NASA's $121.6M R&D contract with California Institute of Technology spans 9 years, awarded via sole-source
Contract Overview
Contract Amount: $12,160,437 ($12.2M)
Contractor: California Institute of Technology
Awarding Agency: National Aeronautics and Space Administration
Start Date: 2003-12-22
End Date: 2012-09-30
Contract Duration: 3,205 days
Daily Burn Rate: $3.8K/day
Competition Type: NOT COMPETED
Number of Offers Received: 51
Pricing Type: COST PLUS AWARD FEE
Sector: R&D
Official Description: OES R&A APPLICATIONS
Place of Performance
Location: PASADENA, LOS ANGELES County, CALIFORNIA, 91125
Plain-Language Summary
National Aeronautics and Space Administration obligated $12.2 million to CALIFORNIA INSTITUTE OF TECHNOLOGY for work described as: OES R&A APPLICATIONS Key points: 1. Contract awarded on a sole-source basis, limiting potential cost savings from competition. 2. Long contract duration (9 years) may indicate a stable, ongoing need for specialized research. 3. Cost Plus Award Fee (CPAF) contract type allows for performance-based incentives. 4. Research and Development in Physical, Engineering, and Life Sciences is a critical area for NASA. 5. The contract's value is substantial, suggesting significant research activities were undertaken. 6. The contractor, California Institute of Technology, is a well-established research institution.
Value Assessment
Rating: fair
Benchmarking the value of this contract is challenging without specific deliverables and performance metrics. However, the Cost Plus Award Fee structure suggests an attempt to control costs while incentivizing performance. The total value of over $121 million over nine years indicates a significant investment in research and development. Without comparable sole-source R&D contracts of similar scope and duration, a precise value-for-money assessment is difficult, but the extended period suggests sustained utility.
Cost Per Unit: N/A
Competition Analysis
Competition Level: sole-source
This contract was awarded on a sole-source basis, meaning it was not competed. This typically occurs when a specific contractor possesses unique capabilities or when there is an urgent need that cannot be met through a competitive process. The lack of competition means that the government did not benefit from the price discovery and potential cost reductions that a competitive bidding process could have provided.
Taxpayer Impact: Sole-source awards can lead to higher costs for taxpayers as the government may not secure the most competitive pricing available in the market.
Public Impact
Benefits NASA's research objectives in physical, engineering, and life sciences. Supports advanced scientific research and technological development. Likely involves a significant number of researchers, scientists, and technical staff at Caltech. Geographic impact is primarily centered in California, where Caltech is located, but research findings can have global implications.
Waste & Efficiency Indicators
Waste Risk Score: 50 / 10
Warning Flags
- Sole-source award limits competitive pricing advantages.
- Long contract duration may obscure potential inefficiencies if not closely managed.
- Cost-plus award fee contracts can sometimes lead to cost overruns if not properly monitored.
Positive Signals
- Contractor is a highly reputable research institution (Caltech).
- Long-term nature suggests a critical and sustained need for the research.
- Award fee structure incentivizes contractor performance.
- Focus on R&D aligns with NASA's core mission.
Sector Analysis
This contract falls within the Research and Development (R&D) sector, specifically focusing on physical, engineering, and life sciences. This is a critical area for space exploration and technological advancement. The market for specialized R&D services, particularly for agencies like NASA, is often characterized by a limited number of highly qualified institutions. Comparable spending benchmarks would typically involve other large-scale R&D grants or contracts awarded to universities or research consortia for similar scientific endeavors.
Small Business Impact
There is no indication that this contract involved small business set-asides. Given the nature of the work and the sole-source award to a large research institution, it is unlikely that small businesses were directly involved as prime contractors. Subcontracting opportunities for small businesses would depend on the specific research projects undertaken by Caltech.
Oversight & Accountability
Oversight for this contract would have been managed by the National Aeronautics and Space Administration (NASA). As a Cost Plus Award Fee (CPAF) contract, performance metrics and cost controls would be crucial elements of oversight. Transparency would be dependent on NASA's reporting practices for R&D expenditures and outcomes. Inspector General jurisdiction would apply to any allegations of fraud, waste, or abuse related to the contract.
Related Government Programs
- NASA Research Grants
- University Research Partnerships
- Aerospace R&D Contracts
- Scientific Research Services
Risk Flags
- Sole-source award limits competition.
- Long contract duration requires sustained oversight.
Tags
research-and-development, nasa, california-institute-of-technology, sole-source, cost-plus-award-fee, physical-engineering-life-sciences, academic-institution, long-term-contract, delivery-order
Frequently Asked Questions
What is this federal contract paying for?
National Aeronautics and Space Administration awarded $12.2 million to CALIFORNIA INSTITUTE OF TECHNOLOGY. OES R&A APPLICATIONS
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 $12.2 million.
What is the period of performance?
Start: 2003-12-22. End: 2012-09-30.
What specific research projects were undertaken under this contract, and what were their key outcomes?
The provided data does not detail the specific research projects conducted under this contract. However, given the NAICS code 541710 (Research and Development in the Physical, Engineering, and Life Sciences) and the awarding agency (NASA), the projects likely spanned areas such as astrophysics, materials science, propulsion systems, life support for space travel, or planetary science. Key outcomes would typically be scientific publications, technological prototypes, patents, or advancements contributing to NASA's mission objectives. A deeper dive into NASA's project archives or Caltech's research reports from the 2003-2012 period would be necessary to identify specific deliverables and their impact.
How does the $121.6 million total award compare to other NASA R&D contracts with academic institutions during the same period?
The $121.6 million awarded over nine years represents an average of approximately $13.5 million per year. This is a substantial amount, placing it among significant R&D investments. NASA frequently partners with leading academic institutions like Caltech, MIT, Stanford, and others for large-scale research initiatives. Many of these contracts and grants can reach tens or even hundreds of millions of dollars over similar multi-year periods, especially for complex, long-term projects in areas like space exploration technology, fundamental physics, or advanced engineering. Without a direct comparison dataset of all NASA R&D contracts with academic institutions from 2003-2012, it's difficult to definitively rank this contract, but it is indicative of a major research collaboration.
What were the primary justifications for awarding this contract on a sole-source basis?
Sole-source awards are typically justified when a specific entity possesses unique capabilities, specialized knowledge, or proprietary technology essential for the project, and these cannot be reasonably obtained through competition. For a research institution like the California Institute of Technology, the justification might stem from its established expertise in a niche scientific field critical to NASA's objectives, its unique facilities, or its long-standing track record with the agency. NASA would have had to document these justifications extensively to comply with federal procurement regulations, demonstrating that no other source could fulfill the requirement adequately.
What is the typical performance track record of the California Institute of Technology as a federal contractor, particularly with NASA?
The California Institute of Technology (Caltech) has a long and distinguished history of collaborating with NASA on cutting-edge research and development. As a premier scientific research institution, Caltech is consistently involved in high-impact projects, including those managed by NASA. Its track record is generally characterized by significant scientific contributions, technological innovations, and the production of highly skilled researchers. While specific performance ratings for individual contracts are not publicly detailed in this dataset, Caltech's reputation and continued funding from agencies like NASA strongly suggest a history of successful performance and valuable contributions to scientific and technological advancement.
How did the Cost Plus Award Fee (CPAF) structure influence contractor behavior and cost management for this contract?
The Cost Plus Award Fee (CPAF) structure is designed to provide the contractor with cost reimbursement for allowable expenses while offering an additional fee based on the achievement of specific performance objectives. This incentivizes the contractor (Caltech) to not only manage costs effectively but also to exceed performance expectations set by the government (NASA). For this contract, Caltech would have been motivated to deliver high-quality research, meet milestones, and potentially innovate beyond the baseline requirements to earn the maximum award fee. NASA, in turn, would have had to establish clear, measurable performance criteria and diligently evaluate Caltech's progress to determine the appropriate award fee, balancing cost control with the pursuit of research excellence.
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: 51
Pricing Type: COST PLUS AWARD FEE (R)
Evaluated Preference: NONE
Contractor Details
Address: 4800 OAK GROVE DR, PASADENA, CA, 91109
Business Categories: Category Business, Government, U.S. National Government, Not Designated a Small Business
Financial Breakdown
Contract Ceiling: $13,418,761
Exercised Options: $13,418,761
Current Obligation: $12,160,437
Contract Characteristics
Commercial Item: COMMERCIAL ITEM PROCEDURES NOT USED
Parent Contract
Parent Award PIID: NAS703001
IDV Type: IDC
Timeline
Start Date: 2003-12-22
Current End Date: 2012-09-30
Potential End Date: 2012-09-30 00:00:00
Last Modified: 2020-10-26
More Contracts from California Institute of Technology
- Europa Clipper Project the Contract IS the Sponsoring Agreement Between the National Aeronautics and Space Administration Nasa and the California Institute of Technology-Contractor, a Private Nonprofit Educational Institution, Which Establishes the Relationship for the Operation of the Federally Funded Research and Development Center-Ffrdc Known AS the JET Propulsion Laboratory. the Contractor, JPL, IS Required to Perform Work That IS Designated in Task Orders Issued by the Nasa Management Office-Nmo Contracting Officers. Nasa-Sponsored Work: Jpls Primary Mission IS to Support the Nasa Science Mission Directorate-Smd in Carrying OUT the Specific Objectives Identified in the SMD Science Plan. the Four Broad Scientific Areas ARE: Earth Science, Planetary Science, Heliophysics, and Astrophysics. in Performance of This Contract, JPL Shall: 1. Supply a Broad Base of Scientific and Technical Capabilities Relevant to Nasa Program and Project Responsibilities and Assignments. 2. Foster ITS Unique Relationship With a Top-Tier University to Facilitate the Involvement of Scientists, Engineers, and Students From the University and Research Communities in Nasa Mission and in Supporting Other Government Agencies. 3. Support Nasa in Enabling Program and Institutional Capabilities. 4. Develop Spacecraft and Instruments That ARE Sent to Various Destinations With OUR Solar System, Including Earth Orbit, Planets, Planetary Satellites, Asteroids, and Comets. These Missions MAY BE Orbiters, Landers, or Rovers, and Typically Include Cutting-Edge Technologies Required to Meet Scientific Requirements. 5. Perform Project Tasks Involving: I-Autonomous Deep-Space, Inner-Space and Earth-Orbiting Spacecraft or Major Subsystems, Ii-Experiments, Instruments, or Other Devices Which MAY BE Carried AS Payload on Spacecrafts in Missions Managed by Others, And-Or Iii-Ground-Based Systems. 6. Beyond ITS Primary Mission, JPL MAY Perform Work for Other Nasa Mission Directorates or Offices. 7. JPL IS Also Responsible for the Operation, Research, Technology Insertion, and Management of Nasas Deep Space Network to Provide Telecommunication and Operation Services, Including Data Acquisition and Data Delivery Required to Meet Established Agency Objectives. 8. JPL IS Also Required to Maintain and Conduct an Education Program in Close Coordination With the Nasa Headquarters Education Office, the Academic Community AT Large, and in Support to Nasa Strategic Objectives to Improve Student Retention in the Science, Technology, Engineering, and Mathematics-Stem Disciplines. Work for Non-Nasa Sponsors: JPL MAY Perform Work for Non-Nasa Sponsors. This Work Will BE Designated in Task Orders Issued by NMO Contracting Officers Based on Task Plans Initiated by the Contractor — $2.9B (National Aeronautics and Space Administration)
- Mars Science Laboratory — $1.7B (National Aeronautics and Space Administration)
- Mars Sample Return (MSR) Program - Phase a 40-108270 — $1.6B (National Aeronautics and Space Administration)
- Deep Space Network (DSN) the Contract IS the Sponsoring Agreement Between the National Aeronautics and Space Administration (nasa) and the California Institute of Technology (contractor), a Private Nonprofit Educational Institution, Which Establishes the Relationship for the Operation of the Federally Funded Research and Development Center (ffrdc) Known AS the JET Propulsion Laboratory. the Contractor, JPL, IS Required to Perform Work That IS Designated in Task Orders Issued by the Nasa Management Office (NMO) Contracting Officers. Nasa - Sponsored Work: Jpl's Primary Mission IS to Support the Nasa Science Mission Directorate (SMD) in Carrying OUT the Specific Objectives Identified in the SMD Science Plan. the Four Broad Scientific Areas ARE: Earth Science, Planetary Science, Heliophysics, and Astrophysics. in Performance of This Contract, JPL Shall: 1) Supply a Broad Base of Scientific and Technical Capabilities Relevant to Nasa Program and Project Responsibilities and Assignments. 2) Foster ITS Unique Relationship With a Top-Tier University to Facilitate the Involvement of Scientists, Engineers, and Students From the University and Research Communities in Nasa Mission and in Supporting Other Government Agencies. 3) Support Nasa in Enabling Program and Institutional Capabilities. 4) Develop Spacecraft and Instruments That ARE Sent to Various Destinations With OUR Solar System, Including Earth Orbit, Planets, Planetary Satellites, Asteroids, and Comets. These Missions MAY BE Orbiters, Landers, or Rovers, and Typically Include Cutting-Edge Technologies Required to Meet Scientific Requirements. 5) Perform Project Tasks Involving: (I) Autonomous Deep-Space, Inner-Space and Earth-Orbiting Spacecraft or Major Subsystems, (II) Experiments, Instruments, or Other Devices Which MAY BE Carried AS Payload on Spacecrafts in Missions Managed by Others, And/Or (III) Ground-Based Systems. 6) Beyond ITS Primary Mission, JPL MAY Perform Work for Other Nasa Mission Directorates or Offices. 7) JPL IS Also Responsible for the Operation, Research, Technology Insertion, and Management of Nasa S Deep Space Network to Provide Telecommunication and Operation Services, Including Data Acquisition and Data Delivery Required to Meet Established Agency Objectives. 8) JPL IS Also Required to Maintain and Conduct an Education Program in Close Coordination With the Nasa Headquarters Education Office, the Academic Community AT Large, and in Support to Nasa Strategic Objectives to Improve Student Retention in the Science, Technology, Engineering, and Mathematics (stem) Disciplines. Work for Non-Nasa Sponsors: JPL MAY Perform Work for Non-Nasa Sponsors. This Work Will BE Designated in Task Orders Issued by NMO Contracting Officers Based on Task Plans Initiated by the Contractor — $1.4B (National Aeronautics and Space Administration)
- 2020 Mars Science Rover Project - Phase a the Contract IS the Sponsoring Agreement Between the National Aeronautics and Space Administration (nasa) and the California Institute of Technology (contractor), a Private Nonprofit Educational Institution, Which Establishes the Relationship for the Operation of the Federally Funded Research and Development Center (ffrdc) Known AS the JET Propulsion Laboratory. the Contractor, JPL, IS Required to Perform Work That IS Designated in Task Orders Issued by the Nasa Management Office (NMO) Contracting Officers. Nasa - Sponsored Work: Jpl's Primary Mission IS to Support the Nasa Science Mission Directorate (SMD) in Carrying OUT the Specific Objectives Identified in the SMD Science Plan. the Four Broad Scientific Areas ARE: Earth Science, Planetary Science, Heliophysics, and Astrophysics. in Performance of This Contract, JPL Shall: 1) Supply a Broad Base of Scientific and Technical Capabilities Relevant to Nasa Program and Project Responsibilities and Assignments. 2) Foster ITS Unique Relationship With a Top-Tier University to Facilitate the Involvement of Scientists, Engineers, and Students From the University and Research Communities in Nasa Mission and in Supporting Other Government Agencies. 3) Support Nasa in Enabling Program and Institutional Capabilities. 4) Develop Spacecraft and Instruments That ARE Sent to Various Destinations With OUR Solar System, Including Earth Orbit, Planets, Planetary Satellites, Asteroids, and Comets. These Missions MAY BE Orbiters, Landers, or Rovers, and Typically Include Cutting-Edge Technologies Required to Meet Scientific Requirements. 5) Perform Project Tasks Involving: (I) Autonomous Deep-Space, Inner-Space and Earth-Orbiting Spacecraft or Major Subsystems, (II) Experiments, Instruments, or Other Devices Which MAY BE Carried AS Payload on Spacecrafts in Missions Managed by Others, And/Or (III) Ground-Based Systems. 6) Beyond ITS Primary Mission, JPL MAY Perform Work for Other Nasa Mission Directorates or Offices. 7) JPL IS Also Responsible for the Operation, Research, Technology Insertion, and Management of Nasa S Deep Space Network to Provide Telecommunication and Operation Services, Including Data Acquisition and Data Delivery Required to Meet Established Agency Objectives. 8) JPL IS Also Required to Maintain and Conduct an Education Program in Close Coordination With the Nasa Headquarters Education Office, the Academic Community AT Large, and in Support to Nasa Strategic Objectives to Improve Student Retention in the Science, Technology, Engineering, and Mathematics (stem) Disciplines. Work for Non-Nasa Sponsors: JPL MAY Perform Work for Non-Nasa Sponsors. This Work Will BE Designated in Task Orders Issued by NMO Contracting Officers Based on Task Plans Initiated by the Contractor — $1.4B (National Aeronautics and Space Administration)
View all California Institute of Technology federal contracts →
Other National Aeronautics and Space Administration Contracts
- International Space Station — $22.4B (THE Boeing Company)
- TAS::80 0124::TAS Design, Development, Test&evaluation of Project Orion — $15.5B (Lockheed Martin Corp)
- Provide Developmental Hardware and Test Articles, and Manufacture and Assemble Ares I Upper Stages. the Upper Stage (US) Element IS an Integral Part of the Ares I Launch Vehicle and Provides the Second Stage of Flight. the US Element IS Responsible for the Roll Control During the First Stage Burn and Separation; and Will Provide the Guidance and Navigation, Command and Data Handling, and Other Avionics Functions for the Ares I During ALL Phases of the Ascent Flight. the US Element IS a NEW Design That Emphasizes Safety, Operability, and Minimum Life Cycle Cost. the Overall Design, Development, Test and Evaluation (ddt&e), Production, and Sustaining Engineering Efforts Include Activities Performed by Three Organizations; the Nasa Design Team (NDT), the Upper Stage Production Contractor (uspc) and the Instrument Unit Production Contractor (iupc). for Clarity, the Uspc Will BE Referred to AS the Contractor Throughout This Document. Nasa IS Responsible for the Integration of the Primary Elements of the Ares I Launch Vehicle Including: the First Stage, US Including Instrument Unit (IU), and US Engine; and Will Also Integrate the Ares I Launch Vehicle AT the Launch Site. Nasa IS Responsible for the Ddt&e, Including Technical and Programmatic Integration of the US Subsystems and Government-Furnished Property. Nasa Will Lead the Effort to Develop the Requirements and Specifications of the US Element, the Development Plan and Testing Requirements, and ALL Design Documentation, Initial Manufacturing and Assembly Process Planning, Logistics Planning, and Operations Support Planning. Development, Qualification, and Acceptance Testing Will BE Conducted by Nasa and the Contractor to Satisfy Requirements and for Risk Mitigation. Nasa IS Responsible for the Overall Upper Stage Verification and Validation Process and Will Require Support From the Contractor. the Contractor IS Responsible for the Manufacture and Assembly of the Upper Stage Test Flight and Operational Upper Stage Units Including the Installation of Upper Stage Instrument Unit, the Government-Furnished US Engine, Booster Separation Motors, and Other Government-Furnished Property. a Description of the Nasa Managed and Performed Efforts IS Contained in the US Work Packages and Will BE Made Available to the Contractor to Ensure Their Understanding of the Roles and Responsibilities of the NDT, Iupc, and Contractor During the Design, Development, and Operation of the US Element. the US Conceptual Design Described in the Uso-Clv-Se-25704 US Design Definition Document (DDD) IS the Baseline Design for This Contract. the Contractors Early Role Will BE to Provide Producibility Engineering Support to Nasa VIA the Established US Office Structure and to Provide Inputs Into the Final Design Configuration, Specifications, and Standards. Nasa Will Transition the Manufacturing and Assembly, Logistics Support Infrastructure, Configuration Management, and the Sustaining Engineering Functions to the Contractor AT the KEY Points During the Development and Implementation of the Program Currently Planned to Occur NO Later Than 90 Days After the Completion of the Following Major Milestones: Manufacturing and Assembly US Preliminary Design Review (PDR) Logistics Support Infrastructure US PDR Configuration Management US Critical Design Review CDR) Sustaining Engineering US Design Certification Review (DCR) After the Completion of an Orderly Transition of Roles and Responsibilities to the Contractor, Nasa Will Assume an Insight Role Into the Contractors Production, Sustaining Engineering, and Operations Support of the Ares I US Test Program and Flight Hardware. After DCR, the Contractor Will BE Responsible for Sustaining Engineering PER SOW Section 4.7, AS Necessary to Maintain and Support the US Configuration and for Production and Operations Support — $10.5B (THE Boeing Company)
- Space Program Operations Contract (spoc) — $8.5B (United Space Alliance, LLC)
- Joint Us/Russian Human Space Flight Activities — $4.7B (Russia Space Agency)
View all National Aeronautics and Space Administration contracts →