SBIR Policy Directive 2012
Executive Summary
D. Fraud, Waste and Abuse

[Updated 8/6/12]

Finally, this Policy Directive incorporates several amendments relating to fraud, waste and abuse, such as:
  • Requiring small businesses to certify they are meeting the program's requirements during the life cycle of the funding agreement; and

  • Establishing specific measures to ensure agencies are preventing fraud, waste and abuse in the program.
As in the past, each small business that receives SBIR funding must certify that it is in compliance with the laws relating to the program. However, SBA has amended the directive to state that these SBIR awardees must also submit certifications that they meet the program's requirement at certain points during the life cycle of the award and provides agencies with the discretion to request additional certifications throughout the life cycle of the award.

In addition to lifecycle certifications, the Policy Directive includes other measures to prevent fraud, waste and abuse in the SBIR Program. For example, agencies must include on their Web site and in each solicitation any telephone hotline number or Web-based method for how to report fraud, waste and abuse; designate at least one individual to serve as the liaison for the SBIR Program, Office of Inspector General (OIG) and the agency's Suspension and Debarment Official (SDO); include on the agency's Web site successful prosecutions of fraud, waste and abuse in the SBIR Program; and create or ensure there is a system to enforce accountability (e.g., creating templates for referrals to the OIG or SDO), among other things.

Additional detail about all of these amendments to the directive is set forth below. [see II. Background]

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