Research projects have a defined term as per the contract. As the end date approaches, several responsibilities must be met for efficient project closure, which is a funder requirement. Proper closure facilitates future projects and funding opportunities. Conversely, improper closure may hinder future funding for you and UCT.
This page explains the steps for ensuring smooth project closure, including early preparation, monitoring of progress, meeting funder-specific requirements such as final reports and documentation, completing internal UCT processes and publishing your work.
Note: Start this process four months before project closure. Research projects should be officially closed within six months of the contractual end date.
/ Step 1: Check that your project is on track
Preparing for closure in advance allows you to resolve issues, align stakeholders on timelines and expectations, and gather necessary documentation for a successful project conclusion.
Use a template to track project start and end dates, including extensions. Four months before the scheduled end date, assess if your project is on track for completion by monitor spending, assessing progress against milestones, and ensuring compliance with reporting requirements.
Understand funder requirements for closure
Project closure involves several components, which are typically outlined in the funding agreement or contract. These usually include:
- A final technical report
- A final financial report
- Any special requirements from the funder
Review your award for specific closeout requirements and deadlines, and proactively prepare the required information. Consult with your Faculty Finance staff for assistance.
Other scenarios you might encounter – and how to handle them
Funders are wary of excessive last-minute spending unless it has been pre-approved in the budget and cash-flow management plan, or with explicit written approval from the funder.
Expenses incurred after the project end date are seldom allowed unless explicitly approved by the funder.
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Review your funding contract/agreement for clauses related to early project termination. Contact UCT Research Contracts & Innovation (RC&I) for assistance with legal matters and engage with Faculty Finance for financial aspects.
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If your project is incomplete and you need more time, contact your funder to explore the option of a no-cost extension or a variation agreement. Submit a written application to the funder by the deadline specified in your contract. UCT Research Contracts & Innovation (RC&I) manages contract amendments or variation agreements.
Extensions require written approval from the funder and are not guaranteed.
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/ Step 2: Finalise administrative tasks
Leading up to the project end date, tend to the following:
- Plan for the redeployment of staff no longer needed on the project and complete an HR102 form for those moving to new funds.
- Complete the FM003 form to clear outstanding advances on SAP.
- Provide notice for expenses automatically charged to your fund, such as telephone and photocopy costs. Suppliers typically require thirty days’ notice.
- Delink your procurement card (P-Card) from the SAP fund and relink it to another if needed.
- Reimburse any unclaimed or claimable expenses from other funding sources before closing the SAP fund.
- Request Faculty Finance to return any excess budget to the control fund.
Appoint an auditor (if required)
If an audit is required, appoint the auditor before the project end date. Central Research Finance (CRF) handles auditor appointments according to UCT’s procurement policy. Notify Faculty Finance early to start the process, and ensure that UCT's electronic Research Administration (eRA) system contains all the necessary details pertaining to the audit, such as the audit type (internal, external, compliance, financial), audit date(s), auditor name(s) and affiliation, and scope of the audit.
Audits may occur during the project or after its completion, depending on funder requirements. Use the CRF's Guideline: Management of Research and Other Externally Funded Projects Audits developed to prepare for and manage financial audits. Coordinate with your faculty finance department for all auditing matters.
/ Step 3: Prepare the funder reports
Most funders require the following reports:
- Final technical/scientific report
- Intellectual property and confidentiality disclosure statements
- Final financial report
- Final equipment inventory report, if equipment was purchased
Review your award for any additional funder-specific requirements, such as lists of publications or property reports. Submit all reports according to the funder’s instructions, including required formats and methods. Ensure you submit these reports on time.
Your project remains open until all deliverables are met and compliance protocols are closed. Use the final report to highlight the project’s achievements, outcomes, and impact to the funder.
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Ensure all intellectual property obligations are met by reviewing your project outputs for any inventions, designs, software, data or materials that require disclosure to the RC&I team. Funders typically require formal confirmation of IP generated during the project, including a declaration when no inventions have arisen.
For IP related questions email Research Contracts & Innovation (RC&I) and visit the RC&I page Forms to access the respective forms
Before submitting your final reports, complete the relevant disclosure forms such as invention, design, software, data transfer or material disclosure forms and submit them to RC&I for review. This ensures compliance with contractual requirements, protects potential IP, and prevents delays to funder closeout or publication.
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The final financial report is a shared responsibility between you as the PI and Faculty Finance. Have your faculty finance manager review and sign off on the final financial report. Submit this report to the funder within 30–90 days after the project end date, depending on funder requirements. Retain all financial records for at least five years after closeout. This period may be longer if required by the funder, or for audits, legal issues, patent applications, and other special circumstances.
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Your final equipment inventory report lists and details all equipment purchased with project funds, documenting its status and location. If required, check the funder’s rules for the relevant template.
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/ Step 4: Complete the official closure
Prepare a close-out reconciliation
Contact Faculty Finance to complete the close-out reconciliation form to finalise the financial aspects of your research project. Review all expenditures, allocate or return any remaining funds, and ensure that all financial reports are accurate and complete. This step confirms that your project’s financial records match the final reports and that all obligations are met before officially closing the project.
Close your SAP fund
Complete section A of the FM007 form to close your SAP fund. Send the completed form to Faculty Finance for sign-off. Once authorised by faculty finance, the form is sent to General Ledgers who close the fund in SAP.
If you are applying to close more than one fund, download the FM007 spreadsheet and complete it.
Close the UCT eRA record
Complete the following steps in sequence to initiate project award closure via UCT eRA:
- Select “Edit/Open” for your project, currently marked as “Project in progress”.
- Choose “Project award closure review initiated” from the drop-down and click “Done”.
- Fill out the tab "Project Award Closure Information" and upload proof of final reports and other required deliverables.
- Change the project status to “Project award closure review by finance” in the popup box to notify faculty finance.
Review these process guide on closing a project award record via UCT eRA.
Process guide: Final stage closure via UCT eRA
Await UCT eRA notification
Faculty finance fills out the Project Award Closure Checklist, answering the sixteen finance-related questions and completing the declaration to confirm that all items are reviewed. Once satisfied, faculty finance saves and closes the record. If there are breaches, disputes, extensions or contract amendments, faculty finance will update the status to “Project award closure review by RC&I”. If everything is in order, they will update the status to “Project award closure review by PI”.
Change the status to “Project award closed”
Go to the tab "Project Award Closure Information" to review the record. Verify that all the project information is correct and all deliverables have been met, then tick the declaration to confirm.
Finally, update the record status to “Project award closed” to complete the project closure.
/ Step 5: Disseminate your findings and log publications (after the project end)
After completing a research project, it is important to share key findings with the relevant audiences, including peers, stakeholders such as industry professionals, politicians, and businesses, and the public. Effective communication of research findings enhances your academic reputation, engages stakeholders, and demonstrates research impact.
Plan the dissemination of your research findings
Plan and execute the dissemination process carefully and ensure compliance with funder requirements and UCT’s Open Access Policy. When choosing an outlet for publication, ensure your research findings adhere to FAIR principles – Findable, Accessible, Interoperable, Reusable.
Note: Your research contract/agreement details specific terms and conditions relating to intellectual property and confidentiality. Review these clauses carefully and engage with (RC&I) if required.
How to publish responsibly
To ensure that research outcomes are beneficial and credible, publish findings according the to the following guidelines:
- Offer a comprehensive overview of the research results.
- Adhere to standards for authorship, acknowledgement and affiliation.
- Transparently disclose research support and conflicts of interest.
- Safeguard confidential and sensitive information.
- Evaluate the credibility of the publisher and journal.
UCT publication grants
Researchers can access UCT grants for
- Article processing charges (APCs) for publishing in open access or hybrid journals, and
- Page costs for articles in DHET-accredited journals or books eligible for DHET subsidy.
This is made possible through the Open Access Journal Publication Fund (OAJPF) of the The UCT University Research Committee (URC). Visit our Research publication grants page for the application link and information on how to apply.
Publishing your work
Consider various dissemination options to reach your target audience effectively. These could include:
- Academic dissemination: Share research findings through academic journals, books, conference presentations, creative works and institutional repositories, often involving peer review.
- Digital and online dissemination: Use digital platforms and websites to present research findings to a global audience.
- Policy-oriented dissemination: Summarise research findings in documents for policymakers.
- Public dissemination: Use television, radio and other media channels to share research findings with the public.
- Educational dissemination: Develop curricula that incorporate research findings.
- Strategic business presentation: Create presentations for business groups to apply research insights in shaping business strategies.
When choosing an outlet for publication, ensure your research findings adhere to FAIR principles – Findable, Accessible, Interoperable, Reusable.
Getting assistance for open access publishing
Visit the UCT Libraries open access publishing page Scholarly Communication and Publishing for details and contacts. Digital Library Services can help you publish your data and research outputs openly using platforms such as ZivaHub, Zenodo or DataFirst Repository. Email Digital Library Services, part of UCT Libraries, for assistance.
Log research publications
Capturing research publications enhances UCT’s academic reputation, attracts funding and collaborations and advances knowledge dissemination. It also supports your professional development and strengthens your public profile and research network.
Current and upcoming publications
The Publication Count project is managed by Research Support Services (RSS). It involves the annual submission of eligible research publications to the Department of Higher Education and Training (DHET) to obtain government subsidies. Only publications meeting DHET’s strict criteria are included.
Add eligible publications to the Publication Count Project
Publications are captured via UCT eRA. Your departmental coordinator helps determine if your publication qualifies and captures eligible publications for final approval and submission to the DHET. If you are unsure who your departmental coordinator may be, look up your faculty principal coordinator on our Contact publication count page and reach out for assistance.
Each faculty principal coordinator establishes their own submission deadlines for their project count; consult your departmental coordinator for the specific dates. Adhering to these deadlines is crucial to ensure your publications are submitted. The annual call for submissions to the publication count is also available on the RSS website.
Historical publications
Historical publications that are not part of the current publication count cycle can be harvested via UCT eRA from external sources such as PubMed, Web of Science API Lite or Scopus. You can also capture them manually. Notify your departmental coordinator once you have harvested publications.
Note: For the current publication count cycle, contact your departmental coordinator to capture the information via UCT eRA.
Visit the Research Support Hub’s Researcher profiles for a How-to Guide and FAQs on how to capture your research outputs so that they will appear on your researcher profile. Our Publication count page provides more information on how to capture publications via UCT eRA.
Useful links
- Publication count: about UCT's annual submission of research output to the Department of Higher Education and Training (DHET)
- UCT Libraries > Scholarly Communication and Publishing: browse and access resources on open-access publishing
- UCT Administrative Forms: Access online forms via this repository.
- UCT > Policies: Access UCTs policies approved by Senate and Council.