University Policies, Procedures, Forms, and Guides

Discover all University-wide policies, procedures, forms, and guides below.  Sort by number, name, or revision date.

Policies

Numbersort ascending Policies Revision Date
4400 Service Animals and Emotional Support Animals August 29, 2018
4300 Automated External Defibrillator (AED) October 5, 2012
4210 Valuation of Inventory December 18, 2013
4209 Equipment June 2, 2017
4203 Accounting for Internal Use Software Costs, Including Cloud-Based Computing Arrangements, and Business Process Reengineering March 24, 2017
4202 Capitalization, Depreciation, and Disposal of Capital Assets January 25, 2018
3505 Out-of-State Work Locations August 3, 2018
3504 Compensation for Travel Time and On-Call Time September 9, 2014
3503 Staff Workplace Policies March 26, 2018
3502 Timekeeping September 7, 2018
3501 Payroll April 18, 2016
3415 Payments to Individuals Who Are Neither Citizens nor Permanent Residents of the United States August 19, 2009
3411 Joint Venture June 30, 2009
3410 CT Income Tax Withholding for Nonresident Athletes and Entertainers July 20, 2015
3401 General Payment July 1, 2017
3305 Expense Advances May 4, 2018
3303 Gifts from University Funds May 16, 2016
3302 Business Meals, Entertainment, and Other Social Events February 25, 2014
3301 Travel on University Business February 2, 2018
3220 Purchase of Restricted Items July 1, 2017
3215 Yale Purchasing Card July 1, 2018
3210 Professional Services and Consulting July 1, 2017
3201 General Purchasing July 1, 2018
2820 Acceptance of Credit & Debit Card Payments May 21, 2018
2815 Petty Cash Funds May 23, 2017
2805 Establishing and Maintaining University Bank Accounts May 25, 2017
2801 Depositing and Recording University Funds June 22, 2017
2203 University Funds Functioning as Endowment (UFFEs) June 2, 2017
2201 Gifts from External Parties to Employees August 16, 2006
2200 Gifts to the University June 2, 2017
2100 Revenue Principles, General August 7, 2018
1800 Real Estate Leases May 4, 2018
1705 University Fleet Policy June 26, 2018
1615 Information Technology Infrastructure and Applications Change Management Policy April 17, 2015
1614 Vulnerability Management March 31, 2015
1613 Electronic Signatures and Records December 9, 2014
1612 Software Licensing July 1, 2013
1611 Program for the Security of Customer Financial and Related Data January 31, 2014
1610 Systems and Network Security January 11, 2017
1609 Media Control September 13, 2010
1608 Mobile Device Management Policy December 9, 2014
1607 Information Technology Appropriate Use Policy May 20, 2011
1605 Web Accessibility Policy March 1, 2018
1604 Data Classification Policy January 12, 2018
1603 Red Flags Policy August 13, 2013
1602 Protecting the Security and Confidentiality of Social Security Numbers October 1, 2008
1601 Information Access and Security April 16, 2013
1510 Ethics Policy for the Staff of University Collections February 1, 2008
1501 University Auditing February 1, 2006
1430 Shipping February 9, 2018
1420 Waste Stream, Scrap Material and Recycling Management January 18, 2012
1415 Allocating the Cost of University Services February 3, 2012
1410 Internal Service Providers June 13, 2013
1405 Charging of Facilities and Administrative Type Expenses to Non-Federal Sponsored Projects June 6, 2017
1403 Charging of Administrative and Clerical Salaries and Certain Other Expenses to Federal Funds June 20, 2017
1370 Export Controlled Information March 20, 2017
1360 Human Research Protection June 17, 2015
1316 Effort Commitment: Managing Effort Associated with Sponsored Projects July 24, 2017
1315 Effort Reporting: Certifying Effort on Sponsored Projects December 13, 2017
1311 Institutional Base Salary for Sponsored Projects June 26, 2017
1310 Principal Investigator Eligibility Requirements on Sponsored Projects February 26, 2016
1308 Program Income Associated with Sponsored Projects June 6, 2017
1307 Subrecipient - Establishing, Managing, and Monitoring May 4, 2018
1306 Cost Sharing on Sponsored Projects May 25, 2017
1305 Cost Transfers Involving Sponsored Projects June 27, 2018
1301 Sponsored Projects Financial Reporting and Financial Closeout May 26, 2017
1300 Chart of Accounts Governance February 2, 2018
1200 Post-Issuance Tax-Exempt Bond Compliance September 17, 2015
1110 Personal and Off-Campus Use of University Property Including Vehicles February 1, 2006
1109 Internet Access from Home April 21, 2008
1106 Preserving Records for Legal Purposes August 30, 2011
1105 Retention of University Financial Records November 1, 2000
1104 Signature Authority, Approval Authority and Access for Financial Transactions April 13, 2017
1101 Guiding Principles for Business and Financial Administration July 17, 2015
1010 Training and Other Requirements September 12, 2016
1001 Compensation Above Salary January 25, 2016
1000 Development, Revision, and Posting of University Policies, Procedures, and Forms January 12, 2018

Procedures

Number Extension Procedures Revision Date
1001 PR.01 Compensation Above Salary January 25, 2016
1101 PR.01 Controls and Business Process Questionnaire August 28, 2013
1101 PR.02 Financial Transaction Review and Budget Monitoring October 27, 2014
1104 PR.01 Signature Authority, Delegation of Approval Authority and Access for Financial Transactions April 19, 2016
1104 PR.01A Signature Authority, Delegation of Approval Authority and Access for Financial Transactions - Appx. A March 13, 2012
1104 PR.01B Signature Authority, Delegation of Approval Authority and Access for Financial Transactions - Appx. B February 8, 2011
1104 PR.01C Signature Authority, Delegation of Approval Authority and Access for Financial Transactions - Appx. C February 8, 2011
1104 PR.02 Reviewing User Access Security and Review Procedures April 23, 2013
1110 PR.01 Personal Use of a University Vehicle November 23, 2010
1301 PR.04 Applying Facilities and Administrative Rate to Genomic Array Purchases June 2, 2017
1301 PR.05 Residual Balance Fund Transfers June 30, 2017
1304 PR.01 Requesting and Modifying Sponsored Project Accounts March 11, 2016
1304 PR.02 Distinguishing Between Gifts and Sponsored Awards April 25, 2017
1305 PR.02 Cost Transfers Involving Sponsored Projects June 15, 2018
1305 PR.04 Unallowable Costs June 30, 2017
1305 PR.05 Reclassification and Transfer of Funds April 25, 2014
1305 PR.06 Reclassification and Transfer of Funds - CENTRAL August 19, 2014
1306 PR.01 Cost Sharing August 7, 2018
1307 PR.01 Establishing Subrecipients Associated with Sponsored Programs May 4, 2018
1315 PR.03 Salaries Above a Sponsor Imposed Rate Cap and Other Program Salary Limitations June 26, 2017
1315 PR.04 Effort Reporting September 6, 2018
1410 PR.01 Internal Service Providers: Registration and Annual Renewal January 18, 2011
1410 PR.02 Internal Service Providers: Rate Calculations March 11, 2014
1410 PR.03 Internal Service Providers: Accounting and Billing March 11, 2014
1415 PR.01 Allocating the Cost of University Services February 6, 2012
1601 PR.01 Access to Oracle Financial and Human Resources Applications January 27, 2009
1601 PR.02 NetIDs and Identity Management June 29, 2017
1601 PR.03 Access Control for Protected Health Information (PHI) April 20, 2005
1601 PR.04 VPN Eligibility & Access Procedure July 2, 2017
1601 PR.06 Bypassing Oracle Applications and Financial Planning Training May 28, 2002
1601 PR.07 Identity Data Access Requests June 21, 2017
1607 PR.01 Endorsed Encryption Implementation Procedure December 16, 2014
1608 PR.01 Security Standards for Mobile Devices and External Devices September 4, 2014
1609 PR.01 Disposal of Media Containing Confidential or Protected Health Information March 1, 2018
1610 PR.01 Systems and Network Security June 10, 2011
1610 PR.02 Disposal of Obsolete Computers and Peripherals March 1, 2018
1610 PR.03 Network Configuration Security September 8, 2014
1613 PR.01 Electronic Signatures December 9, 2014
1614 PR.01 Vulnerability Management Procedures March 31, 2015
2100 PR.01 Executing Revenue Agreements July 6, 2017
2200 PR.01 Gifts Processing and Stewardship June 2, 2017
2203 PR.01 Establishing and Liquidating a University Fund Functioning as Endowment (UFFE) June 2, 2017
2801 PR.01 Recording and Depositing Cash Receipts May 23, 2017
2801 PR.02 Patient Account Collections in Clinical Practices June 20, 2017
2810 PR.01 Sales Tax Collection April 21, 2008
2815 PR.01 Administering a Specialized Petty Cash Fund May 23, 2017
2820 PR.01 Payment (Credit & Debit) Card May 21, 2018
3101 PR.01 Expenditure Item Date February 1, 2006
3301 PR.01 Travel Arrangements for University Business December 21, 2017
3301 PR.02 Obtaining Cash for Yale Activities Abroad December 10, 2014
3401 PR.05 Accounts Payable Invoice Remediation October 17, 2017
3410 PR.01 Obtaining Exemption or Reduced Rate of Withholding for CT A&E Tax June 1, 2011
3417 PR.01 Human Research Study Participant Remuneration May 3, 2018
3503 PR.01 Hiring New Staff Employees May 9, 2017
3503 PR.03 Staff Layoffs March 21, 2018
3503 PR.04 Staff Resignations March 21, 2018
3503 PR.02 Promotions & Transfers May 23, 2017
3501 PR.04 Overpayments and Underpayments October 23, 2017
3504 PR.01 Entering Travel and On-Call Time September 9, 2014
4209 PR.02 Non-Building Capital Project Requests June 28, 2017
1200 PR.01 Identification and Approval of Private Business Use Activities April 17, 2018
1200 PR.02 Procedure for Ensuring Post-Issuance Tax-Exempt Bond Compliance April 17, 2018
1601 PR.08 Sponsored Identity Access May 16, 2018
1610 PR.04 Multifactor Authentication November 4, 2015
1610 PR.05 Device Security Standards April 19, 2016
1615 PR.01 Information Technology Infrastructure and Application Change Management April 17, 2015
1615 PR.02 Change Notification Standards for Non-ITS-managed Configuration Items April 17, 2015
3502 PR.01 Timekeeping Procedure September 7, 2018
3503 PR.25 Workday Setup for Payments to Professional School Students for Non-Hourly Work August 7, 2017
3503 PR.17 Student Employment October 10, 2017
4203 PR.01 Accounting for ITS Capital Projects June 28, 2017
3210 PR.02 Employee vs. Independent Contractor July 1, 2017
3201 PR.02 Competitive Bidding Process July 1, 2017
3215 PR.01 Yale Purchasing Card Procedure July 1, 2017
3210 PR.01 Professional Services and Consulting Process June 11, 2018
3401 PR.07 Requesting Accounts Payable (AP) Check Voids and Reissues July 1, 2017
4209 PR.04 Moveable Equipment Accessories and Composite Assets June 2, 2017
4209 PR.05 Capital Equipment Under Departing Prinicpal Investigator (PI) Jurisdiction June 2, 2017
4209 PR.06 Transfer, Sale, or Release of Equipment to Other Institutions or Third Parties June 2, 2017
4209 PR.01 Fabricated Moveable Equipment June 2, 2017
3201 PR.01 Purchase Requisition Process July 21, 2017
3215 PR.02 Yale Expense Management (PCard and Out-of-Pocket Expenses) July 1, 2017
3401 PR.04 Submitting Invoices for Payment July 1, 2017
1410 PR.04 Lockshop Key Distribution June 20, 2017
3401 PR.06 Requesting a Wire Transfer July 20, 2018
3501 PR.01 Payroll Costing August 8, 2017
3215 PR.03 Yale Spend Authorization (Cash Advance) July 1, 2017
3401 PR.02 Supplier Invoice Request July 1, 2017
3501 PR.03 Payroll Obligations March 13, 2018
1101 PR.03 Journal Entries November 16, 2017
1000 PR.01 Creating and Revising University Policies, Procedures, and Forms January 12, 2018
1604 PR.01 Data Classification Procedure January 12, 2018
1605 PR.01 Web Accessibility Procedure March 1, 2018
1300 PR.01 Requesting, Modifying, and Closing Chart of Accounts Segments February 2, 2018
1430 PR.01 Shipping Policy Exception Requests February 2, 2018
1800 PR.01 Leasing Commercial Space May 4, 2018
1800 PR.02 Leasing Residential Space May 4, 2018
1800 PR.03 Tenant Services Agreements May 4, 2018
1307 PR.02 Managing Subrecipient Activity Associated with Sponsored Programs May 4, 2018
1307 PR.03 Monitoring Subrecipient Activity Associated with Sponsored Programs May 4, 2018
3505 PR.01 Out-of-State Work Locations Procedure August 3, 2018
2100 PR.02 External Sales Approval Process September 7, 2018

Forms

Number Extension Forms Revision Date
3205 FR.07 Application for a Social Security Card (SSA Form SS-5) May 31, 2017
3205 FR.04 Application for IRS Individual Taxpayer Identification Number (IRS Form W-7) May 31, 2017
3205 FR.05 Certificate of Foreign Status of Beneficial Owner for United States Tax Withholding and Reporting (Individuals)(IRS Form W-8BEN) May 31, 2017
3205 FR.05A Certificate of Status of Beneficial Owner for United States Tax Withholding and Reporting (Entities)(IRS Form W-8BEN-E) May 31, 2017
3205 FR.06 Request for Taxpayer Identification Number and Certification (IRS Form W-9) May 31, 2017
3215 FR.09 120-366 Day Taxable Expense Reimbursement April 6, 2018
3205 FR.08 ACH-EFT Supplier Enrollment Form July 1, 2017
3220 FR.02 Application for Controlled Substance Laboratory License - State of CT June 20, 2017
3501 FR.51 Application for Faculty Child Care Grant September 27, 2016
3501 FR.55 Application for M&P Sabbatical April 2, 2014
1304 FR.01 At-Risk Account Request September 6, 2018
3410 FR.01 Athlete or Entertainer Request for Reduced Withholding (Form CT-588) August 7, 2017
3410 FR.02 Athlete or Entertainer Request for Waiver of Withholding (Form CT-590) August 7, 2017
4209 FR.05 Capital Equipment Transfer Release Form June 1, 2017
2805 FR.01 Cash Sale Worksheet June 22, 2017
3401 FR.04 Centralized Billing Account Maintenance January 18, 2018
1300 FR.05 COA - Assignee Forms May 22, 2017
1300 FR.02 COA - Cost Center Forms May 22, 2017
1300 FR.03 COA - Program Forms May 22, 2017
1300 FR.04 COA - Project Forms May 22, 2017
1300 FR.01 COA - Yale Designated Forms May 22, 2017
3220 FR.04 COA Approval for State DCD Controlled Substance License June 20, 2017
1304 FR.09 Cost Allocation Methodology June 15, 2017
1306 FR.01 Cost Sharing Approval Request April 4, 2018
3501 FR.02 CT/MP Paid Time Off Adjustment Form October 23, 2017
1310 FR.06 Delegation of Approval Authority for Sponsored Projects May 4, 2018
1310 FR.05 Delegation of Requestor Authority for Sponsored Projects June 28, 2017
3501 FR.05 Direct Deposit Pull Authorization October 20, 2017
3501 FR.04 Direct Deposit Request October 20, 2017
3301 FR.06 Documentation for Travel on a Non-U.S. Air Carrier August 1, 2018
2200 FR.01 Donee Information Return (IRS Form 8282) April 26, 2017
1315 FR.01 Effort Report January 23, 2018
3415 FR.02 Exemption From Withholding on Compensation for Independent (and Certain Dependent) Personal Services of a Nonresident Alien Individual (IRS Form 8233) August 4, 2017
3205 FR.03 Explanation for Sole Source Supplier July 1, 2017
2100 FR.03 External Sales Annual Reapproval Form September 7, 2018
2100 FR.01 External Sales Approval Request - Short Form September 7, 2018
2100 FR.02 External Sales Approval Request - Standard Form September 7, 2018
2100 FR.04 External Sales Compliance Checklist September 7, 2018
3501 FR.10 Faculty Request for Moving Allowance March 2, 2016
1101 FR.01 Financial Review Checklist July 16, 2018
3501 FR.11 Gift to Yale - Payroll Deduction Request November 2, 2017
1305 FR.17 GSPS Cost Transfer June 27, 2017
3210 FR.02 Guest Speaker Agreement July 1, 2017
1601 FR.02 Identity and Access Management (IAM) March 8, 2018
3215 FR.10 Individual & Department PCard Exceptions July 13, 2017
1410 FR.14 Internal Service Providers: Rate Calculation (Manual) May 31, 2018
1410 FR.13 Internal Service Providers: Registration May 31, 2018
3415 FR.01 International Information Form (IIF) October 26, 2009
3401 FR.06 Invoice Cover Sheet for International Activities July 1, 2017
1403 FR.02 Justification to Direct Charge F&A Type Costs to a Federal Award June 27, 2017
1410 FR.04 Lockshop Key Request June 20, 2017
1101 FR.02 Manual Journal Entry Request June 20, 2017
1305 FR.15 Manual Journal-Cost Transfer Justification June 29, 2017
1411 FR.01 Memorandum of Understanding February 26, 2016
2815 FR.05 Mileage Record November 1, 2011
3301 FR.05 Missing Receipts Form March 29, 2018
2801 FR.02 Money Transfer Form June 22, 2017
2200 FR.02 Noncash Charitable Contributions (IRS Form 8283) April 26, 2017
3503 FR.01 Onboarding a New Employee Checklist March 16, 2018
3505 FR.02 Out-of-State (International) Hiring & Placement Questionnaire August 3, 2018
3505 FR.01 Out-of-State (U.S.) Hiring & Placement Questionnaire August 3, 2018
3501 FR.06 Overpayment Recovery Form January 3, 2018
3501 FR.03 Payroll Accounting Adjustment Form June 20, 2017
3501 FR.01 Payroll Costing Allocation Form June 20, 2017
3501 FR.07 Payroll Payment Adjustment Form June 25, 2018
1110 FR.01 Personal Use of University Vehicles - Department Summary Sheet November 11, 2015
1110 FR.02 Personal Use of University Vehicles - Questionnaire November 11, 2015
2815 FR.03 Petty Cash Fund Request June 22, 2017
2815 FR.02 Petty Cash Quick Voucher June 22, 2017
2815 FR.04 Petty Cash Replenishment June 22, 2017
2815 FR.01 Petty Cash Voucher June 22, 2017
1310 FR.04 PI Status Request Form June 28, 2018
1000 FR.01 Policy Proposal January 12, 2018
3501 FR.17 Position Review -- Medical School only August 27, 2004
3503 FR.25 Professional School Student Payment Form August 17, 2017
3210 FR.01 Professional Services and Consulting Agreement June 14, 2018
3210 FR.05 Professional Services and Consulting Agreement (PSCA): Exhibit A - Scope of Work (Services, Milestones, and Deliverables) October 23, 2017
3210 FR.03 Professional Services and Consulting Certification Form June 11, 2018
3503 FR.24 Professional Student Payment Setup and Job Change Form September 19, 2017
3503 FR.02 Promotion & Transfer Checklist March 16, 2018
3215 FR.03 Purchasing Card Application for Reactivation of Individual Card July 1, 2017
3215 FR.06 Purchasing Card Request Form July 13, 2017
3510 FR.01 Relocation Reimbursement Request May 9, 2018
4209 FR.04 Request for Capitalization of MEI Composite Assets and Accessories May 18, 2017
3201 FR.03 Request for Information (RFI) July 1, 2017
3201 FR.01 Request for Proposal (RFP) July 1, 2017
1001 FR.01 Request for Provostial Pre-Approval for Faculty Extra Compensation March 29, 2018
3201 FR.02 Request for Quotations (RFQ) July 1, 2017
1307 FR.01 Request for Subrecipient Prepayment May 4, 2018
3301 FR.04 Request for Travel Grant March 3, 2016
2203 FR.06 Request to Close Spendable Gift June 2, 2017
2203 FR.05 Request to Decapitalize an Existing University Fund Functioning as Endowment (UFFE) August 1, 2018
3215 FR.07 Request to Delegate Authority to Prepare Expense Reports and Spend Authorizations July 13, 2017
2203 FR.03 Request to Reinvest Unspent Endowment Income to Principal June 2, 2017
2203 FR.10 Request to Set Up a New Gift July 2, 2017
2203 FR.04 Request to Set-Up or Add to a University Fund Functioning as Endowment (UFFE) August 1, 2018
1301 FR.01 Request to Transfer Residual Balance from Sponsored Awards October 25, 2017
1304 FR.06 Responsible Personnel Change Form June 8, 2017
3220 FR.01 Restricted Items Approval Request June 20, 2017
2810 FR.02 Sales Tax Report August 8, 2017
1430 FR.01 Shipping Policy Exception Request Form February 2, 2018
3210 FR.04 Standard Performance Agreement July 1, 2017
3501 FR.08 Stop Payment & Re-Issue Request March 16, 2018
1304 FR.03A Subrecipient Information and Compliance Form August 2, 2018
3205 FR.09 Supplier Change Request April 19, 2018
3415 FR.04 T-100 July 1, 2000
3502 FR.01 Temporary Employee Payment Request October 25, 2017
3503 FR.03 Termination Checklist February 27, 2018
1304 FR.03B-E Transmittal Summary (Tran Sum) Attachments December 11, 2012
1304 FR.03 Transmittal Summary (Tran Sum) Form June 21, 2018
3501 FR.09 Vacation or Salary Advance Request Form October 20, 2017
1601 FR.01 VPN Access Exception Request July 27, 2018
3401 FR.01 Wire Payment Setup Form January 18, 2018
1601 FR.05 Workday Matrix Organization Creation May 15, 2017
1601 FR.08 Workday Reorganization Request May 15, 2017
1601 FR.07 Workday Supervisory Organization Change June 22, 2017
1601 FR.06 Workday Supervisory Organization Creation June 22, 2017
1800 FR.01 Yale Central Space Request August 28, 2018
1800 FR.02 Yale Medicine Clinical Space Request August 28, 2018
1800 FR.04 Yale Residential Rental Request May 4, 2018
1800 FR.03 Yale School of Medicine Research/Administrative Space Request August 28, 2018
2203 FR.09 YSM - Request to Decapitalize an Existing University Fund Functioning as Endowment (UFFE) August 1, 2018
2203 FR.07 YSM - Request to Reinvest Unspent Endowment Income to Principal June 2, 2017
2203 FR.08 YSM - Request to Set-Up or Add to a University Fund Functioning as Endowment (UFFE) August 1, 2018

Guides

Number Extension Guides Revision Date
1304 GD.01 At-Risk Accounts September 6, 2018
1705 GD.01 Automobile Fleet Safety Rules May 1, 2006
3415 GD.02 Commonly Used Immigration Status Categories Associated With Individuals Who Are Neither Citizens Nor Permanent Residents of the United States (GD.02) September 7, 2005
1304 GD.02 Cost Allocation Methodologies January 8, 2016
2801 GD.01 Deposits of Sponsored Project Payments April 10, 2018
3415 GD.01 Description of Forms Associated with Payments to Individuals Who Are Neither Citizens Nor Permanent Residents of the United States (GD.01) September 7, 2005
1305 GD.07 Determining Allowability, Reasonableness, and Allocability of Costs for Sponsored Projects June 6, 2017
1610 GD.02 Device Configuration Guidelines May 18, 2016
1601 GD.05 Effective Practices for Monitoring Security and Access August 15, 2013
1316 GD.01 Effort Percent/Calendar Month Conversion Tables November 30, 2016
1301 GD.02 Financial Reporting and Closeout June 26, 2017
1101 GD.10 Financial Review Principles May 5, 2011
1010 GD.01 Matrix of University-Wide Requirements October 9, 2017
3415 GD.04 Nonresident Alien Reporting and Withholding Table Income Tax Treaty Benefit Claimed Associated With Individuals Who Are Neither Citizens nor Permanent Residents of the United States (GD.04) September 7, 2005
1610 GD.01 Selecting Good Passwords April 13, 2007
1315 GD.04 Student Employment Split May 8, 2014
1411 GD.01 VA Memorandum of Understanding Requirements February 26, 2016