College Policies and Procedures

The polices and procedures described in this section are intended to serve as guidance to chairs, faculty, business officers, and other staff in Letters and Science departments and programs. Where the policy or procedures in an area are established by another office, e.g., Academic Personnel, a direct link to that office's website is provided for your convenience. College staff are available in all areas to answer questions or provide additional information. General questions about College policies may be directed to Barbara Gilkes at ext. 3627 or bgilkes@ltsc.ucsb.edu

Development and Relations with Industry

Increasingly, the College is dependent on private giving to help support its missions of teaching, research and community service. To facilitate the College's relations with potential donors, each division has an assigned development officer.

If an academic unit anticipates seeking donor or corporate funding for an endowed chair, an endowed lecture series, or for any other purpose that involves a significant financial commitment, the divisional dean and the divisional development officer should be consulted before representatives of the unit initiate formal contact.

Cooperation of the academic units in the College in this area will be much appreciated.

Entertainment Policy

Policies and procedures governing official entertainment are issued by the Office of the President. According to these policies, detailed in Business and Finance Bulletin 79,  “there are occasions when the University may provide hospitality to campus and/or community audiences to support the mission of the University. As with other University expenditures, authorized officials must exercise prudent business judgment in reviewing proposed expenditures for meals and light refreshments based on their reasonableness, allowability, benefit to the University, budget, and the availability of funds. In addition, such expenditures should be cost effective and in accordance with the best use of public funds.”

Appropriate entertainment expenses include but are not limited to the following:

  • to continue academic exchange over an extended period of time, e.g., after an invited seminar/talk.
  • to extend the recruitment interview over a meal due to the short duration of the recruitment visit and the departmental demand for time with the candidate.
  • to convey the strengths and vitality of the campus to make it attractive and welcoming to prospective employees.
  • to allow an administrative meeting to continue for a number of hours without a break.
  • to allow for an in-depth conversation with industry representatives or colleagues from another university to discuss possible scholarly collaborations.
  • to discuss the interests, strengths, and needs of the department with university friends and prospective donors.
  • to honor a colleague for receipt of a significant academic honor (e.g., elected as President of a major professional association, appointment to an endowed chair, National Academy of Sciences membership, etc.); to acknowledge significant honors or awards to graduate students.
  • to conduct undergraduate or graduate student orientations.
  • to hold faculty, staff, or departmental retreats.
  • to conduct “sensitive” administrative business (e.g., retention of faculty/staff members, conflict resolution, etc.).
  • to occasionally recognize employees at faculty/staff picnics or holiday gatherings, using unrestricted funds.

The UC maximum per person expenditures were increased in March 2016 and are currently $27 for breakfast, $47 for lunch, $81 for dinner, and $19 for light refreshment, with an itemized receipt. It is strongly encouraged that these limits be observed; in the unusual case where it is not possible to stay within the per person maximum, a Prior and Exceptional Approval form must be submitted to the Dean at least two weeks prior to the event with a compelling justification for the overage. If the Dean endorses this justification, the form is submitted to the EVC for review.

Prior and Exceptional Approval forms must also be submitted to the Dean when the eventual Payment Request will include reimbursement – with a description of the business purpose being served – for alcohol and/or the inclusion of a spouse or spouse(s). State funds may NOT be used for these purposes.

The serving of alcoholic beverages is permissible at departmental events attended by a mixed audience consisting of some combination of faculty, community members, staff, and students of legal age (receptions after a guest talk, conference receptions, etc.). However, NO costs for alcoholic beverages will be reimbursed for events that are geared primarily at undergraduate or graduate students (e.g., new student recruitment visits, departmental undergraduate award ceremonies) held on or off the campus.

Chairs/Directors will continue to have the authority to determine the appropriate number of departmental colleagues present at an official event. Prior approval of routine entertainment is not required. Requests for reimbursement must, however, be approved and signed by an authority higher than the individual seeking reimbursement who has been delegated signature authorization for such approval.

Questions may be directed to Barbara Gilkes by e-mail or at ext. 3627.

Journal Subscriptions

Use of Budgeted Departmental Funds For Purchase of Journal Subscriptions

College policy is that individual memberships and/or journal subscriptions, regardless of their benefit to research groups and graduate and undergraduate students, must be purchased with contract/grant funds (if allowed), unrestricted funds, or personal funds. In those instances where membership in a scholarly society is being sought on behalf of the department as a whole, State funds may be used provided the anticipated benefits outweigh the membership cost.

If you have any questions concerning memberships, please call Barbara Gilkes at ext. 3627.

New Fees - Course Material and Recharge

All proposals for new course material fees or recharge services must be submitted to the appropriate dean for consideration before general campus review is initiated. If a dean’s review has not been completed, the chair of the Income and Recharge Committee will return the proposals to the originating department.

When considering new fees or updating existing fees, department personnel should contact Todd Lee, Chair of the Income and Recharge Committee, for information regarding campus policies, process, and required proposal information.

Departments with existing fees should continue to submit their annual rate proposals directly to the campus Budget Office (1317 Cheadle Hall). The Budget Office will initiate the review by the Income and Recharge Committee. Typically, rate proposals requesting an implementation date of July 1 are due in the campus Budget Office by April 15.

Signature Authority for Travel, Entertainment, Memberships, and Honoraria

Chairs/Vice Chairs/Directors in the College of Letters and Science are delegated the following authority to approve for their department/program/unit:

Travel

• Domestic travel – within policy (all funds)
• Foreign travel – within policy (research funds)
• No authority to approve exceptions to Policy

For further information, consult the UC Policy and Regulations Governing Travel

Official Entertainment

• Routine entertainment for breakfast, lunch, dinner, and light refreshments within policy allowances.
• No authority to approve exceptions to Policy, e.g., inclusion of spouse or over per person maximum

For further information, consult the UC policy on Expenditures for Business Meetings, Entertainment, and Other Occasions

University-sponsored memberships in organizations

• Up to $1,000 on research funds only

Honoraria Payments

• Amounts of  $2,000 or less (any fund source).  Any honorarium request beyond $2,000 should be forwarded to the Divisional Dean.

Approval by the College of Letters and Science

Since all transactions involving the unit head require the approval of the next higher authority, paperwork for travel and entertainment by chairs/directors must be sent to Barbara Gilkes (ext. 3627) in the College office for processing.

Foreign travel on state funds also requires College approval.

Policies and practices in the department should be established to ensure equitable consideration for all ladder faculty members. Given budgetary constraints, it is anticipated that departments will support only travel that is necessary and benefits the department as a whole.