of death in the immediate family.  Immediate family is defined as:

  • spouse, civil union partner or domestic partner (on file with Yale prior to April 2006)
  • sibling
  • child
  • parent
  • grandparent
  • parent of: spouse, civil union partner or domestic partner (on file with Yale prior to April 2006).

See also Section 3503.102.1.

306.2 Jury Duty

Regular staff members, scheduled to work at least 20 hours each week, may also receive paid time off to fulfill jury duty.

If a staff member is notified to appear in court for jury duty, the staff member must inform his or her supervisor in advance of the court appearance date.

Staff members selected for jury duty in the state of Connecticut court system will receive their regular salary from the University for the first five days of juror service.  Beginning with the sixth day of their service, staff members will receive the difference between their current salary and the jury compensation (excluding any travel and expense reimbursements).  Under this system, jurors are expected to be available for service, but are notified on a day-to-day basis of the need to be present in court; therefore, their days of service are not necessarily consecutive.

Certification of time spent and compensation received for jury duty may be obtained by the staff member from the Clerk of the Court.  The staff member’s department must submit to Employee Services, by email or fax, a copy of the per diem statement issued by the Court along with a Payroll Payment Adjustment form to ensure that the amount of the jury duty compensation is deducted from a current or future paycheck.

Staff members not required to be in court or released from jury duty during the course of the day are expected to return to work.

See also Section 3503.102.1.

306.3 Bonus Vacation Days

Staff members hired prior to July 1, 2010 who reached their 10-year anniversary before that date will receive one final credit of bonus vacation time, prorated based on years of service prior to July 1, 2010, to be credited at the staff member’s next five-year anniversary.

306.3a Cash-Out of Bonus Vacation

A staff member may request that up to ten bonus vacation days that are not used prior to one month before the expiration date be paid to the staff member as a salary adjustment at 50% of the daily rate.  Any bonus vacation days not paid out to the staff member on request will be added to the staff member’s PTO balance, and will be subject to all carryover rules.

Limitations:

  • The number of days paid at 50% of the daily rate will be the lesser of two weeks or the number of days that the staff member would forfeit.
  • Supervisors may require the staff member to take bonus vacation time as allowed by the operational requirements of the department.

307.1 Basic LTD

Staff members are covered by Basic LTD that provides 60% salary protection on base compensation up to $150,000 for eligible disabilities.

307.2 Supplemental LTD

Staff members may elect to be covered by Supplemental LTD that provides additional coverage on base compensation up to $400,000 for eligible disabilities.  Newly eligible staff members are automatically enrolled in Supplemental LTD coverage without the evidence of insurability requirement, and may choose to opt out of this coverage.  Staff members who opt out and subsequently request this coverage are required to provide proof of insurability.  Coverage requested after the first 30 days of eligibility is subject to insurance company review.

Yale University is subject to provisions of the Workers’ Compensation Act of the State of Connecticut.  Coverage is provided for a staff member in the event of job-related injury, illness, or death.  Yale will not retaliate against a staff member for filing a Workers’ Compensation claim.

In cases where an absent staff member is entitled to payments under the Connecticut Workers’ Compensation Act, supplemental payments may be made from his or her PTO and/or Sick Time allowance.

See also Section 3503.603.1a, Section 3503.303 and Section 3503.304.

308.1 Benefits during Workers’ Compensation Leave

A staff member on a Workers’ Compensation Leave without supplemental pay:

  • may maintain health insurance coverage by making the appropriate arrangements with Human Resources.  The University will continue to pay its share of health insurance premium costs for the duration of the leave.
  • maintains pension participation and earns benefits for up to one year.
  • continues to be covered by the University’s group life insurance by making arrangements with Human Resources.  The University will continue to pay its share of any life insurance premium costs for the duration of the leave.
  • accrues PTO and Sick Time during their leave that can be used after the staff member has returned to work.
  • is not eligible for pay for any holidays or recess days which occur during the leave.
  • is not eligible for tuition assistance.
  • is responsible for keeping his or her supervisor and the Workers’ Compensation Office of Human Resources fully informed regarding any change in physical conditions that may affect the staff member’s ability to return to regular or modified work or eligibility for continued benefits.

308.2 Return to Work from Workers’ Compensation Leave

A staff member must confirm his or her intention to return to work by contacting the department supervisor prior to the end of the leave.  Before returning to work, the University requires medical certification and/or an examination by the treating physician to be certain that the staff member’s health permits safe return to work.

After the staff member’s return to work, medical visits related to the compensable injury will continue to be paid for by Workers’ Compensation.  Supervisors may request verification of Workers’ Compensation activities which take place during the working day.

Questions concerning Workers’ Compensation should be referred to the Workers’ Compensation Office of Human Resources.

A staff member who requires an extended absence from work may qualify for a leave of absence from the University.  Staff members who anticipate being out of work continuously or intermittently for an extended period of time should apply for a leave of absence.  The University recognizes eight types of leaves of absence: disability, child-rearing, caregiver, personal, military, military exigency, military caregiver, and administrative.  All leaves of absence are subject to the following:

  • Leaves are approval to be away from work.  Staff members may qualify to use Paid Time Off (PTO), Sick Time, STD or LTD for payment during all or part of the leave (see language on specific leave).
  • Leaves of absence are granted with the understanding that if the staff member returns to work upon expiration of the leave, the staff member will be reinstated to the position held prior to going on leave or, if that position no longer exists, to one of a substantially similar nature in the same department.  If no such position is available at the end of the leave, the staff member will be provided layoff provisions.  Administrative leaves are not subject to this provision.
  • To the extent possible, staff members should discuss upcoming leaves with the unit supervisor and Human Resources well in advance of the leave start date, in order to accommodate department needs.
  • Staff members beginning an approved leave of absence, any portion of which is unpaid, are required to make arrangements with Human Resources to ensure continuation of the staff member’s payments for benefits or services.
  • Leaves must be requested on the Leave of Absence Application (electronic or paper) and approved by Human Resources.
  • No leave of absence may exceed one year. Leaves are also subject to the time limits described under each type of leave of absence.

See also the Leaves of Absence website.

309.1 Family and Medical Leave Act (FMLA)

The Family and Medical Leave Act (“FMLA”) provides eligible staff members with up to 12 workweeks of unpaid, job-protected leave within a 12-month period, and requires health benefits to be maintained during the leave.  FMLA is a federal law; Connecticut state FMLA allows for 16 weeks of unpaid leave over a 24 month period.  Both laws are applicable to eligible staff members and run concurrently.  All Yale leaves and Workers’ Compensation leaves run concurrently with federal and Connecticut FMLA.  The 12 or 24 month period begins on the first day of the leave. Caregiver, intermittent/reduced schedule, military exigency and military caregiver leaves are granted under the FMLA and CT FMLA only.

309.1a Employee Eligibility

To be eligible for a leave of absence under FMLA, a staff member must:

  • have worked for Yale for at least 12 months; and
  • have worked at least 1250 hours during the 12 months prior to the start of the FMLA leave (federal), or 1,000 hours during the 12 months prior to the start of the FMLA leave (Connecticut).

309.1b Qualifying Reasons for Leave

FMLA leave may be granted to eligible staff members for the staff member’s own serious health condition, the serious health condition of a spouse, child, stepchild, parent, parent-in-law or civil union partner, or for the birth, adoption or foster care placement of a child.  FMLA leave may also be granted to an eligible staff member to care for a covered servicemember recovering from a serious illness or injury or to address a qualifying military exigency.

  • The care of a child over the age of 18 is not covered unless the child is physically or mentally incapable of self-care.
  • Leave for the birth, adoption, or foster care placement of a child must be completed within 12 months of the child’s birth, adoption, or placement with the family.
  • Spouses employed by Yale may be limited to a combined total of 12 weeks (16 weeks under CT FMLA) of FMLA leave taken as a result of the birth or adoption of a child or placement of a child in foster care.

309.1c Serious Health Condition

”Serious health condition” means an illness, injury, impairment, or physical or mental condition that involves:

  • any period of incapacity or treatment connected with inpatient care (i.e., an overnight stay) in a hospital, hospice, or residential medical care facility; or
  • continuing treatment by a health care provider with incapacity of more than three (3) consecutive calendar days and
  • two or more treatments by a health care provider; or
  • one treatment by a health care provider with a regimen of continuing treatment
  • A regimen of continuing treatment includes prescription medication or physical therapy
  • Incapacity means inability to work or go to school or perform other regular daily activities
  • any period of incapacity due to pregnancy, or for prenatal care; or
  • any period of incapacity due to a chronic condition (e.g., diabetes, epilepsy) which
  • requires periodic visits for treatment
  • continues over an extended period of time
  • may cause episodic rather than continuous incapacity
  • a period of incapacity which is permanent or long-term due to a condition for which treatment may not be effective (e.g., Alzheimer’s, stroke, terminal diseases, etc.); or
  • any absences to receive multiple treatments (including any period of recovery therefrom) by, or on referral by, a health care provider for a condition that likely would result in incapacity of more than three consecutive days if left untreated (e.g., chemotherapy, physical therapy, dialysis, etc.)

309.1d Medical Certification

Yale requires that the need for leave for a serious health condition of the staff member or the staff member’s immediate family member be supported by a certification issued by a health care provider.  Certification must be received within 15 days of the leave request.  Failure to provide the necessary documentation may result in a denial of the leave.

The staff member must have the medical provider fill out a Certification of Employee’s Serious Health Condition form or a Certification of Family Members Serious Health Condition form.

If the information provided on the Certification form is insufficient, Yale may ask the staff member to go back to the doctor for further clarification.  If still unclear, Yale may, at its own expense, require the staff member to obtain a second medical certification from a health care provider.  Yale may choose the health care provider for the second opinion.  If the opinion of the staff member’s and the employer’s designated health care providers differ, the employer may require the staff member to obtain certification from a third heath care provider, again at the employer’s expense.  This third opinion shall be final and binding.

NOTE: All medical documentation will be provided directly to Human Resources.  The determination of whether or not the physician’s certification meets the FMLA requirements of a serious health condition will be made by Human Resources.

309.1e Intermittent / Reduced Schedule Leave

FMLA permits eligible staff members to take leave on an intermittent basis or to work a reduced schedule under certain circumstances. 

Under an intermittent leave of absence, family or medical leave is taken in separate periods of time, rather than for one continuous period of time.  Intermittent leave may include periods from an hour or more to several weeks.  Examples of intermittent leave include leave taken on an occasional basis for medical appointments, or leave taken several days at a time over a period of six months, such as for chemotherapy.

A Reduced Schedule leave means a leave schedule that reduces the usual number of hours per workweek, or hours per workday, of a staff member.

309.1f Job Reinstatement

Upon return from an approved FMLA leave, a staff member will be reinstated to his or her original job, or to an equivalent job. 

309.2 Disability Leave

309.2a Definition of Disability Leave

A disability leave is an unpaid leave of absence granted to eligible staff members for non-job-related illness or injury, or for disability related to pregnancy and childbirth.  Absences due to a work-related disability are covered by Workers’ Compensation policies and procedures and by FMLA.  For a prolonged period of disability, the staff member may be eligible for short-term and long-term disability benefits.  Absences due to disability are granted under Yale policies and procedures and FMLA, if eligible.

309.2b Duration of Disability Leave

Pregnancy and Childbirth Disability: The normal period of pregnancy and childbirth disability is considered to be eight weeks.  For disability leaves of longer duration, the Certification of Employee’s Serious Health Condition form is required.

Disability for Non-Job-Related Illness or Injury: The Certification of Employee’s Serious Health Condition form is required prior to the granting of a disability leave.  The length of the leave granted will depend upon physicians’ statements as to the staff member’s condition.  A disability leave for non-job-related illness or injury shall be granted for up to 52 weeks, including any continuous related absences taken immediately prior to the leave, unless otherwise required by law.  Leave time is continuous when a staff member returns to work and then goes back out on leave for the same injury or illness if:

  • the return to work is 30 days or less; or
  • the return to work is less than benefit level hours (less than 20 hours per week).

A staff member may choose to be paid through use of accrued paid time off available at the start of the leave.

309.2c Benefits During Disability Leave

The University will continue to pay its share of health and non-contributory life insurance premium costs for staff members during the disability leave.  Staff members on an approved leave of absence, any portion of which is unpaid, are required to contact Human Resources to ensure continuation of benefits, and to provide payment for those benefits.  Benefits may be terminated if payment is not received.

Further, a staff member on disability leave of absence:

  • accrues PTO and Sick Time for immediate use while in a paid status during their leave.  Employees who are unpaid during the leave accrue PTO and Sick Time for use after return to a regular position scheduled at 20 hours or more per week.
  • is eligible for pay for holidays or recess days that occur within the paid portion of the leave.
  • is not eligible for tuition assistance.
  • may be eligible for Short-Term Disability.

See also Section 3503.304.

309.2d Return from Disability Leave

The returning staff member must confirm his or her intention to return by informing the department supervisor at least two weeks prior to the end of the leave.  If the staff member needs to extend the leave past the original end date, a new Leave of Absence Application and Certification of Employee’s Serious Health Condition form or Certification of Family Members Serious Health Condition form (if applicable) are required.

Upon return from a disability leave for non-job-related illness or injury, the University may require medical certification or an examination by the Employee Health Department of Yale Health to be certain that the staff member’s health permits safe return to work.  If the staff member intends to return to work on a less than full schedule, the staff member must apply for a reduced schedule leave under FMLA.

309.2e Termination

A staff member who accepts employment elsewhere, except as approved by the University in advance of the leave, applies for Unemployment Compensation in Connecticut or any other state, or fails to return to work on the date agreed upon, is considered to have voluntarily resigned.

309.3 Child-Rearing Leave (Maternity, Paternity, Adoption)

309.3a Definition of Child-Rearing Leave

Child-rearing leave is an unpaid leave available to eligible staff members who wish to devote their time to caring for a newborn or newly-adopted child within the first year after birth or adoption.  A manager or professional staff member on an approved child-rearing leave is eligible for paid Parental Leave where the employee will be paid his/her regular salary for the first 2 weeks of child-rearing absence.  Absences due to child-rearing are granted under Yale policies and procedures and FMLA, if eligible.

309.3b Duration of Child-Rearing Leave

Child-rearing leave may extend for up to 26 continuous weeks.  The leave must be completed within the twelve (12) month period beginning on the date of birth or adoption.  In instances of maternity, child-rearing leave is granted in addition to the period of pregnancy disability.

A staff member may choose to be paid through use of accrued paid time off available at the start of the leave, but in no event can the total absence for child-rearing leave exceed 26 weeks, including any paid time taken.

309.3c Benefits during Child-Rearing Leave

The University will continue to pay its share of health and non-contributory life insurance premium costs for staff members during the child rearing leave, for a period not to exceed 26 weeks.  Staff members approaching an approved leave of absence, any portion of which is unpaid, are required to make arrangements with Human Resources to ensure continuation of the staff member’s payments for benefits or services.

Further, a staff member on child-rearing leave:

  • accrues PTO and Sick Time for immediate use while in a paid status during their leave. Staff members who are unpaid during their leave accrue PTO and Sick Time for use after return to a regular position scheduled at 20 hours or more per week.
  • is eligible for pay for holidays or recess days that occur within the paid portion of the leave.
  • is not eligible for tuition assistance.

309.3d Return from Child-Rearing Leave

The returning staff member must confirm the intention to return by informing the department supervisor at least two weeks prior to the end of the leave.

309.3e Termination

A staff member who accepts employment elsewhere, except as approved by the University in advance of the leave, applies for Unemployment Compensation in Connecticut or any other state, or fails to return to work on the date agreed upon, is considered to have voluntarily resigned.

309.4 Caregiver Leave

309.4a Definition of Caregiver Leave

A caregiver leave is a voluntary unpaid leave of absence to care for a relative with a serious health condition.  Caregiver leaves are granted only under the provisions of the FMLA.  Relative includes:

  • spouse
  • parent (natural, foster, adoptive, stepparent or legal guardian) of the staff member or the staff member’s spouse (care for parent of staff member’s spouse granted under CT FMLA only)
  • child (biological, adopted, foster, stepchild, legal ward or a child of a person standing in loco parentis) who is under 18 years of age or, if older, unable to care for him/herself because of a mental or physical disability.

309.4b Duration of Caregiver Leave

The duration of a caregiver leave is determined by state and federal FMLA laws.  Federal and State FMLA run concurrently and staff members must meet eligibility requirements specified in the law in order to be granted a caregiver leave of absence.

A staff member may choose to be paid through use of accrued paid time off available at the start of the leave, but in no event can the total absence for caregiver leave exceed the time periods described in the previous paragraph.

Except in cases of emergency, two weeks advance notice is required for a caregiver leave. Requests for a caregiver leave shall be accompanied by the Certification of Family Members Serious Health Condition form from the patient’s physician or other licensed health care provider, verifying the need for a leave and the probable duration.

See also Section 3503.309.1.

309.4c Benefits during Caregiver Leave

The University will continue to pay its share of health and non-contributory life insurance premium costs for staff members during the caregiver leave. Staff members entering upon an approved leave of absence, any portion of which is unpaid, are required to make arrangements with Human Resources to ensure continuation of the staff member’s payments for benefits or services.

Further, a staff member on caregiver leave:

  • accrues PTO and Sick Time for immediate use while in a paid status during the leave. Staff members who are unpaid during the leave accrue PTO and Sick Time for use upon return to a regular position scheduled at 20 hours or more per week.
  • is eligible for pay for holidays or recess days that occur within the paid portion of the leave.
  • is not eligible for tuition assistance.

309.4d Return from Caregiver Leave

The returning staff member must confirm the intention to return by informing the department supervisor at least two weeks prior to the end of the leave.

309.4e Termination

A staff member who accepts employment elsewhere during the leave, except as known and approved by the University, who applies for Unemployment Compensation in Connecticut or any other state, or who fails to return to work on the date expected, is considered to have voluntarily resigned.

309.5 Personal Leave

309.5a Definition of Personal Leave

A personal leave of absence is an unpaid, continuous voluntary leave from University employment initiated at the request of the individual staff member.  A request for personal leave is reviewed individually and granted at the discretion of the supervisor and Human Resources, taking into account the reason for leave and the department’s operational needs.

309.5b Duration of Personal Leave

A personal leave will normally be limited to three months.  A personal leave may, in special circumstances, be extended to six months.

309.5c Benefits during Personal Leave

The University will continue to pay its share of health and non-contributory life insurance premium costs for staff members on leaves of three months or less.  The staff member assumes the full cost of premium payments after the first three months of an extended leave.  Staff members with contributory life insurance should make arrangements with Human Resources to continue coverage.

Further, a staff member on personal leave of absence:

  • may be paid through use of accrued paid time off available at the start of the leave, with the exception of Sick Time.
  • does not accrue PTO or Sick Time.
  • is not eligible for pay for holidays or recess days which occur during the leave.
  • is eligible to apply for tuition assistance provided the leave is of shorter duration than the course and that the staff member is in a paid status at either the beginning or the end of the course.

309.5d Return from Personal Leave

The returning staff member must confirm the intention to return by writing the department supervisor at least two weeks prior to the end of the leave.

309.5e Termination

A staff member who accepts employment elsewhere, except as approved by the University in advance of the leave, or applies for Unemployment Compensation in Connecticut or any other state, or fails to return to work on the date agreed upon, is considered to have voluntarily resigned.

309.6 Military Leave

309.6a Definition of Military Leave

Military leave is a leave of absence from employment with the University for the purpose of serving on active duty with the Armed Forces of the United States, including summer encampment for staff members in the reserves of the Armed Forces of the United States or the State of Connecticut.

309.6b Duration of Military Leave

A military leave of absence is available for up to 5 years of voluntary active duty.

309.6c Benefits during Military Leave

A staff member on military leave of absence:

  • is paid supplemental pay equal to the difference between the military compensation for military duty and the staff member’s regular rate of pay for up to ninety (90) days of active military service.
  • who is in the reserves of the Armed Forces of the United States or the State of Connecticut, who is required to be absent for military reserve duty, is entitled to supplemental pay equal to the difference between the military compensation for such duty and the staff member’s regular rate of pay, for up to a maximum of two weeks per year.
  • does not accrue PTO or Sick Time.
  • is not eligible for holiday pay for holidays or recess days which occur during the leave.
  • is eligible to apply for tuition assistance provided the leave is of shorter duration than the course and that the staff member is in a paid status at either the beginning or the end of the course.
  • has health benefits that conform to those provided under general University Leave Policy.
  • will be treated as having a “qualifying event” and may change health care coverage.

309.6d Return from Military Leave

The returning staff member must confirm the intention to return by writing the department supervisor at least two weeks prior to the end of the leave.  A veteran’s return to work at the University shall be conditional upon satisfactory discharge from the service.  Returning veterans may be asked to show evidence of satisfactory completion of active duty, such as the discharge certificate.

309.6e Termination

A staff member who fails to return to University employment within 90 calendar days following military discharge will be considered to have voluntarily resigned, effective on the 91st day. Similarly, a staff member who accepts employment elsewhere, except as approved by the University in advance of the leave, or applies for Unemployment Compensation in Connecticut or any other state, or fails to return to work on the date agreed upon, is considered to have voluntarily resigned.

309.7 Military – Qualifying Exigency Leave

309.7a Definition of Qualifying Exigency Leave

A Qualifying Exigency leave is an unpaid leave of absence granted to an eligible staff member because of any “qualifying exigency” arising out of the fact that a covered staff member’s spouse, child or parent is on or has been called to active duty in the Armed Forces.  This leave is granted to address:

  • short notice deployment, military events and related activities;
  • childcare and school activities;
  • financial and legal arrangements;
  • counseling;
  • a covered servicemember’s rest and recuperation;
  • post deployment activities; or
  • additional activities agreed to by the staff member and employer.

A Qualifying Exigency leave is granted only under the provisions of the FMLA.  The Certification of Qualifying Exigency For Military Family Leave form is required to be completed to request a Qualifying Exigency leave.  Please contact Human Resources to obtain this form.

309.7b Duration of Qualifying Exigency Leave

An eligible staff member is allowed up to 12 weeks of leave in a single 12 month period, less any leave of absence time taken within that same period for child-rearing, disability or caregiver leaves.

309.7c Benefits during Qualifying Exigency Leave

The University will continue to pay its share of health and non-contributory life insurance premium costs for staff members during an exigency leave.  Staff members entering upon an approved leave of absence, any portion of which is unpaid, are required to make arrangements with Human Resources to ensure continuation of the staff member’s payments for benefits or services.

Further, a staff member on qualifying exigency leave:

  • accrues PTO and Sick Time for immediate use while in a paid status during the leave. Staff members who are unpaid during the leave accrue PTO and Sick Time for use after return to a regular position scheduled at 20 hours or more per week.
  • is eligible for pay for holidays or recess days that occur within the paid portion of the leave.
  • is not eligible for tuition assistance.

309.7d Return from Qualifying Exigency Leave

The returning staff member must confirm the intention to return by informing the department supervisor at least two weeks prior to the end of the leave.

309.7e Termination

A staff member who accepts employment elsewhere during the leave, except as known and approved by the University, who applies for Unemployment Compensation in Connecticut or any other state, or who fails to return to work on the date expected, is considered to have voluntarily resigned.

309.8 Military Caregiver Leave

309.8a Definition of Military Caregiver Leave

A Military Caregiver leave is an unpaid leave of absence granted to an eligible staff member who is the spouse, son, daughter, parent, or next of kin of a covered servicemember who is recovering from a serious illness or injury sustained in the line of duty on active duty.  This illness or injury includes:

  • undergoing medical treatment, recuperation or therapy; or being
  • otherwise in outpatient status; or being
  • on the temporary disability retired list for a serious illness or injury occurred in the line of duty.

A Military Caregiver leave is granted only under the provisions of the FMLA.  The Certification for Serious Injury or Illness of Covered Servicemember form is required to be completed to request a military caregiver leave.  Please contact Human Resources to obtain this form.

309.8b Duration of Military Caregiver Leave

An eligible staff member is entitled to up to 26 weeks of leave in a single 12 month period to care for the service member.  The eligible staff member is entitled to a combined total of 26 weeks of all types of FMLA leave during the 12 month period.

309.8c Benefits during Military Caregiver Leave

The University will continue to pay its share of health and non-contributory life insurance premium costs for staff members during the caregiver leave.  Staff members entering upon an approved leave of absence, any portion of which is unpaid, are required to make arrangements with Human Resources to ensure continuation of the staff member’s payments for benefits or services.

Further, a staff member on military caregiver leave:

  • accrues PTO and Sick Time for immediate use while in a paid status during the leave. Staff members who are unpaid during the leave accrue PTO and Sick Time for use after return to a regular position scheduled at 20 hours or more per week.
  • is eligible for pay for holidays or recess days that occur within the paid portion of the leave.
  • is not eligible for tuition assistance.

309.8d Return from Military Caregiver Leave

The returning staff member must confirm the intention to return by informing the department supervisor at least two weeks prior to the end of the leave.

309.8e Termination

A staff member who accepts employment elsewhere during the leave, except as known and approved by the University, who applies for Unemployment Compensation in Connecticut or any other state, or who fails to return to work on the date expected, is considered to have voluntarily resigned.

309.9 Administrative Leave

309.9a Definition of Administrative Leave

Administrative leave is a leave of absence initiated by the University in special circumstances in which it is desirable to continue temporarily a staff member’s association with the University for the period of the leave.  Administrative leave is normally without pay and carries no promise of future re-employment.

309.9b Eligibility for Administrative Leave

A staff member may qualify for administrative leave at the discretion of the University.

309.9c Duration of Administrative Leave

An administrative leave of absence will normally be limited to three months, but may be for a longer period at the option of the University.

309.9d Benefits during Administrative Leave

Benefits coverage, if any, during the administrative leave will be determined by Human Resources, based on the appropriateness of the coverage in individual circumstances.  The staff member must make arrangements with Human Resources to ensure continuation of coverage.

309.9e Termination

An administrative leave of absence automatically ends and the staff member is terminated if he or she accepts other employment elsewhere without prior approval by Human Resources, files for Unemployment Compensation, refuses a job offer from the University deemed appropriate by Human Resources, is discharged, or resigns.

309.10 M&P Sabbatical Leave

309.10a Definition of M&P Sabbatical Leave

M&P Sabbatical is a continuous leave from University that is voluntary and initiated at the request of the individual staff member using Form 3501 FR.55.  A request for sabbatical leave is reviewed individually and granted at the discretion of the supervisor and Human Resources, taking into account the reason for leave and the department’s operational needs.  If you request a sabbatical, it must be approved by your supervisor and be taken at a mutually agreeable time.

309.10b Eligibility for M&P Sabbatical Leave

If you have more than five years of service with performance which meets/exceeds expectations, you may elect to take a sabbatical for up to six months every five years.  A staff member may qualify for M&P Sabbatical leave at the discretion of the University.

309.10c Duration of M&P Sabbatical Leave

M&P Sabbatical leave of absence will be limited to six months.

309.10d Benefits during M&P Sabbatical Leave

Your University-provided benefits will continue throughout the sabbatical but you must contact Human Resources to make arrangements for continued deduction of your contributions and to ensure continuation of coverage.

309.10e Termination

M&P Sabbatical leave of absence automatically ends and the staff member is terminated if he or she accepts other employment elsewhere without prior approval by Human Resources, files for Unemployment Compensation, refuses a job offer from the University deemed appropriate by Human Resources, is discharged, or resigns.

The following sections encompass Yale’s health and wellness benefits policies.

400.1 Eligibility

Regular staff members scheduled to work 20 hours or more each week are eligible to receive benefits as outlined below.  Staff members are able to enroll in health and welfare benefits within 30 calendar days of their employment date, including health, dental, vision, flexible spending, supplemental life, and supplemental long-term disability.  Staff members are also able to enroll or make certain changes within 30 days of a qualifying life event, or during Annual Enrollment. Coverage for health and welfare benefits begins on the first day of the month on or after the staff member’s date of hire.

Coverage for medical, dental and vision benefits ends on the last day of the calendar month in which employment ends (retirement, discharge, termination, resignation), with an option to continue medical, dental, vision, and flexible spending as described below.  Life insurance coverage ends on your last day of employment, with an option to continue coverage as described below.  All other benefits end on your last day of employment.

Please see the layoff section for special rules about benefits continuation for staff members in layoff status.

The following are considered spouses for the benefits detailed below: civil union partner or grandfathered same-sex domestic partner (on file with Yale prior to 2006).

Following is a brief summary of Yale University’s benefits plans.  Further information is available on the My Benefits web site, accessible via the Yale Portal.  All benefits are governed by formal plan documents and insurance contracts; the applicable plan documents govern all questions of interpretation.

Staff members are eligible to enroll themselves and eligible dependents in medical, dental, vision and healthcare flexible spending accounts.  More information about the plans being offered can be found at the Benefits website.

Staff members may change their health coverage during Annual Benefits Enrollment or make certain changes within 30 calendar days of a Qualifying Life Event.  Changes processed during Annual Benefits Enrollment are effective on January 1st of the following calendar year.  In the case of birth and death, benefit elections are effective as of the date of the actual event.  For all other Qualifying Life Events, the benefit elections will take effect on the first of the month following the event date.

Eligible dependents for health coverage, as defined by the Internal Revenue Code, include:

  • Your legal spouse*
  • Children, until the end of the month in which they reach age 26
  • Disabled children, regardless of age

*Effective July 1, 2013, the following are also considered spouses for these benefits: civil union partner or grandfathered same-sex domestic partner (on file with Yale prior to 2006).

Group term life insurance coverage is available to each benefit-eligible staff member.

See also Section 3503.102.1.

402.1 Basic Life Insurance

Staff members receive $25,000 in life insurance coverage.

402.2 Supplemental Life Insurance

Staff members can elect to purchase coverage of up to five times their annual base salary; premiums are based on the staff member’s age and the amount of insurance purchased. Coverage above 2 times salary is subject to insurance company review.  Enrolling in or increasing coverage after the first 30 days of eligibility is also subject to insurance company review.  Coverage may be reduced at any time.

402.2a Enrollment for Supplemental Life Insurance

Supplemental life insurance becomes effective for eligible staff members:

  • on the first of the month following the election of coverage.
  • for coverage requiring review, on the day the insurance company approves the application.

402.2b Conversion or Portability of Life Insurance upon Termination

Life insurance coverage ends on your last day of employment; however, former staff members have the option to continue coverage.  Conversion forms are mailed automatically to terminating staff members age 70 or older.  Portability forms are mailed automatically to terminating staff members under age 70.  There is a 30 day window to elect continuation of the policy.

A staff member who retires is eligible for retiree benefits if he or she is at least age 65 and has completed five or more years of credited service of during which he or she was regularly scheduled to work 20 or more hours per week, or is age 55 or greater with age plus years of service greater than or equal to 75.

403.1 Health Insurance at Retirement

Staff members and spouses retiring before age 65 are eligible for continued health insurance (medical, dental, and vision) in health plans available to active staff members until age 65.  At age 65, the retiree or spouse is required to enroll in Medicare and will receive supplemental coverage from the University.

The subsidy Yale provides toward the cost of retiree health insurance is based on the staff member’s years of service and salary at retirement.  A retired staff member with 30 or more years of service is eligible for the maximum benefit.

403.2 Life Insurance at Retirement

A retiree is eligible for $1,000 in coverage.  In addition, the retired person may convert the remainder of his or her insurance into any permanent form of insurance written by the insurance company.  This may be done without medical examination and must be completed and submitted to the insurance carrier within 30 calendar days of retirement.  Staff members may contact the Employee Service Center for information on how to obtain an application before the date of retirement.

See also Section 3503.102.1.

Yale Flexible Spending Accounts allow staff members to pay for certain health care and dependent care out-of-pocket expenses with pre-tax dollars by enrolling in a Flexible Spending Account.  Membership is optional.  More information can be found at the Benefits website.

See also Section 3503.102.1.

Yale University maintains a scholarship grant program for sons and daughters of eligible University staff.  As governed by the plan documents, the University makes grants of tuition and eligible fees up to stated maximums to the institution of attendance.

Scholarship grants are tax-free; they are paid directly to the institution of attendance and are not payable to the student or staff member.  Child Scholarship awards are issued on a term-by-term basis.

If a regular staff member dies while employed, his or her salary will be paid up to and including the date of death, plus any unused vacation entitlement.  In addition, the staff member’s estate will be paid 1) an amount equivalent to one month’s salary, including any holidays or recess days that may fall within the 30-calendar-day period immediately following the death, and 2) an amount equivalent to half the value of any accumulated but unused sick days.

The supervisor of the deceased staff member must promptly notify Human Resources of a staff member’s death so that insurance claims and beneficiary entitlements may be processed.

See also Section 3503.102.1.

Resignation or discharge gives rise to a break in service.  Most benefits are discontinued as of the date of termination.  Medical, dental, and/or vision insurance coverage in effect at termination will continue through the end of the month.

COBRA continuation of coverage will be offered immediately following the termination date.  In accordance with Connecticut and federal law, such an extension is contingent upon the terminated staff member paying the full cost of the coverage, plus 2% for administrative costs, during the entire period of extension.  The extension period ends if the former staff member becomes a covered staff member under any other group health plan or becomes entitled to Medicare benefits.

If a participant or beneficiary feels that a benefit has been improperly denied, he or she may appeal the decision.  Staff members who wish to appeal should contact the Employee Service Center.  Appeals are governed by the terms of the applicable Plan Document.

The following sections encompass Yale’s retirement plans policies.

Upon hire, all regular staff members are automatically enrolled in the Yale University Retirement Account 403(b) Plan (YURAP), a defined contribution plan to which they may contribute a portion of their earnings, and to which the University will contribute as well.  Staff members who are participating in the Staff Pension Plan may contribute a portion of their own earnings to the Yale University Tax Deferred 403(b) Savings Plan; staff members who choose to participate in YURAP may no longer be enrolled in the Staff Pension Plan nor contribute to the Tax Deferred 403(b) Savings Plan.  Enrollment in YURAP by a staff member formerly in the Staff Pension Plan ends the future accrual of benefits under the Staff Pension Plan; staff members who switch to YURAP will retain any benefits earned under the Staff Pension Plan. More information is available at the Benefits website.

YURAP is a 403(b) retirement plan in which both the staff member and the University make contributions to the staff member’s account.

Automatically enrolled staff members contribute 5% of their salary, which is matched by an additional 5% contribution made by the University. Each July, a participant’s pre-tax contribution is increased by up to 1% (“automatic escalation”) until a target contribution of 10% is met. 

Staff members may opt out of automatic enrollment and automatic escalation. If the employee contribution is stopped or reduced below 5%, the University matching contribution will also be eliminated or reduced accordingly. 

Additionally, the University provides a core contribution to the employee’s YURAP account with a 5% threshold on salary below the Social Security Wage Base (SSWB), and a 7.5% threshold on salary above the SSWB.

Staff members may choose to direct contributions to their YURAP account across numerous investment funds. 

See also Section 3503.102.1.

The Staff Pension Plan is a defined benefit, non-contributory retirement plan in which the pension payment for each participant is determined by a formula that gives weight to salary, length of service and age at retirement.

502.1 Benefit Formula

The normal annual retirement benefit is based on the participant’s highest annual rate of earnings during the final five years as a staff member, the number of years of credited service earned while in the Staff Pension Plan, and the applicable multipliers in the governing plan document.

502.2 Vesting

To be eligible for a pension benefit, a staff member must have five or more credited years of vesting service.

502.3 Types of Retirement

In addition to normal retirement at age 65, the Plan provides for disability retirement and early retirement, as subject to the provisions of the governing plan document.

The Yale University Tax Deferred 403(b) Savings Plan is a retirement plan in which the staff member may contribute a portion of their earnings.  This retirement plan does not receive University contributions.

The following sections encompass Yale’s workplace practices policies.

The standard University work schedule is 37.5 hours, Monday through Friday, 8:30 a.m. to 5:00 p.m., with one hour for lunch.

In response to operational needs, certain departments or units may establish alternative standard work arrangements for staff members.  Prior approval for alternate work arrangements must granted by the staff member’s supervisor.  No standard workweek, however, will exceed 40 hours.

601.1 Attendance Records

Responsibility for maintaining accurate and up-to-date electronic attendance records for each staff member rests with the staff member’s department.

The My Time timecard is the official electronic document for recording paid or unpaid absences and accrued paid time off.

601.2 Hazardous Weather Conditions

Yale University has a large resident population which must be fed and sheltered regardless of the weather.  Health care services to the ill cannot cease, nor can many research activities be suspended or interrupted without advance preparation.  Therefore, it is impossible for the University to close down completely as a result of hazardous weather conditions.  Each staff member must do all that he or she can in order to meet the responsibilities of his or her employment.  Reasonable tardiness as a result of hazardous weather is excused.

Staff members who, with the approval of their supervisors, are absent because of weather conditions must use paid time off in full-day or half-day increments to cover the time missed.

Additionally, staff members may request to work from home.  All requests to work from home must be approved by the staff member’s supervisor prior to beginning work.

In the event an Officer of the University or his or her designee declares an early dismissal due to hazardous weather, staff members who are released will not suffer any reduction in salary on account of the early dismissal.  Staff members who are absent on an early release day do not receive time off or any other benefit on account of the early release.  The same holds true for those whose schedules would have ended at or before the early release time.

See also Section 3503.601.3.

601.3 Flexible Work Arrangements

Flexible work arrangements for staff may be established by any University school or department and may be requested by any staff member.

The choice of a flexible work arrangement for an individual or a unit must be made subject to the overriding requirement that full school or departmental operations, services, and academic commitments will be maintained.  In all cases, flexible work arrangements are subject to supervisor approval.  No one should be required to work a non-standard schedule except in areas where such a schedule is a condition of employment or made necessary by operational requirements. Supervisors may restrict or adjust flexible work arrangements when work flow or other conditions require.  Flexible work arrangements may be adjusted due to departmental needs throughout the year.  Appeals of such decisions should be referred to the appropriate dean or department head.

A new staff member should be adequately trained and have completed the probationary period before receiving approval for a flexible work arrangement.

Managers should devise and implement an assessment of work productivity to be reviewed periodically for each employee on a flexible work arrangement.

A supervisor may refuse or terminate a flexible work arrangement if he or she concludes that it is not currently appropriate, satisfactory, or suitable to the department’s operations.

More information can be found at the Flexible Work Arrangements website.

601.3a Types of Flexible Work Arrangements

There are numerous flexible work arrangements, including those different from the standard weekly schedule, a shortened work-week, totally flexible within specific limits, and work location other than campus.

601.3b Hours of Work for Staff Members on a Flexible Work Arrangement

The work day for persons on a flexible work arrangement, excluding lunch, normally should not exceed ten hours.

Supervisors may schedule a lunch period as short as 30 minutes, subject to meal break provisions.

For security and energy conservation reasons, weekend work should not be made available in departments not normally functioning on a weekend schedule.

Departments should make equitable arrangements so that staff members on flexible work arrangements neither lose nor gain with respect to time worked or excused in special circumstances.

See also Section 3503.601.3g.

601.3c Holidays and Recess for Staff Members on a Flexible Work Arrangement

When a University holiday or recess day occurs, all regularly scheduled salaried staff members receive the benefit whether scheduled to work that day or not.  More information can be found in the Holidays and Recess Days sections of this document linked below.

See also Section 3503.301 and Section 3503.302.

601.3d Hazardous Weather Guidelines for Staff Members on a Flexible Work Arrangement

On occasions when staff members are released early due to weather conditions, staff members working on flexible schedules who have established a consistent schedule pattern should be credited with having worked the day.  Staff members working on totally flexible schedules without a consistent pattern should be credited with having worked until 5:00 p.m. on an early release day.

Staff members on a flexible work arrangement who are absent on an early release day (whether on PTO or Sick time or not scheduled to work) do not receive time off or any other benefit on account of the early release.  The same holds true for staff members whose schedules would have ended at or before the early release time.

601.3e Security for Staff Members on a Flexible Work Arrangement

To promote the safety of those working non-standard schedules in non-public areas, when operationally feasible, at least two persons should normally be scheduled for work in a work area.

601.3f Record Keeping for Flexible Work Arrangements

Department administrators should maintain accurate records reflecting flexible work arrangements approved for each staff member, and should inform Human Resources about any employee working outside the state of Connecticut.

601.3g Meal Breaks

State law provides that no staff member shall be required to work for 7.5 or more consecutive hours without a period of at least thirty consecutive minutes for a meal.  The period must be given at some time after the first two hours of work and before the last two hours.  With respect to positions for which a department needs to arrange a different schedule of meal periods, the department may do so by written agreement with the staff member.  The Office of the General Counsel can provide advice and assistance with the form of such an agreement.

601.4 Managerial Scheduling Discretion

At the supervisor’s discretion, a staff member who works significantly extended hours due to exceptional circumstances may be granted schedule flexibility in consideration of the amount and duration of the additional time commitments.

602.1 Access to Employee Records

Access to employee records is subject to state statutes on personnel records.  Generally, persons other than the staff member’s supervisor and staff of Human Resources may not, at any time, inspect an individual’s employee records without permission from Human Resources.

A present or former University staff member may inspect his or her own records in accordance with the following procedures:

  • Benefits Records.  ”Benefits records” are documents pertaining to the eligibility of a staff member (or his or her beneficiary) to participate in, or to receive benefits from, any employee benefit plan.  A staff member may review his or her benefits records by submitting a request to the Employee Service Center.
  • Medical Records.  ”Medical records,” for this purpose, means all papers, documents, and reports prepared by providers that are in the University’s possession and are work-related or upon which the University relies to make any employment-related decision.  They do not include Yale Health medical records or records of the Mental Health Division that are separately maintained by Yale Health and are subject to Yale Health’s separate policies on confidentiality and access.  A staff member who wishes to inspect and to copy his or her medical records, as defined above, should address a written request to the Office of the Director of Yale Health.
  • Personnel Files.  According to Connecticut statutes, “personnel file” means papers, documents, and reports pertaining to a staff member that are or have been used to determine such staff member’s eligibility for employment, promotion, additional compensation, transfer, termination, disciplinary or other adverse personnel action, including employee evaluations or reports, or reports relating to such staff member’s character, credit and work habits.  Personnel files do not include medical records, letters of reference, or recommendations from third parties (including former employers), materials that are used by the employer to plan for future operations, information contained in separately maintained security files, test information the disclosure of which would invalidate the test, or documents that are developed or prepared for use in civil, criminal, or grievance procedures.

An official personnel file for each staff member is maintained by Human Resources. Documents may be inserted in these files only with the approval of a representative of Human Resources. The staff member’s supervisor and/or department may also maintain a file of pertinent employment and performance data.

Access to a staff member’s personnel file(s) will be afforded to a current staff member within seven days of receipt of the written request, and to a former staff member within ten days of receipt of the written request (provided that Yale receives the written request not later than one year after the termination of the former staff member’s employment).  A staff member may inspect and copy, at no cost, his or her personnel file(s) in the presence of a University representative.

Subsequently, a staff member will be permitted to inspect his or her file(s) and copy new material in the file(s) as frequently as is reasonable.  However, a staff member is not permitted to inspect the following:

  • letters of reference or recommendations from third parties, including former employers, or letters of reference or recommendations written on behalf of the staff member by other Yale employees to individuals outside the University.
  • test information where the University believes that disclosure would invalidate the test.

Requests to inspect personnel files should be directed by the staff member to the Employee Service Center.

If a supervisor or department is requested by a staff member to furnish these records, the staff member should be directed to the appropriate office as indicated above where the records covered by the statute will be assembled for review by the staff member.  Any questions concerning a staff member’s right to review various other records should be directed to those offices or to the Office of the General Counsel.

If a staff member disputes or disagrees with information or documentation contained in his or her personnel file, and the submitting department determines that it should remain in the file, the staff member may submit written comments to be made part of that file.

602.2 Disclosure of Information

Verification of data.  As a service to staff members, Human Resources will furnish, upon written request of third parties outside the University, a staff member’s dates of employment at the University and his or her University title or position.  In instances where payroll information is requested (e.g., salary information for the purpose of obtaining a mortgage), the requesting party will be advised that this information will only be made available with the written consent of the staff member.

Inquiries by governmental agencies.  Inquiries made by governmental agencies concerning security clearances regarding individual staff members should be referred to Human Resources. Verification of the dates of employment of a former staff members may be provided to those agencies directly by Human Resources upon the agent’s presentation of proper identification, and statement of the reason for the inquiry.  Other inquiries, including those from the United States Department of Labor, the Equal Employment Opportunity Commission, or other federal, state, or municipal agencies requesting information about current or former staff members should be referred to the Office of the General Counsel.

602.3 Updating Information

In order to respond to possible emergencies and to provide staff members with important notices relating to salaries, benefits, and other matters, it is important that the University have current and accurate records.  Accordingly, staff members must report any change in personal status ­via the self-service applications available at the Yale portal.

The University strives to maintain a safe work environment.  To help maintain a safe environment as well as to evaluate and manage any health or safety issues that might arise, the University maintains an office of Environmental Health & Safety (EHS) which works with Employee Health. A staff member or supervisor with a specific concern about a possible health or safety problem should discuss this concern with an immediate supervisor or his or her department lead administrator or operations manager.  Problems not satisfactorily resolved in this manner should then be referred to Employee Health or to EHS.

603.1 Employee Fitness-For-Work Evaluations

The nature of certain work activities is such that the University may require staff members engaged in those activities to submit periodically to immunizations and other health evaluations prescribed by Employee Health in conjunction with EHS. As part of these evaluations, X-rays, blood samples, or other tests may be required to meet regulatory compliance requirements or to ensure adequate fitness-for-duty for certain occupations.

A staff member who declines to receive or participate in a prescribed procedure, or whose health evaluation results are not satisfactory in the judgment of Employee Health, may be required to stop work.  In certain cases, a leave of absence may be approved by Human Resources for that individual.

Employee Health will report its findings and recommendations regarding fitness to work to employing departments.  Detailed medical information will be kept only in the Employee Health files and will not be divulged except that (1) supervisors may be informed regarding necessary restrictions on the work or duties of the staff member and necessary accommodations, (2) first aid and safety personnel may be informed, when appropriate, if the disability might require emergency treatment, and (3) government officials investigating compliance with the Americans with Disabilities Act shall be provided relevant information on request.

Any person who has submitted to any procedure required by Employee Health in connection with his or her employment will, upon his or her request, be informed of the results of the procedure. On the written request of the individual, Employee Health will release the results of a procedure to the individual’s personal physician.

The University cannot and does not, as part of its work safety and occupational health programs, attempt to make a comprehensive evaluation of any person’s health or physical condition.  An assessment by Employee Health that an individual is fit to work at his or her job carries with it no assessment of that individual’s complete health status.

603.1a Emergency Treatment

A staff member who is injured or becomes ill should be sent for immediate treatment.  Summon emergency services through 911 for serious medical emergencies; lesser medical issues requiring only first aid may be referred for initial treatment to Acute Care/Employee Health at the Yale Health Center.  Employee Health can also provide advice on how to obtain treatment for a staff member who experiences sudden illness or emergency in the course of employment.

603.1b Reports of Work-Related Injuries/Illnesses

All injuries and work-related illnesses, no matter how slight, must be reported online on an Employee First Report of Injury Form available through the Workers’ Compensation website by the immediate supervisor, the business office, or another managerial and professional staff member within 24 hours of the incident.

603.2 Smoking

Smoking, including the use of e-cigarettes, is prohibited in all University buildings, as well as outdoors except in designated areas.

603.3 Alcohol and Drugs

Alcohol

The unauthorized possession or misuse of controlled substances and alcoholic beverages, and the consumption, possession, or provision of such substances in violation of federal or state laws or University rules is prohibited.

Staff members violating this policy will be subject to disciplinary action up to and including termination.

Drug-Free Schools and Communities Act

The Drug-Free Schools and Communities Act Amendments of 1989 require an institution of higher education, as a condition of receiving any financial assistance under any federal program, to certify that it has adopted and implemented a program to prevent the unlawful possession, use or distribution of illicit drugs and alcohol by students and staff members.  Information about the Drug-Free Schools and Communities Act Amendments is distributed to staff members annually.

Yale’s Policy on a Drug-Free Workplace

In accordance with federal law, the University has adopted a drug-free workplace policy.  All staff members are required to abide by the terms of this policy statement as a condition of employment.

The unlawful manufacture, distribution, dispensation, possession or use of a controlled substance at the workplace is prohibited.  Any staff member determined to have violated this prohibition may be subject to disciplinary action up to and including termination.

The University recognizes that drug abuse in the workplace poses potential health, safety, and security problems, and has implemented a drug-free awareness program to inform staff members of the problems of drug abuse and the availability of counseling and other assistance.

A staff member engaged in the performance of work under a federal grant or contract who is convicted of a violation of a criminal drug statute occurring in the workplace must notify the University of the conviction within five days of such conviction.  Non-faculty staff members must notify their immediate supervisor of any such conviction, who must immediately notify Human Resources.  Faculty members must notify their dean and/or cognizant deputy provost, as appropriate, of any such conviction.  The dean and/or cognizant deputy provost will immediately notify the Office of Research Administration.

Within ten days of receipt of notice of a conviction for violation of a criminal drug statute occurring in the workplace, the University is required to notify the sponsoring federal agency of the conviction.  The University will, within 30 days of notice of such a conviction, take or initiate appropriate disciplinary action with respect to any staff member who is so convicted (up to or including termination) or will require satisfactory participation in the University’s Assistance Program or another drug abuse assistance or rehabilitation program.

Drug-Free Awareness Program of Yale University

The University has established a drug-free awareness program to inform staff members about the dangers of drug abuse in the workplace and the availability of counseling and rehabilitation programs.  The program has been developed by Yale Health and Human Resources.

New staff members of Yale University will be informed of the dangers of the use of drugs by way of inclusion of pertinent information and literature at the time of their initial orientation.  Individual counseling and referrals can be provided through Employee Health and the University Assistance Program for staff and faculty.

Questions concerning this policy may be addressed to the Office of the General Counsel.

603.4 Campus Safety and Security

Yale University has a long-standing commitment to provide a campus that is safe and secure for faculty, staff, students, and visitors.  Behavior that is threatening, harassing, intimidating or in any way dangerous or violent is strictly prohibited and will result in serious action by the University. While no large organization is immune from acts of violence, clear policies and procedures help reduce the likelihood of such events and guide appropriate responses to situations that do arise. The University maintains a policy on Campus and Workplace Violence Prevention, found at the Campus Workplace Violence Prevention website.

In accordance with both the federal Clergy Act and state law, the University maintains information concerning current security policies and procedures and prepares an annual security and fire safety report that includes crimes committed within the geographical area of the University.  Upon request to the Office of the Deputy Vice President for Human Resources & Administration, the University will provide such information to any new staff member.  The annual report is available at the Public Safety website.

Questions concerning this policy may be addressed to the Office of the Deputy Vice President for Human Resources & Administration.

603.5 Possession of Dangerous Weapons

Irrespective of any license granted by other authority, Yale staff members, whether working or not, are not permitted to carry or store firearms or other weapons on Yale premises or Yale leased properties.  Staff members violating this policy will be subject to disciplinary action up to and including termination.  University Police Officers are specifically exempted from this prohibition.  More information on the policy and any exceptions is available at the Campus Workplace Violence Prevention website.

603.6 Sexual Harassment and Sexual Misconduct

Sexual harassment is an affront to human dignity and fundamentally at odds with the values of the University.  Because the University is committed to maintaining a community for study and work that is free from sexual harassment, the University will not tolerate any member of that community sexually harassing another.  Toward that end, as required by the State of Connecticut, the University requires training and education about sexual harassment to supervisory staff members through the Office for Equal Opportunity Programs and Human Resources.

Sexual harassment is unlawful under Title VII of the Civil Rights Act of 1964, as amended, Title IX of the Education Amendments of 1972, and under state law.

Sexual harassment is antithetical to academic values and to a work environment free from the fact or appearance of coercion.  It is a violation of University policy and may result in serious disciplinary action.  Sexual Harassment consists of nonconsensual sexual advances, requests for sexual favors, or other verbal or physical conduct of a sexual nature on or off campus, when: (1) submission to such conduct is made either explicitly or implicitly a term or condition of an individual’s employment; or (2) submission to or rejection of such conduct by an individual is used as the basis for employment decisions; or (3) such conduct has the purpose or effect of unreasonably interfering with an individual’s work performance or creating an intimidating or hostile working environment.  Sexual harassment may be found in a single episode, as well as in persistent behavior.  Conduct that occurs in the process of selection for employment is covered by this policy, as well as conduct directed toward University students, faculty, or staff members. In addition, conduct by third parties (i.e., individuals who are neither students nor staff members, including but not limited to guests and consultants) is covered by this policy.  Both men and women are protected from sexual harassment, and sexual harassment is prohibited regardless of the sex of the harasser.  Sexual harassment is a matter of particular concern to an academic community in which students, faculty, and staff are related by strong bonds of intellectual dependence and trust. If Yale staff members introduce sex into a professional relationship with a student, they abuse their position of authority.  

Prompt action will be taken to address any violation of this policy up to and including termination. Staff with specific complaints of sexual harassment should contact a supervisor or the Office for Equal Opportunity Programs.  General concerns or questions may also be directed to that office.

Yale strives to be a community free of sexual misconduct, by promoting the essential values of respect and responsibility, providing education, and working with students, faculty, and staff — a community that is safe and supportive for all.  Yale takes all complaints and accusations of sexual misconduct seriously.  More information is available at the Sexual Misconduct Response website.

Faculty and staff may bring complaints against faculty and students to the University-Wide Committee on Sexual Misconduct (UWC).  The UWC does not hear complaints brought by faculty and staff against staff members.  Staff and faculty with complaints of sexual misconduct against staff members should contact a Title IX Coordinator, a Human Resources Generalist, or the Office for Equal Opportunity Programs.

603.7 Relationships between Staff Members

Staff are expected to avoid romantic or sexual relationships with employees and trainees for whom they have or might reasonably expect to have supervisory or reporting responsibilities. 

Under no circumstances can a supervisor directly supervise or evaluate any employee or trainee with whom he or she has a romantic or sexual relationship.  If such a relationship exists or develops, the supervisor and employee must promptly disclose it to the Department Head or the Human Resources Generalist.  Arrangements, which may include reassignment or relocation, will be made to address any issue of conflict of interest.  Any decision affecting any aspect of employment (for example, transfer, promotion, salary, termination) must be made by disinterested and qualified supervisory personnel.

Violations of this policy will normally lead to disciplinary action, up to and including termination.

Individuals with questions about this policy or staff concerned about a romantic or sexual relationship in violation of this policy are encouraged to speak with their supervisor, Human Resources Generalist, or any University Title IX Coordinator.

603.8 Counseling & Support Services

At times, a personal problem may be severe enough that it carries over into the work environment and affects job performance.  It is then in the best interest of both the staff member and the employer that the individual receive help in dealing with this problem.

Yale University has established an assistance program so that staff may seek professional help should such personal problems develop.  Counseling & Support Services (CSS) offers consultation, evaluation and, when appropriate, referral to other professional resources.  The staff member may contact CSS in private and use CSS with the assurance that strict confidentiality will be respected at all times.  CSS is provided through an outside agency and the University has no access to information about a staff member’s participation except in specific situations where the University’s drug-free workplace policy requires or the staff member gives permission for his or her supervisor to be notified of participation.  Those situations would, in most cases, be related to job performance problems.

Supervisors should be aware of CSS, the scope of its services, and the way in which it can be used by both staff member and supervisor.  If a staff member’s declining job performance, stress or counter-productive behavior suggests a personal problem, the supervisor may advise the staff member of the availability of CSS.  Participation in the CSS does not relieve a staff member from his or her job performance expectations.

CSS is available to staff who are eligible for coverage under any of the University health plans, their spouses, and any of their dependent children who are also eligible for coverage under a University health plan.

CSS is coordinated and administered through Human Resources.

603.9 Reasonable Accommodations

The University is committed to developing and maintaining an environment which is supportive of staff members with disabilities.  Staff members who require reasonable accommodations in connection with their jobs should contact the Office for Equal Opportunity Programs (OEOP), which facilitates individual accommodations for staff members with disabilities, assists in providing access to University programs and activities, disseminates information on available services, and provides assistance with the use of these services.  Service animals are permitted, but must be registered with OEOP.

604.1 Use of Information Technology

Users of Yale’s IT resources have a responsibility not to abuse those resources and to respect the rights of the members of the community as well as the University itself.  This Information Technology Appropriate Use Policy (the “Policy” or “AUP”) provides guidelines for the appropriate use of Yale’s IT resources as well as for the University’s access to information about and oversight of these resources.

604.2 Use of University Property

Staff members not following Yale’s policy on Personal and Off-Campus Use of University Property Including Vehicles may be subject to disciplinary action up to and including termination.

604.3 Personal Mail and Packages

Staff members may not use Yale business accounts or materials for personal use.  The University is not responsible for loss or damage to personal packages or mail addressed to any of its staff members at a Yale facility.  In order to avoid a possible financial loss, it is strongly recommended that such items be mailed or shipped to the staff member’s home or to a friend or relative.

604.4 Use of Campus Mail

Staff members may not use the Campus Mail services for personal mail or mail of non-Yale organizations.  This service is staffed to handle only official University correspondence.  While the staff of Campus Mail does not ordinarily inspect individual letters and packages for conformance to this policy, they are required to call to the attention of proper authorities any apparent violations.  Use of a campus mail address for personal use is prohibited.

604.5 Personal Visitors

Staff members must ensure that personal visitors do not interfere with the work of the department and are not in a location where they can see or hear confidential information.

Children may not be cared for in the workplace.  Other arrangements must be made.

604.6 Pets

Health, safety, and courtesy reasons preclude the presence of pets in the workplace, unless the pet is acting as a service animal and has been registered with the Office for Equal Opportunity Programs (OEOP).

604.7 Personal Business Activity

Staff members who supplement their earnings by the promotion or sale of products and services do so entirely on their own initiative and without implied approval or endorsement by the University.

All such activity, including sampling, soliciting orders, and deliveries must be conducted entirely outside of working hours and off University premises.

604.8 Use of University Vehicles

University vehicles may not be used for commuting or other personal use.  When not in use, all vehicles must be parked on University premises.  Occasional exceptions are permitted provided the reason given is specific, the situation is not of a permanent or continuing nature, and advance approval has been obtained from the head of the department to which the vehicle is assigned.

Limited use of fleet vehicles for take home purposes as part of a staff member’s job activity must be approved by the staff member’s supervisor.  These staff members are responsible for tracking of mileage used for personal travel and must annually report this information to the University Tax Office.

All drivers of university fleet vehicles must pass the Driver’s Safety Awareness Training and must have a valid driver’s license appropriate to the class of vehicle being driven.  No one may knowingly drive a University fleet vehicle with a revoked or suspended driver’s license.  The use of University fleet vehicles by persons with driver’s licenses issued in countries other than the United States and Canada is prohibited.

Staff members operating a Connecticut Department of Transportation (DOT) vehicle (any vehicle over 10,001 lbs) are required to participate in an annual driver record check.

More information can be found in the Automobile Fleet, Rental and Safety Program Policy.

604.9 Use of Yale Stationery

Yale stationery is intended for University business and must not be used by staff members for personal or non-University correspondence.

Conflicts of interest may arise when an individual has a consulting agreement or other substantial personal interest in an organization that either manufactures supplies or equipment or provides services of a kind purchased for use at Yale.

Responsibility for the propriety of arrangements in which multiple and possibly conflicting interests exist rests initially with the individual who should recognize that such relationships must not be in conflict with the general interests, policies, and mission of the University, that his or her activities within the University must not be biased by the relationship, and that the relationship must not adversely affect his or her contribution to the University.  Any staff member with such an interest must provide full information to, and obtain the approval of, the University Officer responsible for his or her school or department for any arrangement in which a conflict of interest is implicit or explicit.

In particular, no arrangement involving purchase of goods or services by a department of the University from an organization in which a member of the department has such an interest may be entered into without the approval of the supervisor of the individual having the potential conflict of interest and the approval of the University Officer responsible for that school or department after full disclosure of the interest.

Requests for clarification of specific situations should be referred to the Office of the General Counsel.

Yale University’s policy on patents is based on the principles that creation of inventions frequently occurs in the conduct of research or teaching and that encouragement of inventive activity is supportive of the public interest and consistent with the advancement of knowledge for its own sake.

The policy specifically addresses laws and regulations relating to the disposition of inventions that result from federally-funded research and the obligations incurred by the University in its sponsored research agreements with both federal and private organizations.

The University asserts ownership of inventions that result from the usual activities of its faculty and staff or of inventions that result from the use of its facilities.  All inventions must be reported promptly in writing to the Provost, through the Office of Cooperative Research.  The University will seek to make the invention available to the public through licensing and, as defined in the policy, ordinarily will share any royalties received (after deduction of expenses) with the inventor(s).  The University’s share of royalties normally will be used to support research and/or teaching activities.

A full statement of University policy is available from the Office of Cooperative Research.

Yale University’s policy on copyright encourages the wide dissemination of scholarly work produced by members of the Yale community, including copyrightable works.  Such works include books, articles and other written works, musical and dramatic works, pictures, sculptures and other works of art, computer software, and electronic chip designs.

Under the Copyright Law, the copyright to a work created by a person in the course of his or her employment belongs to the employer rather than to the individual creator.  However, it is traditional at Yale for books, articles and other scholarly writings by a faculty member to be deemed the property of the writer who is considered to be entitled to determine how the works are to be disseminated and to keep any income they produce.  In recognition of that long-standing practice, the University disclaims ownership of works by faculty, staff, postdoctoral fellows and postdoctoral associates and students except in certain cases.  In general, works created by staff members as assigned tasks in the course of their employment are the property of the University.  The University may also own the copyright to works developed in the course of sponsored research funded by an outside agency, to copyrighted works that are also patentable, and to works created under other special circumstances.

Any question about the University’s ownership of a work will be decided by the Provost after review by the Committee on Cooperative Research, Patents, and Licensing and the Office of the General Counsel.

A full statement of University policy is available from the Office of Cooperative Research.

Within the policy specified by the Office of the Controller, a staff member will be reimbursed for reasonable expenses for travel undertaken for business purposes and authorized by his or her supervisor.

See Policy 3301.

See the Yale Campus and Workplace Violence Prevention website.

The following sections encompass Yale’s staff development policies.

The University encourages the professional development of all employees.  Development opportunities may occur either in the home department or in other departments.  Staff members are encouraged to participate in the Individual Development Planning process, and share their career aspirations with their supervisor.

A staff member may discuss informally a promotional opportunity or the possibility of a transfer at any time with a Human Resources Representative.  Such discussions will be treated confidentially unless the staff member approves otherwise.

The fact that a staff member has requested a transfer shall not jeopardize his or her present position in any way.  If any staff member has reason to believe that he or she has been retaliated against as a result of pursuing a promotion or transfer opportunity, the staff member should inform Human Resources.

See also 3503 PR.20.

701.1 Notice of Transfer Requirement

Unless there are unusual circumstances, new staff members are expected to stay in their initial positions for at least six months before being considered for transfer, the exception being a transfer that involves a promotion.

When moving to a new position in the University, a staff member must provide one month’s notice to his or her current supervisor.  The date of notice is considered to be that day on which the present supervisor is made aware by the staff member of the impending transfer.  With the consent of the two supervisors and the staff member, an earlier or later transfer date may be arranged.

701.2 Employment Opportunities Posting

To allow current Yale staff members to explore the possibilities of transfer or promotion, new openings are posted to STARS, Yale’s online job posting and recruitment system.

Typically, no offer of employment may be made until at least eight days following the initial posting.

See also Section 3503.103.1b.

The Organizational Effectiveness and Staff Development (OESD) department, part of Human Resources, offers a variety of seminars and workshops to assist staff members in improving and expanding their skills and increasing promotional opportunities.  Training courses, seminars and workshops offered for staff development are outlined on the OESD website.

Staff members who wish to enroll in training courses must have prior approval from their supervisors.

The University encourages the participation of staff members in programs offered or sponsored by OESD.  Supervisors may allow paid time to attend such programs provided that the seminar, workshop, or course is reasonably related to a staff member’s existing job or a future position to which the staff member may reasonably aspire.

Information about this policy can be found on the Benefits website.

Regular staff members who are accepted in Yale College’s Non-Degree Students Program may take courses each semester at a reduced tuition.  Non-degree credits earned in this program may be transferred to another university or college or applied toward a Yale College Bachelor of Arts or Science degree, if the staff member is accepted into an undergraduate degree program at Yale.  More information can be found at the Non-Degree Students Program website.

Spouses of regular staff members may be eligible for reduced tuition.

See also Section 3503.708.

704.1 Eligibility for Program for Non-Degree Students

A participant must be:

  • a regular full-time staff member; or
  • a regular part-time staff member who is scheduled to work 20 or more hours per week and who has completed six months of service prior to the start of the course.

Staff members are expected to meet full work requirements of their regular jobs while participating in the Program.  Therefore, decisions and approvals regarding the granting or denial of release time and/or adjusted work schedules remain with each staff member’s supervisor.

Applicants will be admitted to courses in compliance with prevailing policies of the Program.

704.2 Reduced Fees for Staff Members in the Program for Non-Degree Students

The staff member, once admitted into the Non-Degree Students Programs, may apply for reduced tuition.  When the application is approved, the staff member will pay one-half of the currently established tuition per course.  The amount of tuition reduction provided the part-time staff member will be prorated at a percentage equal to the staff member’s regular work hours divided by 37.5.

Information regarding application procedures for reduced tuition may be obtained from the Employee Service Center.

Regular staff members who are accepted in the Yale Summer Session may take courses at a reduced tuition.  A staff member’s qualifications for the programs are evaluated by the Yale Summer Session Office. More information can be found at the Yale Summer Session website.

Spouses of regular staff members may be eligible for reduced tuition.

See also Section 3503.708.

705.1 Eligibility for Yale Summer Session

A participant must be:

  • a regular full-time staff member; or
  • a regular part-time staff member who is scheduled to work 20 or more hours per week and who has completed six months of service immediately prior to the start of the course.

Staff members are expected to meet full work requirements of their regular jobs while participating in Yale Summer Session.  Therefore, decisions regarding the granting of release time and/or adjusted work schedules remain with each staff member’s supervisor.

705.2 Reduced Tuition for Staff Members in Yale Summer Session

The staff member, once admitted to Yale Summer Session, may apply for reduced tuition through the Employee Service Center.  When approved for reduced tuition, the staff member will pay one-half of the currently established tuition per course.  The amount of tuition reduction provided the part-time staff member will be prorated at a percentage equal to the staff member’s regular work hours divided by 37.5.

Regular staff members of the University and their spouses may audit courses in Yale College or the Graduate School of Arts and Sciences free of tuition and course fees in accordance with applicable staff policies when the provisions listed below are met.  (These auditing provisions do not apply to Yale Summer Session or to the professional schools.)

Staff members are expected to meet full work requirements of their regular jobs while auditing courses.  Therefore, decisions and approvals regarding the granting of release time and/or adjusted work schedules remain with each staff member’s supervisor.

More information, including details concerning required permissions, can be found at the Yale College website.

Regular staff members who are accepted in the Yale Graduate School of Arts and Sciences Master’s Degree Programs or as non-degree students in the Division of Special Registration may take courses each semester at reduced tuition.

Spouses of staff members may be eligible for reduced tuition.

See also Section 3503.708.

707.1 Eligibility for Graduate School of Arts and Sciences Program

A participant must be:

  • a regular full-time staff member; or
  • a regular part-time staff member who is scheduled to work 20 or more hours per week and who has completed six months of service immediately prior to the start of the course.

Staff members are expected to meet full work requirements of their regular jobs while participating in the Program.  Therefore, decisions and approvals regarding the granting or denial of release time and/or adjusted work schedules remain with each staff member’s supervisor.

A staff member may enroll in Master’s Degree Program or, as non-degree student, may enroll in maximum of 16 courses over a two-year period.  Applicants will be admitted to courses in compliance with prevailing policies of the Yale Graduate School.

707.2 Reduced Fees for Staff Members in the Graduate School of Arts and Sciences Program

The staff member, once admitted to the Master’s Degree Program or the Division of Special Registration, may apply for reduced tuition at the Registrar’s Office, Graduate School of Arts and Sciences.  When the application is approved, the staff member will pay one-half of the currently established tuition per course.  The amount of tuition reduction provided the part-time staff member will be prorated at a percentage equal to the staff member’s regular work hours divided by 37.5.

707.3 Payroll Deduction Plan for Degree Programs

Full-time staff members should pay in full at registration or may elect payroll deduction in order to meet the tuition charge.  Under the payroll deduction plan, one-quarter of the tuition must be paid at the time of registration and the remainder will be deducted from the paycheck over the following three months.  Application for payroll deductions may be obtained and completed at the Yale University Student Financial Services Office.

Spouses of staff members may receive a tuition reduction if accepted for courses taken in the following programs: the Yale College Program for Special Students (non-degree students only); Yale Summer Session; and the Graduate School of Arts & Sciences (Division of Special Registration and Masters degree programs only).  Reduced tuition forms are available here.

708.1 Eligibility for Tuition Reduction

The reduction is available to spouses of staff members who are:

  • regular full-time staff members; or
  • regular part-time staff members scheduled to work 20 or more hours per week and who have completed at least six months of service immediately prior to the time the spouse enrolls in the course.

The tuition benefit is limited to one course per term.

708.2 Admission to Program

Enrollment in courses in any of the participating programs must be gained through regular admissions procedures, including evaluation of the applicant’s academic qualifications and using the same standards as are normally followed in the program.

A candidate must complete the regular application process, including payment of an application fee.

708.3 Tuition Reduction

The tuition rate with this benefit is 50% of the per-course tuition charged in the program in which the spouse is enrolled.  The benefit is prorated for spouses of part-time staff at a percentage equal to the staff member’s regular work hours divided by 37.5.

708.4 Course Credit

Credits earned in Yale College or Yale Summer Session courses through the reduced benefit tuition may be applied toward a Yale degree.

The following sections encompass Yale’s performance and conduct policies.

Yale University is committed to the pursuit of excellence in the workplace and to helping Yale staff members contribute to the maximum of their potential.  These aspirations can best be reached with annual performance objectives that are well understood and provide staff members with timely and clear performance feedback.

Managers should establish annual performance objectives for each staff member, conduct a mid-year status review of the staff member’s performance in meeting these goals, and assess each staff member’s annual performance in the context of these goals at the end of the fiscal year.  This performance management process is designed to ensure that:

  • the efforts of staff members are focused on achieving the most important outcomes in alignment with University, school, and departmental goals;
  • staff members are provided with direction and feedback that will help them to increase their contribution;
  • staff members who make significant contributions are rewarded through a merit-based pay for performance process;
  • staff members understand their development opportunities and are provided with adequate coaching and support.

Completion of the annual goal setting process, a timely year-end written assessment, and an annual performance discussion with each staff member are the minimum performance expectations for all Yale managers.

All staff members are expected to meet the standards for their positions established by their managers, as well as to conduct themselves in an acceptable manner, consistent with University policies and expectations.  When a staff member cannot or does not do so, the manager should take corrective action.  The Human Resources Generalist for the organizational unit is available for assistance and advice.  Yale Counseling and Support Services is an additional resource for both the manager and staff member in situations in which personal problems might be affecting job performance.

More information is available at the Standards of Business Conduct website.

In cases in which a staff member is failing to achieve acceptable levels of job performance, his or her manager should meet with him or her to explain in what areas of accountability their performance is below expectations and the improvements which are necessary. 

If the staff member’s performance continues to be unacceptable, the manager ordinarily should create a performance improvement plan, which summarizes in writing the performance deficiencies and the improvements expected during the duration of the plan.  The performance improvement plan is typically in effect for a limited period of time (30-60 days) and is intended to make the expected improvements in job performance clear to the staff member.  The Human Resources Generalist responsible for the unit should review performance improvement plans before their issuance.

If insufficient progress is made during the performance improvement plan period identified, the manager, in collaboration with the Human Resources Generalist, may decide to extend the timeframe of the plan, may reassign the individual to a more suitable internal position, or may initiate action to terminate the employment relationship.  The manager will consider the individual’s overall capabilities, length of service, and prior performance history when determining the most appropriate action.  The existence of a performance improvement plan is not intended to limit the ability of a manager to take more significant action if performance does not improve, deteriorates further, or if unforeseen circumstances warrant. 

See also Section 3503.107.3.

All University staff members are also expected to adhere to University policies and rules of conduct.  If a staff member engages in inappropriate behavior or violates University policies or standards of conduct, the manager should consult with the Human Resources Generalist to determine the appropriate course of action, up to and including termination of employment for the most serious offenses (e.g., dishonesty, theft, HIPAA violation, sexual harassment, physical violence or threats of violence).

The following sections encompass Yale’s staff dispute policies.

901.1 Availability of a Dispute Procedure

For those cases in which more informal attempts at resolution of a problem have not been successful, the University is committed to providing staff members a fair procedure for prompt consideration of their complaints.  Staff members are encouraged to use this dispute procedure and may do so without fear of reprisal.

The dispute procedure outlined here is available to all regular staff members who have completed their probationary periods.  If such a staff member also holds a faculty appointment, he or she may use this procedure only for complaints relating to the non-faculty appointment.

Any individual found to have retaliated against a staff member for initiating a dispute may be subject to disciplinary action.  If any staff member believes that he or she has been retaliated against as a result of pursuing a dispute, the staff member should inform Human Resources, who will have the charge investigated in cases in which the individual against whom the charge is filed is a member of the staff.  In the case of a charge of retaliation by a student or faculty member, Human Resources will refer the matter for investigation to the student’s Dean or the faculty member’s school.

901.2 Disputable Issues

The dispute procedure may be used by an eligible staff member whenever he or she believes that he or she has been treated in a manner inconsistent with University policies, or that he or she has been discriminated against on the basis of sex, race, color, religion, age, disability, status as a special disabled veteran, veteran of the Vietnam era or other covered veteran, national or ethnic origin, sexual orientation, or gender identity or expression.

Professional assessments and judgments of supervisors concerning such issues as performance evaluations, salary and grade classification determinations, and the staffing or organization of a department or allocation of its resources are not subject to review under this procedure, unless it is alleged that the professional assessment or judgment resulted from unlawful discrimination.  A dispute panel may have to inquire into the procedure by which a professional judgment was made in reviewing a complaint, but the panel may not substitute its own judgment for that of the respondent.

For denied benefit claims, see Section 3503.408.

Staff member complaints can often be resolved informally.  Therefore, in an attempt to resolve a problem, a staff member should first bring a complaint covered by this procedure directly to the attention of the person or persons whose actions are the subject of the complaint.  The staff member and the supervisor should also consult with their Human Resources Generalist and, in cases in which improper discrimination is alleged, the staff member should consult with the Office for Equal Opportunity Programs.

902.1 Filing a Complaint

If these efforts are not successful and the staff member wishes to continue to pursue the matter, or if the staff member has chosen not to discuss the matter with the person or persons directly involved, the staff member shall submit a completed dispute form to his or her Human Resources Generalist.  The form must be submitted within 25 working days of the date the staff member learned of the action forming the basis of his or her complaint.  In cases where notice is given to a staff member about the action that will form the basis of the complaint, the time for filing a complaint runs from the date when the staff member receives that notice.  Copies of the dispute form and this procedure may be obtained from a Human Resources Generalist.

902.2 Informal Resolution

After receiving the completed dispute form, the Human Resources Generalist or a member of the Human Resources leadership team will attempt to reconcile the issues raised by discussions with the complainant (the person who brings the complaint) and the respondent (the person against whom the complaint is lodged), to hear both sides of the dispute and to try to reach a resolution acceptable to both parties.  If the complainant wishes, another person employed by the University may accompany him or her to the meeting(s) to provide support.  The Human Resources Representative may also meet individually with the parties or undertake other consultations as appropriate.

The Human Resources Representative will notify the complainant and the respondent within two weeks after receipt of the dispute form either to outline the settlement reached or to indicate that no reconciliation appears feasible.  This time limit and any subsequently cited are expected to be observed in order to ensure that the matters raised are addressed promptly; however, in some instances, additional time may be required for fact-finding because of the complexity of the case or the unavailability of parties or witnesses.  Where a time limit is extended, the complainant and the respondent will be informed.

If no settlement has been reached, the Human Resources Representative will inform the complainant of the availability of a hearing before a Panel of the Review Committee and will provide the complainant with a copy of the dispute policies and procedures and the procedures of the Review Committee covering additional details about the conduct of a hearing.

See also Section 3503.903.

903.1 Request for Hearing

Within two weeks of receipt of notification from the Human Resources Representative, the complainant, if he or she wishes to pursue the matter, must have submitted to Human Resources a written request for a hearing before a three-member Panel of the standing Review Committee.

903.2 Composition of Panel

The Review Committee consists of no fewer than nine full-time staff members from various schools and departments of the University.  The staff members are appointed by the President. The complainant and the respondent will each select one member of the Review Committee to serve on the Panel and these two members will select a third member from the Review Committee who will chair the Panel for the formal hearing.  If the two members are unable to agree on the selection of the third, they will select by alternately “striking” a name from the Committee roster.  The last remaining name will be the third member.  It is understood that at any given time, because of illness, vacations, or other reasons, there may be fewer than nine members from which to choose. Members of the Panel are, by definition, intended to be impartial and are not “representatives” of the party selecting them.

Any member of the Review Committee may decline to serve on a particular Panel and should do so if he or she has prior involvement with the complaint.  The complainant or the respondent will have the right to challenge for cause the member selected by the other party or the jointly-selected third member (for example, because of close personal contact with the respondent or complainant).  The Vice President for Human Resources and Administration will decide the disputed issues in case of challenge; the decision will not be subject to appeal.

The Vice President for Human Resources and Administration or his or her designee will sit with the Panel during the hearing to provide information and advice regarding precedents and procedures.

903.3 Hearing by the Panel

To ensure a fair hearing, the procedures of the Review Committee allow the complainant and the respondent to present all relevant facts directly to the Panel, to present witnesses who can offer information about the dispute, and to attend the hearing when contrary evidence and opposing witnesses or parties are being heard.

The complainant and the respondent may each have as an adviser at the hearing a University staff member of their choosing with the exception of staff members of Human Resources.  While the individuals directly involved in the complaint are responsible for presenting their views of the issues raised in the complaint together with appropriate documentation, their respective advisors may offer suggestions and make additional statements.  However, these proceedings, by their nature, are non-adversarial and the introduction of legalistic procedures is not permitted.

903.4 Scope of Deliberations

In all cases, the Panel must be guided in its decisions by stated University policy and practice and may not add to, subtract from, or otherwise modify any University policy or practice.  Included among the University’s policies is its commitment to equal opportunity, regardless of sex, race, color, religion, age, disability, status as a special disabled veteran, veteran of the Vietnam era or other covered veteran, national or ethnic origin, sexual orientation, or gender identity or expression.

903.5 Decision of the Panel

The Panel’s resolution will be made by a majority of the Panel members.  The Vice President for Human Resources and Administration or his or her designee will assist the Panel in ensuring that the resolution conforms to University policy and practices and will consult as appropriate with the University’s General Counsel.

A written summary of the decision will be provided to the complainant and the respondent ordinarily within a month after the hearing has been adjourned.

The Panel’s resolution shall be binding on the University.