NIST SBIR Fraud, Waste, and Abuse (FWA)

NIST SBIR Program uses the following procedures to prevent FWA:

1. SBIR awardees are required to complete certification at the time of award, as well as after the award and during the funding agreement lifecycle.
    
2. FWA can be reported to:
   Department of Commerce
   Office of Inspector General (OIG)
   Ben Franklin Station, PO Box 612
   Washington, D.C. 20044
   
   Phone: 800-424-5197
   TDD: 800-854-8407
   Local: 202-482-2495
   e-mail: hotline [at] oig.doc.gov (hotline[at]oig[dot]doc[dot]gov (link sends e-mail))
   Online Hotline Complaint Form
    
3. Jacqueline Gray, NIST SBIR Program Manager, serves as the liaison for the NIST SBIR Program, the Office of Inspector General (OIG), and NIST suspension and Debarment Official (SDO). The liaison ensures that inquiries regarding fraud, waste, and abuse are referred to the OIG and/or the Suspension and Debarment Official (SDO) as applicable.
    
4. Successful prosecutions of FWA are available at http://www.nist.gov/file/0330441.
    
5. All personnel involved with the NIST SBIR Program must notify the OIG of any suspected fraud, waste, and/or abuse.
    
6. The NIST SBIR Program enforces FWA accountability by using a system to track OIG/SDO referrals. A spreadsheet containing date, contact name, phone and email, and issue are used to track referrals.
    
7. The NIST SBIR Program ensures compliance with the eligibility requirements of the program and the terms of the SBIR funding agreement by verifying eligibility requirements prior to award and by thorough review of compliance with the funding agreement.
    
8. The NIST SBIR Program works with the DOC OIG to establish fraud detection indicators, coordinates the sharing of information between Federal agencies, and improves education and training to SBIR Program officials, applicants, and awardees.
    
9. The NIST SBIR Program has developed policies and procedures to avoid funding essentially equivalent work already funded by another agency including: searching Tech-Net prior to award for the applicant, key individuals of the applicant, and similar applicants; checking the SBC’s certification prior to award and funding and documenting the funding agreement file that such certification evidence the SBC has not already received funding for essentially equivalent work; reviewing other agency’s policies and procedures for best practices; and reviewing other R&D programs for policies and procedures and best practices related to this issue.
    
10. The NIST SBIR Program continues to consider enhanced reporting requirements during the funding agreement.