1. 1
Dr. Mark, Live!
57th
Annual NCURA Meeting
Robert L. Tarwater
Lead Grants Management Specialist
National Heart, Lung, and Blood Institute

2. Providing Guidance to the PI
• Overview
– Framework for AORs to provide consistent
guidance to PIs on whom to contact, when,
and how.
– Primary focus on postaward activities, but
applicable to most circumstances.
– Reinforcing the roles in the lines of
communication.
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3. Prior Approval Requirements
• NIH Grants Policy Statement (Rev. 3/15)
– 2.1 Roles and Responsibilities
– 8.1.2 Prior Approval Requirements
• “Any question about the need for prior approval for
an activity or cost under a specific NIH award
should be directed to the GMO.”
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4. Requests for Prior Approval
– 8.1.3 Requests for Prior Approval
• “All requests must be made to the GMO no later
than 30 days before the proposed change, and
signed by the AOR.”
• “a cc to the AOR is not acceptable.”
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5. Requests for Prior Approval Continued (cont’d)
– 8.1.3 Requests for Prior Approval
• “ . . . GMO will review the request and provide a
response to the AOR indicating the final
disposition of the request . . .”
• “ . . . grantees are strongly encouraged to consult,
in advance, with the GMO.”
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6. Short Story for the PI . . .
• Science
– Program Official
– Unofficial
– But informative
• Admin
– First stop => AOR
– Questions to GMS
should come from
AOR
• Give a Fish or . . .
• Teach to Fish
– Exceptions?
– Change of Organization
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7. 7
Authorized
Organization
Representative
Official Lines of Communication
when Negotiating Grants
Grants Management
Specialist
Program Director /
Principal Investigator Program Official
Applicant/Recipient Agency/NIH

8. Thank you.
Robert L. Tarwater
tarwater@nih.gov
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