University Policies, Procedures, Forms, and Guides

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

    Policies

    Number Policies Revision Date
    1001 Compensation Above Salary January 25, 2016
    1010 Training and Other Requirements September 12, 2016
    1101 Guiding Principles for University Operations December 4, 2020
    1104 University Signature Authority December 4, 2020
    1105 Retention of University Financial Records December 4, 2020
    1106 Preserving Records for Legal Purposes April 27, 2021
    1109 Internet Access from Home April 21, 2008
    1110 Personal and Off-Campus Use of University Property Including Vehicles February 1, 2006
    1200 Post-Issuance Tax-Exempt Bond Compliance September 17, 2015
    1301 Sponsored Projects Financial Reporting and Financial Closeout February 1, 2021
    1305 Cost Transfers Involving Sponsored Projects January 31, 2020
    1306 Cost Sharing on Sponsored Projects May 25, 2017
    1307 Subrecipient - Establishing, Managing, and Monitoring September 14, 2021
    1308 Program Income Associated with Sponsored Projects November 12, 2020
    1310 Principal Investigator Eligibility Requirements on Sponsored Projects November 9, 2021
    1311 Institutional Base Salary for Sponsored Projects June 26, 2017
    1315 Effort Reporting: Certifying Effort on Sponsored Projects December 3, 2018
    1316 Effort Commitment: Managing Effort Associated with Sponsored Projects July 31, 2019
    1360 Human Research Protection June 17, 2015
    1370 Export Controlled Information March 20, 2017
    1403 Charging of Administrative and Clerical Salaries and Certain Other Expenses to Federal Funds September 25, 2019
    1405 Charging of Facilities and Administrative Type Expenses to Non-Federal Sponsored Projects June 6, 2017
    1410 University Service Providers June 8, 2020
    1415 Allocating the Cost of University Services February 3, 2012
    1420 Waste Stream, Scrap Material and Recycling Management January 18, 2012
    1501 University Auditing February 1, 2006
    1510 Ethics Policy for the Staff of University Collections February 1, 2008
    1601 Information Access and Security December 14, 2020
    1602 Protecting the Security and Confidentiality of Social Security Numbers October 1, 2008
    1603 Red Flags Policy August 13, 2013
    1607 Information Technology Appropriate Use Policy August 11, 2020
    1608 Mobile Device Management Policy December 9, 2014
    1609 Media Control December 14, 2020
    1610 Systems and Network Security December 14, 2020
    1611 Program for the Security of Customer Financial and Related Data January 31, 2014
    1612 Software Licensing July 1, 2013
    1614 Vulnerability Management March 31, 2015
    1615 Information Technology Infrastructure and Applications Change Management Policy April 17, 2015
    1705 University Fleet Policy June 26, 2018
    2100 Revenue Principles, General August 7, 2018
    2200 Gifts to the University June 2, 2017
    2201 Gifts from External Parties to Employees August 16, 2006
    2203 University Funds Functioning as Endowment (UFFEs) June 2, 2017
    2805 Establishing and Maintaining University Bank Accounts May 25, 2017
    2815 Petty Cash Funds September 14, 2021
    2820 Acceptance of Payment Cards January 14, 2021
    3301 Travel on University Business April 20, 2021
    3302 Business Meals, Entertainment, and Other Social Events February 25, 2014
    3303 Gifts from University Funds June 21, 2020
    3305 Expense Advances January 9, 2020
    3410 CT Income Tax Withholding for Nonresident Athletes and Entertainers July 20, 2015
    3411 Joint Venture June 30, 2009
    3415 Payments to Individuals Who Are Neither Citizens nor Permanent Residents of the United States August 19, 2009
    3501 Payroll April 18, 2016
    3504 Compensation for Travel Time and On-Call Time September 9, 2014
    4202 Capitalization, Depreciation, and Disposal of Capital Assets January 25, 2018
    4203 Accounting for Internal Use Software Costs, Including Cloud-Based Computing Arrangements, and Business Process Reengineering March 24, 2017
    4209 Equipment June 2, 2017
    4300 Automated External Defibrillator (AED) October 5, 2012
    4400 Service Animals and Emotional Support Animals December 18, 2019
    3502 Timekeeping September 7, 2018
    3201 General Purchasing March 29, 2021
    3210 Professional Services and Consulting March 15, 2019
    3215 Yale Purchasing Card May 2, 2019
    3220 Purchase of Restricted Items July 2, 2021
    3401 General Payment July 29, 2021
    4210 Valuation of Inventory December 18, 2013
    2801 Depositing and Recording University Funds June 22, 2017
    1000 Development, Revision, and Posting of University Policies, Procedures, and Forms January 27, 2020
    1604 Data Classification Policy January 12, 2018
    1605 Web Accessibility Policy March 26, 2021
    1300 Chart of Accounts Governance February 2, 2018
    1430 Shipping January 27, 2020
    Towards a Tobacco Free Yale November 18, 2019
    1800 Real Estate Leases May 4, 2018
    3505 Out-of-State Work Locations August 3, 2018
    6001 Research Data & Materials Policy October 4, 2018
    3510 Faculty & Staff Relocation Expenses November 5, 2018
    2810 Sales & Use Tax October 4, 2019
    7000 International Research, Programs, and Activities January 21, 2020
    Interim Purchasing and Reimbursement Policy (For Employees in Remote and Hybrid Working Arrangements) August 9, 2021
    Provision of Meals to Students at Virtual Meetings of Student Organizations (Interim) September 28, 2020
    1107 Reporting Foreign Gifts and Contracts October 27, 2020
    9000 Yale University Policy Against Discrimination and Harassment August 1, 2021

    Procedures

    Numbersort ascending Extension Procedures Revision Date
    9000 PR.01 General Procedures Supporting the Yale University Policy Against Discrimination and Harassment August 1, 2021
    7000 PR.01 International Research, Programs, and Activities: Consultation, Review, and Approval January 21, 2020
    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
    4209 PR.02 Non-Building Capital Project Requests January 27, 2020
    4209 PR.04 Moveable Equipment Accessories and Composite Assets April 23, 2020
    4209 PR.05 Capital Equipment Under Departing Principal Investigator (PI) Jurisdiction June 2, 2017
    4203 PR.01 Accounting for ITS Capital Projects June 28, 2017
    3510 PR.01 Faculty & Staff Relocation Expense Payments & Reimbursements January 25, 2019
    3505 PR.01 Out-of-State Work Locations Procedure August 3, 2018
    3504 PR.01 Entering Travel and On-Call Time June 8, 2021
    3503 PR.25 Workday Setup for Payments to Professional School Students for Non-Hourly Work July 23, 2021
    3503 PR.01 Hiring New Staff Employees May 9, 2017
    3503 PR.17 Student Employment July 23, 2021
    3503 PR.03 Staff Layoffs June 4, 2021
    3503 PR.04 Staff Resignations June 4, 2021
    3503 PR.02 Promotions & Transfers May 23, 2017
    3502 PR.01 Timekeeping Procedure May 27, 2021
    3501 PR.01 Payroll Costing June 2, 2021
    3501 PR.03 Payroll Obligations April 26, 2021
    3501 PR.04 Overpayments and Underpayments October 31, 2019
    3417 PR.01 Human Research Study Participant Remuneration May 28, 2021
    3410 PR.01 Obtaining Exemption or Reduced Rate of Withholding for CT A&E Tax June 1, 2011
    3401 PR.04 Submitting Invoices for Payment December 9, 2020
    3401 PR.02 Supplier Invoice Request December 9, 2020
    3401 PR.01 Supplier Setup and Change April 19, 2021
    3401 PR.03 Disbursing Funds for Prizes, Awards, Stipends, and Fellowships April 19, 2021
    3401 PR.08 Recurring Payments September 21, 2020
    3401 PR.07 Requesting Accounts Payable Check Voids September 21, 2020
    3301 PR.01 Travel Arrangements for University Business April 20, 2021
    3301 PR.02 Obtaining Cash for Yale Activities Abroad December 10, 2014
    3301 PR.03 Air Travel on University Business April 20, 2021
    3215 PR.02 Yale Expense Management (PCard and Out-of-Pocket Expenses) January 9, 2020
    3215 PR.03 Yale Spend Authorization (Cash Advance) July 1, 2017
    3215 PR.01 Yale Purchasing Card Procedure June 25, 2019
    3210 PR.02 Employee vs. Independent Contractor July 1, 2017
    3210 PR.01 Professional Services and Consulting Process June 25, 2019
    3201 PR.01 Purchase Requisition Process October 2, 2020
    3201 PR.02 Pricing Documentation Process October 29, 2020
    3101 PR.01 Expenditure Item Date February 1, 2006
    2820 PR.01 Payment (Credit & Debit) Card December 14, 2020
    2815 PR.01 Administering a Specialized Petty Cash Fund May 23, 2017
    2810 PR.01 Sales Tax Collection February 28, 2019
    2801 PR.01 Recording and Depositing Cash Receipts April 13, 2020
    2801 PR.02 Patient Account Collections in Clinical Practices June 20, 2017
    2203 PR.01 Establishing and Liquidating a University Fund Functioning as Endowment (UFFE) June 2, 2017
    2200 PR.01 Gifts Processing and Stewardship June 2, 2017
    2100 PR.02 External Sales Approval Process January 9, 2019
    2100 PR.01 Executing Revenue Agreements July 6, 2017
    1800 PR.01 Leasing Commercial Space July 7, 2021
    1800 PR.02 Leasing Residential Space May 4, 2018
    1800 PR.03 Tenant Services Agreements May 4, 2018
    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
    1614 PR.01 Vulnerability Management Procedures March 31, 2015
    1610 PR.04 Multifactor Authentication December 2, 2019
    1610 PR.05 Device Security Standards December 14, 2020
    1610 PR.01 Systems and Network Security December 14, 2020
    1610 PR.02 Disposal of Obsolete Computers and Peripherals December 14, 2020
    1610 PR.03 Network Configuration Security December 2, 2019
    1609 PR.01 Disposal of Media Containing Confidential or Protected Health Information December 14, 2020
    1608 PR.01 Security Standards for Mobile Devices and External Devices September 4, 2014
    1607 PR.01 Endorsed Encryption Implementation Procedure December 2, 2019
    1605 PR.01 Web Accessibility Procedure March 26, 2021
    1604 PR.01 Data Classification Procedure January 12, 2018
    1601 PR.06 Bypassing Oracle Applications and Financial Planning Training May 28, 2002
    1601 PR.08 Sponsored Identity Access May 16, 2018
    1601 PR.07 Identity Data Access Requests June 21, 2017
    1601 PR.02 NetIDs and Identity Management December 14, 2020
    1601 PR.03 Access Control for Protected Health Information (PHI) December 14, 2020
    1601 PR.04 VPN Eligibility & Access Procedure July 2, 2017
    1430 PR.01 Shipping Policy Exception Requests May 15, 2019
    1415 PR.01 Allocating the Cost of University Services February 6, 2012
    1410 PR.04 Lockshop Key Distribution June 20, 2017
    1410 PR.01 University Service Providers: Registration and Annual Renewal June 8, 2020
    1410 PR.02 University Service Providers: Rate Calculations June 8, 2020
    1410 PR.03 University Service Providers: Accounting and Billing April 12, 2021
    1315 PR.03 Salaries Above a Sponsor Imposed Rate Cap and Other Program Salary Limitations June 26, 2017
    1315 PR.04 Effort Reporting September 27, 2021
    1307 PR.02 Managing Subrecipient Activity Associated with Sponsored Programs October 13, 2021
    1307 PR.03 Monitoring Subrecipient Activity Associated with Sponsored Programs September 29, 2021
    1307 PR.01 Establishing Subrecipients Associated with Sponsored Programs October 5, 2021
    1306 PR.01 Cost Sharing October 26, 2021
    1305 PR.02 Cost Transfers Involving Sponsored Projects January 31, 2020
    1305 PR.04 Unallowable Costs March 19, 2021
    1304 PR.01 Award Set-Up Process for Sponsored Accounts June 23, 2020
    1304 PR.02 Distinguishing Between Gifts and Sponsored Awards April 25, 2017
    1301 PR.05 Residual Balance Fund Transfers October 28, 2020
    1301 PR.04 Applying Facilities and Administrative Rate to Genomic Array Purchases June 2, 2017
    1300 PR.01 Requesting, Modifying, and Closing Chart of Accounts Segments February 2, 2018
    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 July 29, 2019
    1110 PR.01 Personal Use of a University Vehicle January 15, 2021
    1104 PR.01 Electronic Signatures December 4, 2020
    1101 PR.04 Balance Sheet Ledger Account Reconciliation & Certification May 31, 2019
    1101 PR.03 Journal Entries November 16, 2017
    1101 PR.01 Controls and Business Process Questionnaire June 21, 2020
    1101 PR.02 Financial Transaction Review and Budget Monitoring July 6, 2021
    1101 PR.06 Approval Authority March 29, 2021
    1001 PR.01 Compensation Above Salary January 25, 2016
    1000 PR.01 Creating and Revising University Policies, Procedures, and Forms January 27, 2020

    Forms

    Numbersort ascending Extension Forms Revision Date
    4209 FR.04 Request for Capitalization of MEI Composite Assets and Accessories June 29, 2021
    4209 FR.05 Capital Equipment Transfer Release Form June 1, 2017
    3510 FR.01 Relocation Reimbursement Request January 2, 2020
    3505 FR.01 Out-of-State (U.S.) Hiring & Placement Questionnaire February 1, 2019
    3505 FR.02 Out-of-State (International) Hiring & Placement Questionnaire June 22, 2020
    3503 FR.02 Promotion & Transfer Checklist March 16, 2018
    3503 FR.03 Termination Checklist April 7, 2021
    3503 FR.24 Professional Student Payment Setup and Job Change Form September 19, 2017
    3503 FR.01 Onboarding a New Employee Checklist April 8, 2020
    3502 FR.01 Temporary Employee Payment Request October 25, 2017
    3501 FR.51 Application for Faculty Child Care Grant September 16, 2019
    3501 FR.55 Application for M&P Sabbatical April 2, 2014
    3501 FR.10 Faculty Request for Moving Allowance March 2, 2016
    3501 FR.17 Position Review -- Medical School only August 27, 2004
    3501 FR.01 Payroll Costing Allocation Form June 20, 2017
    3501 FR.02 CT/MP Paid Time Off Adjustment Form October 23, 2017
    3501 FR.03 Payroll Accounting Adjustment Form June 20, 2017
    3501 FR.05 Direct Deposit Pull Authorization October 20, 2017
    3501 FR.06 Overpayment Recovery Form June 30, 2021
    3501 FR.07 Payroll Payment Adjustment Form November 16, 2021
    3501 FR.11 Gift to Yale - Payroll Deduction Request November 2, 2017
    3501 FR.04 Direct Deposit Request October 20, 2017
    3501 FR.14 Payroll Deduction Request for Personal PCard Transactions of Separating Employee January 10, 2019
    3501 FR.09 Vacation or Salary Advance Request Form January 27, 2020
    3501 FR.08 Stop Payment & Re-Issue Request November 18, 2021
    3415 FR.01 International Information Form (IIF) for International Short-Term Visitors & Scholars February 18, 2020
    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
    3415 FR.04 Statement of Foreign Source Payments January 8, 2019
    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
    3401 FR.06 Invoice Cover Sheet for International Activities July 1, 2017
    3401 FR.02 Supplier Payment Setup: ACH/EFT September 27, 2021
    3401 FR.01 Supplier Payment Setup: Wire Transfer September 27, 2021
    3401 FR.03 Supplier Contact Information Form January 11, 2021
    3401 FR.04 Centralized Billing Account Maintenance October 29, 2021
    3301 FR.04 Request for Travel Grant March 3, 2016
    3301 FR.05 Missing Receipts Form March 29, 2018
    3301 FR.06 Documentation for Travel on a Non-U.S. Air Carrier January 13, 2021
    3220 FR.02 Application for Controlled Substance Laboratory License - State of CT June 20, 2017
    3220 FR.04 COA Approval for State DCD Controlled Substance License June 20, 2017
    3215 FR.07 Request to Delegate Authority to Prepare Expense Reports and Spend Authorizations July 13, 2017
    3215 FR.01 Yale Purchasing Card Cardholder Agreement May 2, 2019
    3215 FR.10 Individual & Department PCard Exceptions July 13, 2017
    3215 FR.09 120-366 Day Taxable Expense Reimbursement August 18, 2021
    3215 FR.03 Purchasing Card Application for Reactivation of Individual Card July 1, 2017
    3215 FR.06 Purchasing Card Request Form September 11, 2019
    3210 FR.01 Professional Services and Consulting Agreement June 14, 2018
    3210 FR.02 Guest Speaker Agreement December 21, 2020
    3210 FR.09 Yale University Music Commission Agreement January 12, 2021
    3210 FR.04 Standard Performance Agreement September 23, 2020
    3210 FR.05 Professional Services and Consulting Agreement (PSCA): Exhibit A - Scope of Work (Services, Milestones, and Deliverables) October 23, 2017
    3205 FR.04 Application for IRS Individual Taxpayer Identification Number (IRS Form W-7) 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.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.06 Request for Taxpayer Identification Number and Certification (IRS Form W-9) May 31, 2017
    3205 FR.07 Application for a Social Security Card (SSA Form SS-5) May 31, 2017
    3205 FR.09 Supplier Change Request July 28, 2021
    3201 FR.04 Independent Cost Estimate October 2, 2020
    3201 FR.05 Pricing Documentation (Comparative Pricing & Competitive Bidding) July 29, 2019
    3201 FR.06 Sole Source Documentation July 29, 2019
    2815 FR.03 Petty Cash Fund Request June 22, 2017
    2815 FR.04 Petty Cash Replenishment June 22, 2017
    2815 FR.01 Petty Cash Voucher June 22, 2017
    2815 FR.02 Petty Cash Quick Voucher June 22, 2017
    2810 FR.01 Sales Tax Report November 8, 2019
    2805 FR.01 Cash Sale Worksheet June 22, 2017
    2801 FR.02 Money Transfer Form June 22, 2017
    2203 FR.03 Request to Reinvest Unspent Endowment Income to Principal September 29, 2020
    2203 FR.04 Request to Set-Up or Add to a University Fund Functioning as Endowment (UFFE) September 29, 2020
    2203 FR.05 Request to Decapitalize an Existing University Fund Functioning as Endowment (UFFE) July 17, 2019
    2203 FR.06 Request to Close Spendable Gift November 5, 2019
    2203 FR.07 YSM - Request to Reinvest Unspent Endowment Income to Principal September 29, 2020
    2203 FR.10 Request to Set Up a New Gift July 2, 2017
    2203 FR.08 YSM - Request to Set-Up or Add to a University Fund Functioning as Endowment (UFFE) November 5, 2019
    2203 FR.09 YSM - Request to Decapitalize an Existing University Fund Functioning as Endowment (UFFE) November 5, 2019
    2100 FR.01 External Sales Approval Request - Short Form January 9, 2019
    2100 FR.02 External Sales Approval Request - Standard Form January 9, 2019
    2100 FR.03 External Sales Annual Reapproval Form January 9, 2019
    2100 FR.04 External Sales Compliance Checklist January 9, 2019
    1800 FR.01 Yale Central Space Request August 28, 2018
    1800 FR.02 Yale Medicine Clinical Space Request November 2, 2021
    1800 FR.03 Yale School of Medicine Research/Administrative Space Request September 27, 2021
    1800 FR.04 Yale Residential Rental Request May 4, 2018
    1601 FR.05 Workday Matrix Organization Creation May 15, 2017
    1601 FR.06 Workday Supervisory Organization Creation June 22, 2017
    1601 FR.07 Workday Supervisory Organization Change June 22, 2017
    1601 FR.08 Workday Reorganization Request May 15, 2017
    1601 FR.01 VPN Access Exception Request July 27, 2018
    1601 FR.02 Identity and Access Management (IAM) September 4, 2020
    1430 FR.01 Shipping Policy Exception Request Form January 14, 2020
    1411 FR.01 Yale University/West Haven Veterans Administration Medical Center (“VA”) Joint Appointment Memorandum of Understanding September 15, 2021
    1410 FR.04 Lockshop Key Request June 20, 2017
    1410 FR.01 University Service Providers: Registration Form June 8, 2020
    1410 FR.02 University Service Providers: Rate Calculation Worksheet June 7, 2021
    1403 FR.02 Justification to Direct Charge F&A Type Costs to a Federal Award October 15, 2019
    1315 FR.01 Effort Report March 11, 2020
    1310 FR.06 Delegation of Approval Authority for Sponsored Projects May 4, 2018
    1310 FR.04 PI Status Request Form June 28, 2018
    1310 FR.05 Delegation of Requestor Authority for Sponsored Projects February 27, 2019
    1307 FR.01 Request for Subrecipient Prepayment May 4, 2018
    1306 FR.01 Cost Sharing Approval Request October 25, 2021
    1306 FR.02 Facilities and Administrative ("F&A") Rate Reduction/Waiver Request October 25, 2021
    1305 FR.17 GSPS Cost Transfer March 5, 2019
    1305 FR.15 Manual Journal-Cost Transfer Justification June 15, 2021
    1304 FR.01 Pre-Award Costs and At-Risk Account Request Form March 10, 2021
    1304 FR.03A Subrecipient Information and Compliance Form May 6, 2020
    1304 FR.03C National Research Service Award ("NRSA") Assurance of Compliance February 28, 2020
    1304 FR.03 Transmittal Summary (Tran Sum) Form October 27, 2021
    1304 FR.04 Award Budget Setup ("ABS") Form April 27, 2020
    1304 FR.06 Responsible Personnel Change Form October 19, 2021
    1304 FR.09 Cost Allocation Methodology January 14, 2021
    1301 FR.01 Request to Transfer Residual Balance from Sponsored Awards October 25, 2017
    1300 FR.01 COA - Yale Designated 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.05 COA - Assignee Forms May 22, 2017
    1110 FR.03 Mileage Record January 15, 2021
    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
    1101 FR.02 Manual Journal Entry Request June 20, 2017
    1101 FR.01 Financial Review Checklist November 3, 2021
    1001 FR.01 Request for Provostial Pre-Approval for Faculty Extra Compensation March 29, 2018
    1000 FR.01 Policy Proposal January 12, 2018