Income & Recharge operations must be reviewed at least annually. More than one review in a year will be necessary if mid-cycle rate changes are proposed. This includes determining if rate adjustments are necessary to eliminate any surpluses or deficits over the campus threshold. Campus departments conducting Income & Recharge operations must submit a rate proposal, at least biennially, to the Office of Budget & Planning for review. However, the Office of Budget & Planning may require a proposal to be submitted at any time if the operations are out of compliance with policy. Mandatory forms that all proposals must include may be found at this link. 

The proposal must be reviewed and endorsed by the department head and the department’s control point (Dean or Vice Chancellor). Proposals for centers under Academic Affairs will also require endorsement by the Executive Vice Chancellor. As part of this review, the department and control point certify that the proposal and the center are in compliance with UCSB Income & Recharge guidelines which may be found at this link.

Endorsed proposals and rate calculation sheets (both PDF and Excel versions) are to be sent via email [irproposals@bap.ucsb.edu] to the Office of Budget & Planning for review. The chosen method of review will in general depend on the proposal’s “Risk Assessment” as shown in the matrix exhibit below. All requests for new centers are required to be reviewed by the Income & Recharge Advisory Committee regardless of their risk assessment. 

RISK ASSESSMENT AND METHOD OF REVIEW
 ANNUAL BUDGET RANGE FEDERAL SHARE OF INCOME AND RECHARGE
Federal Participation Less Than 15% Federal Participation 15% to 50% Federal Participation Greater that 50%
 Less than $100,000

LOW RISK


Budget Office Review

LOW RISK


Budget Office Review

LOW-MEDIUM RISK


Budget Office Review
 $100,000 to $200,000

LOW RISK


Budget Office Review

LOW-MEDIUM RISK


Budget Office Review

MEDIUM RISK


Consent Agenda Item
 $200,000 to $500,000

LOW-MEDIUM RISK


Budget Office Review

MEDIUM RISK


Consent Agenda Item

MEDIUM-HIGH RISK


Committee Review
 Greater than $500,000

MEDIUM-HIGH RISK


Committee Review

MEDIUM-HIGH RISK


Committee Review

HIGH RISK


Committee Review

Centers seeking renewal that fall under committee review may be reviewed by the Office of Budget & Planning if a preliminary analysis shows that they meet each of the following conditions:

  1. The department proposes no change in costing methodology.
  2. Any policy compliance issues that are present, such as surpluses or deficits that exceed tolerance levels, have been addressed in the proposal.
  3. Any new services proposed represent a minor percentage of the overall budget (less than 10%). 
  4. The proposal has been reviewed by the Income and Recharge Advisory Committee — either as a Consent Agenda item or a Meeting Agenda item — at least once within the prior 5 years.
  5. An Income & Recharge proposal was submitted to the Office of Budget & Planning for review in the prior year.

Extended Approval

Centers may request an extended approval to renew and, if needed, increase rates using the Extended Approval form.

Extended approvals are only available to centers who have satisfied the following compliance areas:

  1. Submitted a standard proposal [not an extended approval proposal] for prior year rates and received approval from the Office of Budget & Planning
  2. Center is not carrying a deficit/surplus balance in excess of 3 months operating expense unless the center already has an approved surplus/deficit reduction plan in place*
  3. No unallowable expenses are charged to the recharge fund in the prior fiscal year
  4. NUD is allocated appropriately to NUD fund (if applicable)
  5. Completed transfer to move provision for equipment reserve to reserve fund (if applicable)

Rates may be adjusted based on inflationary increases to operating expenses and/or other mandatory cost increases such as UCOP approved merits, COLA increases, range/equity adjustments and benefit adjustments. Increases to the NUD may also be incorporated. The extended approval process cannot be used to reformulate rates and/or service lines.

*The Office of Budget & Planning may still judge that a center with an approved surplus/deficit plan requires a standard proposal submission if progress towards clearing the surplus/deficit has not been made.

Proposal Submission Deadlines

2024-2025 proposals must be submitted to the Office of Budget & Planning by the following dates: 

  • Centers that did not receive an approval memo from the Office of Budget & Planning for 2023-24 rates are due February 2, 2024
  • Centers that received an approval memo from the Office of Budget & Planning for 2023-24 rates are due March 29, 2024