General Appointment and Enrollment Policies for Teaching and Research Assistants/Associates

A. Terms of Appointment	H. Absence from Service
B. Eligibility	I. Termination before End of Appointment Period
C. Workload	J. Compensatory Stipend Disbursement
D. Reappointments	K. Income Tax Withholding on TA/RA Stipend Compensation
E. Maximum Enrollment	L. FICA
F. Evaluation	M. Proof of Citizenship/Right to Work in U.S.
G. Required Orientation Meetings

Graduate teaching and research assistants/associates (TAs and RAs, respectively) are full-time graduate students, admitted to a degree program, appointed on a part-time basis by Arizona State University (ASU) who must be enrolled for at least 6 hours of appropriate credit during each Fall and Spring semester during the appointment (see Part 1B). Federal tax law considers TAs/RAs to be full-time students carrying out duties that enhance their professional development, under the guidance of a faculty mentor, for which they are paid a compensatory stipend. Following Arizona Board of Regents' policy, work that is primarily clerical or other work not associated with teaching or research is not appropriate for TAs and RAs.

ASU offers two kinds of assistantships/associateships-teaching assistantships/associateships (TAs) and research assistantships/associateships (RAs). Since each category has its own specific attributes and conditions, please read carefully the relevant information in each category.

A.	Terms of Appointment At the time when the TA/RA is offered to the student, the hiring unit will provide an offer letter to the student outlining the following information: term (i.e., fall, spring, academic year) for which the appointment is offered minimum enrollment required level (assistant or associate) and compensatory stipend tuition remission and health insurance benefits (see Part 2) There are additional terms of appointment for new teaching assistants/associates including stipulations regarding language proficiency and ABOR-required training. (See Part 3D for specifics.) *A Standard Offer Letter* can be found at graduate.asu.edu/hiring.html.** As an attachment to the offer letter, the hiring unit should outline: the nature of the project the essential job functions of a TA/RA the specific duties and responsibilities of the assignment the name of the faculty supervisor and form of supervision performance review, process and criteria, grievance procedures, and conditions of reappointment working schedules, expectations about work during weekends and holiday breaks, and policies regarding absences any other relevant information and direct the student to this online policy handbook.
B.	Eligibility In order to be eligible to receive an appointment as a TA/RA, the student must be regularly admitted to and enrolled in a graduate degree program at ASU. During the fall and spring semester, the TA/RA must be enrolled for a minimum of six hours. Audited courses may not be used to fulfill this requirement. Undergraduate-level coursework may only be used to fulfill this requirement if it is on an approved Program of Study or with prior approval by the academic unit. Academic units may require more than six hours of enrollment each semester. The minimum enrollment requirement will be included in the unit's offer letter. Summer Assistantships Students may not begin their assistantships prior to entrance into a graduate program (e.g., students admitted for a fall semester may not begin the assistantship during the previous summer). Students must be enrolled at least half-time during each summer session in which they hold teaching or research assistantships/associateships, defined as 1 credit hour during 5-week summer sessions and/or 2 credit hours during the 8-week summer session.
C.	Workload Since the primary purpose of an assistantship/associateship is to assist the student in successfully completing an academic program, TAs/RAs may not be appointed for more than half-time (50%) during the fall and spring semesters. A half-time appointment averages 20 hours per week during the appointment period. A third-time appointment averages 13 hours per week; quarter-time appointments average 10 hours per week. Consistent with federal government policy, graduate students appointed as TAs or RAs may not be simultaneously employed in any capacity by Arizona State University for more than a total of 20 hours (.50 FTE) per week. For example, a half-time (20 hours) TA/RA may not have any other university employment; a quarter-time (10 hours) TA/RA may be employed for no more than 10 hours in any other position on campus. *Exceptions to this rule are rarely given and must be approved by the dean of graduate studies, using the Petition to the Graduate College* form** ( graduate.asu.edu/forms). During academic breaks between fall, spring, and summer semesters/sessions, TAs and RAs may be employed additional hours. If an appointment is anticipated to continue for an academic year, the term of appointment begins August 16 and ends May 15; semester appointments are August 16 to December 31 for the fall semester and January 1 to May 15 for the spring semester.
D.	Reappointments TA/RA appointments are, by definition, term appointments. TAs/RAs should not assume that they will be reappointed merely because no notification or termination at the end of the appointment period has been received. Reappointments are subject to and contingent upon the continuing availability of funds and the TA's/RA's satisfactory performance. In considering reappointments, the hiring unit or project director must consider the TA's/RA's contribution to the objectives of the unit or project along with the assistant's/associate's academic progress.
E.	Maximum Enrollment The maximum allotment of enrollment credits for TAs/RAs during the fall and spring semesters are as follows: half-time (50%), 12 units each semester; third-time (33%), 13 units each semester; and quarter-time (25%) or less, 15 units each semester.
F.	Evaluation The hiring unit or project director should conduct a periodic review and an annual evaluation of the services rendered by TAs/RA(s) and communicate in writing the substance of these reviews to the student(s) concerned. Each hiring unit should establish its own criteria, but these may include: prompt, efficient, and accurate completion of assigned tasks; ability to work independently once tasks are explained; ability to analyze problems and find solutions; cooperation with supervisors and other TAs/RAs; and professional behavior. The TA/RA should subsequently sign the evaluation and may append a response. The evaluator should provide a copy to the student and forward a copy of these documents to the student's advisor and the head of the academic unit for placement in the student's official file. Evaluation of performance shall not be based on sex, age, disability, race, color, religion, marital status, veteran status, national or ethnic origin, or sexual orientation or gender identity, nor shall it be influenced by a student exercising protected rights to freedom of expression or association. (Please see Part 6 of this publication for further information on these policies.) Report of Academic Progress Each academic program must have a statement of what constitutes satisfactory academic progress. At the end of each academic term and for the duration of the appointment, TAs should present an academic progress report and a transcript to their supervising faculty member. The TA's thesis advisor and supervising faculty member should sign the academic report, and this report should be maintained by the academic unit.
G.	Required Orientation Meetings All new teaching assistants/associates are required to attend the TA Orientation meeting administered by the Graduate College (see Part 3E). In addition, many departments require TAs/RAs to attend an orientation session provided by the unit prior to the beginning of classes as a condition of appointment. The general duties and responsibilities of assistantships/associateships and specific departmental guidelines are discussed at these sessions.
H.	Absence from Service A TA/RA should notify his/her supervisor in advance of an absence and, when possible, assist in obtaining a replacement or rearrangement of the duties. Excessive absences, regardless of the reason, are cause for termination before the end of the appointment period. TAs/RAs should consult with the supervising faculty member about specific policies regarding absence from service.
I.	Termination before End of Appointment Period The head of the hiring unit may make TA/RA assignments and re-assignments whenever warranted. TAs are expected to fulfill their responsibilities throughout the semester. There are both voluntary and involuntary reasons that an assistantship/associateship may be terminated. Reasons for involuntary termination may include, but are not limited to: change in academic discipline academic or scientific misconduct poor academic performance or excessive absences misconduct in assigned duties unsatisfactory performance in assigned duties breach of ASU Student Code of Conduct incapacitation of the TA/RA for an extended period of time professional misconduct as defined in ASU's Academic Affairs Policies and Procedures Manual (www.asu.edu/aad/manuals/acd) In those cases where the job performance of a TA/RA is not meeting expectations, the supervising faculty member should advise the student, both in writing and orally, and an attempt should be made to help the TA/RA improve his or her performance before terminating the appointment. If a TA/RA is to be terminated prior to the end of the appointment period, the TA's/RA's supervising faculty member or head of the academic unit should write to the student describing the reasons for the action. The dean of the academic college (when applicable) and the dean of the Graduate College should receive copies of the letter. Within 10 days of the receipt of the notice of termination, the TA/RA may appeal the decision at the unit and college level. The dean of the Graduate College should receive a copy of the appeal. In appeals under the purview of the Graduate Council Appeals Board, the affected student may appeal to the Board only after other avenues have been thoroughly exhausted. Graduate appeals information and guidelines may be found at graduate.asu.edu/graduateappeals.htm. Further information about the Graduate Council Appeals Board is available in the Graduate Catalog (www.asu.edu/catalog). Reasons for voluntary termination may include, but are not limited to: change in academic discipline health problems interference with academic progress unfair or unreasonable demands unforeseen family responsibilities If a TA/RA is unable to continue an appointment, he or she must inform the supervising faculty member in writing of the reasons for the action. Copies of the notice should be sent to the head of the academic unit (when applicable) and to the dean of the Graduate College. Involuntary Termination for Position Abandonment. A TA/RA who has abandoned his or her position may be terminated by the supervising faculty member or academic unit that appointed him/her. A position will be considered abandoned when a TA/RA has not reported for his or her assignment for three or more consecutive business days (or 3/5 of a regular week's workload). The supervising faculty member should send a letter (certified mail, return receipt requested or overnight mail or hand delivered) stating that the TA/RA award had a beginning date of X and the student has not appeared or communicated with the faculty advisor or any other department member to advise of difficulties or conflicts. The TA/RA should be given two days (or 2/5 of a normal work week) to resolve the problem, and then a confirming letter should be sent stating that the TA/RA award was cancelled due to the abandonment.
J.	Compensatory Stipend Disbursement The Internal Revenue Service has determined that the stipend portion of teaching and research assistantships and associateships is compensatory in nature and must be disbursed through the university payroll system as wages. TAs/RAs will receive their payroll disbursements on the 15th and last working day of each month, unless otherwise noted. If these dates fall on a weekend or a holiday, payments will be made the last working date prior to the regular date. TAs/RAs should confirm with their department that payroll materials have been submitted and should inquire about their starting and regular paydays. (Please consult with the Human Resources web page for information on specific pay dates: www.asu.edu/hr/calendars.)
K.	Income Tax Withholding on TA/RA Stipend Compensation Stipend compensation paid to TAs/RAs through the payroll system are subject to federal and state income tax withholding. The amount of withholding depends on how the TA/RA completes IRS Form W-4, Employee Withholding Allowance Certificate, and the Arizona Form A-4, Withholding Percentage Election. These forms will be provided as part of the payroll process paperwork and should be reviewed and prepared carefully. They also are available at www.asu.edu/hr/forms. Under some circumstances, a student may be exempt from income tax withholding, but the forms must still be completed.
L.	FICA While wages are normally subject to the 7.65% Federal FICA tax (Social Security and Medicare), TAs/RAs are exempt from FICA providing they work no more than 20 hours per week and carry the minimum credit load. TA/RAs on F1 and J1 student visas are always exempt from FICA unless they become residents for tax purposes.
M.	Proof of Citizenship/Right to Work in the United States: All New Employees Federal regulations require that all new ASU employees show proof, in person, of citizenship or right to work in the United States. To ensure that new TAs/RAs receive a paycheck on the first pay date of the semester, TAs/RAs must present two forms of identification to Human Resources and complete the federally required I-9 document within three working days after the date of appointment (the date the student begins to perform his/her duties at ASU). Human Resources representatives are normally scheduled to be present at New TA Orientations in order to expedite the processing of all required documentation. The I-9 document can be picked up at the TA's/RA's department or at Human Resources. An international student transferring from another school within the United States should contact the International Student Advisor on that campus to ensure that the SEVIS transfer is documented properly and that all appropriate procedures are followed. Upon arriving at ASU, international students must contact the International Student Office (ISO) in the Student Services Building, Room B265, (480) 965-7451. International students must check in with ISO before going to Human Resources to verify authorization to work.

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