For research involving human participants, animals, or (potentially) hazardous biological agents, ethics approval is required before you begin. Missing this step could breach your obligations to the funder. 

Visit our Ethics page to familiarise yourself with UCT's ethics approval process. Factor in the time needed for approval from the relevant faculty ethics or biosafety committees. Be aware of lead times and meeting schedules for the committees and ensure compliance with all research integrity requirements.

Some funders may also require Responsible Conduct of Research (RCR) training – visit our page Internal Training and Education for details on upcoming sessions. RCR training is offered via SuccessFactors. For questions or comments contact the Office of Research Integrity (ORI).

Signing the project's legal agreement binds UCT to the funder's terms, including financial and audit requirements. Review the agreement and funder guidelines carefully to understand key milestones, deliverables and payment terms to avoid risks and ensure compliance. For help with the financial aspects, consult Faculty Finance and reach out to Research Contracts & Innovation (RC&I) for guidance on contractual terms.

Different research activities require different types of legal agreements. To learn more about the various agreements and their purposes, visit   Stage 4: Contracting.

As a Principal Investigator (PI), you must understand that all funding agreements are between UCT and the funder, not between you and the funder.

Review UCT's policy GEN001 - Funds deposited with or held by UCT or in UCT’s name regarding funds held by UCT, which outlines the ownership and proper use of these funds.

Once all parties sign the legal agreement(s), RC&I updates the UCT eRA Contract record to "Completed in RC&I" and moves it to the post-award module by changing the status to one of the following:

1. Existing SAP fund: "Signed contract, existing fund"
2. New SAP fund required: "Initiate fund opening" 

You will receive a notification and a PRJ-prefixed reference number, signalling that the project is now in progress. The project record remains in the "Project in progress" step via UCT eRA for the duration of the project.

A Data Management Plan (DMP) is a living document that outlines how research data will be handled throughout the lifecycle of the project, from collection and storage to sharing and long-term preservation. As research evolves, so too should the DMP, with updates made to reflect changes in methodology, data types, storage solutions, or publication plans. Good Research Data Management (RDM) practices help ensure data is well-organised, secure and reusable. This includes using appropriate file formats, maintaining clear documentation, storing data safely with appropriate backups and considering data sharing and archiving options.  

Align with the FAIR principles, making data Findable, Accessible, Interoperable and Reusable, to maximise the impact and integrity of your work. 

Digital Library Services supports UCT researchers with tools, training and guidance on good research data management throughout the research lifecycle. For more information, see the page Research Data Management on their website or email them. Contact eResearch for support with Data Management Plans (DMPs).

Procure the necessary storage during the project's execution using the funds specifically designated for this purpose in the grant or funding proposal. It is also important to retain a portion of the budget to cover long-term storage costs at UCT if alternative repositories, as specified in the UCT Research Data Management Policy, are not applicable for the project's data.

For all staffing requirements, work closely with the faculty's HR Business Partner (HRBP) and Faculty Finance. Start this process early, as the recruitment and/or appointment process at UCT may take some time.

You are required to create position descriptions. Generic position descriptions and organograms exist for some functions. The HRBP can help with advice on customising these to suit the specific requirements or developing new ones. The term of employment will depend on the term of the legal agreement, which will in turn dictate the conditions of service for the incoming staff member.

Ensure all positions being recruited are included in the UCT and funder-approved budget. If the project requires additional staff not budgeted for, funder approval is required prior to initiating any additional recruitment process.

UCT HR requires confirmation of an open SAP fund and available budget to finalise employment contracts. Contact Faculty Finance for this proof.

Process flows are available to help you understand the appointment process at UCT.

Process Guide: Recruitment

All project activity is monitored in a SAP fund, which contains specific income and expenditure and is usually related to one source of funds. 

Contact Faculty Finance to confirm that there is an appropriate SAP fund which can be used. If not, they will complete the necessary process to create a new SAP fund and notify you once the fund is created.

Before spending can start, the budget must be available in the SAP research fund. Depending on the terms of the agreement, this happens in one of two ways:

1. Invoicing: The budget is available after invoicing the funder.
2. Spend-and-claim: Spend happens in advance of the invoice and budget is manually loaded into the SAP fund based on the contract. 

Not sure which applies to your project? Faculty Finance will guide you.

Once the budget is loaded, the UCT eRA system will be updated under the tab "Budget Information" in the Contracts module.

If the funder allows, surplus funds received upfront may be invested, provided the research fund is not in deficit i.e. expenses greater than monies received. Only monies actually received from the funder may be invested.

Research funds are typically invested in Portfolio 3, which allows for monthly withdrawals. Before investing, consult faculty finance to confirm eligibility and get assistance with the processing requirements.

Refer to UCT's policy FND_UCT Investment Portfolios_INV002 on investment portfolios.

Convert the funder- and UCT-approved budget into a cash flow statement that aligns spending with the project plan and revenue with funding milestones.

Monitor cash inflows and outflows to prevent shortfalls, especially if some funds are withheld until final reporting.

Regularly review the budget and update it as needed to reflect changes in funding, expenses, or timelines.

Failure to manage the budget properly can result in overspending, underspending, or financial non-compliance, which may lead to penalties or funding cuts.

Refer to UCT's policy Fund Deficit Management (GEN011) for governance and reporting on deficit funds.

Work closely with Faculty Finance to track project commitments, resolve discrepancies and ensure compliance with funder requirements.

Use UCT's financial systems, such as SAP, Business Objects (BOBJ), Research Finance Gate (RFG), and Power BI, to access reports. Cross-check transactions and reconcile all records with SAP, which serves as the final financial authority. Note that SAP fund reports from BOBJ can be scheduled daily, weekly, or monthly, based on your preference.

Spot errors and issues early, as incorrect charges or missing transactions can distort the financial position and put the project at risk.

Ensure invoices are issued at the right milestones, as per the funding agreement. UCT's Debtors Department manages invoice processing, based on the following forms required to initiate an invoice to a customer. Only SAP-generated invoices are valid.

• For payments due: SD006: UCT Invoice Requisition form
• To raise an invoice for funds already received: SD007: UCT Receipt Requisition form

SD006: Invoice Requisition SD007: Receipt Requisition

Before submitting an invoice, confirm that all contractual obligations are met, as payments are typically due within 30 days of invoicing.

Work with Faculty Finance to gather the required supporting documentation and ensure accurate processing.

Monitor payments, follow up on delays and support the Debtors Department in debt collection if needed. Delays in payments can strain the project's financial stability and lead to funding gaps.

Use this guide below to navigate the invoicing process at UCT.

Process guide: Navigating UCT Research Invoicing

The Procurement and Payment Services (PPS) department manages the procurement process at UCT. 

All purchases must align with the UCT and funder-approved budget and be allowable under funder rules. Non-compliant purchases can lead to audit findings, financial penalties, or reimbursement demands from funders.

Purchases can be made via a purchase order (PO) or PCard, depending on the item and value. 

The main policies related to purchasing are:

• Purchasing: FND_Purchasing_PUR003
• Purchasing Card (PCard): Purchasing_Card (PCard)_PUR002
• Purchasing threshold: Purchasing threshold PPP002
• Quotations, Tenders and Requests for Proposals Quotations, Tenders and Requests for Proposals PUR004

For all guides related to purchasing, visit Easy guides on UCT Staff: Finance Operations.

For foreign procurements, consult the Foreign Payments Office for specialised assistance via email at fnd-foreign@uct.ac.za.

When making payments to sub-awardees, consortium partners, or sub-contractors, complete a MM010: Purchase order request form and submit it to Faculty Finance for approval. Faculty finance will verify that the agreed-upon deliverables in the contract have been met before processing the payment.

MM010: Purchase order request

Best practice is to maintain a payment schedule for all sub-awardees and partners, clearly tracking deliverables, payment terms and budget alignment. This ensures compliance with the approved budget. An Excel template is available to assist in tracking these payments.

Sub-Awardee Spend and Payment Tracking Template

When foreign stakeholders, such as funders, contractors, or suppliers, are involved in the research project, it is crucial to manage foreign exchange risks.

These risks impact:

• Budgeting
• Revenue
• Procurement and Payments
• Reporting

The Faculty Finance officer can assist in mitigating these risks. For more detailed guidance, refer to the Foreign Exchange Risk Management (FERM) guidelines: FND_Customer Foreign Currency (CFC) Bank Accounts_FG007.

To mitigate any potential tax risks, collaborate closely with both your Faculty Finance officer and RC&I and consult relevant SARS guidelines to ensure full compliance and avoid any potential issues.

VAT classification of a research project requires input from both financial and legal perspectives. RC&I plays a key role in determining the type of research activity to which the funding relates, which affects the VAT attributes of the SAP fund, while faculty finance provides guidance on VAT classification from a financial standpoint.

The SAP fund will be set up with the required VAT status indicator based on the specific contract. The VAT status of a fund cannot change once the SAP fund has been opened – it is therefore critical to get this right from the start.

All payments for services rendered must be processed via SAP HR payroll for tax purposes. This excludes, for example, reimbursements or Subsistence and Travel Allowances, which are not for services rendered.

Contact the Postgraduate Funding Office (PGFO) for more information related to establishing a Postdoc, as there are tax implications and risks associated with Postdocs.

Establish procedures to maintain and monitor assets throughout the research project for optimal use and longevity. Good practices include:

• Set up an asset register to document all purchases
• Keep detailed usage logs to track when and by whom assets are used, update these regularly
• Set maintenance and servicing schedules to keep assets in optimal condition
• Address issues or damages promptly to avoid delays

Familiarise yourself with and follow the funder's asset management guidelines to ensure compliance.

The research project is approved based on clear deliverables, milestones, and deadlines, but delays or deviations can happen.

If you anticipate delays, communicate with the funder and faculty finance early to request timeline extensions, as early dialogue can address challenges in most instances.

Ensure sub-awardees comply with the terms and conditions of their agreements. Establish formal monitoring and accountability mechanisms. You are responsible for conducting financial and technical due diligence throughout the entire sub-award process, from pre-award to project closeout.