Administrative number: 2-8A
Responsible office: Academic Affairs
Responsible officer: Chief Academic Officer (CAO)

Grants and Sponsored Projects Procedure (Revision DRAFT)

Purpose:

This procedure establishes guidelines, procedures, and responsibilities for submission and administration of grants and sponsored project or programs at Winona State University (WSU).

Procedure:

A. Responsibilities

1. The University 

WSU is the legal and fiscal entity for all obligations related to grants and sponsored project contracts and activities. Therefore, funds are awarded to the university and shall be administered in accordance with Minnesota State and WSU policies. Only authorized officials (president, vice president, delegated authorities) shall enter grant agreements and commit university resources toward an externally funded project, either public or private.

2. Grants & Sponsored Projects Office 

The Grants and Sponsored Projects Office is responsible for providing services for securing external support; assisting in identifying, preparing, and obtaining research, educational, and service grants and funding opportunities; ensuring that proposals adhere to WSU and funder requirements: maintaining grant files; and reporting external funding to Minnesota State and other entities as required.

3. Finance & Administration

Finance & Administration is primarily responsible for ensuring the grant budget complies with university policies, maintaining accounting records for each grant, preparing fiscal reports that meet the guidelines of the granting agency, and working with Grants & Sponsored Projects on indirect cost rates and regulations,

4. Principal Investigator or Project Director

The PI/PD (or Project Director) has primary responsibility for preparing the project proposal; obtaining approval for submission from the department chair/lead, dean, administrator in closest proximity to department, and Director of Grants & Sponsored Projects; securing required facilities, equipment, and supplies; advising Grants & Sponsored Projects of notification of grant award or denial; preparing and administering an internal budget in consultation with the Accounting Director of Business Services; working with Finance &  Administration in preparing required fiscal reports; working with Grants & Sponsored Projects in the preparation of required reports.

B. Internal Procedures

All new and continuation external funding proposals submitted by the university must go through an internal process via Grants & Sponsored Projects and with the approval of WSU’s authorizing officials:

  1. After consulting with the appropriate department chair/lead, dean, administrator in closest proximity to department, and Director of Grants & Sponsored Projects, the PI/PD will complete the proposal.

  2. The PI/PD will complete the grant Transmittal Form, securing approvals of the appropriate department chair and dean administrator in closest proximity to department to commit resources (monetary, facilities, equipment, reassignment time, etc.) in support of the project.

  3. At least seven business days prior to the submission date, the proposal and Transmittal Form will be forwarded to the Director of Grants & Sponsored Projects for review for consistency with policies and regulations of Minnesota State, WSU, the sponsoring organization, and human subjects, animal subjects, biosafety, chemical safety, and recombinant DNA requirements.

  4. If approved, the proposal and Transmittal Form will be forwarded to the appropriate authorizing official.

  5. The authorizing official reviews the proposal in terms of institutional objectives, legal implications, bargaining agreements, commitments of facilities, personnel, and budgets. and post-grant assurances.

  6. The PI/PD is notified of approval or disapproval of the proposal; with final approval, the grant proposal may be submitted according to the guidelines of the sponsoring organization.

  7. The Transmittal Form and approvals may be based on a draft proposal and budget based on best estimates or ranges; however, if the budget varies by more than five percent (5%) or project activities substantially change, re-approvals will be required.

  8. The PI/PD will provide the notification document — whether an approval or denial — immediately upon receipt to the Director of Grants & Sponsored Projects.

  9. If the grant is awarded, the Director will deliver any required letter of acceptance or agreement, contract, or other such document to the appropriate authorized official for approval.

  10. If awarded, the Director will inform those who have committed resources in support of the grant (PI/PD, chair/lead, dean, administrator in closest proximity to department, and other individuals) and Finance & Administration will fulfill any Minnesota State reporting requirements.

While several offices may be involved in management of the grant activities and funds, Finance & Administration is responsible for approving all expenditures from the grant account.

C. Guidelines

1. Budget Revisions

Sometimes it is necessary to revise the budget approved by the granting organization. Most funders have processes to make budget revisions. All budget revisions must be approved by the granting organization and the approval notification and revised budget forwarded to Grants & Sponsored Projects. The Director will notify Facilities & Administration of the approved revised budget.

2. Cost Sharing (Matching Funds)

Grant proposals that require a commitment of cost sharing or matching funds — either cash or in-kind — must have the prior approval of an authorized official (president or vice president)- Cost sharing must be noted on the Transmittal Form and approved by the respective chair or director and dean. When the PI/PD’s unit or area cannot provide the total cost share required for the project, the PI/PD should contact the Director of Grants & Sponsored Project at least 14 days in advance of the application deadline for assistance in determining possible cost sharing areas.

3. Facilities and Administrative (Indirect) Costs 

Facilities and Administrative Costs shall be included on all proposals as follows:

  1. WSU’s current federally negotiated rate shall be used on submissions to federal agencies when permitted by the funding agency, and on submissions to other organizations when the federally negotiated rate is permitted.

  2. On non-federal grants, the rate of 10 percent of Modified Total Direct Costs (MTDC) shall be used when permitted by the funding organization.

  3. When the sponsoring organization does not permit indirect costs or allows less than the university’s designated rate, the PI/PD must provide documentation that clearly states the policy as justification for requesting a non-standard rate.

Only the authorizing official, in consultation with the Director of Grants & Sponsored
Projects, may waive the WSW indirect rate.

4. Facilities and Administrative (Indirect) Costs Distribution

Indirect costs received through grant awards will be distributed as follows:

  • 15% Department of PI10% 25% Academic College/Non-Academic Division of PI/PD
    • 10% to be reserved for the Academic College/Non-Academic Division of PI/PD
    • 15% to be reserved for the PI/PD’s Department 
  • 15 % Krueger Library
  • 25% Finance & Administration
  • 35% Grants & Sponsored Projects

The amount of indirect costs reserved for the PI/PD’s Department may be calculated using one of two options:
  • If Workday automatically calculates indirect funds, calculate the amount by using the Grant worktag (GRxxxxxxx) to disaggregate the data from a Workday RPT00290 report.
  • If indirect funds are manually calculated, the Director of Business Services can provide the breakdown.

The Director of Grants & Sponsored Projects shall provide a process for for both options.

5. Allowable and Unallowable Expenses for Recovered Facilities and Administrative (Indirect) Funds

Allowable expenses include, but are not limited to, the following:

  1. Proposal Development and Pre‑Award Activities
    1. Proposal preparation costs such as postage, printing, staff time, and materials.
    2. Grant writing assistance, faculty/staff training in proposal development, peer review support, and research mentoring.
    3. Travel to meet with collaborators, program officers, or potential subcontracting institutions.
  2. Travel Related to Research or External Funding
    1. Travel to pursue future funding opportunities.
    2. Travel to carry out research or creative activities.
    3. Travel to present externally funded research or creative results.
  3. Personnel and Staffing Support
    1. Separation pay for grant‑funded positions (when required).
    2. Adjunct or staff time replacing reassigned time for research, project support, or proposal preparation.
  4. Student Support
    1. Research assistantships, including wages and tuition reimbursement.
    2. Student help supporting research, evaluation, or related activities.
  5. Research‑Related Materials, Equipment, and Supplies
    1. Equipment and supplies purchased or leased to advance research or creative activity.
    2. Acquisition of specialized research‑related resources beyond normal departmental purchases.
    3. Resources supporting university‑wide research capacity.
  6. Matching Funds Required by Sponsors
    1. Cash or in‑kind matching contributions required as part of an external grant.
  7. Professional and Operational Support for Sponsored Projects
    1. Pre‑ and post‑award administrative support.
    2. Service contracts that directly support sponsored program activity.
    3. Subscriptions to external funding search services.
    4. Training and workshops for faculty and staff connected to grants, compliance, or research development.
  8. Administrative Infrastructure & Materials Supporting Sponsored Projects
    1. Office furniture, ergonomic equipment, supplies, and workspace fixtures necessary to maintain or improve the efficiency, compliance, or functionality of grant-related administrative operations, subjects to institutional procurement and capitalization rules.
  9. Other Expenses
    1. Any expenditure that demonstrably provides direct benefit to externally funded or externally supported project activity.

Unallowable expenditures include, but are not limited to:

  1. Personal or Non‑Research Expenses
    1. Food or beverages for non‑grant-related activities or gatherings.
  2. Compensation Restrictions
    1. Salary enhancements, bonuses, or payments beyond an employee’s institutional base salary.
    2. Payments that conflict with Minnesota State, WSU, or Uniform Guidance rules.
  3. Prohibited or Non‑Compliant Purchases
    1. Tuition for WSU faculty or staff.
    2. Gift cards for research incentives.
  4. Capital and Infrastructure Projects
    1. Renovations, construction, or capital improvement projects.
    2. Major capital equipment purchases that require separate institutional approval processes.
  5. Activities Not Connected to Sponsored Programs
    1. Departmental social events, celebrations, or hospitality not tied to grant‑related work.
    2. Donations, sponsorships, or charitable contributions.
  6. Any Expenditures That Do Not Clearly Support Externally Funded Projects
    1. Expenses lacking a direct, documented link to research, scholarly work, grant development, or sponsored program operations.

56. Human and Animal Subjects

The PI/PD is responsible for meeting all requirements of the Institutional Review Board (IRB) and Institutional Animal Care and Use Committee (IACUC) during the proposal process and conduct of all grant activities.

67. Public Health Service (including NIH) Submissions 

Federal regulations require PI/PDs submitting PHS (including NIH) grants to review the WSU Financial Conflict of Interest Module and the NIH FCOI Tutorial, and to forward the NIH certificate of completion to the Grants & Sponsored Projects Office. In addition, PI/PDs must include a Disclosure Statement with the Transmittal Form even if no potential financial conflict of interest exists.

78. National Science Foundation (NSF) Submissions

When applying for NSF grants, federal regulations require PI/PDs to file a Disclosure Statement with the Transmittal Form even if no potential financial conflict of interest exists. If the proposal is funded, undergraduate, graduate, and postdoctoral researchers must complete the Responsible Conduct in Research training module.

89. Multiple Submissions

When competing grant applications are proposed for an organization which discourages multiple or limits the number of submissions, the Director will notify the Deans’ Council. The Deans’ Council will recommend to the President

910. Reporting Requirements

  1. Grants & Sponsored Projects will maintain all records of grants, contracts, and cooperative agreement activity for the purposes of other reporting

  2. Finance & Administration will prepare and submit all official financial reports to funding agencies, and maintain all reports for audit purposes

  3. The PI/PD will submit all programmatic reporting in a timely fashion, and notify Grants & Sponsored Projects of any deviation from the approved grant proposal

1011. Salaries and Wages Charged to Grants

All policies and procedures must comply with Minnesota State, WSU, and the current federal Part 200 — Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.

  1. If allowed by the funding organization, employees may request that the agency “buy out” a portion of the employee’s responsibilities. Salaries, wages, and fringes charged to the grant will be based on the employee’s institutional base salary.

  2. For periods outside the academic year, compensation may not exceed the employee’s institutional base salary, per Uniform Guidance, Part 200

  3. For faculty reassignment time from O. 1 to 6.0 credit hours per academic year, salary, wage, and fringe replacement will be calculated at the current adjunct faculty rate for compensation and fringe benefits. For proposals exceeding 6.0 credit hours of reassignment, the replacement rate over the 6-hour maximum will be negotiated with the respective dean.

Related Documents:

  • Transmittal Form for Proposals to External Funding Sources

  • Transmittal Form Guidelines

  • Department of Health and Human Services — Colleges and Universities Rate Agreement Part 200 — Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards

  • WSU Financial Conflict of Interest Module

  • NIH Financial Conflict of Interest Tutorial

  • Responsible Conduct in Research

  • WSU Grant Task Force — Base Agreement to Support Grant Workload Reassignment

Related definitions:

[2-8] Authorizing Official:

Designated positions with the authority to enter grant agreements and commit university resources toward an externally funded project.

[2-8] Cooperative agreement:

Financial assistance mechanism similar to a grant, awarded by the funding agency to assist and support research and related activities.

[2-8] Facilities and Administrative Costs (F&A):

Costs that are incurred for common or joint objectives and therefore not easily attributable to a single project or activity, such as utilities, building maintenance, human resources, technology, etc.; also known as “indirect” or “overhead” costs.

[2-8] Federally negotiated indirect cost rate:

Agreement negotiated between the cognizant federal agency and a grantee organization; the agreement publishes the reimbursement rate for indirect costs and fringe benefits incurred by the organization in the conduct of federal programs.

[2-8] Fringe benefits:

Actual personnel expenses associated with any salary paid by the university.

[2-8] Institutional base salary:

An employee’s regular, annual compensation including salary, wages, and fringe benefits.

[2-8] Modified Total Direct Costs (MTDC):

Federally designated base to which finance and administrative (indirect) costs are applied. Includes salaries, wages, and fringe benefits; materials and supplies; services; travel; publication costs; and the first $25,000 of each sub-award to other organizations.

[2-8] Principal Investigator (PI):

Individual designated to be responsible for ensuring compliance with all programmatic, fiscal, and administrative requirements of a grant or sponsored project.

Authorizing Policy:

History:

Adoption date: 11/08/2018
Implementation date: 11/08/2018