Presentation on theme: "Presented by: Maritza Zeiberg, CPA,"— Presentation transcript:
1 Presented by: Maritza Zeiberg, CPA, Resolving SBIR/STTR Allegations of Waste, Fraud, and Abuse - NIH PerspectivePresented by: Maritza Zeiberg, CPA,Director, Division of Program Integrity, OMA, Office of the NIH DirectorOctober 23, 2014
2 Presenter Director, Division of Program Integrity 27 years at HHS; 19 at NIH1,000+ reviews$40 million recovered$500 million put to better use
3 Purpose of Presentation Describe DPIRoles and responsibilitiesProcess for resolving SBIR/STTR allegationsActions for SBIR/STTR recipientsDiscuss current issues and potential solutionsQuestions and answers
4 DPI ResponsibilitiesProvide NIH with a centralized review capability for allegations of waste, fraud, abuse, and mismanagementReview issues referred from OIGNIH Liaison with OIG Office of Investigations, DOJ, and other law enforcement organizations
5 DPI AuthorityMisuse of Grant Funds– 45 C.F.R (e) - authority to conduct reviews of NIH grantees’ records and interview grantees’ personnel.Misuse of Contract Funds– 48 C.F.R (FAR) provides the authority to access records of NIH contractors.Employee Misconduct – Section 402(b)(1) of the PHS Act, 42 U.S.C. 282(b)(1) provides authority to conduct reviews of allegations of improper conduct by NIH employees.
6 DPI Purview Limitations Scientific MisconductNIH Extramural Research Integrity Liaison Officer, OEROffice of Research Integrity, HHSHuman Subject IssuesOffice for Human Research Protections, HHSAnimal Welfare IssuesOffice of Laboratory Animal Welfare, NIHCriminal ActivitiesOffice of Inspector General, HHSPersonnel MattersOffice of Human Resources, NIHDiscrimination/HarassmentOffice of Equal Opportunity and Diversity Management, NIHDisputes between Contractors and SubcontractorsNIH does not have a direct contractual or legal relationship with subcontractors
7 Impact Recovered $6.5 per $1 spent in FY13 Provide data for decision making that allows the government to put money to better useImprove policies and internal controls at NIH and grantee institutions
8 FY13 NIH Funding Research grants – $20.9 billion Contracts – $4.3 billionSBIR – $617 millionSTTR – $80 million
9 Funding EnvironmentTwohy, Mike. “Defunding Increases Aggression.” Illustration. The New Yorker, May 9, 2011.
13 Review Process Notify IC and SBC Prepare Review Plan Acknowledge AllegationStress ConfidentialityPrepare Review PlanIdentify Issues, Criteria, EvidenceNotify IC and SBCCoop./Confidentiality Agreement, Request InfoAnalyze DataSolicit Expert Opinions, Conduct InterviewsPrepare ReportReport to IC Director and SBC
14 What to do if…. …We notify you that we are reviewing your award? Sign cooperation & confidentiality agreementBe responsive to our requestCall us if you have questions
16 Collaborative Review Process DPIScientificGrantsContractsPolicy
17 Recommendations DPI NIH IC SBC initiate action with SBC issues report w/recsDPIcloses caseinitiate action with SBCNIH ICinforms DPI of SBC actionsimplements recsSBCinforms IC of actions taken in response to recs
18 Areas of Concern Eligibility and general noncompliance Overlap Inadequate documentationAward transfers
19 Findings Providing false information on applications Requesting funds for work that is completeUsing funds for other research activitiesOverlap of NIH and Non-NIH supportPerforming work outside the USA
22 Possible Solutions Educate staff and raise awareness Define roles and responsibilitiesMaintain complete financial and scientific recordsDisclose sources of supportEstablish a culture of complianceProvide timely and unrestricted access to records
23 Actions We Take When We Find Indicators of Possible Criminal Activity
24 Fraud IndicatorsMissing or incomplete support for award expenditures and scientific progressEvasiveness/non-responsive/time extension requests to federal staff inquiriesFavors, gifts, money, gratuities to grant/contract to staff at funding agencyEarly requests for next SBIR/STTR phase fundingLax enforcement of award requirementsMultiple complaintsFailure to obtain approval for significant budget or scope changes or for substitutions to key personnel
26 DPI Contact InformationTo report any concerns, please contact us.Phone: (301)Web site:Mail: National Institutes of HealthOffice of Management AssessmentDivision of Program Integrity6011 Executive BoulevardSuite 601, MSC 7669Rockville, Maryland 20852
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