PWSCIF - NOFO.pdf

NOTICE OF FUNDING OPPORTUNITY

Public Wireless Supply Chain Innovation Fund Grant Program – Expanding Testing and

Evaluation

EXECUTIVE SUMMARY

A. Federal Agency Name

National Telecommunications and Information Administration (NTIA), U.S. Department of Commerce

B. Funding Opportunity Title

Public Wireless Supply Chain Innovation Fund Grant Program – Expanding Testing and Evaluation

C. Announcement Type

Initial

D. Funding Opportunity Number

NTIA-PWSCIF-2023

E. Assistance Listing (CFDA Number)

11.038

F. Key Dates

Complete applications must be submitted through Grants.gov no later than 11:59 p.m. Eastern Daylight Time (EDT) on June 2, 2023.

NTIA expects to make awards on a rolling basis with initial awards issued no later than August 8, 2023.

G. Application Submission Address

Complete application packets must be submitted electronically through the Grants.gov website.

Application packages or portions thereof submitted through postal mail, courier, email, facsimile, or other means will not be accepted. See Section 3 of this NOFO for detailed information concerning application submission requirements.

H. Funding Opportunity Description

This NOFO is the first in a series that NTIA will issue and administer under the Public Wireless Supply Chain Innovation Fund (Innovation Fund). The purpose of the Innovation Fund Program is to fund efforts that accelerate the development, deployment, and adoption of open and interoperable radio access networks (RAN) through a competitive grant program. In response to this first NOFO, NTIA looks forward to receiving and reviewing a broad range of applications proposing creative ways to: (1) expand industry-accepted testing and evaluation to effectively facilitate and assess the interoperability, performance, and/or security of open and interoperable, standards-based 5G radio access networks; and (2) develop new and/or materially improve existing testing methodologies to test, evaluate, and validate the interoperability, performance, and/or security of these networks, including their component parts, in order to address needs not currently met by industry-accepted tests and best practices. See Section 2.4 of this NOFO for the full Program Description.

I. Funding Instrument

Grant

J. Eligibility

Eligible applicants include for-profit companies, non-profit companies, institutions of higher education, industry groups, and consortia consisting of two or more such entities, with exclusions as listed in Section 2.2.

K. Anticipated Amounts

NTIA will make up to $140,500,000 available for federal financial assistance under this initial Innovation Fund NOFO. NTIA expects to make awards within the following funding range:

$250,000 to $50,000,000. The period of performance for grants awarded under this NOFO ends up to five (5) years from the date on which the grant funds are made available to the eligible entity.

L. Cost Sharing/Matching

There is no mandatory cost share requirement under Section 9202(a)(1) of the William M.

Thornberry National Defense Authorization Act for Fiscal Year 2021, Pub. L. No. 116-283, 134 Stat. 3388 (Jan. 1, 2021) (FY 21 NDAA) (which authorized the program) nor the CHIPS and Science Act of 2022, Pub. L. No. 117-167, 136 Stat. 1392 (Aug. 9, 2022) (which appropriated funds for the program). Accordingly, NTIA will not require an entity applying for or receiving grant funding under this NOFO to commit to providing, or to provide cost share (cash or in-kind). NTIA will give preference, however, to applications that demonstrate cost sharing in their project plan and project budget. See Section 2.3 of this NOFO for more information.

FULL ANNOUNCEMENT TEXT

1. Program Description

1.1. Overview

1.2. Definitions and Acronyms

1.3. Period of Performance

1.4. Place of Performance

1.5. Award Amount

1.6. Limitation on Grant Awards

1.7. Type of Funding Instrument

2. Eligibility Information and Program Details

2.1. Eligible Applicants

2.2. Ineligible Applicants and Participants in Grant-funded Activities

2.3. Cost Sharing or Matching

2.4. Funding Opportunity Detailed Description

3. Application and Submission Information

3.1. Address to Request Application Package

3.2. Content and Form of Applications

3.3. Technical Proposals

3.4. Application Format

3.5. How to Register to Apply through Grants.gov

3.6. How to Submit an Application for this NOFO via Grants.gov

3.7. Submission Dates and Times

3.8. Funding Restrictions

3.9. Material Representations and Public Disclosure of Applications

3.10. Other Submission Requirements

4. Application Review Information

4.1. Review Process for Innovation Fund Program

4.2. Anticipated Announcement and Award Dates

4.3. Federal Award Notices

4.4. Notification to Unsuccessful Applicants

4.5. Retention of Unsuccessful Applications

4.6. Administrative and National Policy Requirements

5. Other Information

5.1. Protected and Proprietary Information

5.2. Funding Availability and Limitation of Liability

5.3. Third Party Beneficiaries

5.4. Environmental and Historic Preservation

5.5. Research Activities Involving Human Subjects, Data, or Recordings Involving Human Subjects Including Software Testing

5.6. Waiver Authority

5.7. Paperwork Reduction Act

5.8. Transparency, Accountability, and Oversight Required

5.9. U.S. Department of Commerce Office of Inspector General

5.10. Whistleblower Protection

5.11. Enforcement

5.12. Unauthorized Use of Funds

1. Program Description The National Telecommunications and Information Administration (NTIA) issues this Notice of Funding Opportunity (NOFO) to describe the requirements under which it will begin awarding grants in connection with the Public Wireless Supply Chain Innovation Fund (Innovation Fund), authorized by Section 9202(a)(1) of the William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021, Pub. L. No. 116-283, 134 Stat. 3388 (Jan. 1, 2021) (FY21 NDAA) and appropriated by Div. A., Section 106 of the CHIPS and Science Act of 2022, Pub. L. No. 117-167, 136 Stat. 1392 (Aug. 9, 2022).

Pursuant to the FY21 NDAA, the Innovation Fund aims to facilitate the adoption of open and interoperable wireless networks by:

• Accelerating commercial deployment of open, interoperable equipment;

• Promoting and deploying compatibility of new 5G equipment;

• Managing integration of multi-vendor network environments;

• Identifying criteria to define equipment as compliant with open standards; and

• Promoting and deploying security features and network function virtualization for multi-vendor, interoperable networks.

The first NOFO focuses on activities that will promote and improve the open and interoperable RAN testing and evaluation ecosystem, as well as research and development into test methods, and is responsive to feedback NTIA received during listening sessions and the Request for Comment period. These activities are foundational to the ultimate success of open and interoperable wireless networks and will help build confidence in the viability of Open RAN solutions and remove barriers to adoption. NTIA will support two specific research focus areas under this first NOFO: (1) Expanding industry-accepted testing and evaluation (T&E) activities to assess and facilitate the interoperability, performance, and/or security of open and interoperable, standards-based 5G radio access networks; and (2) Developing new and/or improved testing methodologies to test, evaluate, and validate the interoperability, performance, and/or security of networks, including their component parts.

This NOFO is the first, and future funding opportunities will build upon this work, as well as insights from future stakeholder listening sessions and recommendations from the Innovation Fund Federal Advisory Committee.1

1.1. Overview

The Innovation Fund aims to foster competition, lower costs for consumers and network operators, support innovation across the global telecommunications ecosystem, and strengthen the 5G supply chain. The overall objectives include unlocking opportunities for innovative companies, particularly small and medium enterprises, to compete in a market historically dominated by a few suppliers, some of which present a high security risk.

1 Section 9202(1)(F) of the FY21 NDAA requires NTIA to establish an Innovation Fund Federal Advisory Committee to help inform i) the strategic direction of the Innovation Fund, and ii) efforts of the Federal Government to promise a more secure, diverse, sustainable, and competitive supply chain. Creation of the advisory committee is forthcoming as of the publication date of this NOFO.

Open and interoperable wireless networks offer numerous benefits over traditional, closed networks that will lower the barriers of entry for new and emerging companies. Using open and interoperable wireless networks allow 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/or potentially lowering capital expenditures and operating expenses. Thus, the shift to open networks enhances 5G supply chain security by increasing competition and resilience in the global telecommunications equipment market.

In line with the Executive Branch’s policy2 to promote the development of Open Radio Access Networks (or Open RAN), alongside other policies,3 technologies, and architectures that support 5G supplier diversity and foster market competition, the CHIPS and Science Act of 2022 provided critical appropriations for the Innovation Fund, investing $1.5 billion over 10 years to accelerate the development and deployment of open and interoperable, standards-based Radio Access Network (RAN).

This NOFO is the first that NTIA will administer under the Innovation Fund grant program.

NTIA looks forward to receiving and reviewing a broad range of applications in response to this NOFO proposing creative ways to: (1) expand T&E activities to effectively facilitate and assess the interoperability, performance, and/or security of open and interoperable, standards-based 5G radio access networks; and/or (2) develop new and/or materially improve existing testing methodologies to test, evaluate, and validate the performance, interoperability, and/or security of these networks, including their component parts, in order to address needs not currently met by industry-accepted tests and best practices. (See Section 2.4 for full description.)

1.2. Definitions and Acronyms

5G New Radio (NR) – Specifications developed by the 3rd Generation Partnership Project (3GPP) for 5G technology in 3GPP Release 15 and later specifications.

Assistant Secretary – The Assistant Secretary of Commerce for Communications and Information and NTIA Administrator, or the individual who holds any equivalent or successor position. The terms “Assistant Secretary” and “NTIA Administrator” refer to the same position.

Central Unit (CU) – The logical element of a radio access network that provides higher-layer processing for radio signals and coordinates traffic handover with other base stations.

CISA – The Department of Homeland Security’s Cybersecurity and Infrastructure Security Agency.

Construction – Construction, rehabilitation, alteration, conversion, extension, repair, or improvement of buildings, highways, or other real property.

2 See The White House, National Cybersecurity Strategy (March 2, 2023) 3 See e.g., The White House, Statement by NSC Spokesperson Emily Horne on U.S. Support for the Third Annual Prague 5G Security Conference (December 2, 2021) https://www.whitehouse.gov/wp-content/uploads/2023/03/National-Cybersecurity-Strategy-2023.pdf https://www.whitehouse.gov/briefing-room/statements-releases/2021/12/02/statement-by-nsc-spokesperson-emily-horne-on-u-s-support-for-the-third-annual-prague-5g-security-conference/ https://www.whitehouse.gov/briefing-room/statements-releases/2021/12/02/statement-by-nsc-spokesperson-emily-horne-on-u-s-support-for-the-third-annual-prague-5g-security-conference/

Cost Share – The non-federal portion of a project budget, also known as “match.”

Covered Nation – As currently defined in 10 U.S.C. § 4872(d)(2), the following countries are covered nations: The Democratic People’s Republic of North Korea, the People’s Republic of China, the Russian Federation, and the Islamic Republic of Iran.

Distributed Unit (DU) – The logical element of a radio access network that provides lower-layer processing for radio signals.

Federated Lab – A laboratory that is affiliated with one or more laboratories that expand access to similar capabilities in a coordinated manner or increase the total capabilities by leveraging unique capabilities of each lab, or both.

Foreign Entity of Concern – The term is as defined in 15 U.S.C. §4651(8) and 15 CFR § 231.106, subject to any further rulemaking promulgated by the Department of Commerce.4

Industry-accepted testing and evaluation methods – Methods for testing and evaluating 5G radio access network solutions that have been developed by industry consensus or through industry-wide adoption have become a de facto standard. NTIA reserves the right to make the final determination on whether an applicant has met this standard.

Material Improvement – Improving upon or redefining an existing test or evaluation method to provide clear commercial value to the telecom industry.5

Neutral Host Facility – A host facility not affiliated with, owned by, or under direct influence of a 5G radio access network equipment or solution provider, as to avoid bias or appearance of bias toward a particular company.

NIST Grants Office – The National Institute for Standards and Technology Grants Office, which serves as the official certified Grants Officer for the Innovation Fund.

NTIA – The United States Department of Commerce’s National Telecommunications and Information Administration.

4 See Preventing the Improper Use of CHIPS Act Funding, available at https://www.federalregister.gov/documents/2023/03/23/2023-05869/preventing-the-improper-use-of-chips-act-funding.

5 Two illustrative, non-exclusive examples are: (1) if a DU test method is currently written such that it can only measure performance of hardware-based CU appliances, a material improvement would be a revised test method that can accurately and equitably measure both hardware-based CU appliances and software-based CU appliances (running on general purpose computing hardware or as a cloud application), or (2) if a base station efficiency test method only takes an instantaneous snapshot of power consumption and is not able to take into account new developments in base station energy efficiency that allow for improved granular radio transmitter control (e.g., cycling transmitter power in less than 10ms intervals), a material improvement would be a revised test that increases precision to accurately measure improvements in energy efficiency from these new advances. An example of what would not be considered a material improvement would be increasing precision of a radio power measurement method from 1 mW to 0.001 mW if there is no market desire for commercial production radios with more granular power output control than +/- 1 mW.

https://www.federalregister.gov/documents/2023/03/23/2023-05869/preventing-the-improper-use-of-chips-act-funding https://www.federalregister.gov/documents/2023/03/23/2023-05869/preventing-the-improper-use-of-chips-act-funding

NTIA Administrator – The Assistant Secretary of Commerce for Communications and Information and NTIA Administrator, or the individual who holds any equivalent or successor position. The terms “Assistant Secretary” and “NTIA Administrator” refer to the same position.

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

Radio Access Network (RAN) – The network of elements providing over-the-air radio access to devices in mobile networks. In 5G New Radio (NR) networks, this includes the Radio Unit (RU), Central Unit (CU), and Distributed Unit (DU).

Radio Unit (RU) – The physical element of a radio access network that provides over-the-air radio access to a 5G system.

Red Teaming – A cybersecurity practice of human-interactive attempts to penetrate a network or device to determine security vulnerabilities in development, deployment, and configuration.

Socially and economically disadvantaged individual (SEDI) owned business –A SEDI owned business is a) a business that is owned and controlled by individuals or whose current majority founders are individuals who have had their access to credit on reasonable terms diminished compared to others in comparable economic circumstances, due to their: (1) membership in a group that has been subjected to racial or ethnic prejudice or cultural bias within American society; (2) gender; (3) veteran status; (4) limited English proficiency; (5) disability; (6) long-term residence in an environment isolated from the mainstream of American society; (7) membership in a federally or state-recognized Indian Tribe; (8) long-term residence in a rural community; (9) residence in a U.S. territory; (10) residence in a community undergoing economic transitions (including communities impacted by the shift towards a net-zero economy or deindustrialization); or (11) membership in an underserved community.6

Specific Research Focus Area – For the purposes of this program, a “Specific Research Focus Area” is a topic area funded by the Innovation Fund subject to the maximum recipient award amounts as required by FY21 NDAA Section 9202(a)(1)(B)(ii). For this NOFO, there are two specific research focus areas: (1) Expanding Testing and Evaluation Activities and (2) Test Method Research and Development.

Testing and Evaluation (T&E) Activities – The first of two Specific Research Focus Areas covered in this NOFO. Testing and evaluating the degree to which different manufacturers and

6 Underserved communities are populations sharing a particular characteristic, as well as geographic communities, that have been systematically denied a full opportunity to participate in aspects of economic, social, and civic life because of, for example: race, color, religion, sex, sexual orientation, gender identity, disability, residence in a rural community; and persistent poverty. See 31 C.F.R. 35.27(g)(11)(ii). “Underserved communities” includes Black, Latino, and Indigenous and Native American persons, Asian Americans and Pacific Islanders, and other persons of color; members of religious minorities; lesbian, gay, bisexual, transgender, and queer (LGBTQ+) persons; persons with disabilities; persons who live in rural areas; and persons otherwise adversely affected by persistent poverty or inequality. (See 31 C.F.R. 35.27(g)(11)(ii)).

vendor equipment, components, and software can operate as an open, interoperable, and standards-based RAN, including in a virtualized and disaggregated environment RAN, using testing and evaluation methods currently accepted by industry. The T&E must address one or more of the following: interoperability of the components, the performance of the system, and/or the security of the system. (See Section 3.3 for more information.)

Testing Events – Events that bring multiple Open RAN solution providers together to test products against common criteria to facilitate and determine a solution’s level of interoperability, performance, and/or security. Testing events may be time-limited (i.e., a fixed, simultaneous testing window for all participants) or on a rolling basis (i.e., up to a certain number of participants can test simultaneously over time and if a participant completes or terminates testing, another participant can begin testing). Testing may be conducted in-person, remotely, and/or in a hybrid format.

Testing Methods Research and Development (R&D) – The second of two research focus areas covered under this NOFO. The process to identify new methods or to materially improve existing methods of testing, evaluating, and validating the interoperability, performance, and/or security of open, interoperable, and standards-based RAN elements, addressing needs not currently met by existing, industry-accepted tests and best practices.

Vulnerability Scans – An automated process that determines whether software/equipment contain any pre-defined vulnerabilities, including but not limited to insecure protocols, known vulnerable software libraries, and use of common or default authentication credentials.

1.3. Period of Performance

The period of performance (POP) for grants awarded under this NOFO may be up to five (5) years in duration. Applicants must include the estimated POP in the milestone section each of the technical proposals it is submitting, as described in Section 3.3.

1.3.1. Extensions

If a project’s POP is fewer than five (5) years, a grant recipient may submit a request for an extension of the POP, which must include the justification for such an extension and describe all relevant circumstances. The Assistant Secretary may recommend that the NIST Grants Office extend the period of performance by not more than one (1) year if the grant recipient certifies to the Assistant Secretary’s satisfaction that:

a) the grant recipient has a plan for use of the grant funds; and

b) work completed during the extended time would provide sufficient value to advancing goals outlined in the NOFO and accepted proposal, as determined by the government.

Requests for extensions will be granted at the sole discretion of the Assistant Secretary or their designee. Per Department of Commerce guidelines,7 the period of performance, inclusive of all extensions, shall not exceed five (5) years.

7 See Department of Commerce, Grants and Cooperative Agreements Manual (April 20, 2021), Section 9.I.2.a.(1).

https://www.commerce.gov/sites/default/files/2021-04/Department%20of%20Commerce%20Grants%20%20Cooperative%20Agreements%20Manual%20%2820%20April%202021%29.pdf

1.3.2. Reversion of Funds

Any remaining unspent funds at the end of a grantee’s POP, inclusive of any extensions granted, will be de-obligated and will be made available for other Innovation Fund grantees.

1.4. Place of Performance

T&E Activities and Testing Methods R&D shall be conducted in the United States and its territories and possessions. Solutions that include virtualized or remote testing shall be conducted by entities facilitating those activities from within the United States and its territories and possessions.

1.5. Award Amount

NTIA expects to make awards under this phase of the Innovation Fund grant program within the following funding range $250,000 - $50,000,000. If an entity receives both a grant for T&E Activities and a grant for Testing Methods R&D, a separate award will be issued for each to facilitate monitoring and reporting. This range does not reflect any mandatory minimum.

However, by statute, grants for a particular research focus area cannot be more than $50,000,000.

1.6. Limitation on Grant Awards

In accordance with Section 9202(a)(1)(B)(ii) of the FY21 NDAA, the amount of a grant award to a recipient for a “specific research focus area” may not exceed $50,000,000. For this initial NOFO, two specific research focus areas have been identified and have the following estimated award sizes:

Specific Research Focus Area Expected Range of Individual Awards T&E Activities $10,000,000 to $50,000,000

Testing Methods R&D $250,000 to $2,000,000

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

1.7. Type of Funding Instrument

The funding instrument for awards made pursuant to this NOFO will be in the form of competitive grants.

2. Eligibility Information and Program Details

2.1. Eligible Applicants

Eligible applicants and subgrantees include for-profit companies, non-profit companies, institutions of higher education, industry groups, and consortia including two or more such entities.

2.2. Ineligible Applicants and Participants in Grant-funded Activities

As described below, certain entities are not eligible to receive grants or participate in grant-funded activities under the Innovation Fund. NTIA will review applications for involvement of such entities and will not approve any applications that raise unacceptable concerns with respect to promoting a more secure, diverse, sustainable, and competitive wireless technology supply chain. For example, an entity—through control,8 access to information, or other mechanisms— may pose an undue risk to a project or U.S. national security interests. Applicants are required to provide information via the Standard Form (SF)-328 at the time of application to enable an initial assessment of these issues. Additional information, beyond the scope of the SF-328 form, may be required in due diligence, to further identify and, if necessary, mitigate potential concerns and risks to national security. NTIA may also require additional information to enable identification and mitigation of other concerns and national security risks posed by involvement of certain entities that may arise after an application is approved.

For example, NTIA may request participation records in monitoring and/or audit activities to ensure compliance with this requirement in accordance with Section 5.8. Awardees should be prepared to provide records demonstrating ownership and control and should plan to obtain sufficient information from participants for NTIA to understand the ownership and control of participants in grant-funded activities.

Ineligible applicants and participants include, but are not limited to, any applicant, sub-applicant, participant, or other entity that is owned or controlled by an organization that is:

1) A foreign entity of concern;9

2) Identified on the People’s Republic of China (PRC) Military Companies List established in accordance with Section 1260H of FY21 NDAA;

3) Included on the System for Award Management (SAM) Exclusion List.

4) Included on the Bureau of Industry and Security's Entity List (15 CFR part 744, supplement no. 4;

5) Included on the Department of the Treasury's list of Non-SDN Chinese Military-

Industrial Complex Companies (NS-CMIC List); or

6) Identified in the Federal Communications Commission's list of Equipment and

Services Covered By section 2(a) of the Secure and Trusted Communications Networks Act of 2019 as providing covered equipment or services.

2.3. Cost Sharing or Matching

Cost sharing or matching for proposals under this first NOFO is voluntary. While not required, NTIA will give preference to applications that demonstrate cost sharing or matching in their project plan and project budget.

8 The term “control” for this purpose is defined as any direct or indirect investment (or loan) in an entity that provides the investor (or lender) with the means to influence important matters affecting the project. The term “means to influence important matters” includes membership or observer rights on, or the right to nominate an individual to a position on, the board of directors or equivalent governing body of the entity; any involvement, other than through voting of shares, in substantive decision-making by the entity; and consultation rights with respect to technology licensing to third parties.

9 As defined in 15 U.S.C. §4651(8) and 15 CFR § 231.106, subject to any further rulemaking promulgated by the Department of Commerce. See Preventing the Improper Use of CHIPS Act Funding, available at https://www.federalregister.gov/documents/2023/03/23/2023-05869/preventing-the-improper-use-of-chips-act-funding.

https://www.defense.gov/News/Releases/Release/Article/3180636/dod-releases-list-of-peoples-republic-of-china-prc-military-companies-in-accord/ https://sam.gov/content/exclusions https://www.ecfr.gov/current/title-15/part-744 https://www.federalregister.gov/documents/2023/03/23/2023-05869/preventing-the-improper-use-of-chips-act-funding https://www.federalregister.gov/documents/2023/03/23/2023-05869/preventing-the-improper-use-of-chips-act-funding

If an applicant wishes to provide a cost share, a full accounting of matching cost sources and the basis for the valuation must be included in project budget narrative and SF-424A. (See Section 3.2.) Both direct costs (such as cash, equipment, personnel, and facilities) and indirect costs (such as overhead and management and administrative costs) will be considered as match.

Applicants proposing a match should be aware that non-federal cost sharing incorporated into the budget of an approved financial assistance award is subject to audit in the same general manner as Federal award funds (See 2 CFR Part 200, Subpart F).

In order for a proposed cost share to be eligible, the cost must be allowable as a direct cost. (See Section 3.8 for more details on eligible and ineligible uses of funds). Cost share will be considered as component of relative cost effectiveness of an application and will be used by the selecting official as a factor in making award decisions. (See Section 4.1.4.)

2.4. Funding Opportunity Detailed Description

This funding opportunity covers two specific research focus areas that applicants can apply for:

(1) T&E Activities; and (2) Testing Methods R&D. The key difference between these two focus areas is the stage of maturity: T&E Activities will test and evaluate open and interoperable, standards-based networks utilizing existing industry-accepted tests and best practices. The Testing Methods R&D projects will focus on addressing needs not currently met by industry-accepted tests and best practices. Applicants may apply for grants for one or both focus areas.

2.4.1. Specific Research Focus Area 1: T&E Activities

NTIA seeks proposals to expand industry-accepted T&E, within the United States and its territories and possessions, to test, evaluate, facilitate, and assess, the interoperability, performance, and/or security of open and interoperable, standards-based 5G radio access networks. NTIA is seeking proposals that make access to T&E more widely available and affordable in order to lower the barriers of entry for new and emerging industry entities.

Grant applications will be evaluated based on the mandatory and optional objectives outlined below. The mandatory objectives include regular testing events to achieve these goals. The optional objectives include other functions that can be performed in addition to the mandatory objectives. (See Merit Review Section 4.1.2 for information regarding how these mandatory and optional objectives will be evaluated.)

2.4.1.1. Mandatory Objectives

All applications for grants advancing this specific research focus area must include industry-accepted T&E Activities to allow open and interoperable network suppliers to test equipment and software interoperability, performance, and/or security against industry-accepted test cases and best practices for 5G systems (e.g., 3GPP specifications, O-RAN Alliance specifications, and/or other relevant industry-accepted test cases). The applicant shall demonstrate how their strategy will increase the availability, affordability, and accessibility of testing and evaluation in the United States in support of the development, deployment, and adoption of open and interoperable, standards-based radio access networks. The applicant shall also demonstrate how the testing and evaluation activities will lead to sustained and accessible testing resources and data that advance industry adoption of open and interoperable wireless networks beyond the period of performance of this NOFO.

The T&E Activities must also support testing of the interoperability, performance, and/or security, of the Radio Unit (RU), Central Unit (CU), and/or Distributed Unit (DU) solutions of the 5G NR Radio Access Network. The performance of ancillary components (e.g., accelerator cards) shall only be tested as a part of a complete RU, CU, or DU solution. Testing of systems not unique to 5G radio access networks (e.g., general purpose computing equipment) is not an eligible project under this first NOFO, except as required for testing a complete RU, CU, or DU solution.

Grant-funded testing events must be accessible to entities eligible to do business in the United States and shall be held within the United States and its territories and possessions at regular intervals as determined by the applicant or on a rolling basis. If a grantee elects to provide remote access for participants, the grantee shall implement technical and policy solutions to adhere to the requirements in Section 3.8.2.5.

Grantees and or subgrantees conducting the testing events shall use industry-accepted testing methods to conduct the tests and will document test results and any conclusions that can be drawn from the test results on the state of the industry. If grantees charge registration fees, those fees must be used to defray the costs of conducting events and will be considered program income. Grantees may use projected registration fees as part of their proposed cost share. (See Section 3.2.).

Grantees will be required to maintain testing records and data to be aggregated, analyzed, and distributed to industry, government, and public stakeholders. Grantees must share individual testing results with participating companies for their products, and participating companies will have sole discretion for sharing their individual product results. T&E Activity grantees must safeguard individual company results but as noted above, will use data to aggregate results from individual events and to track trends over time. NTIA expects grantees to conduct testing in a secure manner (i.e., taking appropriate cybersecurity measures) in order to reduce risk of data leakage and other threats. Raw and pre-processed datasets should be made available in a machine-readable format that does not require any proprietary software (i.e., can only be read by a single specific software tool) and provide necessary metadata to understand values contained in datasets.

The grantees shall also provide NTIA with after-action summaries after the completion of testing events, or in quarterly intervals if testing is conducted on a rolling basis. Grantees will be encouraged to participate in virtual and in-person meetings that NTIA facilitates with industry groups and other grantees to share lessons learned, identify test gaps and best practices, and make recommendations for future programming.

As discussed above, participating entities shall receive feedback from the T&E Activity grantee on the participating entity’s results. The participating entity may return for subsequent testing events to re-evaluate their components. NTIA may use anonymized results of testing and evaluation to track industry trends, identify gaps in testing, and inform future research into open and interoperable 5G systems. (See Section 5.1 for how the Government will protect proprietary and business-confidential information). The industry may use the results to establish improved test standards, certification programs, and to innovate components and systems.

2.4.1.2. Optional Objectives

Grant applicants may, at their discretion, also propose additional activities to be undertaken in connection with their T&E Activities. These activities, which will be considered as secondary criteria (see evaluation criteria in Section 4.1.2.) in our evaluation of T&E Activity proposals, could include, but are not limited to, the following:

a) Operating neutral host facilities for the testing and evaluation of equipment and/or software developed by small and medium-sized companies, start-ups, and SEDI businesses, on an ongoing or as needed basis. The goal of this is to provide small and medium-sized companies, start-ups, and SEDI businesses access to laboratory resources that otherwise may not be able to afford high-cost test equipment for product development, outside of regular T&E activities.

b) Offering technical assistance sessions and resources to participating entities, with a focus on new and emerging industry entities, to enable them to successfully participate in T&E Activities. Topics for technical assistance may include, but are not limited to:

understanding and interpreting test results, steps and tips for preparing for T&E Activities, and how to improve future test results. The goal of this is to assist participants with more individualized assistance in developing interoperable, performant, and/or secure 5G RAN solutions, than may be possible during typical T&E Activities.

2.4.2. Specific Research Focus Area 2: Testing Methods R&D

To address the growing need for testing and evaluation of open and interoperable, standards-based 5G radio access networks, NTIA intends to fund Testing Methods R&D projects that address needs not currently met by industry-accepted tests and best practices. These projects fall into two categories:(1) develop new and emerging performance indicators and/or (2) develop enhanced methods for existing test criteria that make material improvements on current methods needed to assess interoperability, performance, and/or security on these networks and their component parts. Grants within this specific research focus area will target R&D of new and enhanced testing methods and assessment criteria that are capable of being repeated in a variety of environments (e.g., lab, field, etc.) and different stages of product development. Flexibility of the testing methods while maintaining suitable accuracy is a priority. The following are two illustrative but non-exclusive examples of test flexibility maintaining accuracy:

• Accurately measuring energy consumption of RAN equipment for dis-similar power supply methods (e.g., 120/240V AC mains power, -48V DC power, etc.) such that energy consumption can be compared between systems.

• Including provisions for measuring performance of radios that support direct-cabled testing and radios that only have integrated antennas, such that radio RF performance can be accurately compared between the two to the maximum extent practical.

More generally, examples of Testing Methods R&D include, but are not limited to:

a) Developing new and emerging performance indicators such as for energy and spectrum efficiency of 5G radio access networks;

b) Developing enhanced methods for existing 5G radio access network test criteria, where the goal is to make material improvement on current methods;

c) Developing new means of cybersecurity testing in 5G radio access networks;

d) Developing innovative testing solutions not contemplated by (a), (b), or (c) above. An example of such a solution might be a virtualized testing environment that allows open and interoperable, standards-based 5G RAN products to be tested individually or in a stack at a more iterative pace than is permitted by “in real life” testing events.

An applicant may propose one or more of the above topics, or additional topics, for Testing Methods R&D that further the goals of the program. Applicant must demonstrate a clear strategy for how to facilitate industry adoption of a new method successfully developed through this research.

3. Application and Submission Information

3.1. Address to Request Application Package

NTIA requires applicants to submit their applications online through Grants.gov. The Funding Opportunity number for this NOFO is: NTIA-PWSCIF-2023. Applications will be accepted until the deadline and will be processed on a rolling basis. Application packages, or portions thereof, submitted by other means, including by postal mail, courier, email, paper, or facsimile will not be accepted.

3.2. Content and Form of Applications

Important Note: Any applicant proposing more than one specific research focus area must submit a separate application for each focus area, as applications will be evaluated individually. If an entity is applying for more than one R&D project, a separate technical proposal, SF- 424A, and budget narrative and justification must be submitted for each project.

Applications for the Innovation Fund must be complete, follow the required content and format set forth below, and otherwise comply with this NOFO. Complete applications must be received through Grants.gov no later than 11:59 p.m. Eastern Daylight Time (EDT) on June 2, 2023.

NTIA will not accept any application materials submitted prior to the public release of this

NOFO.

Items a through d below 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 b.1 and e through i must be uploaded to Grants.gov as attachments to field 15 of the SF-424 form by clicking on “Add Attachment.”

The application must contain the following:

a. SF-424, Application for Federal Assistance.

The SF-424 must be signed by an authorized representative of the applicant organization.

1. Item 8.d. Zip/Postal Code field, should reflect the Zip code + 4 (#####- ####) format.

2. Item 12 should list the NOFO number NTIA-PWSCIF-2023.

3. Item 18 should list the total budget information for the duration of the project.

4. The list of certifications and assurances referenced in Item 21 is contained in the Federal Financial Assistance Certifications and Representations (Certs and Reps) as part of the SAM.gov entity registration.

b. SF-424A, Budget Information for Non-Construction Programs.

The budget should reflect anticipated Federal and non-Federal expenses for the entire project, considering all potential cost increases and including cost of living adjustments.

1. The applicant should reflect each year of the project, up to the first four

(4) years, on the SF-424A form that appears as part of the mandatory forms in the Grants.gov application package. If a fifth year is being proposed, the second SF- 424A form should be submitted to cover year five (5) of the project. A fillable SF- 424A form can be found at https://www.grants.gov/web/grants/forms/sf-424-family.html near the top of the screen and labeled “Budget Information – Non- Construction Program SF-424A”. Applicants should download the fillable SF- 424A form, complete the information for year five (5) of the project and submit the completed form as an attachment.

2. In Section A, the Grant Program Function or Activity on Line 1 under Column (a) should be entered as Public Wireless Supply Chain Innovation Fund Grant Program – Expanding Testing and Evaluation, CFDA 11.038, or an abbreviation thereof. The Catalog of Federal Domestic Assistance Number on Line 1 under Column (b) should be entered as “11.038”. The total Federal budget amount for the term of the award should be listed in Section A, Line 1, Column (e).

3. Section B, Column (1) of the SF-424A should reflect the costs for each object class category, to include indirect charges, for the first year of the award.

Section B, Column (2) of the SF-424A should reflect the costs for each object class category, to include indirect charges, for the second year of the award.

Section B, Column (3) of the SF-424A should reflect the costs for each object class category, to include indirect charges, for the third year of the award. Section B, Column (4) of the SF-424A should reflect the costs for each object class category, to include indirect charges, for the fourth year of the award. If a fifth year is being proposed, an additional SF-424A will need to be attached for the final year, please refer to Section 3.2.b.1 for details.

https://www.grants.gov/web/grants/forms/sf-424-family.html https://www.grants.gov/web/grants/forms/sf-424-family.html

4. Section C should list the sources and amount of non-Federal cost sharing if proposed.

5. Section D requires a breakdown of the first year’s Federal share and non- Federal share of the budget by quarter.

6. Section E requires the budget estimate of Federal funds needed for each year of the project. The budget estimate for the first year of the award should be entered in Section E, Line 16, Column (b). The budget estimate for the second year of the award should be entered in Section E, Line 16, Column (c). The budget estimate for the third year of the award should be entered in Section E, Line 16, Column (d). And the budget estimate for the fourth year of the award should be entered in Section E, Line 16, Column (e). If a fifth year is being proposed, on the separate SF-424A enter the estimates for the fifth year in Section E, Line 16, Column (b) of the separate SF-424A form.

c. CD-511, Certification Regarding Lobbying.

Enter “NTIA-PWSCIF-2023” in the Award Number field. Enter the title of the application, or an abbreviation of that title, in the Project Name field.

d. SF-LLL, Disclosure of Lobbying Activities (if applicable).

Click the hyperlink to follow instructions.

e. SF-328, Certification Pertaining to Foreign Interests.

Click the hyperlink to follow instructions.

f. Budget Narrative and Justification.

There is no set format for the Budget Narrative and Justification; however, further explanation must be provided for the specific cost categories and line items identified in the SF-424A form as well as any other information the applicant deems necessary for consideration.

The written justification should include the necessity and the basis for the cost, as described below. Proposed funding levels must be consistent with the project scope, and only allowable costs should be included in the budget. Information on cost allowability is available in the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards at 2 C.F.R. Part 200, which apply to awards in this program.

This section will be reviewed to determine if all costs are reasonable, allocable, allowable, and necessary as defined in 2 C.F.R. Part 200 Subpart E, Cost Principles.

Information required for each budget category is as follows:

https://r.search.yahoo.com/_ylt=AwrNYOZYuhFkCo8FfRgPxQt.;_ylu=Y29sbwNiZjEEcG9zAzMEdnRpZAMEc2VjA3Ny/RV=2/RE=1678912217/RO=10/RU=https%3a%2f%2fwww.gsa.gov%2fforms-library%2fdisclosure-lobbying-activities/RK=2/RS=UhtLsowdHKcuPWsnXUANE7gYvdA-https://r.search.yahoo.com/_ylt=AwrNYObeuRFkD4AFhyEPxQt.;_ylu=Y29sbwNiZjEEcG9zAzEEdnRpZAMEc2VjA3Ny/RV=2/RE=1678912095/RO=10/RU=https%3a%2f%2fwww.gsa.gov%2fForms%2fTrackForm%2f32986/RK=2/RS=uJubpErSHxbQpGb4ai3RbWbCAP8-https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/section-200.306

1) Personnel– At a minimum, the budget justification for all personnel should 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.

2) Fringe Benefits– Fringe benefits for each position should be identified separately from salaries and wages and based on rates determined by organizational policy. The items included in the fringe benefit rate (e.g., health insurance, parking, etc.) should not be charged under another cost category.

3) Travel– For all travel costs, the budget justification for travel should include the following: destination; names or number of people traveling; dates and/or duration; mode of transportation, lodging, and subsistence rates; and description of how the travel is directly related to the proposed project. For travel that is yet to be determined, please provide best estimates based on prior experience. If a destination is not known, an approximate amount may be used with the assumptions given for the location. Additionally, grantees will be encouraged to participate in meetings or symposia of all grantees and industry stakeholders annually to share lessons learned, identify test gaps, identify best practices, and make recommendations on future work or changes. Costs for attending such meetings is an allowable grant cost. Applicants should account for preparation costs and travel expenditures for at least one meeting per year in their budget narratives and justification.

4) Equipment- Equipment is defined as an item of property that has an acquisition cost of $5,000 or more (unless the organization has established lower levels) and an expected service life of more than one year. The budget justification should list each piece of equipment, the cost, and a description of how it will be used and why it is necessary to the successful completion of the proposed project. Please note that any general use equipment (computers, etc.)

charged directly to the award should be allocated to the award according to expected usage on the project.

5) Supplies– Supplies are defined as all tangible personal property other than that described as equipment. Provide a list of each supply, and the breakdown of the total costs by quantity or unit of cost. Include the necessity of the cost for the completion of the proposed project.

6) Contractual (i.e., Contracts or Subawards)– Each contract or subaward should be treated as a separate 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. Contracts are for obtaining goods and services for the applicant’s own use and creates a procurement relationship with the contractor. A subaward is for the purpose of carrying out a portion of a Federal award and creates a Federal financial assistance relationship with the subrecipient.

7) Construction– Not an allowable cost under this NOFO.

8) Other Direct Costs– For costs that do not easily fit into the other cost categories, please list the cost, and the breakdown of the total costs by quantity or unit of cost. Include the necessity of the cost for the completion of the proposed project.