Frequently Asked Questions #1

The Innovation Fund is a 10-year competitive grant program authorized under 47 U.S.C. § 906, administered by the National Telecommunications and Information Administration (NTIA). The fund aims to drive wireless innovation, foster competition, and strengthen 5G and successor wireless technology supply chains. It will also help unlock opportunities for companies from the U.S. and its global allies, particularly small and medium enterprises, to compete in a market historically dominated by a few suppliers, including high-risk suppliers that raise security concerns.

The Innovation Fund aims to facilitate the adoption of open and interoperable wireless networks by:

• Promoting and deploying technology, including software, hardware, and microprocessing technology, will enhance competitiveness in 5G and successor wireless technology supply chains that use open and interoperable interface RAN.
• Accelerating commercial deployments of open interface standards-based compatible, interoperable equipment.
• Promoting and deploying compatibility of new 5G equipment with future open standards-based, interoperable equipment.
• Managing integration of multi-vendor network environments.
• Identifying objective criteria to define equipment as compliant with open standards for multi-vendor network equipment interoperability.
• Promoting and deploying security features enhancing the integrity and availability of equipment in multi-vendor networks.
• Promoting and deploying network function virtualization to facilitate multi-vendor interoperability and a more diverse vendor market.

Open Radio Access Network (Open RAN) is an approach to radio access network design that leverages open, interoperable, and standards-based radio access network (RAN) elements to form a virtualized and disaggregated RAN.

Open and interoperable wireless networks offer numerous benefits over traditional, closed networks that will help lower the barriers of entry for new and emerging companies. Using open and interoperable wireless networks allows operators to procure the best solutions for their specific needs by mixing and matching network components, rather than procuring proprietary end-to-end solutions from a single supplier. Open and interoperable networks may also reduce costs for consumers and network operators by increasing competition between 5G radio access network suppliers and potentially lowering capital expenditures and operating expenses.

Transitioning to open and interoperable networks:

• Improves market diversity. Small vendors do not need to offer end-to-end solutions to enter the market.
• Enhances security. Operators can better identify and address security threats in open networks.
• Strengthens the supply chain. The telecom supply chain will draw on innovative, trusted sources for open elements.
• Reduces costs for network operators which can in turn reduce costs for consumers. Open and interoperable networks eliminate vendor lock-in, which will increase competition in the RAN infrastructure market, allowing operators to build networks at lower prices.

The Innovation Fund’s second NOFO aims to advance open radio unit (RU) commercialization and innovation.

The RU is the largest, most costly part of the carrier network and provides a key opportunity for carriers to make the switch to Open RAN as they consider network upgrades, available spectrum, and market expansion. Open radio units have the potential to drive cost savings, energy efficiencies, and new innovations that can then be passed on to consumers.

For open RUs to achieve widespread adoption, however, they must not only be cost-competitive at scale, but also meet or surpass the technical performance of traditional RUs. Through this NOFO, NTIA intends to fund projects that tackle both priorities. Specific research focus area 1 (SRFA 1) will incentivize open RU suppliers and MNOs to collaborate on the development of market-ready open RUs, while SRFA 2 will drive open RU innovation that results in advanced performance and technical features for later 5G standards and future generation technologies.

In addition to enhancing market competitiveness and accelerating commercial deployments, advancing open RU commercialization (SRFA 1) and innovation (SRFA 2) will help promote forward compatibility of equipment, manage network integration, enhance security, and promote network virtualization, in line with the Innovation Fund’s statutory objectives.

By supporting both innovation and commercialization, the Innovation Fund can overcome the technical and economic barriers to deployment it heard about when it sought comment on the fund.

Cost share is only required for SRFA 1. SRFA 1 recipients are required to provide at least a 10 percent cost share. SRFA 1 applicants who provide a cost share of 16 percent or more will receive extra weighting of their project proposal during Programmatic Review, as described in Section 5.1.3. Please refer to Sections 1.3.3, 2.1.1, 2.2.3, and Section 5.1.3 of the NOFO for details regarding SRFA 1 cost share requirements and incentives.

Cost share for SRFA 2 applicants is neither expected nor required, and it will not be considered during the scoring process. Please refer to Section 3.2.3 of the NOFO for additional background.

NTIA allocated $420,000,0000 for awards under this NOFO. NTIA expects to award grants to applications that fall into the following award sizes: 

• SRFA 1 
  • $25,000,000-$45,000,000 per project. 
• SRFA 2 
  • $5,000,000-$10,000,000 per project. 

NTIA will consider applications requesting federal awards up to $50,000,000 for SRFA 1 and SRFA 2. However, in no instance may a single applicant receive more than $50,000,000 for a single SFRA. Please see Section 1.3.3.1 of the NOFO for further information on this topic. 

The award ceiling is only associated with the federal share (i.e., award size) and not the total project cost (i.e., the combined total of the federal share and non-federal share of costs).

For example, if a project’s total cost is $55,000,000, with $40,000,000 in federal funds and $15,000,000 in cost share, the $50,000,000 cap only applies to federal funds. This is allowable because the $40,000,000 federal share (i.e., award size) does not exceed the statutory limit of $50,000,000.

Indirect Costs are allowable costs under the NOFO. Indirect costs can be included in the federal award and can be included as part of an applicant’s cost share. If you are including indirect costs in your proposed budget, you must either provide a copy of your approved negotiated indirect cost rate agreement (NICRA) with your cognizant Federal agency or provide a statement that you are electing to charge a de minimis rate of 10 percent of modified total direct costs, pursuant to 2 C.F.R. § 200.414(f). Please see Section 4.1.1.h of the NOFO and 2 C.F.R. § 200.414 for more information.

The information provided through Form SF-328, “Certificate Pertaining to Foreign Interests,” will help NTIA determine entity ownership (foreign or U.S.-based) and evaluate control or influence. Form SF-328 requires applicants to answer 10 questions related to foreign interests and provide supporting documentation as needed. Applicants should not include any classified information in their Form SF-328 submission.

Instructions for completing the certificate pertaining to foreign interests include a detailed list of instructions and definitions of terms. Applicants must check either YES or NO for each question on the form, provide remarks for all questions answered as YES, and certify the form accordingly when they submit the form.

See 2 CFR § 200.431.

Please refer to 2 CFR § 200.475.

Any real property, equipment, or intangible property acquired with federal funds must be used for the purpose intended in the grant program throughout its useful life, even after the grant period of performance has expired.  

For example, if a piece of equipment with a useful life of 10 years is purchased to facilitate proposed activities in accordance with the NOFO, then that equipment must continue to be used for that purpose for the full 10 years, even if the grant expired after five (5) years. However, if the entity shuts down their proposed activities in accordance with the NOFO at the end of five (5) years, the entity will have to repurpose the equipment for other federally sponsored activities or request disposition instructions from NTIA. Grantees may mitigate this by only allocating a proportion of the costs to the grant.

Please note, if a piece of equipment is purchased with the intention of using it for grant-related purposes and other non-grant related purposes, only the portion of the equipment used for grant purposes can be charged to the grant or used as a cost share. See 2 CFR § 200.313(c)(1) and (e) for additional information about equipment use and disposition. For additional information on real property use and disposition, see 2 CFR § 200.311(b) and (c), and for intangible property, please see 2 CFR § 200.315.

Awards made under this NOFO will not impact a recipient’s ability to apply for and receive grants under future Innovation Fund NOFOs or to receive awards up to the statutory maximum for future specific research focus areas.

As described in Section 6.3 of the NOFO, grant recipients may only use federal award funds and any non-federal cost share committed by the recipient to pay for allowable costs under the Innovation Fund Program. Allowable costs are determined in accordance with the cost principles identified in 2 CFR Part 200, Subpart E. In addition, costs must be reasonable, necessary, allocable, and allowable for the proposed project, and must conform to generally accepted accounting principles as defined in 2 C.F.R. Part 200, Subpart E.

Please refer to Section 6.3 of the NOFO for information regarding funding restrictions, including ineligible costs, under the second NOFO.

Please refer to Section 6.3.2.4 of the NOFO for information regarding ineligible costs related to equipment, supplies, and services from untrusted vendors.

As described in Section 1.3.2 of the NOFO, the Period of Performance (POP) varies by SRFA. The POP of SRFA 1 is expected to be 18-24 months. Since many MNOs are approaching refresh cycles for their 5G investments, and many operators globally are still considering their initial 5G rollouts, NTIA is focusing support on SRFA 1 projects that have potential for near-term commercial success. The POP of SRFA 2 is expected to be three to five years, as is customary for many Federal grants investing in technology of similar maturity. Please refer to NOFO Section 2.2.4 for SRFA 1 POP requirements and Section 3.2.4 for SRFA 2 POP requirements.

For SRFA 1, and as described in Section 2.4.2 of the NOFO, applicants must provide a detailed work plan on how the RU product development will be conducted. The work plan shall include a detailed milestone and deliverable schedule covering the period of performance of the proposed project. The work plan shall also include all applicable testing phases, decision points, and points where technology readiness and/or manufacturing readiness is expected to improve.

For SRFA 2, and as described in Section 3.4.2 of the NOFO, applicants must provide a work plan indicating what research will be done, where it will be done, and how the research will be carried out. The method(s) planned to achieve each objective or task should be discussed in detail. The work plan shall also include a detailed milestone and deliverable schedule, covering the period of performance of the proposed project. It must also include any major decision points or points where technology readiness level and/or manufacturing readiness level may improve.

The program has not set a minimum or maximum number of awards. We are looking to fund high quality and innovative projects that demonstrate the ability to add value to the ecosystem.

Costs for construction are not allowable under this NOFO and thus cannot be listed as an in-kind contribution (see Section 6.3.2 for additional details). Acquisition and installation of equipment to support activities authorized under this NOFO can be used as an in-kind contribution. However, the prior costs included in the match must be directly related to the scope of work in your proposal. If the equipment is used for Innovation Fund activities and for other purposes, then the costs included in the match must be proportional to the use of the equipment. Note that if the equipment was paid for by another Federal grant or other Federal funding source (e.g., Contract, Cooperative Agreement, donation of surplus equipment, etc.), it cannot be considered for a matching contribution. Please refer to 2 C.F.R. § 200.306 for additional compliance requirements and information regarding cost share.

Grant applicants are advised to consider 2 C.F.R. § 200.448 Intellectual Property and 2 C.F.R. § 200.315 Intangible Property of the Uniform Guidance when developing their proposals. Per Section 6.4.11 of the NOFO, recipients of federal grant funds can retain rights to any intellectual property developed during the grant. NTIA encourages Innovation Fund grantees to leverage this ability to the maximum extent practical.

Grant funding will be available through an automated drawdown system as costs are incurred. Supporting documentation (invoices, timesheets, etc.) for the drawdown amounts must be maintained by the grantee and is subject to audit and monitoring by the government.

A sub-award subjects the sub-awardee to the same terms and conditions as the direct grantee and it requires the direct grantee to oversee the sub-grantees’ activities to ensure they are reasonable and allowable. A sub-award is typically used when the subaward entity will be substantially conducting or contributing to direct grant funded activities. A contract is used to purchase services and goods but does not subject the vendor to the applicable terms and conditions of the award. Awardees should document the basis of contract awards through official quotes or other similar means of demonstrating free and open competition and best value. Please see 2 CFR § 200.331 for more information.

All applications will be evaluated on a competitive basis. The key steps in the review process include the following:

• Initial Administrative and Eligibility Review of Complete Applications
• Merit Review
• Programmatic Review
• Selecting Official Approval

Please refer to Section 5.1 of the NOFO for details regarding the application review process. 

Please refer to Section 5.1.4 of the NOFO for information regarding the award selection process.

Complete applications must be received through Grants.gov no later than 11:59 p.m. Eastern Daylight Time (EDT) on July 10, 2024. Complete applications or portions thereof submitted by postal mail, courier, email, or by facsimile will not be accepted. All application forms and documents must be included with an applicant’s complete application packet submission through Grants.gov.

When developing the submission timeline, each applicant should keep in mind that: (a) all applicants are required to have current registrations in SAM.gov; and (b) the registration process in SAM.gov may take weeks. Please note that a federal assistance award cannot be issued if the designated recipient’s registration in SAM.gov is not current at the time of the award.

Applicants must submit separate applications for SRFA 1 and SRFA 2 projects, and can only include one project per application, regardless of SRFA. Please refer to Section 2.4 of the NOFO for information regarding application requirements specific to SRFA 1 and Section 3.4 for information regarding application requirements specific to SRFA 2. Please refer to Section 4 for application and submission requirements applicable to both SRFA 1 and SRFA 2.

Items ‘a’ through ‘d’ listed under Section 4.1 of the NOFO are part of the standard application package in Grants.gov and can be completed through the download application process in Grants.gov. Additional attachments, including but not limited to the items found in ‘e’ through ‘q' must be uploaded to Grants.gov as attachments to field 15 of the SF-424 form by clicking on “Add Attachment.”

Per term B.06 of the Department of Commerce (DOC) standard terms and conditions, an applicant can use a provisional rate (greater than 10 percent de minimis) on their application and then submit documentation to NIST within 90 calendar days of the award start date to negotiate an indirect cost rate agreement. The applicant would need to determine who their cognizant Federal agency would be. With respect to for-profit organizations, the cognizant Federal agency is generally the agency that provides the largest dollar amount of negotiated contracts, including options, to the organization. See term B.06 and 48 C.F.R. § 42.003. If the only Federal funds received by a commercial organization are DOC award funds, then DOC becomes the cognizant Federal agency for indirect cost negotiations.

If DOC is not the cognizant agency and the applicant is using a facilities and administrative (F&A) rate greater than the de minimis rate outlined in 2 C.F.R. § 200.414, the applicant must provide a copy of a negotiated rate agreement, or a copy of the transmittal letter submitted to the cognizant agency requesting a negotiated rate agreement within 30 calendar days of receipt of a negotiated rate agreement or submission of a negotiated rate proposal.

If the recipient fails to submit required documentation to NIST within 90 calendar days of the award start date, the NIST Grants Office may amend the award to preclude the recovery of any indirect costs under the award. In addition, the NIST Grants Office will include an Indirect Cost Special Award Condition (SAC) in all the awards providing submission guidance if NIST is the cognizant agency.

Note that technical assistance will be provided to grantees post-award on how to handle specific allowable costs, budgets, and other questions specific to their grant.

Each applicant will need a Unique Entity Identifier (UEI), registration with SAM, and an account with Grants.gov.

Please note that the UEI is replacing the DUNS (Dun & Bradstreet Data Universal Numbering System) number. (See Unique Entity Identifier update.)

All applicants are required to have a current registration in SAM.gov. Note that the registration process in SAM.gov may take weeks. A federal assistance award cannot be issued if the designated recipient’s registration in SAM.gov is not current at the time of the award. Application period extensions will not be provided due to delayed SAM registration.

See Section 4.3.2 of the NOFO for directions on how to submit an application for this NOFO via Grants.gov.

Grants.gov provides applicants 24/7 support via the toll-free number 1-800 518-4726 and via email. For questions related to the specific grant opportunity, email InnovationFund.

If you are experiencing difficulties with your submission, it is best to call the Grants.gov Support Center and get a ticket number. The Support Center ticket number will assist NTIA with tracking your issue and understanding background information on the issue.

Please refer to Section 4.3.4 of the NOFO for information regarding how to track if your application was received.

NTIA anticipates beginning its first round of awards in Fall 2024. Please refer to Section 5.2 of the NOFO for additional information regarding successful and unsuccessful application notifications. 

Since the Innovation Fund is a competitive grant program, NTIA encourages stakeholders, including potential applicants, to gain additional information about the program through the following channels:

• Check the Innovation Fund webpage regularly for more information. NTIA will post program updates and frequently asked questions there.
• If you have specific questions about the Innovation Fund program or the program requirements, you can submit questions to InnovationFund. NTIA will provide written responses and will also publicly post the questions and answers under the FAQs on the Innovation Fund website.

NTIA will not host or accept individual meetings specific to NOFO 2 during the open application period due to the competitive nature of the grant program. 

Subgrantees or subrecipients may participate in more than one project. However, both recipients and subrecipients need to ensure there is no actual or apparent conflict of interest in such participation.

Yes

Letters of support/memorandums of understanding, resumes and CV, lists of citations, consortium agreement documents, workplans, and other information that support the technical proposal may be submitted in addition to the 20-page technical proposal. The supporting material will not be scored but may be used by merit reviewers to verify, validate, or support the content of a technical proposal.

Applicants must be registered in SAM.gov to apply for grants through Grants.gov. As stated in Section 4.3.3 of the NOFO, application period extensions will not be provided due to delayed SAM registration. There is no plan to waive the SAM registration requirement. Entities are strongly advised to complete their registration as soon as possible.

All forms can be downloaded directly from the Grants.gov Grant Forms page.

The applicant must submit a changed or corrected application to Grants.gov. The steps to submit a changed or corrected application through Grants.gov are the following:

1. Access completed application forms and make any needed corrections. The Workspace AOR or Workspace owner must reopen the Workspace to edit forms.
2. Check the "Changed/Corrected Application" box in item #1 of the SF 424 form.
3. Provide the Grants.gov tracking number (e.g., GRANT12345678) in 5b. Federal Award Identifier field.
4. Save the changed or corrected application once all corrections are made.
5. Submit the changed or corrected application to Grants.gov (done by the AOR). Note: On the sign and submit pop-up window, applicants will be asked the question, “Is this a changed/corrected application?” and have an option to select "Yes" or "No". If an application is being re-submitted using the same workspace, the "Yes" option will be selected by default and the grant tracking number from the previous submission will be listed.
6. Track the changed or corrected application through Grants.gov.

More information can also be found on the Grants.gov Related Submissions help page.

The The Federal Entity Identifier field 5a does not apply to this program.

The Innovation Fund is not subject to EO 12372.

All applicants must complete form CD-511, “Certification Regarding Lobbying.” Applicants do not need to complete other forms (i.e., SF-LLL) unless they engage in individual lobbying or have an external lobbyist work on their behalf to lobby the Innovation Fund program.

This data element is intended to indicate the project’s place(s) of performance. Please attach a Project/Performance Site Location(s) Form available on Grants.gov.

All applicants are required to complete a Product Security and Cybersecurity Management Plan (See Section 4.1.1(m) of the NOFO). Additionally, all SRFA 1 applicants shall incorporate the following O-RAN Alliance and 3GPP security specifications and tests:

Currently, there is no timeline or estimate for the next NOFO release. We recommend you monitor NTIA.gov and the Innovation Fund webpage for future announcements.

NTIA is seeking projects that accelerate the development of open RU products to the point where they meet carrier needs and are ready for commercial trials, and projects that improve the overall performance and capabilities of open RUs through targeted research and development.

A SRFA is a distinct topic area in an Innovation Fund NOFO that is related to the objectives of the program and that applicants must address to receive funds. It is essentially a “proposal category” in a NOFO. The term “specific research focus area” originates from the Innovation Fund’s authorizing statute, which states, “The amount of a grant awarded …. to a recipient for a specific research focus area may not exceed $50,000,000” (see 7 U.S.C. § 906(a)(1)(B)(ii)). Incorporating multiple SRFAs into a single NOFO allows the Innovation Fund to maximize a NOFO’s impact by awarding funds to multiple proposals in distinct but synergistic areas.

Yes. However, a single application cannot address both SRFAs; it must address either SRFA 1 or SRFA 2. Applicants interested in applying for both SRFAs must submit a separate application for each SRFA. Eligible entities may submit no more than one (1) application under SRFA 1 and three (3) applications under SRFA 2.

No. However, the NOFO requires that the solution be compliant with 3GPP R16 and interoperable with other vendor solutions to supply certain functionality assessed and validated according to defined standards and test cases (see NOFO Section 2.3).

No. MNOs across the globe function across multiple frequency bands as decided by regulatory authorities within the geographies where they supply service. The frequency bands in which the solution operates are MNO-specific and are not prescribed by the Innovation Fund. However, funding for SRFA 2 topics in bands that are speculative and not currently commercially deployed or not under consideration for future commercial use may be given lower prioritization or disqualified. Applicants are advised to review authoritative sources such as the World Radiocommunication Conference 2023 (WRC-23) Provisional Final Acts report for frequency bands under global consideration across different regions and cite such authoritative sources in their proposal if it involves frequency bands not yet available commercially.

No. Although it is not a requirement for proposals under the second NOFO to be dependent upon outputs from the first NOFO, the Innovation Fund program is designed to build upon the research and development (R&D) and T&E aspects of the first NOFO. It is recommended that applicants consider how their solution may leverage outputs from the first NOFO (e.g., usage of T&E facilities) and communicate any linkage in their proposals.

No. While it is expected that innovative solutions may leverage original design manufacturer (ODM) reference designs as a starting point, applicants must explicitly define what value project participants will add and the corresponding market impact. The Innovation Fund is designed to facilitate new functionality to enable open and interoperable solutions that will further diversify the wireless supply chain. Solutions that introduce no new or enhanced functionality toward those goals and simply involve white labeling or re-branding existing technologies will not be considered.

No. However, applicants should define the specific use cases that their proposal addresses and the commercial and scalability impacts of those specific use cases as a component of their commercial transition plan. For SRFA 1 projects, a specific use case should be validated by the supporting MNO partner.

Yes. Applications that are not aligned to at least one of the defined SRFA 2 topic areas will be disqualified. SRFA 2 applicants must declare their topic areas in Item 12 of the SF-424 Application for Federal Assistance (see Section 4.1.1(a)).

• SRFA 1: No. The objectives of SRFA 1 are primarily related to the commercialization of scalable and interoperable RUs; thus, project work under this SRFA must directly involve the RU.
• SRFA 2: Yes. However, all applications must be mapped to at least one of the defined topic areas in the NOFO. Applicants should clearly define the enhancements and any proportional efficiency gain or performance improvement metrics for the RU because of the optimization in their proposal. Applicants will be required to demonstrate the metrics as proof of concept and therefore are advised to define the desired RU capabilities and a development and acquisition timeline with relevant RU partners. The applicants must further demonstrate how new functionality or performance enhancements have a clear path to commercial deployment. The application must still clearly map to one of the topic areas identified in Section 3.3.1 of the NOFO.

Yes. However, any chip design innovation research will only be considered if downstream manufacturers are limited to trusted sources. As with all partners, a foreign chip manufacturing partner must not be an ineligible entity as defined in NOFO Section 6.1.3.

The Build America, Buy America Act (BABA) was enacted as part of the Infrastructure Investment and Jobs Act §§70901-70927, Pub. L. No. 117-58 (2021). BABA is aimed at promoting the use of American-made products and materials in federally funded infrastructure projects. BABA requires all iron, steel, manufactured products, and construction materials used in federally funded infrastructure projects to be produced in the United States. BABA applies to non-Federal entities that construct, alter, maintain, or repair infrastructure as part of their project. The term “non-federal entities” is defined to include States, local governments, territories, Indian tribes, Institutions of Higher Education, and nonprofit organizations. The term “infrastructure” only encompasses projects that will serve a public function. It is NTIA’s expectation that BABA requirements will not apply to most applicants. If you think BABA might apply to your project, please contact InnovationFund for more information.

Further details on BABA requirements and implementation can be found in the BABA statute, the Code of Federal Regulations, and guidance issued by the Office of Management and Budget (OMB).

Eligibility requirements are listed under Section 2.2.1 of the NOFO for SRFA 1, and Section 3.2.1 for SRFA 2. Additionally, Section 6.1.3 of the NOFO provides information regarding certain entities that are not eligible to receive grants or participate in Innovation Fund grant funded activities.

Yes, recipients of awards under the first Innovation Fund NOFO are eligible to receive funds under the second NOFO, if the recipients otherwise meet the appropriate eligibility requirements. Likewise, recipients of awards under the second NOFO are eligible to receive funds under future NOFOs, if they are otherwise eligible under the specific terms of future NOFOs.

Both U.S. and non-U.S. entities are eligible to apply for and receive funding under SRFA 1 and SRFA 2. However, SRFA 1 applications must meet the following requirement:

• Either the applicant, an MNO partner, or both must hold Ultimate Beneficial Ownership (UBO) in the U.S., its territories, and possessions.

UBO will be validated by the SAM Registration or SF-328 of each partner.

For SRFA 1, grant activities for RU supplier product development work must be performed in the U.S., but work in support of MNO lab or field testing may be performed outside the U.S. For SRFA 2, all grant activities must be performed in the U.S. Please keep in mind, however, that activities taking place in covered nations are not permissible under either SRFA. See Sections 2.2.5 and 3.2.5 of the NOFO for more information regarding SRFA 1 and SRFA 2 place of performance requirements, respectively.

An entity is considered a “foreign entity of concern” if it meets the criteria in 15 U.S.C. § 4651(8) and 15 C.F.R. § 231.104, subject to any further rulemaking promulgated by DOC. Any applicant, sub-applicant, participant, or other entity that is owned or controlled by a foreign entity of concern is ineligible to receive funds under the second NOFO.

The term “covered nation” as defined in 10 U.S.C. § 4872(d)(2) means the Democratic People’s Republic of North Korea, the People’s Republic of China, the Russian Federation, and the Islamic Republic of Iran.

SRFA 1 applicants (i.e., open RU suppliers) must partner with at least one Mobile Network Operator (MNO). The partnership(s) must be demonstrated through a Letter of Partnership Intent with each MNO describing the criteria listed in Section 2.4.4 of the NOFO. The purpose of the Letter of Partnership Intent is to ensure that the applicant has the capability to accomplish what they have stated in their technical proposal and to show that the external partners are fully on board with the proposed project. Additional partnerships are allowed and will require Letters of Commitment as described in Section 4.1.1(n) of the NOFO. Applicants should also keep in mind that a more formal demonstration of the partnership will be requested post-award.

SRFA 2 applicants are allowed but not required to establish partnerships. Applications demonstrating partnerships require a Letter of Commitment signed by all partners. Please refer to Section 4.1.1(n) of the NOFO for more information.

• Open RU Supplier: Any entity capable of production (i.e., design and/or manufacturing) and commercial sale of open RUs.
• MNO: An entity that operates a 5G NR network (this includes 4G network operators with 5G NR upgrade plans), offers network services to the public, and owns the RAN infrastructure used by the network using leased or exclusive licensed spectrum.

NTIA would deem the following example to be a strong partnership:

• The applicant, an open RU supplier, is striving to meet the product needs of an MNO partner with clearly defined roles and responsibilities, established communication mechanisms, and risk management processes.
• The MNO has an explicit desire to validate open and interoperable RUs and, pending successful testing and integration, has made a commitment to commercially deploy the RUs produced by the project at its completion.

Section 2.4.4 of the NOFO outlines the Letter of Partnership Intent elements that a successful SRFA 1 application would include.

If an SRFA 2 applicant chooses to establish partnerships to support project activities, they must provide an LOC from any participating consultants, subrecipients, or contractors. The LOC must address the information described in Section 4.1.1(n) of the NOFO.