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 chair and the department’s control point (Dean or 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 Budget Office 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 proposed rates have 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 increase rates for services/goods based on one of the following reasons:

  1. Salary/benefits – UCOP approved adjustments for merits, COLA, range/equity adjustments and UCRP
  2. Differential income – Increases to NUD amount and adjustments due to revised federal overhead cost recovery rates

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

  1. Received approval of rates in prior fiscal year
  2. Center is not carrying a deficit/surplus balance in excess of 3 months operating expense
  3. No unallowable expenses are charged to recharge fund in prior fiscal year
  4. NUD is allocated appropriately to NUD fund (if applicable)
  5. Completed transfer to move provision for equipment replacement to reserve fund (if applicable)

Approval documentation must be retained by the department, approving control point, and a scanned copy sent to the Budget Office with the proposal.  The department must publish the approved list of rates on the departmental website upon receiving campus approval.

Proposal Submission Deadlines

2023-2024 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 2022-23 rates, proposals are due February 1, 2023
  • Centers that received an approval memo from the Office of Budget & Planning for 2022-23 rates, proposals are due March 31, 2023