3501 PR.05 Faculty Appointments

Revision Date: 
August 24, 2000

1 – Policies and Responsibilities

University Policies

The Provost’s Office is responsible for all matters related to faculty employment and compensation. The Provost’s Office is authorized to approve faculty compensation structures, payments and rate adjustments, and to set annual budget guidelines for the University. Certain responsibilities for faculty employment and compensation may be delegated by the Provost to associate and deputy provosts, deans and department chairs.

Appointments of postdoctoral associates, postdoctoral fellows, research affiliates and visiting fellows are subject to the same procedures as faculty appointments, as described in this document.

See Policy 3501 General Payroll Policy for University payroll policies.

See the Faculty Handbook for detailed information regarding faculty appointments.

Roles and Responsibilities

The faculty appointment process involves the following roles and responsibilities. Specific titles and/or division of responsibilities may vary by school or department.

Role

Responsibilities

Department chairperson

  • determines likelihood of offer.
  • for clinical appointments, notifies Faculty Practice Plan to commence credentialing.
  • sends contingent offer letter, approved by Provost/dean’s office, to candidate, as appropriate.
  • sends benefits information and forms packet to candidate.
  • receives written acceptance of contingent offer.
  • for ladder faculty, submits affirmative action search material to Equal Opportunity Programs office.

Department administrator (assistant to chair, business manager, or other administrator, depending upon department structure, or central administrator depending on the size of the department)

  • for foreign faculty:
  • if authorized, creates new employee record in Human Resources database with Foreign Students and Scholars information and sends data report with required documents to Office of Foreign Students and Scholars

or

  • forwards file to Provost/YSM Faculty Office.
  • receives employee information from candidate.
  • if authorized, creates or updates employee record in Human Resources database, including labor schedule (charging instructions); or forwards file to Provost/YSM Faculty Office.
  • collects additional information from faculty upon arrival.
  • collects and completes employer portion of I-9 if not done at FSS.
  • enters additional information in HR database.
  • provides information to new faculty regarding ID card, net ID, health & safety, parking, etc.
  • forwards tax forms to Payroll, I-9 to Human Resources.

Foreign Students and Scholars staff

  • completes government immigration documents.
  • may collect and complete I-9 when faculty arrives, and enter certification in HR database, if not done at department.

Equal Opportunity Programs staff

  • reviews and approves affirmative action search materials for ladder faculty appointments.

Dean or Medical School Faculty Office

  • approves appointment at the school level.

Provost

  • enters salaries for FAS appointments.
  • approves all faculty appointments.

Corporation

  • gives final approval to appointment.

Secretary’s Office

  • sends confirmation of Corporation appointment to individual forwarded via the department.

New faculty member

  • provides required personal information to department administrator prior to arrival.
  • completes required tax withholding documents and submits to department administrator.
  • if foreign:
  • checks in at Foreign Students and Scholars Office upon arrival.
  • interviews in Tax Department to confirm tax exemption.
  • completes employee portion of I-9 and submits to department administrator or FSS with required documents.
  • submits additional HR information to department administrator as appropriate.
  • submits completed benefits enrollment forms to Benefits Office.

Tax Department staff

  • meets with new foreign faculty member upon arrival to determine tax treaty benefit eligibility.
  • notifies Payroll Department of tax treaty benefit.

Payroll Department staff

  • enters tax withholding data in HR database, including foreign treaty benefit data if applicable.

Benefits Office staff

  • receives completed benefits enrollment forms from faculty.
  • enters benefits-related data in Human Resources database.
  • notifies benefits providers as needed.

Department record custodian

  • retains records as required by record retention policy.

 

Confidentiality

Employment and payroll information is confidential, and as such should be provided on a need-to-know basis only.

All documents and electronic records related to employment and payroll must be handled and stored in a manner consistent with their confidentiality by all who have responsibility for any aspect of the employment and payroll function.

2 – Provide Foreign Scholar Information If Applicable

Visa Documentation Process

If the new faculty member is not a U.S. citizen or permanent resident, the Office of Foreign Students and Scholars (OFSS) must prepare and send to the individual the immigration documentation that he/she will need in order to obtain the appropriate visa.

As soon as your department has determined that an offer will be made to an individual who is not a U.S. citizen or permanent resident, you must provide the Office of Foreign Students and Scholars with the information required for the visa documentation process, as described below.

Assemble Information

Assemble the preliminary information required by the Office of Foreign Students and Scholars.

  • Items required for Foreign Office notification are noted with an asterisk (*) on the Faculty Data Collection Form.

Required for both foreign and U.S. faculty appointments

(see Step 3)

  • Last Name
  • First Name
  • Middle name or initial
  • Title (Mr, Ms, Mrs, Dr, etc.)
  • Suffix (Jr, II, etc.)
  • Gender
  • Birth Date
  • Nationality: country of citizenship
  • Education: year, degree, name of institution
  • Organization: Yale department or sub-unit
  • Job: Faculty, PDF, etc.
  • Position
  • Hire Date
  • Term End Date: if term appointment

Specifically required for foreign faculty

  • Permanent address in home country: address type: Foreign Contact Address
  • Correspondence address prior to arrival at Yale
  • E-mail: current e-mail address, if available
  • City of birth
  • Country of birth
  • Country of lawful permanent residence
  • Is individual already in U.S.?
  • Current immigration classification
  • Will department pick up documents to express mail? if not, OFSS will mail via air mail to correspondence address
  • Previously at Yale?
  • Previous termination date
  • Previous capacity
  • Will paychecks be issued by Yale?
  • Estimated Yale salary
  • Other funding:
  • Fund dollar amount(s)
  • Funding source(s)
  • How long available
  • Occupation in home country
  • Marital status
  • Will family accompany individual to U.S.?
  • Number of dependents to accompany to U.S.
  • For each dependent, name, gender, birth date, country of birth, relationship type
  • Primary activity code: choose from list
  • Faculty contact
  • Department contact

 

Create Database Record

It is essential that the data required for Foreign Office notification be entered in the Human Resources database as soon as you are aware that an offer of appointment is being made to a foreign individual, even if you do not yet have other information needed for the faculty appointment process.

If authorized, enter the required data in the Human Resources database. Refer to Step 4 and the Data Entry Guide for Faculty Appointments (Link 1) for specific procedures. If your department does not have authorization to enter faculty appointment data, forward the file to the Provost or Medical School Faculty Office, as appropriate.

Notify Office of Foreign Students & Scholars

  1. Produce a notification document as follows:
  • If authorized to enter faculty appointment data:

After you have entered required foreign faculty data, run an Individual History Report; be sure that the Foreign Office Notification Special Information detail section is checked. Print the report.

  • If not authorized to enter faculty appointment data:

Complete a paper Office of Foreign Students and Scholars Notification Form as you have in the past.

  1. Attach supporting documentation, such as a copy of the signed offer letter, that provides specific information about the terms and duration of the appointment.
  • For M.D.s, attach a completed Physician’s or Dean’s Statement.
  1. Forward the notification and supporting document(s) to the Office of Foreign Students and Scholars, 246 Church Street, 2nd floor.
  2. Retain a copy of the notification and supporting document(s) in your files.

3 – Collect Necessary Information and Forms

Faculty Data Collection Form

The Faculty Data Collection Form may be used to ensure that all required information is obtained and to facilitate entry of the data into the Human Resources database.

You may download the form from the Quick Forms (Link 2) web site.

The form contains spaces to collect two kinds of information:

  • data to be provided by the faculty member
  • The form may be given to the new faculty member to complete the pertinent items, or you may use the form to record information that the faculty member has provided in another format.
  • data to be provided by the department

In addition, the form contains items that are pre-filled with data required for all new faculty appointments.

All items on the form are required or recommended for the faculty appointment process.

  • Items marked with an asterisk (*) on the form and all items in the Foreign Faculty Data section of the form are required for Office of Foreign Students and Scholars notification.

The completed form should be routed to the designated data entry point for your department. See 4 – Create or Update Employee Record in the Human Resources Database.

Data Provided by the Faculty Member

The new faculty member must provide the following:

1.   Personal information:

Required

Recommended

  • Last Name
  • First Name
  • Suffix: (Jr, II, etc.)
  • Gender
  • Social Security Number
  • Birth Date
  • Nationality: country of citizenship

Note: If either birth date or gender is missing, the Human Resources database will not accept the employee record.

  • Title: (Mr, Ms, Mrs, Dr, etc.)
  • Middle name or initial
  • Marital Status
  • Ethnicity: choose from list. Not required for payroll, but necessary for government reporting.
  • Veteran Status: indicate if Vietnam veteran.
  • Preferred Name: (optional; J. Donald instead of James D., etc.)
  • The preferred name is published in the University directory in place of the first name and middle initial.
  • Previous Last Name: (optional; maiden name, etc.)
  • This information makes it possible to locate the employee record using the previous name.
  1. Address:

Home address, including zip code, is required. The home telephone number is optional. The home address as of the effective date of the appointment must be a U.S. address.

  • If a foreign faculty member does not yet have a U.S. address, use the department’s U.S. mail address (PO box, or street address, not campus mail address).

The home address will be used to:

  • mail any employee reimbursements
  • mail University communications such as benefits information
  • mail paychecks if the faculty member has selected check via U.S. mail as the pay method (unless another Paycheck Destination address has been specified; see below)

In addition, other addresses may be required, as follows:

If the faculty member…

Then he/she must also provide…

wishes to have the paycheck mailed via U.S. mail (see Pay method, below) to an address other than the home address

  • the paycheck mailing address.

wishes to specify a different address for a portion of the year

  • the seasonal address, with start and end dates.

is neither a U.S. citizen nor a U.S. permanent resident

  • the permanent address in the home country.
  • the address for correspondence prior to arrival at Yale.
  1. Education (required):

List year(s), degree(s), and institution(s).

  1. Faculty attributes (as appropriate):

Provide the following information:

  • Type:

Affiliation (e.g., CT Mental Health Center, Boyer Center, etc.)

Committee

Other (e.g., hospital)

  • Attribute Name: specific name of the affiliation, committee, or other attribute
  • Special Title if any
  • Directory listing preference (this function is not active in Phase 2)
  1. Contact information:
    • This information is only needed if the faculty member wishes to have his/her spouse listed in the University directory and/or receive a Yale ID card, or for foreign faculty if dependents will accompany the faculty member to Yale.
  • Spouse information (p. 3 of the Data Collection Form):
    • Indicate if the spouse is a Yale employee or not.

If the individual is a Yale employee, much of the personal data is already in the Human Resources database.

  • Provide spouse name and gender
  • Foreign faculty dependents (p. 4 of the Data Collection Form):
    • Provide name, gender, birth date, country of birth and relationship to the faculty member.
  1. Directory listing preferences:
  • Address/phone: In the Address section, indicate whether or not the faculty member wishes to have the home address and/or phone number listed in the University directory.
  • Spouse name: In the People/Others/Contact section, indicate whether or not the faculty member wishes to have the spouse name listed in the University directory.

If no preference is selected, the home address and phone, and/or spouse name if any, will not be published in the directory.

  1. Pay method:

One of the following must be selected:

  • Direct Deposit: the faculty member must also submit a completed Direct Deposit Request Form (see below)

or

  • Check: the check will be delivered to the campus location, unless the faculty member requests U.S. mail to the home or alternate paycheck mailing address

Data Provided by the Department

An appropriate department administrator must provide the following information:

Item

Description

Work Telephone

  • faculty member’s expected campus telephone number, if known

Office Location

  • faculty member’s expected campus mail address

Mailstop

  • faculty member’s expected campus mail code

Faculty Tenure Clock Date

  • (only for ladder faculty without tenure) faculty member’s 10-year maximum date, if known

Organization

  • administrative organization (as defined in the Human Resources database) to which the faculty member is being assigned

Tenure

  • indicate if the appointment is tenured or not

Fringe Code

  • indicate the faculty member’s benefit level:
  • N: FTE 50% or more
    • Benefits Office will change code to T if faculty member enrolls in Yale University Retirement Annuity Plan (YURAP)
  • P: not benefits-eligible; FTE less than 50%
    • Use P for all postdoctoral fellows, visiting fellows, research affiliates and voluntary faculty (refer to Faculty Handbook for more information)
  • D: (effective 7/1/99) special benefit level for postdoctoral associates

Job

  • indicate the appropriate job category:
  • FAC: faculty
  • FEL: visiting fellow or research affiliate
  • PDA: postdoctoral associate
  • PDF: postdoctoral fellow
  • VF: voluntary faculty (for use in Schools of Medicine and Nursing only)

Position

  • specific appointment title as defined in the Faculty Handbook and reflected in the Human Resources database (in the database, the position name combines the title and the organization to which the individual has been appointed)

Payroll

  • indicate the appropriate payroll category:

Monthly for FAC, PDA, PDF

Unpaid for FEL, VF

(secondary assignments: leave blank)

Note: Individuals in job category FEL or VF do not normally receive compensation from Yale. In order to pay extra compensation to such individuals, with appropriate approval, this field and others in the Assignment form must be updated for the duration of the payment, and returned to the normal values for these job categories once the payment has been made. Contact Human Resources Information Systems for more information.

Status

  • approval status:
  • Pending School Approval: for most departments
  • Pending Department Approval: for sections within large departments

Employment Category
(FAC, PDA only)

  • full-time (100%) or part-time (less than 100%)
  • leave blank for postdoctoral fellows, research affiliates, visiting faculty, and voluntary faculty

Working Hours
(FAC, PDA, PDF only)

  • 40 for full-time appointments. 40 hours is considered full-time for paid faculty, postdoctoral associates, postdoctoral fellows.
  • enter pro-rated hours for part-time appointments based on a 40-hour week.
  • leave blank for research affiliates, visiting faculty, and voluntary faculty.

% Time for Assignment

  • exact FTE percent for this appointment

Date to Rank in Current Assignment

  • start date of faculty member’s first assignment in this title

Tenure/Term/Continuous Flag

  • indicate whether the appointment is:
  • tenured, or
  • term, or
  • continuous

Directory Title Assignment

  • (optional) If the title that should be listed in the University directory for this faculty member is different from the standard position title and organization short name, provide the directory title here.

Faculty Appointment Type

  • indicate whether this appointment is:
  • primary, or
  • secondary, or
  • fully joint (see definition in the Faculty Handbook)

Assignment Note

  • (optional) for department use as desired (up to 150 characters can be entered in the database)

Faculty Slot

  • slot or RFP number, as appropriate (slots are used only in Faculty of Arts and Sciences; RFP are used only in Medical School)

Faculty Search Chair

  • name of faculty member who chaired department search committee

Coterminous Affiliation

  • e.g., Boyer Center, CT Mental Health Center, etc. (used primarily in Medical School)

Term Start Date

  • the date on which the current appointment became or will become effective

Term End Date

  • the last day of the appointment if this is a term appointment

Monthly Salary

  • the monthly salary amount for the faculty member
  • This is the rate that will be paid on the monthly payroll.
  • The actual monthly salary for the first month and last month of the appointment is defined by the effective date. If the faculty member begins or ends his/her appointment in the middle of the pay period, the payroll process will pro-rate the pay. Do not attempt to make the adjustment here.

Total Annual Salary

  • the annual salary amount for the faculty member for this appointment (does not include FAS extra compensation, e.g., summer compensation)

FTE Annual Salary

  • if this appointment is less than 100% time, calculate the equivalent annual salary for 100% time.

Medical School Base Annual

  • Medical School only: the base component of the annual salary for this appointment. When used, the Medical School Base Annual and Medical School Supplement Annual should equal Total Annual Salary.

Medical School Supplement Annual

  • Medical School only: the annual supplement component for this appointment. When used, the Medical School Base Annual and Medical School Supplement Annual should equal Total Annual Salary.

Other Recurring Yale Annual

  • Medical School only: any other annual compensation not included in regular salary, normally payable as recurring extra compensation. Not included in Total Annual Salary.

Other Non-Yale Compensation Annual

  • annual compensation from a non-Yale source for this appointment, if any. Not included in Total Annual Salary.

Term Salary

  • total regular salary for semester, if this is a term appointment of less than one year

Additional Earnings Element(s) and Amount

  • Medical School only: if the faculty member will receive additional recurring compensation over and above regular salary, specify the type of compensation and the monthly dollar amount

Project.Task.Award.
Organization.
ExpenditureType

  • distribution code(s) to which salary and any anticipated extra compensation earnings (elements) should be charged.

Start Date

  • beginning date for the PTAEO (normally, the hire date).

End Date

  • end date for the PTAEO if applicable, e.g.:
  • term appointments
  • sponsored awards

%

  • if assignment earnings or specific earnings elements are charged to multiple PTAEOs, indicate the percent to be charged to each PTAEO.
  • Percentages for assignment or element must add up to exactly 100.00.

 

Tax Forms

1.   The following tax withholding documents must be completed by the faculty member and submitted to the department administrator. The forms may be obtained from the Quick Forms (Link 3) web site.

Required Tax Forms

Description

W-4 Employee’s Withholding Allowance Certificate

  • an IRS form that is completed by an employee in order to establish the amount of federal income tax withheld from his or her wages.
  • If no form is submitted, the default federal tax withholding status will be single/0 exemptions.

CT-W4 Employee’s Withholding or Exemption Certificate

  • a state form that is completed by an employee in order to establish the amount of state income tax withheld from his or her wages.
  • If no form is submitted, the default state tax withholding status will be D (maximum withholding).
  1. Forward the completed tax forms to the Payroll Department, 155 Whitney Avenue.

I-9 Form

The I-9 Employment Eligibility Verification form is completed when the faculty member arrives at Yale. See 7 – Collect and Process Additional Information When Faculty Member Arrives for procedures.

Direct Deposit Request

1.   If the faculty member has chosen the direct deposit pay method, he/she must submit to the department administrator a completed Direct Deposit Request Form. The form may be obtained from the Quick Forms (Link 4) web site.

  1. Attach the completed Direct Deposit Request Form to the Data Collection Form for data entry.
  2. After data entry, indicate on the Direct Deposit Request Form that data entry has been completed, and forward the form to the Payroll Department, 155 Whitney Avenue, for retention.

4 – Create or Update Employee Record in the Human Resources Database

Enter Data or Forward File for Entry

If authorized, enter faculty appointment data in the Human Resources database. Refer to the Data Entry Guide for Faculty Appointments (Link 5) for specific procedures. If your department does not have authorization to enter faculty appointment data, forward the file to the Provost or Medical School Faculty Office, as appropriate.

If authorized to enter faculty appointments, proceed as described in this section.

Create or Update

When you receive employee information regarding a new faculty member, you will either:

  • update an existing record if there is one

or

  • create a new faculty employee record in the Human Resources database.

See Prevent Duplication of Records, below.

How Data is Organized in the Database

When you create a faculty employee record in the Human Resources database, you are actually creating nine records.  The database organizes the information you have collected about the employee into the following kinds of records:

  • People: personal information about the new faculty member
  • Address: faculty member’s address and phone number, including directory listing
  • Assignment: information about the position to which the faculty member is being appointed
  • Salary: information about the faculty member’s salary
  • Entries: information about the components of the faculty member’s salary
  • Labor Schedule: charging instructions for the salary (includes Schedule Lines form)
  • Pay Method: information about how the monthly pay is distributed to the faculty member
  • Special Information: information about the faculty member’s education, affiliations, committee assignments, and special titles
  • Contact: optional information about the faculty member’s spouse, or foreign faculty dependents.

The arrangement of data entry fields is based upon this organization.

On the screen, you see these records in forms which are grouped as follows:

From this form…

Access these forms…

People

  • Labor Schedule
  • Address (and Foreign address)
  • Assignment
  • Special Information
  • Contact (via Others button)

Assignment

  • Salary
  • Entries
  • Schedule Lines
  • Pay Method (via Others button)

See the Data Entry Guide for Faculty Appointments (Link 6) for a convenient listing of the fields and data needed for faculty appointments, organized as you will encounter them in the data entry process.

Although the forms you look at on the screen contain a large number of regions and fields that serve many purposes, when you create a Human Resources record for a new faculty member you will only enter data in the forms, regions and fields listed in the Data Entry Guide for Faculty Appointments.

Prevent Duplication of Records

Each employee has only one People record in the Human Resources database, but an employee may have more than one Address or Assignment record linked to the single People record.

It is important not to create duplicate People records.

  • If more than one People record is created for an individual, serious problems can result, including:
  • incomplete and/or outdated information associated with each record
  • incorrect pay amounts
  • tax problems
  • reimbursement errors
  • reporting errors

If an error message tells you that the Social Security number you have entered already exists in the database, do not continue with data entry. Instead, re-check your information and compare with the existing information in the database to determine if you are dealing with the same person. If necessary, contact the Human Resources Information Systems department.

If an error message tells you that the name you have entered already exists in the database, determine whether this person is a duplicate. If so, do not continue with data entry.

  • If the individual you are appointing already has a database record, because of prior or current employment or study at Yale, the new assignment must be added to the existing People record. If your HR database responsibility does not allow you to access and update the employee’s record, contact the Provost’s Office or Medical School Faculty Office as appropriate.
  • If your responsibility allows you to access and update the existing employee record, proceed as follows.

If the employee you are hiring already has a database record…

Then…

with a terminated employment assignment  or no assignment

  • verify the existing personal data; update as needed.
  • if needed, follow rehire procedure: update employee Type from Ex-employee to Employee.
  • create a new assignment record as described below, and enter the new appointment data.

with a current primary assignment from another department

  • If you do not have responsibility to enter secondary appointments, contact the Provost’s Office or Medical School Faculty Office as appropriate.
  • If you have responsibility to enter secondary appointments, proceed as follows.
  • enter your department’s assignment information as the faculty member’s secondary assignment.
  • be sure to leave the Payroll field blank for any secondary appointment.

Secondary appointments are not assigned to a payroll. Payroll is assigned via the primary appointment.

  • note that the labor schedule for a secondary appointment must be entered by the primary department; therefore:
  • notify the primary department of the appropriate labor schedule, including relevant start and end dates, for the secondary appointment.
  • note that addresses can only be updated by the primary department.

that you created with minimal data required for Foreign Students and Scholars processing

  • enter additional information as it becomes available to you.

 

Effective Date

All information is tied to an effective date. You must set the correct effective date for every record you create and every update you make to a record.

When you create a new faculty employee record, the effective date is the start date (hire date) of the appointment.

University directory data that is effective as of 01-SEPT will appear in the directory that is published that year. Data with effective dates after 01-SEPT will not appear in the directory that year.

Correction vs. Update

When you override or change data, the Human Resources database asks you to choose between two options: Correction or Update.

  • If you are creating a new employee record or simply correcting a data entry error, there is no need to retain generic default data (e.g., Organization: Yale University) or erroneous data. In such cases you may override existing data. Choose the Correction option. Correction deletes the previous data and replaces it with the new data you are entering.
  • For many types of employee data, when you enter a change you should retain a history of the previous information. For example, when an employee changes his/her name or is appointed to a new position, it is important that the prior record is retained. Choose the Update option. Update retains the previous data record and adds a new record for the new data you are entering.

 

Scheduling Labor

Organizations can choose to establish an organization default labor schedule to which faculty and staff compensation is automatically charged if no other charging instructions are entered.

If the faculty member’s salary or other compensation should be charged to a PTAEO or PTAEOs other than the organization default labor schedule, or if the organization does not have a default labor schedule, the department business manager must schedule labor on-line.

  • Each employee’s assignment has an associated labor schedule in which the employee’s work may be charged to one or more different PTAEOs on individual schedule lines.
  • When a payroll is run, the Labor Distribution Module (LD) distributes the dollars to the PTAEO(s) specified in the labor schedule if any, or to the organization default labor schedule, if one exists, or to the organization suspense account.
  • The labor schedule maintains a history of the PTAEOs to which the employee’s earnings have been charged, with beginning and end dates.
  • The labor schedule is accessed via the Schedule Lines button on the Assignment form, or via the LD menu.

Schedule labor as follows:

Scheduling level

When to use

Organization default labor schedule

  • Choose this option if the organization has a default labor schedule and all of the faculty member’s salary and any anticipated extra compensation should be charged to the organization default labor schedule.
  • In this case you do not need to enter an individual labor schedule for the faculty member.

Assignment level

  • Schedule at this level if there is no organization default labor schedule, or if the faculty member’s regular salary or wages should be charged differently from the default labor schedule.
  • Enter scheduling at this level for the faculty member’s regular salary as well as any anticipated extra compensation that should be charged in the same way as the regular salary.

Element level

  • Enter scheduling at this level for any anticipated extra compensation (e.g., summer compensation) that should be charged differently from the assignment schedule, if one exists, or from the organization default labor schedule.
  • If you enter element-level scheduling, LD will distribute these charges first, then distribute the rest of the faculty member’s earnings based on the assignment -level schedule, if one exists, or the organization default labor schedule.

For detailed information about scheduling labor, refer to Labor Distribution Procedures.

5 – Print Data Reports

Individual History Report

When you have entered all required data to create the new employee record, run and print an Individual History Report that summarizes the data.

Run the report as follows:

  1. In the Reports menu, select Individual History Report.
  2. Enter the desired reporting criteria and detail sections.
  3. Run the report.

Print the report(s), review for accuracy and file in your department files.

If you later update the faculty member’s database record, you may want to print a new individual history report and add it to your files.

6 – Obtain Approvals

Department Approval

For larger departments in which sections initiate the faculty appointment and create the initial database record:

1.   The department chairperson reviews and approves the appointment.

2.   The appropriate department administrator updates the appointment status in the Human Resources database, from Pending Department Approval to Pending School Approval.

School Approval

  1. The dean reviews and approves the appointment.
  2. The appropriate school administrator updates the appointment status in the Human Resources database, from Pending School Approval to Pending Provost Approval.
  3. In the Medical School, the Faculty Office updates the appointment status of approved appointments from Pending School Approval to Appointment Approved.

Provost Approval

  1. The Provost reviews and approves the appointment.
  2. The appropriate administrator updates the appointment status in the Human Resources database, from Pending Provost Approval to Appointment Approved.

7 – Collect and Process Additional Information When Faculty Member Arrives

I-9 Form

The I-9 Employment Eligibility Verification form is an Immigration and Naturalization Services (INS) form which documents evidence of an individual’s legal eligibility to work in the United States.

INS regulations require that the I-9 be on file before an employee can receive a paycheck.

The I-9 form may be obtained from the Forms page of this website. Complete the I-9 as follows:

  1. The faculty member completes and signs the employee section of the form.
  2. The faculty member presents appropriate identification documents for review by the supervisor, as specified in the form instructions.
  3. The supervisor completes the employer section of the form and certifies that he/she has inspected the faculty member’s identification documents.
  4. Give the completed I-9 to the designated staff person for data entry:
    • Enter the following information in the Human Resources database:
    • I-9 Status: the fact that the I-9 has been completed (enter one of the following, based on category checked in Section 1 of the I-9):
    • Yes, U.S. citizen
    • Yes, lawful permanent resident
    • Yes, alien authorized to work)
    • if applicable, the I-9 Expiration Date: “alien authorized to work until ___” in Section 1 of the I-9
  5. After data entry, forward the completed I-9 to Human Resources, 155 Whitney Avenue.

 

Other Necessary Information

  1. Collect from the new faculty member any other necessary information that was not obtained previously, such as:
    • any information listed in Step 3
    • tax withholding forms
    • Direct Deposit Request Form
  2. Forward tax forms to the Payroll Department, 155 Whitney Avenue.
  3. Enter data in the Human Resources database, as described in Step 4 and the Data Entry Guide for Faculty Appointments (Link 7).
  4. After data entry, indicate on the Direct Deposit Request Form that data entry has been completed, and forward the form to the Payroll Department for retention.

8 – Provide Information to New Faculty

Foreign Faculty

Inform newly arrived faculty members who are not U.S. citizens or permanent residents that they must:

  • check in at the Office of Foreign Students and Scholars, 246 Church Street, 2nd floor, to review their immigration documents.
  • meet with a staff person at the University Tax Department, 155 Whitney Avenue, 3rd floor, to review their tax status.

The Tax Department will:

  • advise foreign faculty members of applicable tax treaty benefits.
  • notify Payroll of relevant tax withholding reductions.

If a foreign faculty member does not confirm his/her tax withholding status with the Tax Department, the maximum tax withholding status will be applied.

ID Card

Once an active assignment record exists for the faculty member in the Human Resources database, the individual may go to the ID Center to obtain an ID card:

  • Central/Science area: 246 Church Street, room B01; phone 432-0165, e-mail id.center@yale.edu
  • Medical area: 333 Cedar Street, IE41; phone 785-4286

 

Net ID and E-Mail

Once the assignment record has been created in the HR database, User Accounts sets up a net ID 30 days prior to the effective date of the assignment.

When the net ID has been established, the faculty member must obtain a PIN to activate and use the net ID.

To obtain the PIN and set up e-mail, Meeting Maker or other user accounts, do one of the following. Note that authorized charging instructions must be submitted for Meeting Maker and off-campus dial-in access (PPP) accounts.

  • In-person request:

The faculty member may go to User Accounts, 221 Whitney Avenue, 1st floor.

  • On-line request:

A business manager or distributed support provider (DSP) may submit a request to User Accounts via the Email and Network Services Registration Forms (Link 8) web site.

  • In order to submit an on-line request, your name must appear on the User Accounts business manager or DSP list (see the web site for details).

Contact user.accounts@yale.edu for more information or assistance.

Library Privileges

Faculty members who hold valid Yale ID cards may obtain library privileges from the Library Privileges Office at Sterling Library.

If the individual needs to obtain library privileges prior to the effective date of the appointment or before the ID card is issued, the department should provide a letter explaining the circumstances.

For more information, contact the Library Privileges Office, 432-1853.

Benefits

Refer the new faculty member to the Benefits Office, 155 Whitney Avenue, to discuss any benefit-related questions, and to submit enrollment forms.

Parking

If on-campus parking is desired, the faculty member must go to the Parking Office, 155 Whitney Avenue, to sign up for parking lot access.

9 – Notify Other Departments as Appropriate

Security

Security access may be needed for a faculty member whose work requires access to a building early in the morning or late at night or to limited access secured areas, or to areas where doors are card swiped, not key opened.

If this type of access is required, notify the Security office for your campus area. Include the faculty member’s name, the card access number, and the specific doors to which access is needed.

If the faculty member’s work area or schedule will require use of an alarm code for a security system maintained by Yale Security, the Security office will issue an alarm code.

For more information, contact Security, 737-1937

Environmental Health and Safety

Provide to the Office of Environmental Health and Safety the name, department address and telephone number of any faculty member whose work will require that they do any of the following:

  • work in a laboratory that handles chemicals, blood or other potentially infectious material
  • work with equipment potentially contaminated with human blood or body fluids
  • handle any radioisotopes, or frequently work in or visit labs where radioactive material is used, or use x-ray equipment or other equipment that produces radiation
  • handle or perform procedures on laboratory animals

Such employees are required to complete training mandated by the federal government and/or the University.

For more information about safety training requirements and schedules, contact the Office of Environmental Health and Safety at 785-3550. Also see the Office of Environmental Health and Safety web site: www.yale.edu/oehs/trainreq.htm.

10 – Retain Records

Recommended Records

You may wish to keep copies of the following in your files for later reference:

  • the completed Faculty Data Collection Form
  • the faculty Individual History Report that you produce after creating or updating the database record

The official version of this information will only be maintained in an on-line web format. Any and all printed copies of this material are dated as of the print date. Please make certain to review the material on-line prior to placing reliance on a dated printed version.