Frequently Asked Questions #3

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, that 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 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.

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.

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

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.

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 email your questions to the Innovation Fund team. 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 3 during the open application period due to the competitive nature of the grant program. 

Grants.gov, the website where Innovation Fund applications are submitted, provides applicants 24/7 support via the toll-free number 1-800-518-4726 and email at [email protected]. For questions related to the specific grant opportunity, email [email protected].

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.
 

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.

No. Although it is not a requirement for solutions under the third NOFO to be dependent upon outputs from the first and second NOFOs, the Innovation Fund program is designed to build upon the research and development (R&D) and testing and evaluation (T&E) aspects of the first NOFO and the radio unit (RU) commercialization and innovation aspects of the second 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 second NOFO (e.g., usage of developed open RUs) and communicate any linkage in their proposals.

Yes, applicants can use the T&E laboratories funded during NOFO 1 as a part of their projects. The applicant must negotiate with the T&E labs directly. It is important for both parties to understand cost share requirements, as funding claimed as a contribution to any other Federal award or funding received by any other Federal award generally cannot be counted as cost share. Budget and spending for all NOFO funded projects are tracked, monitored, and recorded separately to ensure fiscal accountability and compliance.

For example:

• A NOFO 3 applicant cannot report the funding received by a T&E lab to support testing under Innovation Fund NOFO 1 as cost share on the NOFO 3 application; and
• A NOFO 1 T&E lab cannot report any funding received by a NOFO 3 awardee as a cost share for its NOFO 1 award.

Again, this does not prevent any entity from making the most of existing federal investments. More information on cost share criteria can be found in 2 C.F.R. § 200.306(b).
 

We know stakeholder input is critical to the successful implementation of the Innovation Fund. The Innovation Fund continues to incorporate feedback from NTIA’s previous listening sessions (linked here and here) and a Request for Comment, as well as ongoing market analysis.

We are also evaluating applications for membership on the Innovation Fund Advisory Committee (IFAC) and expect to make appointments in Spring 2025.  Once established, the IFAC will augment existing stakeholder processes.

We know stakeholder input is critical to the success of the Innovation Fund and are actively working to stand up the Innovation Fund Advisory Committee (IFAC).

We are currently evaluating applications for membership to the committee and expect to make appointments in Spring 2025. Once established, our advisory committee will augment existing stakeholder processes.

We encourage stakeholders to frequently visit the IFAC website for the latest information and details related to IFAC updates and announcements.

The Innovation Fund Program hosted an Industry Day event on 01/10/2025, after which in-person participants were able to connect and network. The recording can be found here. At this time, no additional programming for NOFO 3 is scheduled. If additional programming is added, we will announce that and other programmatic updates on the Innovation Fund website.

The NOFO does not require the inclusion of any particular business case when demonstrating a commercial need for the technology in the Letter of Partnership Intent. However, as described in Section 4.1.1 (l), applicants should include in their Commercial Transition Plan a financial plan outlining the business case on the solution’s benefit across the value chain and the proposed revenue model.

There is no requirement in the NOFO that the networks be terrestrial. However, SRFA 1 and SRFA 2 solutions must be compliant with 3GPP and ORAN Alliance specifications per Sections 2.3.2 and 3.3.2 of the NOFO, respectively.

The 3rd Innovation Fund NOFO does not define SRFA 1 and SRFA 2 technical maturity requirements in terms of Technology Readiness Level (TRL) or Manufacturing Readiness Level (MRL). Please refer to Section 2.3.1 and Section 3.3.1 for a description of the minimum entry and exit technical maturity requirements for SRFA 1 and SRFA 2, respectively.

NTIA encourages, but does not require, the use or development of open-source software in the solutions developed under this NOFO.

Yes. However, a single application may only address one (1) SRFA. If an entity wishes to apply for funding under both SRFAs, separate applications must be submitted. Applicants may submit a maximum of three (3) applications under SRFA 1 and one (1) application under SRFA 2. Each application must focus on only one (1) project.

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.

Please review the form’s 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.

The deadline for NOFO 3 has been extended to April 16, 2025. For additional information about the program please check the Innovation Fund webpage. To view the Innovation Fund’s latest Notice of Funding Opportunity (NOFO), please visit grants.gov.

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. Additionally, Section 4 outlines application and submission requirements applicable to both SRFA 1 and SRFA 2.

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

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

All applicants are required to have a current registration in SAM.gov. 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.

Items ‘a’ through ‘f’ 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 ‘g’ through ‘s’ must be uploaded to Grants.gov as attachments to field 15 of the SF-424 form by clicking on “Add Attachment.”

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

Yes.

Letters of support/memorandums of understanding, lists of citations, consortium agreement documents, and other information that supports 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. As noted in Section 4.1.1 (q), all applicants must provide up to five (5) one-page resumes of key personnel involved in the project. These resumes are not included in the 20-page limit for the 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.

NTIA anticipates beginning its first round of awards in Fall 2025. Please refer to Section 5.2 of the NOFO for additional information regarding successful and unsuccessful application notifications.

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(n) of the NOFO). 

The applicant is the entity, i.e., the organization submitting the application package on Grants.gov using a unique SAM registration. The applicant is not the principal investigator (PI).

As noted in the Executive Summary, each applicant may submit a maximum of three (3) SRFA 1 applications and one (1) SRFA 2 application. Please refer to Section 2.2.1. and Section 3.2.1. of the NOFO for additional eligibility requirements.

The applicant is not the PI. The applicant is the entity, i.e., the organization submitting the application package on Grants.gov using a unique SAM registration.

NIST and NTIA only require the eligible entity applying for Innovation Fund NOFO 3 project funding to be registered with SAM.gov and have a UEI. For all applications, the partner(s) need to provide a SAM UEI or provide a completed SF-328. Note, however, that any entity that receives Federal funding will need a UEI before receiving those funds.

There is no limit to the number of applications where an entity can participate as a subrecipient, contractor, or any other type of allowable partnership, if the other requirements are met (i.e. national security, place of performance, etc.).

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 Innovation Fund 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).

Applicants will have up to seven (7) calendar days from the date that the curing notification email was sent to resolve deficiencies, unless extended by NTIA. Additional days may be added to account for federal holidays falling within the seven (7) calendar day window.

Applicants should use SF-424 version 4.

Itemization and justification of new facility or equipment costs, including software and services, should be included both in your Technical Proposal and in your Budget Narrative and Justification spreadsheet.

The Technical Proposal should include a detailed description of the facilities, equipment, software, and services required for your project, and should explain how these items are essential to achieving project objectives. This helps demonstrate the necessity of these resources and their direct relevance to the proposed activities. Sections 2.4.1 and 3.4.1 provide instructions for the Technical Proposal for SRFA 1 and SRFA 2 respectively.

The Budget Narrative and Justification spreadsheet should include itemized costs for these and other items, including specific figures and an explanation regarding why the requested amounts are necessary for the project. This explanation allows reviewers to assess the reasonableness and appropriateness of the proposed expenses. Section 4.1.1(h) provides instructions for the Budget Narrative and Justification.

Including information in both sections of your application will help ensure reviewers have a clear understanding of the resources required for your project and how they align with the objectives and scope of the NOFO. 

Please refer to Section 6.4.9 of the NOFO for guidance on confidential information. Information or data the applicant deems as confidential commercial information or that otherwise should not be publicly disclosed should be “identified, bracketed, and marked as privileged, confidential, commercial or financial information.” NTIA will protect confidential and proprietary information from public disclosure consistent with applicable laws. However, if a project is selected for funding, the executive summary may be used by NTIA in award announcement materials and posted on the public NTIA.gov website; therefore, applicants should ensure that no proprietary or business confidential information is included in the executive summary.

A subrecipient is an entity that receives a subaward from the primary recipient (i.e., the applicant or “eligible entity”) to carry out a specific portion of the project. Subrecipients must comply with all applicable federal regulations and the terms and conditions of the original grant award, as well as the specific provisions outlined in the subaward agreement. 

Each applicant may submit a maximum of three SRFA 1 applications and one SRFA 2 application. The limitation on the number of applications that may be submitted applies at the applicant level – i.e. the entity that submits the application package on Grants.gov with a unique SAM registration. Please see NOFO Sections 2.1.1 and 3.2.1 for additional eligibility requirements and note the list of ineligible entities (applicants and other participants) Section 6.1.3.

Applicants who qualify as small businesses can seek the 5% bonus if 40% or more of the requested federal funding will be granted to, or sub-granted to, a business that meets the definition of a small business, as defined in the NOFO. Contractor costs are not included as part of this 40%. 

Applicants who qualify as a small business, which is defined in the NOFO as an independent business having fewer than 500 employees, must indicate in their SF-424 that they are an appropriate entity type under question 9. In addition, applicants who qualify for the Programmatic Review Score bonus and would like to benefit from it should describe their status as a small business in their budget narrative and justification under the Instructions and Summary tab, row 33 – Additional Explanation. 

To assess this request, the programmatic reviewers will review the budget request to confirm that 40 % of the federal funding will be granted or sub-granted to a small business. Any intended sub-recipients included in the application must demonstrate that they meet the definition of a small business and indicate the small business’s share of federal funding as a percentage of total federal funding requested. Programmatic reviewers may also perform desk research to confirm that entity type by checking sam.gov, conducting online searches, requesting additional information from the applicant, or any other methods the programmatic reviewer considers necessary.

When an award is issued, the award documentation will include a period of performance start date. Recipients should not begin implementing their award before that date. All costs for activities undertaken prior to the start of the period of performance are incurred at the recipient’s own risk, unless the recipient has received written approval from the NIST Grants Officer. 

NIST and NTIA only require the eligible entity submitting an application for Innovation Fund NOFO 3 project funding to be registered with SAM.gov and have a UEI. While either the applicant or at least one partner must hold Ultimate Beneficial Ownership (UBO) in the U.S., its territories, and possessions, UBO status is validated through SAM registration or a completed SF-328.

No. As described in Sections 2.3.2 and 3.3.2 of the NOFO, the minimal network configurations to support solutions developed under this NOFO must be compliant with 3GPP 5G NR Release 16 specifications and the latest releases of the O-RAN Alliance specifications, as applicable to the proposed solution and prototype.

The term “network configuration” in Sections 2.3.2 and 3.3.2 of the NOFO refers to all hardware and software elements of the network. Therefore, the RU, DU, and CU and all other hardware and software elements in the network that support the solution must at a minimum be compliant with 3GPP 5G NR Release 16 specifications and the latest releases of the O-RAN Alliance specifications per the July 2024 Specification Train (Release 4), as applicable to the proposed solution.

Applicants may include a 2G component in their project, as long as they meet all of the requirements in the NOFO, including but not limited to the performance and interoperability requirements in Sections 2.3.2 and 3.3.2. 

Yes. Software licenses are an allowable cost as long as they are reasonable, allocable, and necessary in line with the NOFO 3 requirements. Applicants should document the basis of the cost through quotes or other similar means of demonstrating free and open competition and best value.

For SRFA 1 and SRFA 2, neither the applicant nor the partner(s) are required to be a mobile network operator (MNO). Regardless of whether an MNO is involved, applicants and their partner(s) must meet all applicable requirements in the NOFO.

NTIA expects partners to read all sections of the application that pertain to their roles, responsibilities, and commitments. A partner is not required to read sections that include another partners’ IP, unless those parts also pertain to the first partner’s roles, responsibilities, and commitments.

The Letter of Partnership Intent information, as identified in Section 2.4.5 (SFRA 1) and Section 3.4.5 (SFRA 2) of the NOFO, is required.  The phrase “if applicable” is used in the NOFO to indicate that not all partners may receive Innovation Funds as a result of their participation in the project. The Letter of Partnership Intent must document the partner(s) proportion of federal funding, regardless of whether the partner(s) receives any funds (e.g., a partner receiving no federal funding would use 0% of the federal funding).

Section 3.4.5 of the NOFO requires an SRFA 2 applicant to submit a single Letter of Partnership Intent (LoPI), signed by all parties and addressing a specific list of items. Failure to provide the LoPI would result in an incomplete application.

As stated in NOFO 3 Section 4.1.1.(q), one-page resumes are required for up to five key personnel involved in the project.  The applicant must identify who the key personnel are for the project and prioritize accordingly among its staff and partners. 

The contributions to U.S. economic security listed in Section 4.1.1 (l) of the NOFO are examples of ways in which a project may benefit U.S. economic security. The list is suggestive and not exhaustive; a project does not necessarily need to address every contribution on the list to demonstrate a benefit to U.S. economic security, and NTIA may consider other contributions not listed in Section 4.1.1 (l). If an application seeks to demonstrate a project’s contribution to job creation, the application may do so without addressing the Good Jobs Principles. 

Yes, a subcontractor may be a partner under SRFA 1. If so, the subcontractor must sign the Letter of Partnership Intent. If a subcontractor signs the Letter of Partnership Intent, they are not required to submit a Letter of Commitment. If a subcontractor is not a partner and has not signed a Letter of Partnership Intent pursuant to Section 2.4.5 of the NOFO but has an active role in executing activities outlined in the Technical Proposal, they must submit a Letter of Commitment as outlined in Section 4.1.1(o) of the NOFO. 

The timeline for the completion of NTIA’s Environmental Review for applicable projects can vary depending on the project type, scope, and location. Providing the appropriate documentation and relevant project information at the time of application as outlined in Section 6.4.13 of the NOFO will assist NTIA to make a preliminary determination of the level of National Environmental Policy Act (NEPA) analysis required if a project is selected for funding. The documentation should include a detailed description of all proposed project activities, the extent of proposed ground disturbance, a description of the land uses and natural features at the proposed site and its immediate surroundings, and maps and photographs.  Construction projects cannot proceed without NTIA Environmental and Historic Preservation (EHP) approval. 

The Innovation Fund does not use NAICS codes for small business designation purposes.  As stated in NOFO 3’s Appendix A – Glossary of Terms, for the purpose of Innovation Fund eligibility for the additional weighting for small businesses, small business is defined as an independent business having fewer than 500 employees. Small Business applicants must indicate their entity type in their SF-424 application under question 9. 

We are unable to share the list of event attendees or their contact information. However, you are more than welcome to view a recording of the event on the Innovation Fund’s website.

You can view the recording of the event and download the slides from the presentation here.

NTIA expects to make awards on a rolling basis, however, as this is a competitive grant program, we cannot provide interim updates or estimate when grants will be awarded. All awards and relevant dates will be posted on our website Public Wireless Supply Chain Innovation Fund. 

NTIA allocated $450,000,0000 for awards under this NOFO. NTIA expects to award grants to applications that fall into the following award sizes: 

• SRFA 1: $24,000,000-$50,000,000 per project. 
• SRFA 2: $9,000,000-$18,000,000 per project. 

Applicants requesting funding amounts outside the anticipated SRFA award ranges must provide a reasonable explanation for the variance, however, in no instance may a single applicant receive more than $50,000,000 for a single SRFA. Please see Section 1.3.3 of the NOFO for further information on this topic. 

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.

Please see Section 6.3.2.3 of the NOFO for information regarding ineligible costs related to equipment, supplies, and services from untrusted vendors.

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 via use of a negotiated indirect cost rate agreement (NICRA), or the applicant may include a statement that they are electing to charge a de minimis rate of 15 percent of modified total direct costs, per 2 CFR § 200.414(f). Note that indirect costs pursuant to a NICRA are considered to be “verifiable” under 2 CFR 200.306(b)(1) and thus can be included as part of an applicant’s cost share. Indirect costs under the de minimis rate are not considered to be verifiable, and thus may not be paid via a cost share. Please see Section 4.1.1.i of the NOFO, 2 C.F.R. § 200.414, and 2 CFR § 200.306(b)(1) for more information.

Please refer to 2 C.F.R. § 200.431.

Please refer to 2 C.F.R. § 200.475.

Cost share is required for both SRFAs. There is a 30% minimum cost share requirement for SRFA 1 (Industry Vertical Solutions) and a 20% minimum cost share requirement for SRFA 2 (Integration Automation Solutions). Please refer to Section 2.2.3 and Section 3.2.3 of the NOFO for more information on SRFA 1 and SRFA 2 cost share, respectively. Applications that do not meet the minimum cost share requirement will be disqualified.

Cost share may include cash or in-kind contributions. All contributions must meet the requirements in 2 C.F.R. § 200.306 and other allowable cost requirements of this NOFO. 

Per term B.06 the Department of Commerce (DOC) General Terms and Conditions, an applicant can use a provisional rate (greater than the de minimis rate of up to 15% of modified total direct costs) 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 term cognizant Federal agency generally is defined as the agency that provides the largest dollar amount of negotiated contracts, including options. See 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 recipients post-award on how to handle specific allowable costs, budgets, and other questions specific to their grant.

Existing facilities and equipment, such as a 5G lab, may be listed as an in-kind contribution. Costs related to acquisition and installation of equipment may only be used as an in-kind contribution if they are expended during the period of performance of the grant award under this NOFO. Similarly, costs related to using the equipment may also be listed as an in-kind contribution. However, if the equipment is used for both activities under this NOFO and for other purposes, only the portion proportional to its use for NOFO-related activities can be included in the match. 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 6.4.10 of the NOFO, recipients of federal grant funds can retain rights to any intellectual property developed during the grant. NTIA encourages Innovation Fund recipients to leverage this ability to the maximum extent practical.

A sub-award subjects the sub-awardee to the same terms and conditions as the direct recipient and it requires the direct recipient to oversee the sub-recipients’ 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 C.F.R. § 200.331 for more information.

No. Applicants may contribute additional cost share above the minimum requirement but will not receive bonus points for doing so. However, applicants should structure the finances of their projects in a way that maximizes private sector contributions and minimizes the need for government incentives. Please be advised that cost share, whether cash or in-kind, must be expended within the period of performance, and expenditures must be reported semi-annually in the Federal Financial Report (FFR/SF-425).

There is a 30% minimum cost share requirement for SRFA 1 (Industry Verticals Solutions). There is a 20% minimum cost share requirement for SRFA 2 (Integration Automation Solutions).

Unlike NOFO 2 SFRA 1, no additional bonus will be awarded to applicants that exceed their respective cost share requirements. Cost share, as provided in the application, is recorded in the grant agreement and must be expended within the period of performance and be reported on the semi-annual Federal Financial Report.

Pre-existing software solutions used as part of the overall execution plan may be included as an in-kind contribution to the extent that the costs associated with the software were expended during the award’s period of performance and are necessary and reasonable for achieving the objectives of the Federal award. This applies to both costs related to acquisition and installation of the software, as well as costs associated with using, maintaining, or updating the software. If the software is used for activities under this NOFO and for other purposes, only the portion of costs proportional to its use for NOFO-related activities can be included in the match. Note that if the software was paid for by another Federal grant or other Federal funding source (e.g., Contract, Cooperative Agreement, donation, 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.

Contractors, vendors, sub-recipients and other partners can provide cost share as long as they are eligible entities as per Section 2.2.1 of the NOFO for SRFA 1, and Section 3.2.1 for SRFA 2, as well as Section 6.1.3 of the NOFO. However, if the cost share is a result of a 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, unless the authority for that funding contains an explicit exception. Please refer to 2 C.F.R. § 200.306 for additional compliance requirements and information regarding cost share.

All applicants, including universities and non-profit organizations, are required to meet the cost share/match requirements for each SRFA as outlined in Section 1.3.3.3. of NOFO 3.

Yes, you can submit proposals under the specified funding limit provided by the NOFO, but the application must include a reasonable explanation for why the request falls below the anticipated award range.

Labor expenses may be counted as a cost share so long as they meet the requirements outlined in 2 CFR 200.306, including that they be verifiable in the recipient’s records and be necessary and reasonable for achieving the objectives funded by the Innovation Fund award.  

The expectation is that the cost share will be expended commensurately with the expenditure of federal funds during the period of performance. The specific activities that comprise the cost share must be identified in the recipient’s Budget Narrative and Justification Form, must be allowable under the Innovation Fund, and must meet the requirements outlined in 2 CFR 200.306.

NTIA and NIST will accept in-kind contributions from the recipient, subrecipient, or a third-party as cost share as long as the contributions meet the requirements of the NOFO and 2 CFR 200.306(b). Among other requirements, any cost match must be necessary and reasonable for achieving the objectives of the Federal award, must not be included as contributions for any other Federal Award, and generally must not be paid by the Federal Government under another Federal award. In addition, the NOFO prohibits pre-application expenses (per section 6.3.2.5), including previously incurred administrative costs or previously purchased supplies or equipment. If you have questions about specific costs or activities, please provide additional details.

If an applicant has a current negotiated indirect cost rate agreement (NICRA), that NICRA will apply to an Innovation Fund award, and costs that are allowable under that NICRA would be allowable expenses (either as a part of the Federal share or the cost match). If an applicant does not have a NICRA, they may either apply for one or elect to charge a de minimis rate of up to 15% of their modified total direct costs, per 2 CFR 200.414(f). See 2 CFR 200.306 for additional information on cost sharing/matching.

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 with federal funds 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. Recipients 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 C.F.R. § 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 C.F.R. § 200.311(b) and (d), and for intangible property, please see 2 C.F.R. § 200.315.

Grant funding will be available for reimbursement through an automated drawdown system as costs are incurred. Advances are limited to the minimum amounts necessary to meet immediate disbursement needs, but in no case should exceed the amount of cash required for a 30-day period. Funds drawn down in advance through ASAP must be kept in an interest-bearing account and be spent within three (3) business days. Supporting documentation (invoices, timesheets, etc.) for the drawdown amounts must be maintained by the recipient and is subject to audit and monitoring by the government.

No. Applicants are required to include EHP and NEPA information in their applications only if the proposed project involves construction and/or ground disturbing activities. Please refer to Section 6.4.13 of the NOFO for information regarding EHP and NEPA compliance when such activities are involved.

NIST and NTIA will not entertain the negotiation of the Department of Commerce Financial Assistance General Terms and Conditions.  As stated in Section 6.4.2 of the NOFO, the Department of Commerce will apply the Financial Assistance General Terms and Conditions to each award issued in this program on the date it is awarded. 

It is up to the applicant to ensure that the application submitted is complete and addresses all NOFO requirements.

The budget should be submitted by the applicant and reflect anticipated federal and non-federal expenses for the entire project. This includes the portion of the budget allocated to any subcontractors or subrecipients. In addition to the SF-424 and SF-424A, which are required for all Innovation Fund NOFO 3 applications (NOFO Section 4.1.1(h)), applicants are also required to complete the Budget Narrative and Justification Form.  This Form itemizes the total amount addressing costs for the prime recipient and any subrecipients and subcontractors.  This document contains instructions for completion and must be submitted to NTIA in Excel.

Additionally, per section 4.1.1(h)(6) of the NOFO, each contract or subaward shall be treated as a separate item in the Budget Narrative and Justification Form. For each item, identify the cost and describe the services to be provided and the necessity of the subaward or contract to the successful performance of the proposed project.

Please refer to Sections 2.2.4 and 3.2.4 for SRFA 1 and 2 Period of Performance requirements, respectively. For work plan requirements, refer to Section 2.4.2 for SRFA 1 and Section 3.4.2 for SRFA 2.

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.

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

•    Either the applicant or at least one partner must hold Ultimate Beneficial Ownership (UBO) in the U.S., its territories, and possessions.

UBO will be validated by the System for Award Management (SAM) Registration or SF-328 of each partner.

Please refer to Sections 2.2.5 and 3.2.5 of the NOFO for 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 the U.S. Department of Commerce. 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 third 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.

Yes, 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.

Correct, the partner does not need to be a co-applicant. The applicant is the entity, i.e., the organization, submitting the application package on Grants.gov using a unique SAM registration.  Letters of Partnership Intent must meet the requirements as outlined in Section 2.4.5 and Section 3.4.5 of the NOFO for SRFA 1 and SRFA 2, respectively.

No, as long as the individual is eligible to work in the United States and is not an ineligible participant (see Section 6.1.3).

International Entities with no subsidiary in the U.S. must obtain an NCAGE Code from here before starting a SAM.gov registration. SAM.gov also provides a Quick Start Guide for International Registrations that can help such entities throughout the process.

Please also note that activities involving or occurring within an entity described in Section 6.1.3 are not permitted under any circumstances.

NTIA is allowing flexibility to perform project activities in the U.S. or overseas, excluding covered nations that pose national security concerns (see Section 6.1.3 and Appendix A – Glossary of Terms) because we recognize that global commercial adoption is necessary for the Innovation Fund to be successful in meeting statutory objectives. There is no cap on the percentage of work that can be performed outside of the U.S. However, in Merit Review, NTIA will evaluate the degree to which an application contributes to the economic security of the U.S., such as through work done in the U.S., job creation, inclusion of U.S. partners, and other contributions (see Section 2.5 and Section 3.5 of the NOFO). 

Applicants will not be penalized for proposing a non-U.S. place of performance as long as their proposed place of performance complies with Sections 2.2.5 and 3.2.5 of the NOFO. 

Applications may earn up to 7 points in Merit Review for demonstrating a commitment to U.S. economic security. When evaluating an application’s benefit to U.S. economic security, NTIA will consider the various factors described in Section 4.1.1 (l), including not only partnerships with U.S. stakeholders, but also contributions to job creation in line with the Good Jobs Principles; U.S. economic productivity, U.S. innovation in software development, 5G or other areas, U.S. wireless supply chain competitiveness; expanding market opportunities for U.S. wireless industry stakeholders; U.S.-based deployment plans; U.S.-based work or investments; or other contributions. NTIA will evaluate the quantity and quality of U.S. partnerships, the applicant’s UBO status, and the application’s other contributions to U.S. economic security as described in Section 4.1.1 (l) when determining an application’s Merit Review score.

Government-affiliated entities may be eligible to receive grants and participate in grant-funded activities under NOFO 3, if they meet the eligibility requirements in Section 2.2 or Section 3.2 and are not listed as an ineligible entity in Section 6.1.3. Government entities may not serve as the target vertical in an SRFA 1 project. In accordance with 31 U.S.C. § 6304, federal grants are generally required to carry out a public purpose of support or stimulation and are not to be used to perform work for the direct benefit of the United States Government. As such, any costs for work where the principal beneficiary is one or more U.S. Government agencies are unallowable (e.g., work to develop a prototype that only meets the requirements of a single U.S. Government agency). 

However, costs related to work where the U.S. Government is an indirect beneficiary are allowable. For example, a prototype developed for the commercial market that also may be used by U.S. Government customers. Any determination of the principal beneficiary is at the sole discretion of NTIA.

Any entity may be an applicant, as long as they meet the eligibility requirements in the NOFO. For example, for SRFA 1, the applicant must be capable of developing, integrating, and commercially selling and/or deploying software solutions that leverage data and/or features made accessible through Open RAN interfaces for use by vertical industry customers. For SRFA 2, the applicant must be capable of developing and commercially selling and/or deploying RAN network integration automation prototypes. If an entity does not meet these requirements, they may not be the applicant. 

Applicants may choose the partnership arrangement that they consider best suited to achieve the goals of the NOFO, as long as they meet the eligibility requirements in Sections 2.2.1 and 3.2.1, the Partnership and Letter of Partnership Intent requirements in Sections 2.4.5 and 3.4.5, and other relevant requirements in the NOFO. 

Yes, state-owned public power companies are eligible to participate and receive funds in NOFO 3. State and local government public safety agencies are also eligible to participate and receive funds in NOFO 3 as long as they meet the eligibility requirements in Section 2.2 or Section 3.2, are not listed as an ineligible entity in Section 6.1.3, and as long as they carry out a public purpose in accordance with 31 U.S.C.§ 6304. 

Yes, employees from other companies within the same corporate group as the applicant, recipient, or partner may participate in the project. For example, if a U.S.-based company is the applicant, a portion of the project work could be executed by personnel from an affiliated company located in Taiwan. In the scenario described above, the U.S.-based company would be the applicant, i.e., the organization submitting the application package on Grants.gov using a unique SAM registration. The application must include information regarding all personnel, including personnel from the affiliated company located in Taiwan, as described in Section 4.1.1 (h) – Budget Narrative and Justification and throughout the NOFO. For example, at a minimum, the budget narrative and justification for all personnel shall include the following: job title, commitment of effort on the proposed project in terms of average number of hours per week or percentage of time, salary rate, total personnel charges for each identified position on the proposed project, description of the role of the individual on the proposed project, and the work to be performed.

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 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.

No. However, the NOFO requires that the solution be compliant with 3GPP R16 and the latest releases of the O-RAN Alliance specifications, as applicable. The solution must be interoperable with other vendor solutions to supply certain functionality assessed and validated according to defined standards and test cases. See Section 2.3 for more details.

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

“A firm specializing in software application development is the prime applicant, collaborating to meet the product needs of an industry vertical partner (e.g., automotive manufacturer) that owns and operates their own private network. The partnership has clearly defined roles and responsibilities, established communication mechanisms, and risk management processes. The industry vertical has an explicit desire to validate the prototype on open and interoperable networks and, pending successful testing and integration, has made a commitment to deploy the prototype produced by the project at its completion.”

Section 2.4.5 of the NOFO outlines the Letter of Partnership Intent elements that an SRFA 1 application must include.

No, entities that have signed a Letter of Partnership Intent pursuant to the eligibility requirements in Section 2.2.1 need not submit a Letter of Commitment. Any other participating consultants, subrecipients, or subcontractors must submit a Letter of Commitment as described in Section 4.1.1. (o).

While NTIA does not define specific project type details, applications are expected to develop software solutions that leverage benefits from Open RAN interfaces (e.g., data) to provide value to industry verticals. To this end, applicants must develop a multi-vendor prototype and demonstrate its technical and commercial viability in a field environment as described in Section 2.1. Applicants may refer to the O-RAN Alliance’s white paper titled “O-RAN Empowering Vertical Industry: Scenarios, Solutions and Best Practice” for a non-exhaustive list of examples of vertical industry use cases and opportunities enabled by Open RAN. NTIA welcomes creative and innovative applications that meet the requirements of the NOFO.

SRFA 1 applicants and their partners are subject to the requirements described in Sections 2.2.1 and 6.1.3 of the NOFO. There is no restriction on the maximum number of partners one applicant may have.

The applicant must submit a Letter of Partnership Intent that is signed by all partners as described in Section 2.4.5 of the NOFO.

Per Section 2.2.1, partner(s) can be based in the U.S. or abroad. However, either the applicant or at least one partner must hold Ultimate Beneficial Ownership (UBO) in the U.S., its territories, and its possessions. UBO will be validated by the System for Award Management (SAM) Registration or SF-328 of each party. If neither the applicant nor any partners meet the UBO requirement, the application will be disqualified.

NTIA does not require that the Letter of Partnership Intent legally commit the partner(s) to purchasing and/or deploying solutions developed under this NOFO. However, NTIA expects the Letter of Partnership Intent to demonstrate the partners’ intent to purchase and/or deploy the solutions following completion of the grant. For additional SRFA 1 Letter of Partnership Intent Requirements, please refer to Section 2.4.5 of the NOFO.

No, but a thorough prototype validation that includes a wide range of locations and conditions is likely to be viewed favorably given that it presents a stronger business case to a potential buyer and facilitates further commercialization and deployment. A wide range of locations and conditions could help demonstrate scale, such as the prototype’s applicability to more customers in the industry vertical beyond the initial partner. The prototype must be demonstrated in a field environment that is the same as or very similar to the projected commercial deployments.

Prototypes that meet minimum technical maturity requirements have a defined concept and project plan. The software proof of concept (POC) and associated endpoints have been tested under controlled lab conditions and relevant field environments. Upon successful validation, the POC becomes a working prototype that is tested in an operational environment (i.e., a field test) with the vertical industry partner (and potential customer). This allows the prototype to be commercialized, scaled, and deployed following completion of a successful SRFA 1 project.

Yes, this is a required part of the application. Please refer to Section 2.3.2 for SRFA 1 performance and interoperability requirements.

Yes, the applicant may fulfill two of the required functions, but may not fulfill all three without a partner. Please refer to Section 2.2.1 for information regarding SRFA 1 eligibility requirements.

Yes, SRFA 1 solutions may address more than one industry vertical use case, provided the application is focused solely on a single project and meets all other NOFO requirements. Per Section 2.4.1 of the NOFO, SRFA 1 pilots must demonstrate the prototype’s applicability to more customers in the industry vertical beyond the initial partner. NTIA encourages applicants to demonstrate the prototype’s adaptability to other industry verticals as well.

Yes, prototype demonstrations under SRFA 1 may involve the use of CBRS spectrum.

The NOFO defines “industry vertical” as an industry sector with a unique set of requirements and use cases (see Appendix A – Glossary of Terms). Telecommunications is considered an industry vertical, and private networks are allowable. 

Government entities, such as defense entities, may not serve as the target vertical in an SRFA 1 project. In accordance with 31 U.S.C. § 6304, federal grants are generally required to carry out a public purpose of support or stimulation and are not to be used to perform work for the direct benefit of the United States Government. As such, any costs for work where the principal beneficiary is one or more U.S. Government agencies are unallowable (e.g., work to develop a prototype that only meets the requirements of a single U.S. Government agency). Please see Section 6.3.2.4 of the NOFO for more information.

However, costs related to work where the U.S. Government is an indirect beneficiary are allowable. For example, a prototype developed for the commercial market that also may be used by U.S. Government customers. Any determination of the principal beneficiary is at the sole discretion of NTIA. 

Any entity, including an OTIC or university research center, may serve as an SRFA 1 applicant if it meets the eligibility requirements in Section 2.2.1 of the NOFO. Applicants may choose the partnership arrangement that they consider best suited to achieve the goals of the NOFO, as long as they meet the eligibility requirements in Section 2.2.1, the Partnership and Letter of Partnership Intent requirements in Section 2.4.5, and other relevant requirements in the NOFO.

The applicant and their partner(s) must collectively be capable of fulfilling the software, vertical, and network functions. A partner may also be a subrecipient or contractor of the applicant, but neither of these relationships is a requirement for a partnership to exist. The applicant is responsible for deciding if each partner is a subrecipient or a contractor.

A sub-award subjects the sub-awardee to the same terms and conditions as the direct recipient and it requires the direct recipient to oversee the sub-recipients’ 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 C.F.R. § 200.331 for more information. 

As described in Section 2.4.1 (b) of the NOFO, SRFA 1 prototype demonstrations must use over-the-air transmissions via a multi-vendor 5G Open RAN network. An entity that supplies an RU, CU/DU, SMO and/or RIC is considered a RAN supplier or vendor. An entity that supplies an rApp without supplying any of the previously mentioned components is not considered a RAN supplier or vendor. Therefore, “multi-vendor 5G Open RAN network” refers to a network comprised of multiple RU, CU/DU, SMO, and RIC vendors supplying different components of the network.

No. Open RAN has unique features (e.g. RIC, O1 interface, E2 interface, SMO) that enable operators and third parties to more easily access network data, such as low-level radio parameters and network scheduling metrics, which they can then commercialize. SRFA 1 looks to combine the expertise of the various industry verticals with the flexibility of the architecture to enable new applications that can directly improve the operations of the vertical.  An example could be the prioritization of certain traffic specific to a high priority application that has low latency requirements such as reclosers in a utility environment, among others.

Yes, SRFA 1 has no restrictions related to the frequency bands leveraged to provide network connectivity.

A project may demonstrate a solution across multiple verticals, as long as all SRFA 1 requirements are met. As described in Section 2.4.1 (b), the pilot must demonstrate the prototype’s applicability to more customers in the industry vertical beyond the initial partner. NTIA encourages applicants to demonstrate the prototype’s adaptability to other industry verticals as well.

Yes, a 5G Private Cellular Network (PCN) qualifies as a commercial network for the field pilot.

Solutions must be compliant with 3GPP and O-RAN Alliance specifications per Section 2.3.2 of the NOFO.

There is no requirement in the NOFO to leverage the RAN Intelligent Controller. The solution, however, needs to be compliant with 3GPP and ORAN Alliance specifications per Section 3.3.2 of the NOFO.

No, SRFA 1 has no restrictions related to the frequency bands or license types leveraged to provide network connectivity.

There is no limit to the number of applications where an entity can participate as a subrecipient, contractor, or any other type of allowable partnership, if the other requirements are met (i.e. national security, place of performance, etc.).

Yes, telecommunications can be an industry vertical. For example, a successful application might propose a solution similar to the following:

• A telecom solution that leverages network data and Artificial Intelligence capabilities via the RAN Intelligent Controller and xApps (near real-time)/rApps (non-real-time) to optimize network operations, leading to improved performance and lower costs.

As described in Section 2.2.1, SRFA 1 applicants must partner with at least one entity to facilitate collaboration across the value chain. The applicant and their partner(s) must collectively be capable of fulfilling the software, vertical, and network functions.

No. SRFA 1 must conclude with a field demonstration. See NOFO section 2.4.1 (b) for more information.

The pilot may be conducted in a smaller geographic footprint as long as the technical solution does not change or is not pared back from its intended functionality for purposes of the trial. An example that was provided during the Industry Day was a solution that required inter-cell handoffs.  Although a full deployment may require hundreds or thousands of sites, the pilot would require only enough sites to demonstrate handoff capabilities. Please see Section 2.4.1 (b) for details regarding SRFA 1 Technical Proposal requirements. 

NTIA recognizes there are differing levels of maturity both within and between the standards for different functions. The NOFO does not preclude innovations on nascent functions such as RIC, xApps, rApps, etc.  However, to the degree the standards have defined interfaces such as O1, A1, etc., applicants are required to be in compliance. 

As Section 2.2.1 (a) of the NOFO states, the applicant must be capable of developing, integrating, and commercially selling and/or deploying software solutions. An entity that is not capable of commercially selling and/or deploying software solutions would not meet this requirement and therefore would not be eligible to serve as the applicant.

As described in Sections 2.3.2 and 3.3.2 of the NOFO, at a minimum, the 5G Open RAN network configuration to support proposed solutions must be compliant with 3GPP 5G NR Release 16 specifications and the latest releases of the O-RAN Alliance specifications, as applicable to the proposed solution and prototype.

In the Innovation Fund program, an applicant applies to receive a government grant. If the applicant is awarded a grant, they become a grant recipient, and may subsequently issue subawards and contracts. Differentiating between a subrecipient and contractor is described in 2 CFR 200.331. Procurement must follow the regulations in 2 CFR 200.318-327, and recipients must monitor subrecipients in accordance with 2 CFR 200.331-333.

There is no requirement regarding how the cost share is distributed among the applicant and its partners. The cost share identified can only be for activities allowable under the Innovation Fund and must be verifiable.  Additionally, cost share must be expended during the Innovation Fund award’s Period of Performance, proportional to the expenditure of the federal funds.  Documentation for the cost share must be maintained as part of the record for the grant award. 

In a SRFA 1 project, to be eligible the applicant must be capable of developing, integrating, and commercially selling and/or deploying the software solution. In addition to filling this software function, the applicant may also fill either the vertical or operator function. 

A project may demonstrate a solution across multiple verticals, as long as all SRFA 1 requirements are met. As described in Section 2.4.1 (b), the pilot must demonstrate the prototype’s applicability to more customers in the industry vertical beyond the initial partner. NTIA encourages applicants to demonstrate the prototype’s adaptability to other industry verticals as well. 

No, entities that have signed a Letter of Partnership Intent pursuant to the eligibility requirements in Section 3.4.5 need not submit a Letter of Commitment. Any other participating consultants, subrecipients, or subcontractors must submit a Letter of Commitment as described in Section 4.1.1. (o).

While NTIA does not define specific project type details, applications are expected to develop a solution that reduces the required time and cost of Open RAN integration into new and/or existing networks and streamlines ongoing network modifications. To ensure these solutions support a broad array of RAN suppliers, applicants must partner with at least three different RAN suppliers to develop a prototype and demonstrate its technical and commercial viability as described in Sections 3.2 and 3.3. NTIA welcomes creative and innovative applications that meet the requirements of the NOFO.

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

“A firm specializing in software application development, systems integration, and automation is the applicant, partnered with three distinct RAN hardware manufacturers. The partnership has clearly defined roles and responsibilities, established communication mechanisms, and risk management processes. The partners are contributing project resources and have an explicit desire to validate the interoperability of the integration automation solution.”

Section 3.4.5 of the NOFO outlines the Letter of Partnership Intent elements that an SRFA 2 application must include.

No. However, the NOFO requires that the solution be compliant with 3GPP R16 and the latest releases of the O-RAN Alliance specifications, as applicable. The solution must be interoperable with other vendor solutions to supply certain functionality assessed and validated according to defined standards and test cases. See Section 3.3 for more details.

SRFA 2 applicants and their partners are subject to the requirements described in Sections 3.2.1 and 6.1.3 of the NOFO. There is no restriction on the maximum number of partners one applicant may have.

The applicant must submit a Letter of Partnership Intent that is signed by all partners as described in Section 3.4.5 of the NOFO.

Per Section 3.2.1, partner(s) can be based in the U.S. or abroad. However, either the applicant or at least one partner must hold Ultimate Beneficial Ownership (UBO) in the U.S., its territories, and its possessions. UBO will be validated by the SAM Registration or SF-328 of each party. If neither the applicant nor any partners meet the UBO requirement, the application will be disqualified.

No. An applicant must partner with a minimum of three other entities that are Open RAN vendors.

Prototypes should be validated in a lab environment and then a network field environment to demonstrate interoperability and automation sufficiently for a Mobile Network Operator (MNO). Ideally, this would take place in an MNO lab with expressed intent to deploy the solution on a live network following a successful validation.

There is not a minimum requirement, but applicants should demonstrate that their automated integration solution has a viable business case by reaching cost parity with a full-stack deployment, or ideally providing a lower cost option than full-stack.

Yes, this is a required part of the application. Please refer to Section 3.3.2 for SRFA 2 performance and interoperability requirements.

SRFA 2 solutions must be capable of automating integration between Open RAN components from at least three (3) different suppliers. A solution that is capable of automating integration between Open RAN components from two different suppliers is not sufficient. 

SRFA 2 applicants must partner with a minimum of three (3) different RAN suppliers. Vendors that provide only an RU or only a CU/DU are considered RAN suppliers. RIC vendors are also considered RAN suppliers. At a minimum, the prototype developed must automate integration between an open RU from one supplier and an open DU/CU from another supplier. NTIA encourages applicants and their partners to develop solutions that enable functionality across additional interfaces.

A partner may also be a subrecipient or contractor of the applicant, but neither of these relationships is a requirement for a partnership to exist. The applicant is responsible for deciding if each partner is a subrecipient or a contractor. Per Section 3.2.1 of the NOFO, SRFA 2 applicants must partner with a minimum of three (3) different RAN suppliers. The applicant may not count as one of the three partners.

The main objective of SRFA 2 is to significantly lower the time and costs associated with Open RAN integration. SRFA 2 seeks to streamline integration through automation. An example could be a solution whereby radios arrive “pre-loaded” with functionality that allows them to discover what other network elements they will need to interact with and have the ability to self-integrate, thus reducing the time associated with additional integration activities.

All SRFA 2 applicants must partner with a minimum of three (3) different RAN suppliers, even if the applicant is a RAN supplier. Open RAN simulators and emulators are not considered RAN suppliers. An entity that supplies an RU, CU/DU, SMO and/or RIC is considered a RAN supplier. At a minimum, the prototype developed must automate integration between an open RU from one supplier and an open DU/CU from another supplier. NTIA encourages applicants and their partners to develop solutions that enable functionality across additional interfaces.

Yes, all SRFA 2 applicants must partner with a minimum of three (3) different RAN suppliers, even if the applicant is a RAN supplier. RIC vendors are considered RAN suppliers. At a minimum, the prototype developed must automate integration between an open RU from one supplier and an open DU/CU from another supplier. NTIA encourages applicants and their partners to develop solutions that enable functionality across additional interfaces.