Preventing Fraud, Waste and Abuse (FWA)

The NOAA SBIR Program uses the following procedures to prevent FWA:
  • SBIR awardees are required to complete certification at the time of award, as well as after the award and during the funding agreement life cycle.
  • Suspected fraud, waste, or abuse of the SBIR program can be reported to: 
  • Successful prosecutions of FWA are available at http://www.nist.gov/file/0330441.
    • Former UCSD Professor Admits Fraud, Agrees to Forfeit $180,000 
    • Scientists Sentenced to Prison for Defrauding the Small Business Innovation Research Program 
    • Lexington Couple Pleads Guilty to Grant Fraud
  • Richard Fulton, NOAA SBIR Program Manager, serves as the liaison for the NOAA 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.
  • All personnel involved with the NOAA SBIR Program must notify the OIG of any suspected fraud, waste, and/or abuse.
  • The NOAA 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.
  • The NOAA 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.
  • The NOAA SBIR Program has developed policies and procedures to avoid funding essentially equivalent work already funded by another agency including: searching SBIR.GOV 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.
  • The NOAA SBIR Program continues to consider enhanced reporting requirements during the funding agreement.


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