NASA's $28M STARDUST contract to Caltech for R&D in physical sciences awarded without competition
Contract Overview
Contract Amount: $28,000,375 ($28.0M)
Contractor: California Institute of Technology
Awarding Agency: National Aeronautics and Space Administration
Start Date: 2003-09-16
End Date: 2008-10-26
Contract Duration: 1,867 days
Daily Burn Rate: $15.0K/day
Competition Type: NOT COMPETED
Number of Offers Received: 1
Pricing Type: COST PLUS AWARD FEE
Sector: R&D
Official Description: STARDUST - PHASE E
Place of Performance
Location: PASADENA, LOS ANGELES County, CALIFORNIA, 91125
Plain-Language Summary
National Aeronautics and Space Administration obligated $28.0 million to CALIFORNIA INSTITUTE OF TECHNOLOGY for work described as: STARDUST - PHASE E Key points: 1. Contract awarded to a single, non-profit research institution, suggesting a specialized need. 2. The 'Cost Plus Award Fee' structure incentivizes performance but can lead to higher costs. 3. Long duration (over 5 years) indicates a complex, multi-phase research project. 4. Lack of competition raises questions about price reasonableness and potential for cost overruns. 5. The contract falls under R&D, a sector often characterized by inherent uncertainty and evolving requirements. 6. Focus on physical sciences research implies potential for foundational scientific advancements.
Value Assessment
Rating: fair
Benchmarking the value of this contract is challenging due to its specialized R&D nature and lack of competition. The 'Cost Plus Award Fee' (CPAF) structure, while common for R&D, allows for costs to exceed initial estimates if performance targets are met. Without comparable contracts or a competitive bidding process, it's difficult to definitively assess if the $28 million represents excellent value for money. The award fee component suggests a mechanism for incentivizing performance, but the total cost is contingent on achieving those performance metrics.
Cost Per Unit: N/A
Competition Analysis
Competition Level: sole-source
This contract was awarded on a sole-source basis to the California Institute of Technology (Caltech). This indicates that NASA likely determined Caltech possessed unique capabilities, expertise, or resources essential for the STARDUST project that could not be replicated by other potential bidders. The absence of a competitive process means there was no direct price negotiation against market alternatives, potentially limiting NASA's leverage in securing the lowest possible price.
Taxpayer Impact: Sole-source awards can mean taxpayers may not benefit from the cost savings typically achieved through competitive bidding. While justified for unique capabilities, it necessitates strong oversight to ensure fair pricing and efficient use of funds.
Public Impact
The primary beneficiaries are NASA and the scientific community, through advancements in physical sciences research. The contract supports fundamental research, potentially leading to new technologies and a deeper understanding of the universe. Geographic impact is primarily centered around Caltech's facilities in California, but the research findings have global scientific implications. The contract likely supports a team of researchers, engineers, and technicians at Caltech, contributing to the scientific workforce.
Waste & Efficiency Indicators
Waste Risk Score: 50 / 10
Warning Flags
- Lack of competition may have resulted in a higher price than a competed contract.
- The CPAF structure can lead to cost growth if award fees are consistently high.
- Long contract duration increases the risk of scope creep or changing research priorities.
- Limited transparency into the sole-source justification and negotiation process.
Positive Signals
- Award to a reputable institution (Caltech) known for scientific excellence.
- CPAF structure incentivizes contractor performance towards specific goals.
- Focus on R&D aligns with NASA's mission to explore and discover.
- Long duration suggests a significant and potentially groundbreaking research endeavor.
Sector Analysis
This contract falls within the Research and Development (R&D) sector, specifically under the North American Industry Classification System (NAICS) code 541710 (Research and Development in the Physical, Engineering, and Life Sciences). This sector is characterized by innovation, high technical risk, and often long development cycles. NASA is a major spender in this area, funding a wide range of scientific and technological advancements. Comparable spending benchmarks are difficult to establish for highly specialized R&D projects, but NASA's overall R&D budget is substantial.
Small Business Impact
This contract does not appear to have a small business set-aside component, as indicated by 'sb': false. Given the sole-source nature and the award to a large research institution like Caltech, it's unlikely that significant subcontracting opportunities for small businesses were mandated or actively pursued through this specific award mechanism. The focus is on Caltech's internal research capabilities.
Oversight & Accountability
Oversight for this contract would primarily reside with NASA's contracting officers and program managers. The 'Cost Plus Award Fee' structure implies performance monitoring to determine award fee payouts. Transparency is limited due to the sole-source nature. Inspector General jurisdiction would apply if any fraud, waste, or abuse were suspected.
Related Government Programs
- NASA Research and Development Contracts
- Space Exploration Funding
- Astrophysics Research Grants
- Planetary Science Missions
Risk Flags
- Sole-source award lacks competitive price discovery.
- CPAF structure can lead to cost uncertainty.
- Long contract duration increases risk exposure.
- Limited public information on specific R&D objectives and outcomes.
Tags
nasa, caltech, research-and-development, physical-sciences, cost-plus-award-fee, sole-source, california, large-contract, science-and-technology, space-exploration
Frequently Asked Questions
What is this federal contract paying for?
National Aeronautics and Space Administration awarded $28.0 million to CALIFORNIA INSTITUTE OF TECHNOLOGY. STARDUST - PHASE E
Who is the contractor on this award?
The obligated recipient is CALIFORNIA INSTITUTE OF TECHNOLOGY.
Which agency awarded this contract?
Awarding agency: National Aeronautics and Space Administration (National Aeronautics and Space Administration).
What is the total obligated amount?
The obligated amount is $28.0 million.
What is the period of performance?
Start: 2003-09-16. End: 2008-10-26.
What specific scientific objectives did the STARDUST - PHASE E contract aim to achieve?
The STARDUST - PHASE E contract, awarded to the California Institute of Technology (Caltech) by NASA, was part of a larger initiative likely focused on space exploration and scientific discovery. While the provided data doesn't detail the specific scientific objectives of 'Phase E', STARDUST missions typically involve collecting samples from comets or dust in space and returning them to Earth for analysis. Phase E would likely represent a later stage of the project, potentially involving data analysis, sample handling, final reporting, or follow-on research stemming from earlier mission phases. The contract's focus on 'Research and Development in the Physical, Engineering, and Life Sciences' suggests the objectives were rooted in understanding the composition, origin, and evolution of the solar system through the study of extraterrestrial materials.
How does the 'Cost Plus Award Fee' (CPAF) structure typically function in R&D contracts?
The 'Cost Plus Award Fee' (CPAF) contract structure is commonly used for research and development efforts where the final costs are uncertain and performance outcomes are critical. Under CPAF, the contractor is reimbursed for all allowable costs incurred during the performance of the contract. In addition to cost reimbursement, the contractor has the opportunity to earn an 'award fee' based on achieving specific performance objectives defined in the contract. These objectives are typically subjective and evaluated by the government. This structure incentivizes the contractor to perform exceptionally well, going beyond minimum requirements, while providing the government with flexibility to reward superior performance. However, it also means the total contract cost can exceed initial estimates if the contractor earns high award fees.
What are the potential risks associated with a sole-source R&D contract of this duration?
Sole-source R&D contracts, especially those with long durations like STARDUST - PHASE E (over 5 years), carry several potential risks. Firstly, the lack of competition can lead to higher costs for taxpayers, as there is no market pressure to drive down prices. Secondly, without competitive benchmarking, assessing the 'fairness' and 'reasonableness' of the price becomes more challenging. Thirdly, long-term R&D projects are inherently uncertain; scientific objectives may shift, or unforeseen technical challenges may arise. A sole-source awardee might have less incentive to adapt quickly or efficiently compared to a competitively selected entity facing ongoing market scrutiny. Finally, there's a risk of contractor complacency or 'lock-in,' where the government becomes dependent on the sole provider, potentially hindering innovation or flexibility.
Can the performance of the California Institute of Technology (Caltech) as a NASA contractor be assessed from this data?
The provided data indicates that the California Institute of Technology (Caltech) was awarded a significant R&D contract by NASA. While the data confirms Caltech as the contractor, it does not offer direct insights into their past performance on this or other NASA contracts. To assess Caltech's track record, one would need to examine historical contract data, performance reviews, award fee history (if applicable), and any documented issues or successes on previous NASA projects. Caltech is a highly reputable research institution, suggesting a strong likelihood of capability, but specific performance metrics are required for a thorough evaluation.
What does the 'Research and Development in the Physical, Engineering, and Life Sciences' category imply about the contract's nature?
The NAICS code 541710, 'Research and Development in the Physical, Engineering, and Life Sciences,' signifies that the STARDUST - PHASE E contract was focused on scientific inquiry and innovation rather than the procurement of standard goods or services. This category encompasses a broad spectrum of activities, from basic scientific exploration to applied engineering and the development of new technologies. Contracts in this domain often involve high levels of uncertainty, require specialized expertise, and aim to generate new knowledge or capabilities. The 'Physical Sciences' aspect suggests a focus on areas like physics, chemistry, astronomy, or materials science, likely related to space phenomena or instrumentation.
Industry Classification
NAICS: Professional, Scientific, and Technical Services › Scientific Research and Development Services › Research and Development in the Physical, Engineering, and Life Sciences
Product/Service Code: RESEARCH AND DEVELOPMENT › Space R&D Services
Competition & Pricing
Extent Competed: NOT COMPETED
Solicitation Procedures: NEGOTIATED PROPOSAL/QUOTE
Offers Received: 1
Pricing Type: COST PLUS AWARD FEE (R)
Evaluated Preference: NONE
Contractor Details
Address: 4800 OAK GROVE DR, PASADENA, CA, 28
Business Categories: Category Business, Government, U.S. National Government, Not Designated a Small Business
Financial Breakdown
Contract Ceiling: $28,826,181
Exercised Options: $28,826,181
Current Obligation: $28,000,375
Parent Contract
Parent Award PIID: NAS703001
IDV Type: IDC
Timeline
Start Date: 2003-09-16
Current End Date: 2008-10-26
Potential End Date: 2008-10-26 00:00:00
Last Modified: 2012-09-19
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