Statewide RFP

NCInnovation’s (NCI’s) mission is to unlock the innovative potential of North Carolina’s research universities catalyzing inventions to move from the lab to the market and promoting economic development across the state. NCI supports this mission by providing university researchers with grant funding and support services to help commercialize research breakthroughs and accelerate the transition from academia to industry. At its core, NCI is a regional economic development initiative centered on our world-class university system.  

NCInnovation provides the necessary investment and coordination to transform research breakthroughs into successful businesses that improve economic opportunities in all regions of North Carolina. Specifically, the organization:

• Provides grant funding for university applied researchers to mature a proof of concept to the point of commercial viability.  
• Supports the transition of applied research and new technologies from academia to industry with funding for comprehensive business development and other support services, coupled with ongoing coordination between universities and the private sector.  
• Identifies innovation opportunities in key industry sectors, helping guide university research and resource allocation to best position viable projects for commercialization.  
• Will forge a new path to unleash North Carolina’s innovation potential, supporting economic opportunity in all regions of the state.   

NCInnovation’s programming and funding will drive lasting economic and technological growth across NC, ensuring that the UNC System universities remain national leaders in innovation. 

In 2023, the North Carolina state budget established a $500 million reserve – split into $250 million allocations over two years – which, in turn, goes into an endowment to support NCI’s mission and accelerate the commercialization of university research. A key purpose of the endowment is to fund a grant program for North Carolina public higher education institutions that will help 1) build capacity in applied research; 2) support technology development, start-up support, and licensing; 3) support IP development and patent protection; 4) provide non-dilutive funding to support advance of R&D to the point of commercial viability; and 5) provide support services after proof of viability. This program seeks to support faculty in building scalable solutions that have broad economic impact either in their region or extending beyond regional boundaries.  

NCInnovation offers grants to university researchers so they can advance their research breakthroughs to the point of commercial viability. To do this, NCI’s grants focus intensely on the middle phase of the R&D process – after proof of concept has been achieved, but before a technology is mature enough to attract private investment. Developing technologies to an inflection point, where a license for the intellectual property or a new startup company can be formed. Focusing on this phase maximizes the probability a promising research initiative can be commercialized.  

Government and private investors sometimes use a matrix called Technology Readiness Levels (TRL) (see table below, sourced from GAO) to define each phase of a research endeavor, from the very earliest idea generation (TRL 1) to end-stage market entry (TRL 9). NCInnovation assesses research projects using this matrix to gauge their readiness for commercialization. NCInnovation focuses on the middle phase – TRLs 3-6, – often referred to as the ‘valley of death.’ TRLs 3-6 are often the most challenging and most expensive. It’s in this phase that researchers mature their technology, consistently testing and improving such that it can work in more realistic settings. The description of this middle phase as the ‘valley of death’ captures the fact that without this funding, many promising innovations fail to reach commercialization. At this stage, there’s still much work to be done before a technology is commercially viable. 

Those steps are expensive. Some universities may have resources for researchers working at TRL-3 or TRL-4, but funding to get through the valley of death is usually the hardest money to come by, especially outside of mature innovation ecosystems like the Research Triangle. NCI focuses exhaustively on the valley of death, supporting North Carolina university researchers at the critical R&D stage where the academic phase begins transitioning through proof of concept toward commercialization. 

In this Request for Proposals (RFP), NCI does not currently have a set minimum or maximum award amount. For reference, previous awards have been in the range of approximately $300K to $1.1M. We anticipate that most awards will fall within this range, but amounts may vary depending on the scale of the proposed project.  Grants will be awarded in tranches provided researchers meet defined milestones, rather than in one lump sum.  

NCInnovation anticipates two funding cycles per year. We will accept proposals on a rolling basis, but all proposals for a given cycle/deadline will be reviewed simultaneously. Information on deadlines will be updated on the website.

The deadline for the fall 2024 pre-application is Friday, December 13, 2024. Applicants can anticipate hearing a response from NCI within one to two months from the application deadline.

• Applied researchers at all 16 UNC System universities are eligible for grants through NCI. Private companies are not eligible to serve as lead institution.  
• Institutions in the North Carolina Community Colleges System are eligible for funding. At this stage, we recommend that community colleges participate by partnering with one or more universities to pursue funding, but we anticipate future programs will target community colleges more directly as we build out the granting process.   
• Proposals must define a technology at a TRL of three or higher. Any proposed projects with a TRL of less than three will not be considered for funding and will not advance past the pre-proposal stage. This ensures that only projects with demonstrable potential for commercialization and scalability are considered. 
• NCI is committed to remaining industry agnostic and accepts applications from all technology sectors.  
• NCI prioritizes projects with the highest potential for commercialization and economic impact in NC.  

The maximum award duration is two years, and all awardees remain eligible for future rounds of NCI grant funding, depending on the performance from a previous NCI award. Funding will be released in tranches based on completion of milestones as defined in your proposal (see Award Format section below).     

NCInnovation will host regional Q&A sessions in advance of pre-proposal and full-proposal submission deadlines to provide researchers and university administrators an opportunity to learn more about the program and ask questions. Please see the NCInnovation grant submission forms for information on Q&A session dates.  

The first session will be held virtually on Thursday, November 21, 2024 at 1 pm. If you are interested in attending this event, please register here and a Zoom link will be provided.

Pre-proposals must be submitted using the online form provided by NCI for a first round of evaluation (see “Apply to NCI’s Statewide RFP” section below). Pre-proposals will undergo a first round of evaluation (see “Review Process“), and a subset of the pre-proposal submitters will be invited to submit a full-proposal.

All proposers must complete the following steps to be considered for funding:  

1. Discuss your proposed project with your Regional Director and respond to resulting feedback as appropriate.   
2. Submit a pre-proposal using the link below (see “Apply to NCI’s Statewide RFP”). Applicants are required to use the templates provided in the resources section as indicated in the pre-application instructions).

Full-proposals must be submitted through a separate online form that will be provided alongside the invitation to submit. Due to the number of funding cycles per year and NCI’s intention to be as responsive as possible, the timeline for preparing full-proposals is relatively short. Any proposers invited to submit a full-proposal who feel they need more time to complete it may choose to submit their full-proposal at the next available full-proposal deadline. We ask that you notify your respective NCI Regional Director (see Program Contacts) if you decide to delay your full-proposal submission.   

NCI welcomes a wide variety of project proposals and partnership structures, and proposers are strongly encouraged to seek collaborators and partnering organizations both inside and outside the university system. These types of partnerships will almost invariably strengthen your proposal. Please provide letters of support (minimum of two and maximum of five) to demonstrate the support of your institution and partners. At least one letter should come from the lead PI’s institution to show alignment with university leadership. University letters can come from anyone the PI chooses. Examples include deans, department chairs, chief research officers, chief innovation officers, tech transfer offices, chancellors, etc. 

All full-proposals should contain the following components:  

Application Form

• Cover sheet  
• Proposals will only be accepted through NCI’s online form, which will be shared with all teams invited to submit a full-proposal.

Budget Justification

• NCI requires PIs to prepare a budget using the template provided. Note that NCI funds cannot be used to support F&A costs, but you may budget for staff time (e.g., post-award administration, general administrative assistance, project management, etc.) and other expenses that would normally be covered by F&A.  
• NCI requires PIs to submit a brief budget justification, using the template provided, that outlines how you anticipate using the requested funds.

Supplemental Documents

• References: References may be included and do not count toward narrative length requirements. Please gather your references in a separate document and upload the list alongside your other supplemental documents.   
• List of key personnel with titles and affiliations. 
• Bio sketches: Include a bio sketch (maximum two pages) for senior and other key personnel using the template provided.  
• Letters of support: Include two to five letters of support.   

Pre-proposals will undergo a screening/down selection process in which NCI staff, in collaboration with lead institutions, will determine which projects meet minimum criteria and best demonstrate strategic alignment with NCI’s regional economic development goals, geographical distribution, and available budget. The NCI team will perform a preliminary scoring of pre-proposals according to the review criteria (see the resources section). Teams whose pre-proposals are selected during this process will be invited to submit a full-proposal. If the proposal is not accepted during this cycle, applicants are encouraged to work with your Regional Director to strengthen it going forward. 

Full-proposals will be reviewed simultaneously by two different groups. The first is a set of external reviewers that will consist of four core reviewers that will score all the proposals received and two regional reviewers that will be specific to each NCI hub region. The second is a third-party review panel that will score the proposals according to market fit and the results of the statewide asset mapping exercise that NCI has been leading, in coordination with RTI. The NCI team will convene the reviewers at the end of these simultaneous scoring processes to come to consensus on a prioritization of proposals.   

Submitters of full-proposals may receive questions from the review panel during the review process and should be prepared to provide written responses within a week of receiving these questions.  

The prioritized proposals will undergo an additional internal screening to balance NCI’s funding portfolio according to geographical location, amount of funding available, and other considerations. The NCI team will submit a prioritized set of funding recommendations to the NCI Board, which will have the opportunity to approve the funding recommendations. Once Board approval is complete, awardees will be notified.   

The evaluation criteria are all weighted equally and include the following:

1. Significance 
2. Team, Collaborators, and Infrastructure  
3. Potential Impact  
4. Commercialization Potential/Pathway 
5. Approach and Milestones 
6. Use of funds 

NCI awards are milestone-based, meaning that the proposing team will define a set of milestones as part of the proposal process, and the team will be evaluated against those milestones. Funding will be released based on the completion of milestones as defined in your proposal. The exact funding schedule remains to be determined, but in most cases the funding will be released in annual tranches if milestones are met.   

As a condition of funding, NCI requires that companies created to commercialize the resulting IP out of NCI-funded projects maintain a physical presence in North Carolina for a minimum of five years to maximize economic development opportunities within the state. Companies that do not fulfill this request are subject to claw back provisions

Awardees will be asked to report project outcomes annually. Details of the reporting structure, including templates and deadlines, will be communicated to teams at the time of the award.

1. What biosketch and budget justification format should I use?   
   • Use the biosketch and budget justification templates provided by NCI.  

2. Should we include letters of support?  
   • Yes, please include a minimum of two and a maximum of five letters of support.  

3. What types of expenses are allowable?   
   • Please adhere to all guidelines for use of state funds. NCInnovation grants cannot cover F&A costs. Awards can cover personnel (researchers, support staff, project managers, grants administration staff, etc.), materials/supplies/equipment, services/subcontracts/consulting costs, subawards to partnering universities, and other expenses typically encountered while performing grant-funded work.  

4. Can NCInnovation grant funds cover facilities and administration (F&A) costs?  
   • No, F&A costs cannot be covered by NCInnovation awards.   

5. Should I include references?  
   • You may include a list of the most relevant references by preparing them in a separate document and uploading the document in the other supplemental documents section of the application form.   

6. I’m working on developing a therapeutic. Can I use the NIH TRL scale to assess the status of my project? 
   • Yes, you may use the NIH scale. Please specify in your response to the TRL question which scale you are using.   

7. Does NCI require me to have identified an industry partner before I apply?  
   • NCI does not strictly require that you have identified partners before you apply; however, partnering is strongly encouraged. Generally, projects with identified partners tend to receive higher scores during the review process. 

8. Can NCI help me find partners for my project?
   • NCI can advise on potential partners and can make introductions on a case-by-case basis. Depending on staff availability, we may have varying capacity to assist at any given time. Please contact the relevant Regional Director for more information.  

9. Who is my Regional Director? 
   • See Section 4 for Regional Director names and contact information.  

10. Will I receive feedback on my proposal?  
    • Yes, applicants will receive feedback, and those who do not receive an award will have opportunities to continue working with their respective Regional Director to strengthen the proposal for a future submission.  

11. If I am invited to submit a full-proposal, may I wait for a future cycle to submit my application? 
    • Yes, applicants invited to submit a full-proposal may submit their full-application in a future cycle if they apply within one year of the invitation. Proposers are encouraged to remain in communication with their respective Regional Directors to continue strengthening the project until the full-proposal submission is complete.  

12. Where can I learn more about how to apply for this funding program?
    • NCI will host Q&A sessions to provide more information to those interested. Reach out to your Regional Director if you are interested in joining one of these sessions.  

Pre-Application

Pre-Application Resources

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Pre-Application Biosketch Template

Download

Pre-Application Evaluation Criteria

Download

Pre-Application

Download

Program Contacts

NCInnovation operates four regional innovation networks – Charlotte, East, Piedmont, and West – to connect research universities, industry partners, and business leaders together to drive more effective commercialization strategies regionally and across North Carolina.  

Each regional network includes the research universities within that region and is anchored by a hub university and Regional Director, except for the Triangle Region, which is anchored at the NCI headquarters in Durham. Regional Directors are available to discuss your project plans with you and answer questions you may have as you prepare your application.  

• Charlotte (UNC Charlotte): Mary Lou Bourne, Regional Innovation Network Director – Charlotte (mbourne@ncinnovation.org)   
• East (East Carolina University): Derrick Welch, Regional Innovation Network Director – East (dwelch@ncinnovation.org)   
• Piedmont (N.C. A&T State University) and Triangle: Louis Judge, Regional Innovation Network Director – Piedmont (ljudge@ncinnovation.org)  
• West (Western Carolina University): Meagan Coneybeer, Regional Innovation Network Director – West (mconeybeer@ncinnovation.org)