INDEX
A. Definitions of Titles
B. Posting
C. Appointment Procedures
D. Appointment Security
E. Workload
F. Training and Orientation
G. Workspace and Instructional Support
H. Employment Files and Evaluations
I. Leaves
J. Childcare Programs
K. Discipline and Dismissal
L. Grievances
Appendix A: Sample TA Appointment Letters (For use with both Undergraduate and Graduate student appointments)
Appendix B: Description of Duties Form
Appendix C: ASE Sample Request for Leave Form
Appendix D: Sample EDFT Screen for Childcare Reimbursement Program
The following policies and procedures are intended to implement the Memorandum of Understanding (MOU) for the Academic Student Employee bargaining unit.
B. POSTING1. Teaching Assistant [TC 2310 - GSHIP, 2311 – Non-GSHIP]
A Teaching Assistant is a registered graduate student, chosen for excellent scholarship and for promise as a teacher, and serving an apprenticeship under the active tutelage and supervision of a regular faculty member.Hiring an undergraduate student as a Teaching Assistant is an exception to normal practice. The relevant unit must first ensure that no qualified graduate student is available. Then the relevant unit must obtain approval from the Academic Senate Committee on Educational Policy (CEP). Once approved by CEP, the undergraduate student may be appointed as a Teaching Assistant in the title code 2311 and thereby is covered by the terms and conditions of the MOU for the ASE bargaining unit. They are therefore eligible for the University's Partial Fee Remission Program for the Educational and Registration Fees. Classification and pay rates for undergraduate Teaching Assistants do not differ from those of graduate Teaching Assistants.
2. Associate In [TC 1501 – 9 months GSHIP, 1506 – 1/9 th GSHIP, 1507 – 1/9 th Non-GSHIP, 1511 – 11 months GSHIP]
An Associate In is a registered graduate student with a Master's degree or equivalent training, with at least one year of teaching experience, and who has been chosen because of competence to conduct the entire instruction of a group of students in a lower division course under the general supervision of a regular faculty member.
Refer to the Policy on the Appointment and Use of Graduate Student Instructors for the current approval procedures required by the Academic Senate Committee on Educational Policy for use of this title on the Santa Cruz campus.
3. Teaching Fellow [TC 2300 - GSHIP]
A Teaching Fellow is a registered graduate student who has advanced to candidacy for the doctorate, or otherwise has achieved appropriate professional maturity, and who has been chosen because of competence to conduct the entire instruction of a group of students in a lower division course under the general supervision of a regular faculty member.
Refer to the Policy on the Appointment and Use of Graduate Student Instructors for the current approval procedures required by the Academic Senate Committee on Educational Policy for use of this title on the Santa Cruz campus.
C. APPOINTMENT PROCEDURES 11. Campus Wide Posting of Appointment Opportunities
By March 15 th of each year, the Division of Graduate Studies will post information regarding projected ASE appointment opportunities for the following academic year on their website at www.graddiv.ucsc.edu . These projections are not a guarantee of the actual number of ASE positions that will be available or filled during the following academic year.
In addition to this annual posting for the following academic year, the Division of Graduate Studies shall request quarterly updates from relevant units regarding new positions which may have become available. The Division of Graduate Studies is responsible for posting these new positions on its website within 14 days from notification from the relevant unit.
2. Posting by the Relevant Unit
Relevant units may post additional information regarding ASE employment opportunities on bulletin boards or other websites. For those relevant units that have formal written guidelines regarding hiring for and allocations of ASE positions, the guidelines will be posted. Changes in written guidelines must be posted prior to implementation.
D. APPOINTMENT SECURITY1. Authority to Appoint
The dean has authority for appointment to these titles. The dean may redelegate authority for appointment to the Teaching Assistant title only to the department chair. This authority may not be further redelegated.
2. Written Notification of Appointment
(a) In the spring quarter or as soon as practicable after hiring decisions are made, the relevant unit must provide a written notice of appointment (e.g., letter or e-mail) to individuals offered an ASE appointment. If the appointment is for more than one quarter, a single notification is sufficient to cover all quarters of that appointment.
(b) The notice will include:
(i) appointment title;
(ii) appointment percentage;
(iii) effective dates;
(iv) salary/rate;
(v) health and other applicable benefits or deductions;
(vi) hiring unit;
(vii) hiring unit contact;
(viii) division;
(ix) division contact;
(x) response requirements, failure to respond statement;
(xi) a statement that the position is covered by the collective bargaining agreement between UC and the UAW;
(xii) the time and place of any applicable ASE orientations;
(xiii) that an Employment File has been established for the ASE, and will be maintained by the hiring unit and that new material may be added periodically during the term of their appointment;
(xiv) that the name and department address of all ASEs are released to the UAW each quarter;
(xv) the contract website address: http://atyourservice.ucop.edu/employees/policies_employee_labor_relations/collective_bargaining_units/academicstudentemployees_bx/agreement.html ; and
(xvi) the relevant unit's policy on class, section, and/or lab size, if any exists.(c) Should positions become available after the commencement of the academic year, ASEs must be offered such positions no less than 30 days before the start of the appointment. In cases in which positions become available less than 30 days before the commencement of an academic quarter, notification will be made as soon as possible.
See Appendix A: Sample Appointment Letters for both Graduate and Undergraduate Teaching Assistants
3. Description of Duties Form
At least 30 days prior to the beginning of the quarter, or as soon as possible after it is known that the position will be offered, the relevant unit will provide the ASE with a Description of Duties form. A copy of the Description of Duties form must be kept in the ASE's Employment File.
The relevant unit must provide advance notice when the duties described in the Description of Duties form are changed significantly. Such changes will be confirmed in writing.
See Appendix B: Description of Duties Form (This form cannot be altered)
4. Failure to Respond to Appointment Notice
The relevant unit may consider an individual who fails to respond, as required in the Notification of Appointment, to have rejected the appointment. Failure to accept an appointment may nullify the offer in its entirety.
5. Supplemental Documentation Form
Prior to, or immediately following the first class meeting, the faculty supervisor must complete a Supplemental Documentation form with the ASE. The faculty supervisor must sign a copy of the supplemental documentation form, retain a copy for their records and return a copy to the relevant unit for inclusion in the ASEs Employment File.
Relevant units are responsible for the creation and maintenance of the Supplemental Documentation Form for faculty supervisor use. The purpose of the Supplemental Documentation Form is to assist faculty members with identifying and communicating the requirements of the position to the ASE.
E. WORKLOAD1. Position Offered and Accepted is No Longer Available
If an individual receives and accepts appointment to an ASE position(s) for one or more quarters in an academic year, and the position offered and accepted is no longer available, the relevant unit will ensure that the individual:
(a) is placed in an appointment at the classification and equivalent compensation level offered and accepted; or
(b) receives equivalent compensation in lieu of the position for the quarter(s) at the level offered. Compensation includes any fee or GSHIP remissions that would accompany the original appointment.
2. Accepting an Offer of Employment
An ASEs failure to accept an offer of employment in its entirety, including all conditions, nullifies the offer in its entirety. However, after accepting an appointment an ASE may turn down one or more quarters of employment without forfeiting the provisions in section D.1 only for the following reasons:
(a) the employee's serious health condition as defined by the Family and Medical Leave Act (FMLA);
(b) to accept an extramural fellowship; or
(c) another reason granted by the relevant unit.
3. Academic Ineligibility*
*NOTE: Examples of academic ineligibility include, but are not limited to, an excess number of incompletes, a less than minimum GPA, and not being registered and enrolled in an appropriate number of units.
An individual who has accepted an ASE position(s) for one or more quarters and who becomes academically ineligible may be removed without pay from and/or returned to their appointment as set forth below, after consultation with the Division of Graduate Studies:
(a) Within the first five weeks of the quarter, the relevant unit may, at its sole discretion, remove an ASE who has become academically ineligible.
(b) When an ASE has regained academic eligibility, the relevant unit will determine at its sole discretion whether or not to reinstate the ASE. Said reinstatement, if any, will be at the level of employment held prior to removal.
F. TRAINING AND ORIENTATION1. Workload Maximums 2
Assigned workload is measured by how many hours the relevant unit reasonably expects that a Teaching Assistant (TA) needs to satisfactorily complete the work assigned.
(a) A TA with a 50% appointment must not be assigned a workload of more than 220 hours per quarter. This standard must be applied proportionately to appointments made at other percent times.
(b) In addition, a TA with an appointment of 50% or less must not be assigned a workload of more than 40 hours in any one week or assigned to work more than eight hours in any one day. The number of hours worked in excess of 20 hours per week may not total more than 50 hours per quarter.
2. Exceeding Workload Maximums
When a TA perceives she/he may exceed the daily, weekly or quarterly maximum number of hours in her/his appointment, she/he must communicate this information to her/his faculty supervisor. TAs are responsible for promptly notifying their supervisors when they perceive they might exceed the assigned workload maximums.
The faculty supervisor must immediately respond to the TA in writing (e-mail is acceptable) to address workload concerns with a copy to the relevant unit for the ASE's Employment File. If the faculty supervisor determines that the TA is going to exceed the daily, weekly or quarter maximum number of hours of her/ his appointment, the faculty supervisor must either:
(a) Modify the TA's work assignment such that the number of hours worked will be consistent with her or his appointment percentage and workload limits; and/or
(b) Increase the TA's appointment percentage to be consistent with the number of hours she or he will work.
If the faculty supervisor's determination is to increase the TA's appointment percentage, an exception to the 50% time rule, if applicable, must be requested from the Division of Graduate Studies and an increase in the appointment percentage must also be requested from and approved by both the hiring authority and the TA's department of study.
In the event that the TA's workload complaint is not resolved, the TA may file a formal grievance with the Dean of Graduate Studies.
All required training and orientation must be considered part of the assigned workload for the quarter, with the exception of:G. WORKSPACE AND INSTRUCTIONAL SUPPORT(a) Instances where course credit is given to the ASE (e.g., pedagogy courses);
(b) Requirements that apply to all students (ASEs and non-ASEs alike) in the program (i.e., laboratory safety; sexual harassment prevention training);
(c) Training to meet minimum eligibility requirements (e.g., English language tests);
(d) Where an ASE has not satisfactorily completed required training which was considered part of the assigned workload for the quarter, the University may require that the ASE repeat the training without the repeated training counting towards workload.
H. EMPLOYMENT FILE(S) AND EVALUATIONSAccess to Resources Required for Job Related Duties
The relevant unit must provide access to facilities, services, texts and instructional support where these resources are necessary for the ASE to perform their job-related duties. Access to required facilities, services, texts, and instructional support will not be unreasonably denied. These required resources may include but are not limited to:
(a) Office and desk space, telephone;
(b) A computer;
(c) Storage space;
(d) Office, laboratory, and instructional equipment;
(e) Mailbox;
(f) Office supplies;
(g) Texts and/or reading material.
I. LEAVES 31. Employment Files
“Employment File” shall be defined as information pertaining to an ASE's employment in the bargaining unit. This information must at a minimum include, but is not limited to, application for employment, appointment notice, the Description of Duties Form, and the supplemental documentation form.
Materials related exclusively to an ASE's own academic coursework or unrelated to their appointment as an ASE must not be included in the Employment File (e.g., medical documentation must be kept in a separate folder). In addition, records involving the processing of a grievance, such as grievance/appeals, UC grievance responses, and settlement documents must not be placed in the ASE's Employment File(s).
2. Employment Evaluations(a) ASEs must be notified in writing of new material added to their Employment File as soon as practicable, but no later than 30 days following the end of the quarter. This may be accomplished by adding “Employment File” as a cc on the document to be added to the file if that document, or a copy thereof, is provided to the ASE.
(b) An ASE may authorize representatives to review her/his Employment File(s). The authorization must be valid for the period designated by the individual or, if no time period is designated, for up to one calendar year from the date of authorization. The designee must have access to all employment information in all Employment File(s) for the ASE, wherever they are maintained.
(c) The relevant unit must provide an ASE or her/his representatives access to or a copy of the ASE's Employment File(s) as soon as practicable, but no later than 30 calendar days, following the receipt of a written request. One copy of employment file(s) material must be free; subsequent copies shall be ten cents per page.
(d) If an ASE disagrees with evaluative material in her/his file(s), she/he may append material to the file(s). If an individual is no longer employed when the evaluative material is placed into the file, they have 30 days from the date they reviewed their file(s) or knew or reasonably should have known that it was placed into the file to append material to the file.
(e) If an Employment File contains factual non-evaluative information that is incorrect the individual may request correction of the file(s) within 30 calendar days of discovery. If an individual is no longer employed when the factual non-evaluative information is placed into the file, they have 30 days from the date they reviewed their file(s) or knew or reasonably should have known that it was placed into the file to request correction.
(a) “Employment evaluation” is the faculty supervisor's (optional) written assessment(s) of an ASE's employment performance, excluding evaluations of an ASE's own academic coursework, and if completed, must be included in the ASE's Employment File.
(b) The relevant unit must communicate evaluation criteria and procedures for written employment evaluations, if any, to the ASE. New and revised criteria and procedures must be forwarded to the Labor Relations Office for notification to the union.
J. CHILDCARE PROGRAMS1. Request for Leave and Coverage
In order to ensure proper coverage for leaves, ASEs are expected to contact their faculty supervisor to request leave as soon as the need for the leave becomes known, but not less than one working day in advance of the start of the leave unless the leave is an unanticipated personal, family illness or bereavement leave. Requests for a leave must be made in writing with information about the nature of the leave, probable duration, and where appropriate, the necessary documentation (e.g., medical certification for childbearing leave). While it is the relevant unit's responsibility to make arrangements for coverage, it is expected that the ASE will assist as much as reasonably possible.
Nothing in Section I will prohibit relevant units from granting a longer period of leave than the entitlements provided below, whether paid or unpaid, when they determine a need to do so. However, leaves, whether paid or unpaid, cannot be continued beyond the end date of the ASE's appointment.
2 . Short-Term Family-Related Leave
The relevant unit will grant an ASE's reasonable request for leave of absence of appropriate duration due to:
(a) personal illness and/or disability;
(b) birth, adoption, or care of a child or family member;
(c) family emergencies, which include medical and non-medical events.Short-term family-related leave must be a paid leave for the period of two days per quarter for ASEs appointed at 50%. For ASEs who are employed at other percentages, the amount of paid leave will be prorated.
The faculty supervisor has authority to approve a paid short-term family-related leave up to two days. The dean has authority for short-term family-related leaves of more than two days, whether paid or unpaid.
3. Long-Term Family-Related Leave
Upon request from an eligible ASE, the relevant unit will grant an ASE's reasonable request for long-term family-related leave of absence during the academic year.
There are two types of long-term family-related leave. Whenever possible, long-term leave should be requested at least 30 days in advance of the begin date of the leave.
(a) Childbearing
An ASE who bears a child shall be eligible to receive up to four weeks of paid leave for childbirth or related medical conditions for the period prior to, during, and after childbirth.
(b) Other Leave
An ASE shall be eligible to receive up to two weeks of paid leave for the serious health condition, as defined under the Family Medical Leave Act (FMLA; see APM 715), of the ASE or the ASE's family member. Additionally, this leave may be used for the care of and bonding with an ASE's newborn or newly adopted child.
For those ASEs who bear a child, the two types of long-term family related leaves described above may be combined for a maximum entitlement of four weeks of paid leave during the academic year.
The dean has authority to approve a long-term family-related leave.
4. Bereavement Leave
The relevant unit will grant an ASE's reasonable request for bereavement leave due to the death of a family member. ASEs must be granted up to three days paid leave for bereavement.
The faculty supervisor has authority to approve a paid bereavement leave up to three days. The dean has authority for bereavement leaves of more than three days, whether paid or unpaid .
5. Jury Duty
An ASE shall be eligible for paid jury leave. Verification of actual service for jury duty must be provided by the ASE to the relevant unit upon request.
The faculty supervisor has the authority to approve jury duty leave.
6. Military Leave
ASEs who are called to active military service will be provided leave from their current positions to fulfill their military obligations. Military leave will be paid to the extent required by applicable law. Contact the Academic Personnel Office for current legal requirements.
The dean has authority to approve a military leave.
7. Other Leaves With or Without Pay
Other leaves, including but not limited to leave for service to government agencies and leave to attend professional meetings may be granted with or without pay at the relevant unit's sole discretion or if required by applicable law.
The dean has authority to approve other leaves with or without pay.
See Appendix C: ASE Sample Request for Leave Form
K. DISCIPLINE AND DISMISSAL1. Participation in Campus Childcare Programs
ASEs may participate if eligible in campus childcare programs, if any, including subsidies and other financial assistance. Information regarding available campus childcare programs can be found at: http://housing.ucsc.edu/childcare/index.html .
2. Childcare Reimbursement Program
Effective Fall Quarter 2008, each eligible ASE shall receive up to $300 per quarter under this program for expenses incurred during the ASE's appointment period in the regular academic year.
See Appendix D: Sample EDFT Screen for Childcare Reimbursement Programa) Definitions for Section J.2
Allowable receipts: Receipts from a childcare provider with a valid tax ID or Employee Identification Number (EIN) incurred during an eligible ASE's appointment. Expenses incurred before the beginning of or after the end of an ASE's appointment or during Summer Session are not eligible for reimbursement.
Childcare provider: A licensed childcare provider with a valid tax ID. If care is provided in a day-care center, the center must charge a fee. If the center cares for six or more dependents who are not residents, it must comply with all state and local licensing laws and applicable regulations.
Eligible ASE: A registered student with at least a 25% ASE appointment who has a qualified dependent.
Qualified dependent: A qualified dependent is a child in the custody of the ASE who is under the age of five on or before December 2 of the academic year in which reimbursement is being sought. A child is in the custody of the ASE when they can be claimed as a dependent on the ASE's tax return.
b) Reimbursement Process
(i) ASE Employee
At the end of the quarter, or when the maximum reimbursement expense amount has been incurred by the ASE, the ASE downloads the ‘ASE Child Care Reimbursement form' (UBEN 254 form) from the Graduate Division Website: https://cruzmail.ucsc.edu/Redirect/graddiv.ucsc.edu/opportunities/ASE.php
The ASE completes the UBEN 254 form, certifies that the appropriate program requirements are met and submits the form and applicable childcare provider receipt(s) to the Graduate Division.
Reimbursement requests cannot be submitted later than the last day of the subsequent quarter, (e.g., reimbursement for fall quarter must be submitted by the end of winter quarter). If the reimbursement is for spring quarter, the request must be submitted before the first day of the fall quarter.
(ii) Graduate Division
The Graduate Division will certify that: the UBEN 254 form is complete; the ASE has a qualified appointment; and the applicable allowable receipts are attached. Once certified, the Graduate Division will authorize payment to the ASE by signing the UBEN 254 form and sending both the form and its attached receipts to the ASE's division.
UBEN 254 forms submitted by an ASE will be processed by the Graduate Division according to the following timeline:
For 2008-2009:
Forms submitted by December 11, 2008 will be processed by the Graduate Division no later than January 15, 2009.Forms submitted by March 20, 2009 will be processed by the Graduate Division no later than April 15, 2009.
Forms submitted by June 11, 2009 will be processed by the Graduate Division no later than July 15, 2009.
(iii) Relevant Unit
The relevant unit generates a one-time payment using the online PPS Department Time Reporting screen ‘EDFT.” The DOS code ‘BXC' is to be used for the reimbursement.
Payment will normally be in the same form as the ASE's regular pay, i.e., check or electronic deposit. If an ASE is no longer actively employed at the time of the reimbursement, a paper check will be issued.
The relevant unit retains the UBEN 254 form and associated receipt(s) in the ASE's Employment File. These forms must be retained for a period of five years.
3. Dependent Care Reimbursement Program
Effective January 1, 2009, all eligible ASEs shall be entitled to participate in the UC Dependent Care Reimbursement Flexible Spending Account Program (DEP Care).
(a) Eligibility for Participation in DEP Care
ASEs are entitled to participate in DEP Care if they are eligible. An ASE in an eligible title code and an appointment at 43.75% time or greater, or with multiple appointments if the combined eligible appointments equal to at least 43.75%, is eligible to participate in DEP Care.
(b) UC DEP Care Flexible Spending Account Program
DEP Care allows eligible ASE to pay for qualifying dependent care expenses on a pre-tax, salary reduction basis. The amount the ASE specifies when they enroll in the program is taken from their paycheck each month and deposited in their DEP Care account. The ASE pays their dependent care expenses as usual, and then submits a claim form and receipts to CONEXIS, the company UC has hired to administer this program. CONEXIS sends the ASE a reimbursement payment, either by direct deposit to their bank account or by check.
ASEs can access additional information about the DEP Care at the AtYourService (AYS) website : http://atyourservice.ucop.edu/employees/health_welfare/depcare_hcra/index.html Any questions ASEs have regarding DEP Care should be directed to the campus Benefits Office at 459-2013.
(c) Enrollment in DEP Care
Enrollment in DEP Care must be elected each calendar year. An ASE who has decided to enroll in DEP Care must download the enrollment form UPAY 919 from the AYS website , complete the form and submit it to the campus Benefits Office for processing. The campus Benefits Office may contact the ASE to confirm their enrollment information. Once enrolled in DEP Care, the ASE will need to follow all claim procedures in order to receive reimbursement for their eligible expenses. These claim procedures can be found at the AYS website .
(d) Program Restrictions
ASEs participating in the Child Care Reimbursement program may not request reimbursement for the same expenses from DEP Care. ASEs participating in the Child Care Reimbursement program will be required to certify on their reimbursement form that their expenses are not being claimed under any other program. Information on the differences between the Child Care Reimbursement program and DEP Care is also available on the AYS website .
L. GRIEVANCESGrounds for Discipline or Dismissal
The relevant unit may discipline or dismiss an ASE for just cause. In general, the principle of just cause requires that the degree of discipline be reasonably related to the performance problem or misconduct, and that prior to being disciplined the ASE knew or reasonably should have known of the conduct and job performance expectations. "Discipline" includes: written warning, suspension without pay, or dismissal. A written notice of intent must be issued for suspension without pay or dismissal. Contact the campus Labor Relations office prior to taking any disciplinary actions.
A grievance is defined as an alleged violation of the bargaining agreement.
An ASE may file a grievance with the campus Labor Relations Office within 30 calendar days from the date she/he knew or should have known of the event or action which gave rise to the grievance.
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1 For the appointment of undergraduate students as Teaching Assistants, please see also Section A.1 of this policy
2 At UCSC, Teaching Fellows and Associate-Ins are appointed as instructors of record. As instructors of record they are responsible for a workload consistent with the normal workload for the course and these workload maximums do not apply.
3 For the purposes of Section I: Leaves , a family member is defined as the ASE's mother, father, sister, brother, parent-in-law, spouse, domestic partner, parent of domestic partner, grandparent, grandchild, child, step or foster child (including children of domestic partner).