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Effective:
I. REFER
a. OA
b. Uc. Ud. Ue. U
II. DEFIN
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Current B
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OMB Uniform wards C Contract anCLA FinanciaCLA Policy 91CLA Policy 74
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Packet (COP)
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. REFERI. DEFINII. BACKGV. CLOSEV. APPEN
ve Requireme
nual
ment of Sponsg Goods and
tion
used to comnistrators, andlete COP contes EFM to reved per award
udget availabet less expens
partment admging sponsore
cial requiremesed to comme, financial re
tral web‐baseto facilitate efored projects
ses that do norted as allow
s to the Chief , Director, or
cific research,ves support frerative Agreeng, equipmen
t of Spon
RENCES NITIONS GROUND EOUT STANDNDICES
ents, Cost Pri
ored ProjectsServices
municate finad EFM in ordetains all necesview if financid’s terms and
ble for spendises and encum
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ents specifiedunicate the fieport, etc.).
ed system thaffective and es.
ot have adeqwable direct co
Administrativequivalent po
, training, pubom external sment or Subant or other ma
nsored P
DARDS
inciples and A
s
al expenses ber to properlyssary componial compliancconditions.
ng. This is calmbrances in t
and any othends in the adm
d in the termsinancial activ
at provides reefficient finan
quate documeosts benefitti
ve Officer (CAositions in the
blic service psponsors undaward. Suppoaterial contrib
Projects
Audit Require
between the Py close a fundnents specificce requiremen
lculated basethe general le
er parties respministrating u
s and conditioity of a spons
esearch adminncial managem
entation in plng a sponsor
AO), Chief Fine Departmen
roject or otheder a Contractort may be in butions.
ements for Fe
PI, departmed. An accuratec to the awardnts have been
ed on the appedger.
ponsible for unit of the aw
ons of an awasored project
nistrators witment of
lace to be red project.
nancial Officent.
er program tht, Grant, the form of
ederal
nt e and d and n
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n the requesthe deadline, eeding to ensu
a. EFM punallo
rs for the PI anklist provides ge sponsor requndicate “Pendine action on the
obligation ton between Pricampus is es
rocess by whid for under th
must be complt in unrecoverits, and place
bes the proceed projects.
DARDS
ple notificatiored. Notificat
mographic infoexpiration nod 30 days pri
Appendix B: “Dpacket (hereinSee Appendix
submits a COsupporting do
departmentate, and/or a
ted informatiEFM informure on‐time cprepares thewable, inapp
nd departmentguidelines in reuires detailed fng Department requested inf
o ensure fiscaincipal Investssential to th
ich the Univehe award’s teleted within tred sponsoree the Universi
edure to prep
ons to the PItions includeormation abotifications1 (Sor to, and onDepartment Cnafter, “COP”x C: “Closeout
OP to EFM bocumentation
t administratas needed to
on is not proms the PI, decompletion of final based plicable, and
t administratoreviewing key cofinancial informt Action” in PAormation so EF
l compliancetigators, reseahe managem
rsity determierms and condthe timeframd project costy at risk of s
pare a final f
I and departthe fund exp
out the awardSee Appendix the day of fuChecklist at 90”) reminderst Packet Remi
y the deadlinn.
or when theprepare the
ovided to EFMepartment af the final3. on expenseundocumen
r to actively preompliance aremation that EFMAMS. This alertFM may proce
e in accordancarch administent of a spo
ines all allowaditions. Upone indicated insts, cause moecuring futur
financial deliv
ment adminipiration date,d. x A: “Fund Expund expiratio0 Days Prior tare sent 15 inder”).
ne complete
e COP is misfinal financia
M timely, or wdministrator,
es posted to nted question
epare the fundas 90 Days PrioM does not hats the departmed with compl
ce with Spontrators, and sonsored proje
able and appln award expin the agreemre restrictive re funding fro
verable and t
istrators that, current bala
piration Notifn to Fund Expiracalendar day
with applica
sing significaal deliverable
when the CO, and Senior
the generalnable costs
d for close out or to fund expve access to, t
ment administrleting the final
nsor and Univsupport from ect from ince
licable expenration, the finent. Non‐financial
om sponsors.
to financially
t a fund will ance, EFM co
fications”) are
ation”). ys prior to the
able supplem
ant informati (hereinafter
P is not submr Manageme
l ledger excl(See Append
iration he status of thator to take .
versity other eption
ses nal
close
soon ntact,
e sent
e COP
mental
on, is r, “the
mitted ent of
uding dix D:
he
5. EFM
down
6. Cost cleare
7. EFM inappFAU is
8. After circumFinanfollow
9. EFM’srejectwere
10. The d
sponsdocumexpen
4 The time
“Guidethe fin
b. EFM iexpen“DeadnotificgeneraAppen
c. The Dethe EF
i. ii.
iii.
submits thenloadable by t
overruns, uned from the fu
transfers to plicable expens not provide
the final hasmstances onlycial Deliverawing condition
a. All allob. All unac. All enc
s approval ofted by the spnot included
department msored projectmentation tonses determin
line will vary b
elines for Quenal figures in tnforms the Pditures no ladlines to Concation will beal ledger expndix F: “EFM’separtment coM notificatioIf the DepaIf the DepaCOP includEFM will rappropriateIf the Depaas is.
e Final to ththe departme
nallowable ound no later t
a departmenses remainined timely, EFM
s been submiy. Prior to sble Revision ns are met: owable and apallowable andcumbrances a
f a revision reponsor, the Din the origina
maintains appts. In the eo support exned unallowa
ased on the du
estionable Cothe COP prepPI, departmeater than thenfirm Final Ee issued the penses reports Analysis of Fonfirms the fin (referencedrtment agreeartment claiming a list of areview the e. artment does
he sponsor went.
r inapplicablthan 30 calen
ent unrestrictng on the fundM selects a de
itted to the submitting theRequest”),
pplicable expd inapplicableand memo‐lie
equest does Department isal final.
propriate supevent of an xpenses quesble and/or in
ue date of the
osts”). Expenared by the Dnt administrae 15th day aExpenditures”following bu
ted in the finFinal Expenditnal expenditud in step 4.b.)es, EFM procems an adjustmadjustments adocumentati
not respond,
when requir
e expenses,ndar days from
ted FAU anyd after 30 dayepartment un
sponsor, EFMe revision reqthe departm
penses are poe expenses arens are cleare
not guarantes financially r
porting docuaudit, the Dstioned by anapplicable du
Final to the sp
nditures in thDepartment. ator, and Seafter receipt ”). If this dusiness day.nal will be intures in Absenures no later ). eeds with comment is necessand appropriaon and adju
, EFM procee
red. A copy
encumbrancm the final du
y cost overruys from the finrestricted FA
M considers request form toment adminis
sted to the gere transferreded.
ee sponsor aesponsible fo
umentation foDepartment auditors and ue to inadequ
ponsor.
he final may enior Manageof the COP4 ate falls on A reconciliacluded in thence of a COP” than the due
mpletion of thsary, the depate supportinust the fina
eds with com
is retained
ces, and meue date.
uns, unallowinal due dateAU to be used
evision requeo EFM (See Astrator ensur
eneral ledgerd off the fund
pproval. If tor unreimbur
or all expendprovides EFM is financialluate docume
not correspo
ement of the(See Appena weekend
ation summae notification”). e date indicat
he final as is. artment submng documentl expenditur
pletion of the
in PAMS a
mo‐liens mu
able expense. If an unrestd.
ests in excepAppendix G: res that all o
r. .
the revised Firsed expense
itures incurreM with requly responsiblntation.
ond to
e final dix E: d, the ary of n (See
ted in
mits a ation. es as
e final
and is
ust be
es, or ricted
tional “Final of the
inal is s that
ed for uested le for
APPE
A
A
A
A
A
A
A
NDICES
ppendix A: Fu
ppendix B: De
ppendix C: Cl
ppendix D: G
ppendix E: De
ppendix F: EF
ppendix G: Fi
und Expiratio
epartment Ch
oseout Packe
Guidelines for
eadlines to Co
FM’s Analysis
inal Financial
n Notification
hecklist at 90
et Reminder
r Questionabl
onfirm Final E
of Final Expe
Deliverable R
ns
Days Prior to
e Costs
Expenditures
enditures in A
Revision Requ
o Fund Expira
Absence of a C
uest
ation
COP
Appendix A Subject: 9
Ex
The fund r$xx,xxx.xx.
PI Name:
Project Tit
Sponsor N
Fund End D
Sponsor Aw
Fund Num
Project Per
Award Typ
Departmen
UCLA Awa
EFM Conta
OCGA/TDG
1) W
2) W
Disclaimeraward iden
A: Fund Expira
90‐days: IMPO30‐days: IMPOxp. Date: IMPO
eferenced belo
le:
ame:
Date:
ward Number:
ber:
riod:
pe:
nt Name:
rd Number:
act:
G/CTAO Contac
When a fund is
Complefound a
Complelink: ht
Ensureo o o o
When a fund ne
When tsame f
When aOCGA/
o
o
r: This notice hntified in this m
ation Notificat
ORTANT NOTICORTANT NOTICORTANT NOTIC
ow will expire
ct:
ready to close
ete and submitat http://ora.re
ete and submittp://ucla.in/1E
all non‐financProgress/SciEquipment RMilestone/DInvention sta
eeds to remain
the following yund number o
a request to ex/TDG/CTAO (e.g
For No Cost etc.) to OCGhttp://ucla.iPlease conta
as been genermessage, pleas
ions
E: Sponsored PCE: Sponsored PCE: Sponsored P
in (90 days | 3
e:
t a closeout paesearch.ucla.e
t the on‐line caEY4JaI
cial deliverableientific/TechniReports Deliverable Repatements
n open, inform
year funding for
xtend the perfog. No Cost Exte
Extension requA, complete an/1EY4JaI act the corresp
rated automatie check with y
Project, Fund XProject, Fund XProject, Fund X
0 days | has ex
acket (COP) to du/EFM/Pages
arry forward re
s have been cocal Reports
ports
m EFM account
or the same pro
ormance perioension)
uests or Amennd submit on‐l
ponding office
ically based onour departmen
XXXXX Expires XXXXX Expires XXXXX Has Exp
xpired). The cu
EFM by the des/Closeout/Clo
equest form, if
ompleted and
tant if the follo
oject period is
od has been su
ndment Requesline request fo
For awards pro
n the fund endnt administrato
in 90 Days in 30 Days pired
urrent balance
eadline. COP deoseoutDeadline
f applicable, us
summited to s
owing applies:
expected to b
bmitted to the
sts (Renewal, Aorm using the f
ocessed by TD
d date. If this dor or EFM acco
as of this noti
eadlines can bees.aspx
sing the follow
sponsor (includ
be executed on
e sponsor thro
Additional Funfollowing link:
G or CTAO
does not apply ountant.
ce is:
e
ing
ding)
n the
ugh
ding,
to the
A
T
Des
Gen
If mto o
If lin
Aut
Earl
Pay
Expe
Rev
E
B
U
E
E
S
E
I
O
Rev
C
N
Enc
Ove
Appendix B: Dep
This is not a compl
cription
neral
multiple fund numbone award
nked account
horized amount
y termination
roll
enses
iew allowability an
Expenses outside p
Budget vs. Actual
U/W object codes
Equipment
Effort
Salary cap
E‐verify
RB protocol
Other restriction
iew unobligated ba
Completeness
No Cost Extension/
umbrance / memo
erhead reconciliatio
artment Checklis
lete compliance ch
ers are assigned
nd applicability
period
alance
/Carry Forward
o‐lien
on
st at 90 Days Prio
hecklist but provide
Upon receipt of a
Confirm that the necessary actions
Remind the linked
Confirm that the
Submit the relinq
Notify the depart
Transfer or justify
Review all actual
Transfer or justify
Transfer or justify
Confirm payroll d
Transfer salary in
Transfer salary no
Check if a protoco
Foreign travel, su
Confirm all applic
Subawar
Recharge
Travel ex
Patient c
GSR fees
VacationPlan timely purch
Request No Cost
Release, cancel, c
Request overhead
or to Fund Expira
es guidelines to ass
automatic notificat
prior year funds ws to close out prior
d department of th
total appropriation
uishment stateme
tment payroll office
y expenses outside
expenses are with
y unallowable and
y equipment purch
istribution is based
excess of applicab
ot in compliance w
ol number is listed
pplemental fundin
cable charges are p
rd payments includ
es
xpenses
care costs
s
n used etc. hases of goods and
Extension or Carry
change.
d adjusting journal
Page 6 of 13
ation
sist in reviewing k
ion: 90 days prior t
were closed and theyear funds.
he closeout packet
n per general ledge
ent along with the c
e that the budget/p
e the period (pre an
in the categorical b
warning object cod
ases within 90 day
d on actual effort o
ble salary cap rate.
with e‐verify require
on any award snap
ng, equipment purc
posted to the ledge
ding Multi Campus
services for the re
Forward approval
to EFM, if needed
key compliance are
to fund expiration
e funds have been c
due date.
er agrees to the ap
closeout packet.
project period will
nd post).
budget. Request ap
des.
ys of fund expiratio
of individual.
ements.
pshot sequences. T
chase, etc.
er such as:
Agreement (MCA)
emaining period as
, if needed.
d.
eas.
closed (Y/N) in the
pproved budget per
end.
pproval for re‐budg
on.
Transfer or justify e
)
needed for the pr
e OASIS fund table.
r award snapshot.
geting as needed.
expenses during an
oject.
If not, take
ny lapses.
A
T
Des
If su
If pr
If m
If reexis
If m
Rev
All s
If pr
If ST
If M
Uns
If co
If fir
Cost
T
Cost
F
Appendix B: Dep
This is not a compl
cription
ubaward exists
rogram income exi
multiple earning bas
estricted supplemests
multiple F&A rates e
enue and Account
sponsored projects
rogram income exi
TIP exists
MCA exists
spent Cash
ost reimbursable
rm fixed rate or firm
t Overrun
Transfer
t Share Commitme
Fulfillment
artment Checklis
lete compliance ch
Up
CoEn(73
sts Co
sis Coto
ntal funding Co
exist Corat
Receivable
s Reref
sts Co
Co
Co
EF
m fixed price CoPo
RePro
ent
Ch
st at 90 Days Prio
hecklist but provide
pon receipt of auto
onfirm all invoices hnsure subaward exp300).
onfirm expenses re
onfirm expenses fodesignated expens
onfirm expenses ar
onfirm expenses arte.
eview Revenue andference.
onfirm all program
onfirm STIP is earne
onfirm all payments
M will process a re
onfirm all required olicy 913.
eview if all expenseovide EFM with a d
heck the status of c
or to Fund Expira
es guidelines to ass
omatic notification:
have been receivedpenses are posted
lated to program i
r cost reimbursablses accounts.
e properly segrega
e properly segrega
d Accounts Receiva
income is posted t
ed and STIP dispos
s from other UC ca
efund upon closing
assurances and an
es are allowable andepartmental unre
cost share commitm
Page 7 of 13
ation (cont’d)
sist in reviewing k
: 90 days prior to fu
d and remind subawith the correct ob
ncome generating
e budget and those
ated and recorded
ated and recorded
ble using general l
to a separate reven
ition code in the fin
ampus are received
g.
n explanation for a
d allocable to the festricted, non‐spon
ment.
key compliance are
und expiration
wardees of the dubject codes for the
activities are poste
e for firm fixed rate
to the designated
to the designated
edger and/or RAPI
nue account.
nancial system cor
d.
high variance if ap
fund. nsored FAU to mov
eas.
e date of the final e first $25,000 (731
ed to the separate
e or firm fixed pric
expense account(s
expense account(s
ID AR Billing and Ac
rrectly represents s
pplicable can be ma
ve cost overrun.
invoice.10) and the remain
expense account.
ce are recorded sep
s).
s) with applicable F
ccounts Receivable
sponsor’s requirem
ade by PI in accord
ing balance
parately
F&A base and
e report for
ment
ance with UCLA
Appendix Subject: [X The closeoextend the
If a closeouaccordancefinancial re The curren
PI Name:
Project Tit
Sponsor N
Fund End D
Sponsor Aw
Fund Num
Project Per
Award Typ
Departmen
UCLA Awa
EFM Conta
OCGA/TDG
As applicab
Ba
Co
U
U
Po
If a high unincurred fothrough thexplanatio Disclaimer
C: Closeout Pa
XXXXX] IMPORT
out packet deade performance
ut packet is noe with the Finaesponsibility fo
nt balance as o
le:
ame:
Date:
ward Number:
ber:
riod:
pe:
nt Name:
rd Number:
act:
G/CTAO Contac
ble, the closeo
alances of rest
ost share repo
nliquidated ob
nrestricted FA
olicy 913 assur
nexpended balor the project ahe office that pn may place th
r: This notice ha
acket Reminde
TANT NOTICE:
dline is fast apperiod has be
ot received by tancial Closeoutor costs not cla
f this notice is
ct:
ut packet mus
tricted funding
rt with detaile
bligations for N
U’s to cover co
rances with jus
ance with a caare properly rerocessed the ahe balance at r
as been genera
P
er
Closeout pack
proaching. If aen submitted t
the deadline oft of Sponsoredimed in the fin
: $xx,xxx.xx.
st include:
,
d general ledg
NIH training gra
ost overruns,
stifications, etc
arry forward reecorded to theaward for priorrisk for use.
ated automatic
age 8 of 13
et due date is
closeout packto the sponsor
f: XX/XX/XX, td Projects Procnal invoice or f
gers to support
ants,
c.
estriction existsproject fund ar approval. A d
cally based on
upcoming
ket has been sur through OCGA
he final financedure. The awfinancial report
t the costs claim
s on the fund, and submit cardelayed reques
the closeout p
ubmitted to EFA, please disre
cial deliverable ward administet.
med,
please confirmrry forward reqst and/or lack
packet due date
FM or a requesegard this notic
will be issued ring unit assum
m all expenses quest to the spof reasonable
e to EFM.
st to ce.
in mes
ponsor
Appendix
Questiona
support c
When the
the final c
sponsor.
1. Uco
2. In
3. U
x D: Guideline
able costs req
harging these
e requested d
claim to the s
Listed below
nallowable eonditions, and
a. Salary b. E‐Verifc. Gener
througd. Foreige. Books,f. Expeng. Unallo
napplicable ex
a. All spo
i.
ndocumente
a. All spo
i.
ii.
iii.
b. Additio
i.
ii.
es for Questio
quire EFM’s re
e expenses as
documentatio
ponsor for re
are example
xpenses per Ud/or any othein excess of cfy (federal anal, Automobigh funds) n Travel/Fore, Subscriptionses in obtainiowable objectxpenses:
onsored proje
Expenses o1. Pay
eve
2. No
per
d questionab
onsored proje
Warning ob
Animal/hum
sequence)
Rent expen
onal question
Administra
Equipment
P
onable Costs
eview of the
s allowable an
on is not prov
eimbursemen
s of question
Uniform Guider applicable cap (NIH, AHAnd federal flowle, and Emplo
eign cargo trans (AHA) ing a Visa (AHt codes
ect funds
outside the peyroll, includin
en if partially
n‐payroll exp
riod
ble expenses:
ect funds
bject codes
man subject c
nses when the
nable expense
tive salaries
purchased d
age 9 of 13
Department’
nd allocable d
ided timely, E
t, to ensure a
able costs pr
dance, sponsoregulation: A, CIRM, CEC,w through funoyment Pract
ansportation
HA)
erformance png bi‐weekly w
applicable to
penses with d
charges witho
e fund has an
es for federal
uring the last
s explanation
direct costs to
EFM will cons
accurate and
rovided as gen
or’s guideline
, etc.) nds) tices Liability
(federal and f
eriod wages paid af
o the project p
ocument dat
out a protoco
n on‐campus F
lly funded spo
t 90 days of p
n and docume
o sponsored p
sider excludin
timely report
neral guidelin
es, award spec
(federal and
federal flow t
fter the perfo
period
tes outside th
ol number (in
F&A rate
onsored proje
performance p
entation to
project funds
ng such costs
ting to the
nes.
cific terms an
federal flow
through fund
ormance perio
he performan
any award
ect funds
period
s.
from
nd
s)
od,
nce
App
Datto
60aftEn
45theDa
30
pendix E: Deadlin
te Report is Due o the Sponsor
D
0 days or more fter the Award nd Date
5-59 days after e Award End ate
0-44
nes to Confirm Fin
Date Closeout Packis Due to EFM
30 days prior to thesponsor deadline
Sponsor deadline divided by 2
Sponsor deadline divided by 2
nal Expenditures
ket Due date for
inform the depof the fin
expenditu
e within 15 daythe COP due
within 10 daythe COP due
1/3 of the timbeteween COdate and spodue date
s
EFM to partment nal ures
DueDepacon
ys from date
within 7receipt analysis
ys from date
within 7receipt analysis
e OP due onssor
2/3 of thbetewedate andue dat
Page 10 of 13
e date for artment's
nfirmation
7 days from of EFM's s
#1:
60,
fina
#2:
30,
fina
7 days from of EFM's s
#1:
23,
fina
he time en COP due
nd sponssor te
#1:
15,
fina
sponsor due dat
EFM due date: 75
alize it.
sponsor due dat
EFM due date, 45
alize it
sponsor due dat
EFM due date: 33
alize it.
sponsor due dat
EFM due date: 20
alize it.
timeline
e: 90 | COP remin
5, dept confirmat
e: 60 | COP remin
5, dept confirmat
e: 45 | COP remin
3, dept confirmat
e: 30 | COP remin
0, dept confirmat
nder: 45, COP due
tion, 82 ‐‐> 8 days
nder: 15, COP due
tion, 52 ‐‐> 8 days
nder: 8, COP due
tion, 40 ‐‐> 5 days
nder: 0, COP due
tion: 25 ‐‐> 5 days
e date,
s to
e date,
s to
date,
s to
e date:
s to
Appendix
To: DepartCC: PI and Subject: AC Dear name The fund fo[mm/dd/y
Fund Num
Project Per
Invoice/Re
PI’s Name:
Award #:
Sponsor na
Additional
A closeoutpolicies anfund. Please conassume fin For adjustm
Total autho
Total expe
(Less): Inap
Add (less):
(Less): Cos
Final expen
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