Frequently Asked Questions

A union is an organized group of workers who make decisions about their working conditions and terms of employment. This is done through collective bargaining, which is the only way in which we as grad students and postdocs can have the power to negotiate with Caltech administration as equals. 

With collective bargaining, we set our priorities and our agenda—and we elect fellow peers as representatives to negotiate on equal footing with Caltech administrators for improvements such as salary increases, career development resources, parental leave, healthcare, protections from harassment and discrimination, and much more. Ultimately, any tentative agreement that is reached must be ratified by a democratic vote of the entire union.

Without a union, Caltech retains unilateral power to change conditions or decide whether to voluntarily make improvements. For example, despite the GSC’s yearly effort to demonstrate the need for our salary adjustments to keep up with the high cost of living in California, Caltech administration repeatedly has decided unilaterally, and rather arbitrarily, to not do so.

Forming a union not only gives us a say in our day-to-day working lives, but also strengthens our voice in an increasingly difficult political environment. In fact, nearly 50,000 academic employees in the UC system are unionized, and were key in reversing the Trump administration’s proposed tax on graduate student fee remissions and in fighting the Trump travel bans. As a part of a nationwide movement to unionize higher-ed, we are collectively improving conditions across the board, not just here at Caltech.

1. Caltech graduate student workers and postdocs form a diverse organizing committee to gather information and make a plan to form a union.
2. A majority of all grad students and postdocs sign authorization cards indicating they would like to form Caltech Grad Researchers and Postdocs United / UAW.
3. At this stage, Caltech can decide to voluntarily recognize the union or not. If Caltech does recognize the union, then we can start collective bargaining! However, historically, most large Universities have not agreed to voluntary recognition (e.g., MIT). In this case, we deliver the authorization cards to the National Labor Relations Board (NLRB) which oversees private employee unionization efforts.
4. Assuming Caltech does not voluntarily recognize our union, the NLRB  will hold a secret ballot election where every graduate student and postdoc casts a “yes” or “no” vote to form a union. Caltech may campaign against us forming a union.
5. If a majority vote “yes,” the NLRB will certify our union and we Caltech will be required to collectively bargain..
6. We elect a bargaining committee of graduate researchers and postdocs.
7. Through collecting comprehensive bargaining surveys, holding discussions, requesting information from Caltech administration, and gathering feedback from one another, the bargaining committee begins to draft our initial bargaining priorities.
8. Initial bargaining demands are sent to all graduate researchers and postdocs for review, and we then vote on whether or not to approve them.
9. The bargaining committee negotiates as equals with Caltech administration and provides regular updates to all grad researchers and postdocs. During this time, we continue to engage in collective action in support of our demands.
10. Once a tentative agreement is reached at the bargaining table, all graduate students and postdocs vote on whether or not to ratify the contract.
1. If we vote no, then the bargaining team will return to the negotiating table with Caltech. Contract ratification is often the subject of rigorous democratic discussion among UAW members, with “vote yes” and “vote no” campaigns in which members make the case for or against ratification.
2. If we vote yes, then the contents of the contract become legally binding, and we win a better Caltech for all grad students and postdocs!

What we bargain for is up to us, but will include things like wages, healthcare, protections from sexual harassment and discrimination, and protections for international students. At other institutions, researchers have bargained for annual raises, disability and parental leave, legal support funds for students going through the Title IX process, and guaranteed immigration related leave.

Several folks involved with C/GPU are members of the GSC or CPA, or have been members in the past, and we truly value their advocacy efforts. For instance, the GSC puts in a tremendous effort to advocate for stipend increases, healthcare benefits, and other improvements to grad student life in their yearly reports. But at the end of the day, Caltech has unilateral decision making power and has no obligation to do anything with the GSC’s recommendations. Additionally, any voluntary concession Caltech makes to a GSC demand can be revoked the next year without warning (like the cuts to our healthcare early in the pandemic). Only a union with collective bargaining rights has the power to negotiate a binding contract with an employer as equals. This means Caltech has to listen to our demands and, in good faith, work to reach a mutual agreement that we would then vote to ratify or not. 

C/GPU is also a coordinated effort between grad researchers and postdocs, as we share many of the same goals and face similar issues in our workplaces. Our ability to advocate for ourselves is stronger when we do so in a combined, unified voice – our strength is in our numbers. Additionally, as part of a nation-wide movement to unionize in higher-ed, we are building a stronger voice to advocate on broader issues such as increasing public investment in research, better visa and immigration policies for international students, and better working conditions for all of us.

The 2016 Columbia Decision found that students who work as teaching and research assistants at private universities have a federally backed right to unionize. This includes both undergraduate and graduate TAs and researchers, and of course postdoctoral scholars. 

Recently, universities like the UC system and MIT have tried to argue that grad students funded by fellowships are “trainees and fellows” and are therefore not employees with the right to unionize. While this argument would likely have not held up in court, UC student researchers voted 97.5% in favor (10,890 students) to authorize a strike in response, demanding UC recognize the entire bargaining unit of students on internal and external funding sources alike. Faced by this pressure and threat to shut down the University, UC administration conceded before the strike even began.

Under federal law, it is illegal to retaliate against an employee for organizing a labor union at their workplace. Thus far, we have seen no cases of any higher educational institutions taking action against graduate employees or postdocs for signing a union authorization card or voting in favor of forming a union. 

If you are concerned about retaliation in your workplace, please do not hesitate to contact us.

As a union, we will be negotiating with the Caltech administration, not with our PIs and supervisors, because it is the policies of the Caltech administration that define the conditions of our employment. Unionizing therefore does not introduce a source of conflict between you and your advisor. In fact, many higher-ed unions have won protections and improvements to the advisor-student relationship, such as formal grievance and arbitration procedures. Graduate students at Columbia University won a dedicated source of transitional funding for students who choose to change advisors due to an unhealthy advisor relationship.

Existing union contracts, like the ones at UC or UW, protect researchers from being assigned excessive, unnecessary workload and ensure that researchers can use all of their vacation days. However, no existing union contract for grads or postdocs requires researchers to work specific hours or track vacation days. 

Union contracts can also be used to ensure that flexible workplace conditions are maintained. For instance, UC San Diego Postdocs were able to use their union contract to prevent administrators from requiring them to fill out timesheets. Bargaining a union contract is a democratic process in which all of us have a voice, and it’s a safe bet that the vast majority of Caltech Grads and Postdocs will want a union contract that protects workplace flexibility.

UAW is United Automotive, Aerospace, and Agricultural Implement Workers of America. They’re also the largest union for higher-ed academic employees in the country, with over 100,000members at higher-ed institutions and growing. Student Researchers, Postdocs, and Academic Researchers at UC are part of UAW. We like to say the A should also stand for Academic.

We want to be part of a nationwide movement to transform higher education and other industries. By being part of a larger, national union we have access to and help build collective resources – like legal support, organizing strategies, staff, and more. By joining together, workers have more power to negotiate with multi-billion dollar employers. 

Note that in UAW, we will retain autonomy over the process of unionizing, elections, contract negotiations, striking, and other actions. We also contribute a portion of our dues to the national union to assist in efforts across the country.

The bottom line is that joining a national union can make us more effective in winning a local union and winning a strong contract, and UAW has proven their effectiveness in organizing with over 100,000 higher-ed workers. In just this past year, Research Scientists and Engineers at UW voted 85% in favor of unionizing with UAW, Mt. Sinai Postdoctoral Researchers voted 89.5% in favor of unionizing with UAW, Worcester Polytechnic Institute Grad Employees voted 96% in favor of unionizing with UAW, and USC Graduate Workers voted 93% in favor of unionizing with UAW. NIH Fellows, Grad Workers at Penn, and Non-Tenure Track Faculty at Harvard are among many other academic employees also currently working to join UAW. We’re looking forward to building a movement together in higher education.

Membership dues are important because they provide the resources necessary for effective representation.  As part of the UAW, we would not pay dues until we have gone through the bargaining process and voted democratically to approve our first contract. Dues are critical for providing us with independent resources that are not controlled by the University: we use them to ensure we have appropriate legal, bargaining, community and staff support to represent all Grad Researchers and Postdocs. UAW membership dues are currently 1.44% of gross monthly income and can only be increased by membership action (the membership in a few local unions, for example, have voted to increase dues above 1.44% to have more resources).

No one will be asked to become a member of the Union until after we have voted to ratify a contract. In most contracts, since everyone in the bargaining unit must receive all of the benefits of the contract, non-members are generally required to pay a comparable “fair share” fee, so the cost of representation is shared equally. The inclusion of a similar provision at Caltech would be something we decide as part of our bargaining agenda, would be subject to negotiation with Caltech, and contingent on ratification as part of our contract.

Most academic worker unions have such a provision in the contract because it means we have more power and more resources available to enforce our rights under our contract, campaign for the best possible future contracts with the administration and help other academic workers form their own unions. Under the UAW, there is also a one-time initiation fee, which ranges from $10 to $50 and is determined democratically in local union bylaws approved by members.

The value of increased wages and benefits in the first contract typically outweighs the cost of dues, often leading to overwhelming majority approval of those agreements. For example, Postdocs at Columbia University went from having the lowest minimum salaries for postdocs in NYC to the highest in the first year of their contract, an increase of between 14.5% to 20%, along with guaranteed annual increases and other improvements. UC graduate researchers won raises ranging from 25 – 80%.

Dues are important because they provide the resources to effectively organize, negotiate with Caltech, and ensure our rights are protected. This includes legal support, educating new Grads/PDs about their rights, advising Grads/PDs through difficult situations, future contract negotiations, and continued advocacy. Union members democratically decide how dues are spent.

Nobody will pay dues until after Grads/PDs negotiate and then vote to ratify a first contract. Dues in UAW are 1.44% of gross income. There is also a one-time union initiation fee, which in other UAW academic unions is $10.

Once our union is established, local union expenses will be approved by an elected executive board of grads and postdocs. Local unions also draft and approve a budget at the start of each year. Trustees elected by grads/PDs will also audit the union’s income and expenditures twice annually.

Most of the day-to-day work of enforcing a union contract and representing members is supported by local union dues. In other unions, this includes:

• Educating new employees about their rights and their union
• Contract negotiations
• Advising grads/PDs in difficult situations and supporting them through the grievance process
• Events, including seminars on topics like visa and immigration rights, filing taxes, and healthcare
• Advocacy for public policy that supports higher education and research

The Local Union may also receive an additional “rebate” if the Strike and Defense fund is over $500M.

26% of Dues go to the International Union’s general fund, which provides technical support for contract negotiations, support for contract enforcement, and helps other groups of workers successfully form unions (like CGPU-UAW). Some ways international union dues will support CGPU-UAW include:

• Providing experienced negotiators, researchers, and legal help to aid grads/PDs in achieving their goals at the bargaining table.
• Legal advice and advocacy to impact policy makers, especially those in Washington, DC. For example, UAW is part of ongoing advocacy to improve visa and immigration policy for international researchers.
• Support for grievances and arbitration. For example, at UC Berkeley UAW International helped teaching assistants win millions in unpaid tuition remission.
• Working to expand the rights of grads and postdoc. For example, winning the landmark NLRB decision that enables Graduate Employees at private institutions to collectively bargain.
• Helping to win political support for our priorities as grads and postdocs. See, for example, this letter to UC from Katie Porter and 29 other members of the California Congressional Delegation calling on UC to recognize the newly formed UC Student Researcher union.

44% of dues money goes to the strike and defense fund. This fund supports workers with pay should they choose to go on strike (see also “Will we have to go on strike?” in this FAQ). When the strike fund is over $500 million, a portion of dues normally allocated to the strike and defense fund may be returned to the local union.

A portion of dues money (3%)  goes to support political action, including legislative and other policy advocacy on issues that matter to UAW members. For example, UAW advocates strongly for fair, comprehensive immigration reform, which would include more visa access and an improved green card process, and expanded federal support for research funding, among other topics. [NOTE: dues money cannot be used for federal campaign contributions, such as the presidential race—that money comes from voluntary contributions through a program called VCAP (Voluntary Community Action Program)].

While our goal in forming a union is not to have to strike, we also acknowledge that we should be prepared to strike if necessary. Withholding our labor, without which Caltech could not operate, is the single greatest form of leverage we have in bargaining for better working conditions. Should a strike become necessary to win a fair contract (e.g. Caltech refuses to bargain, is delaying the bargaining process using unfair tactics, is not negotiating in good faith), the elected bargaining team can call for a strike authorization vote. In order to authorize a strike, 2/3rds of voting graduate students and postdocs must vote in favor.

While strikes are powerful tools in forcing administration to listen to us, our power ultimately derives from our collective action as a unified body of grad students and workers standing together in solidarity. Successful strikes generally have >90% vote yes and are massively participatory events consisting of demonstrations, picketing, speeches, and other community-building actions in highly visible areas across campus.

Exclusive representation means that Caltech can only bargain with our elected bargaining team. Without exclusive representation, Caltech could undermine the collective bargaining process by negotiating with an organization other than our democratically elected bargaining team. It also means that the union we are forming, Caltech Grad students and Postdocs United, would be the sole union for all graduate students and postdocs at Caltech.

In 2018, news broke about a scheme by a group of UAW officials to misuse union funds. The allegations, which were brought forward by a UAW member, lead to 14 UAW officials being charged with corruption and pleading guilty in federal court. All of those found to have committed wrongdoing were stripped of their UAW membership and all funds lost as a result of their actions were recovered.

In 2022, grads and postdocs at Caltech reached out to UAW in part because significant reforms had produced a highly dynamic, progressive institution that embraces rank and file member participation. Some specific steps that UAW has taken to reform include:

• UAW members voted in favor of a referendum to move to a “one member, one vote” system for electing high-ranking UAW officials. This provides all UAW members with a direct say in who is leading UAW at every level.
• UAW voted to create Region 6 to ensure more local control and autonomy for unions on the West Coast.
• UAW agreed to federal oversight to root out any additional corrupt officials, to implement further reforms to safeguard against future corruption, and strengthen member participation and democracy. 
• UAW established a third-party, confidential ethics hotline and hired outside experts to analyze and improve accounting and financial controls.

Additionally, local unions (once CGPU-UAW is formed it will be considered a “local union”) have their own elected leadership and are required to adhere to strict financial controls, including a twice yearly audit of all expenses.

As previously mentioned under the “Why UAW” question, we chose to work with UAW to be part of a strong, continuing movement in higher education. In just this past year, Research Scientists and Engineers at UW voted 85% in favor of unionizing with UAW, Mt. Sinai Postdoctoral Researchers voted 89.5% in favor of unionizing with UAW, Worcester Polytechnic Institute Grad Employees voted 96% in favor of unionizing with UAW, and USC Graduate Workers voted 93% in favor of unionizing with UAW. NIH Fellows, Grad Workers at Penn, and Non-Tenure Track Faculty at Harvard are among many other academic employees also currently working to join UAW. We’re looking forward to building a movement together in higher education.

Under US law, International Grad Researchers and Postdocs have the same rights and protections as domestic Grad Researchers and Postdocs to form and join unions. Tens of thousands of international students and postdocs are already unionized, and participate fully (including holding leadership positions).

There has never been a reported case of an international student suffering consequences to their immigration status as a result of participating in their union. On the contrary, unionizing has dramatically increased protections for international students from unfair termination, discrimination, visa-related issues, and more.

All international students enjoy the same rights to freedom of expression and freedom of association as U.S. nationals. Federal law protects your right to join a union.

However, students on visas are prohibited from making financial donations to political candidates and political parties under federal law. That said, many international students contribute by volunteering time. For example, international students have joined for canvassing, phonebanking, and meetings with elected officials.

Union contracts can include language that explicitly prohibits harassment and discrimination based on common workplace abuses, including discrimination based on racial, gender, sexuality and disability. Some contracts, such as the new UC Student Researcher Contract and UC Postdoc Contract, include explicit protections against bullying and abusive behavior.

Furthermore, a union contract can also include language that compels Caltech to address problems in a timely manner and provide greater accountability. Unions can also take collective action to support one another and ensure complaints are satisfactorily addressed.

More creative ideas are also possible in collective bargaining. For exampling, at University of Washington, academic workers won peer-lead sexual-violence sexual-harassment training, which studies have shown is much more effective at reducing rates of sexual harassment.

Contract language often specifically includes guaranteed protections against retaliation for reporting discrimination and harassment. 

Some contracts also state that interim measures to ensure researchers have access to a safe and nondiscriminatory workplace environment must be taken while the complaint is being investigated.

University grievance procedures can be opaque, complicated and lengthy, which might be intimidating for an individual researcher to undergo. Moreover, there is no party involved with the complainant’s best interest as their only priority— university administration (e.g. the Graduate Office) and other university offices such as Title IX also represent the university.

Union contracts have secured measures that ensure grievances are adequately addressed, and that the rights and safety of the person making the complaint are protected. Some guarantees in union contracts include:

• Establishing set time periods within which the university must respond to a grievance
• Ensure complainants are allowed to proceed to the next stage of the grievance procedure if the university does not respond to the grievance within the time period
• The right to neutral third-party arbitration (jointly paid for by the union and the university) to address grievances

The right to have a union representative present with the complainant at any stage of the grievance procedure

Researchers who belong to marginalized and underrepresented groups often face disproportionate barriers in their academic careers. Forming a union would give us more power to bargain for policies that actively support them, ensuring that Caltech is more equitable and inclusive. Some union contracts codify broader protections for groups beyond those protected by state/federal law, such as national origin, parental status or union activity and membership. Some have more specific definitions of what constitutes discrimination or harassment—for example, explicitly defining harassment as including intentional and repeated misgendering of an individual. Some unions have also won paid parental and disability leave and accommodations for disabled researchers. 

Many also include important changes to policies that center the most vulnerable— UC Postdocs won a survivor-centered grievance procedure that dramatically improves the Title IX process, and allows for appeal to a neutral third party (outside of the University) in cases of discrimination or sexual harassment. There are other examples too – peer led SVSH training, paid parental leave, protection from bullying & abusive conduct, etc.

Beyond the contract itself, a union can be a support system. We can ensure that when someone is facing a tough situation, there is somewhere they can go to seek advice and support.

What ideas do you have for improving equity? Feel free to contact us and share!

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