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Looking for answers to your questions on our Early Stage Investigator (ESI) policy? Check out the following highlighted frequently asked questions (FAQ) for information on how NIH defines and reviews ESI applications to promote the growth and stability of the biomedical research workforce.
How does NIH describe an Early Stage Investigator (ESI)?
An ESI, or Early Stage Investigator, is a Program Director / Principal Investigator (PD/PI) who has completed their terminal research degree or end of post-graduate clinical training, whichever date is later, within the past 10 years and who has not previously competed successfully as PD/PI for a substantial NIH independent research award. A list of NIH grants that a PD/PI can hold and still be considered an ESI can be found at https://grants.nih.gov/policy/early-investigators/list-smaller-grants. ESIs are encouraged to enter the date of their terminal research degree or the end date of their post-graduate clinical training in their eRA Commons profile to ensure their correct identification.
Will all my research grant applications receive special consideration?
No. Only R01-equivalent applications will be identified as applications from Early Stage, or Early Established Investigators so that they can receive special consideration.
How are applications from ESIs identified in the review process?
The ESI status of the PD/PI(s), on any R01 Equivalent application will be determined at the time of submission. If the PD/PI(s) on the application is/are classified as ESI on the date the application is successfully submitted to Grants.gov, the application will be flagged as ESI and will receive special consideration during the review and funding process.
When NIH approves ESI extension requests or a PI updates their degree information in their eRA Commons personal profile after application submission, the ESI status for the application will be updated once the summary statement is released.
No. Only one substantial NIH independent research application can be awarded as an ESI. When an ESI-eligible application is pending and the PD/PI has been awarded another R01 or R01-equivalent application, the ESI status of the pending application will be updated after release of the summary statement to indicate the application is no longer ESI-eligible.
See the Early Stage Investigators and Next Generation Researchers Initiative FAQ page for more information.
I am inquiring as to whether being a PI on a Direct to Phase II SBIR award eliminates my ESI status. I have looked up that the SBIR Phase I award does not effect my ESI status but does a Phase II award? Thank you for your time.
I would also like to know the answer to this question.
How being a project leader (not a PI or MPI) on a multi-component grant, like a P01 or a SPORE, affects the ESI status?
ESI status is not impacted by being a project lead.
Will funding on R01 level grants from other federal agencies (DOD, etc.) disqualify a researcher from ESI status?
No. To be eligible for ESI status requires that you have not previously competed successfully as PD/PI for a substantial NIH independent research award.
Will being an MPI on R18 grant from AHRQ affect the ESI status?
No. The definition of an ESI is a Program Director/Principal Investigator (PD/PI) who has completed their terminal research degree or end of post-graduate clinical training, whichever date is later, within the past 10 years and who has not previously competed successfully as PD/PI for a substantial NIH independent research award. (AHRQ is not part of NIH.)
Will being a Co-I on an R01 affect my ESI status?
No, being a Co-Investigator will not affect ESI status.
For 2023 and 2024, is it still true that being a co-Investigator on an R01 will not hurt ESI status when we apply as a PI for our own separate R01?
Hello,
I have a PI who who earned an MD in in 2006, completed her fellowship in 2013, and earned a MSCR in 2016. Can you please clarify when her ESI status would expire?
Her ESI status would expire in 2023 (spanning 2013-2023).
Hello!
Will having a Co-investigator or Co-PI on my first R01 affect my ESI status?
Thank you!
Is a research associate from a foreign institution (e.g. INSERM, France) eligible to apply to NIH Early Stage Investigator?
There are no citizenship or residency requirements for Early Stage Investigator status.
Does being a Co-PI on a subcontract of a R01 application affects ESI status?
My ESI end date is 2020/10. Does this mean that my ESI status ends on October 1st or at the end of October? If I submit my R01 application for the October 5th deadline in late September, would my application still be flagged as ESI?
It would end at the end of the month, so your application would still be flagged as ESI.
Hello, I wanted to clarify your answer above. My terminal degree was granted in August 2011. Is it correct that my ESI status would end *at the end of* August 2021? In other words, my ESI status would be valid for the whole month of August 2021. Thank you very much.
Hello, does being a PI on a joint grant between nsf and nih such as Joint DMS/NIGMS Initiative to Support Research at the Interface of the Biological and Mathematical Sciences affect EIS? Many thanks.
Yes, that would affect ESI status.
Just to clarify, if you are awarded a R01 level grant from the DoD and all other criteria are met, do you still have ESI status if you apply for an R01.
Yes.
Hello!
Does having a Co-PI from another institution on my first R01 affect my ESI status?
Thank you!
NIH no longer recognizes CO-PI as a role. If you mean Multiple PI, then yes the ESI status of BOTH PIs will be relevant as to whether the R01 is flagged as R01 or not. Both PIs need to be ESIs in order for the application to be ESI flagged.
Hi,
Just wanted to ask two questions:
1. I completed medical residency in 2012 and hematology/oncology fellowship in 2015. Dose my ESI Status expire in 2022 or 2025.
2. If I submit a multiPI R01 with a senior scientist who is not an ESI, is the application not ESI flagged?
Thank you.
1. 2025. As noted on the FAQs page, the time period for determining ESI status begins after completing one’s post-graduate clinical training.
2. Correct. A multiple PD/PI R01 application will be flagged as an ESI application only if all the listed PD/PIs have ESI status at the time of submission.
HI,
I wanted to know the about one thing:
Can we keep subcontract portion in ESI grant ?
before submitting ESI proposal whether we need to submit letter for study section?
Where I can find the check list for ESI proposals?
Is there a period after which ESIs can no longer apply for the extension due to covid?
ESIs can apply for a COVID-based extension as long as they are eligible (i.e. still within their 10 year ESI eligibility window). They can apply at any point, even after the effects of COVID have no longer impacted their research capacities.
Hi, I am offered to be a PI on a R01 supplement. Would that affect my ESI status?
Leading (PI) a supplement would not affect ESI status.
If an application is submitted when ESI status is active, but the application cycle due date and subsequent review is after the ESI status has ended, will the application retain the ESI flag for review?
Application will still retain ESI status. It essentially is decided by whether the PI was ESI at time of submission.
Would an ESI status be recognized (Eg, are there benefits to applying as an ESI?) specifically on an MPI R01 grant application, when one PI is an ESI, and the other PI is not? Or is the ESI only possible as a single/solo PI?
An application will only be ESI flagged if both PIs are ESIs.
Hi, I am offered to be a PI on a U01 admin supplement (I am a co-I on the U01). Would that affect my ESI status?
If ESI status is determined automatically in ERA Commons and non-NIH agencies also use it (e.g. SAMHSA); will being PD/PI on a SAMHSA services grant interfere with ESI status in ERA commons?
Awards by non-NIH organizations do not count when calculating ESI eligibility. An ESI is a Program Director / Principal Investigator (PD/PI) who has completed their terminal research degree or end of post-graduate clinical training, whichever date is later, within the past 10 years and who has not previously competed successfully as PD/PI for a substantial NIH independent research award.
Will being an MPI on a P01 project affect the ESI status? Thank you!
We have 2 different applications which are marked as ESI at the time of submission. For the first application (Application A) I would not need the ESI 10 percent advantage. However, this (Application A) is still under consideration and is not awarded (very good perecentile score, council approval pending). For the second application (Application B), the percentile score is 24 and is within the NHLBI fundable range for ESI (council meeting pending).
Would I be considered as an ESI for my application B since my application A has not been funded yet?
As long as that first award (Application A) has not been granted (that Notice of Award has not been released), you would be considered an ESI on all other applications (Application B).
IF you are involved in an RO1 application as a MPI do you lose your ESI status once the proposal is submitted?
Hello, Are those with ESI status prioritized when summary statements are returned to expedite the revision process?
Yes, CSR policy is that summaries for New Investigators (both for discussed and not-discussed applications) must be released first.
Will leading a project on a P50 make me lose my new investigator/ESI status?
Serving as a project lead on a P50 or other multi-component award will not cause early-stage investigators to lose their ESI status. Please see the ESI FAQ for more details.
I planning to be the core-lead (and not the PI) on a U19.
If I take on this role, will I lose my ESI status?
Your ESI status would remain in this case. As noted on ESI FAQ #11, if an ESI is assigned a PD/PI role for the overall multi-project application, the individual will lose their ESI status when the award is made. If the ESI is the lead of a project or core, but not the PD/PI for the overall application, the individual will retain ESI status when the award is made.
Will having a senior co-investigator on my first R01 affect my ESI status?
Thank you!
A multiple PD/PI R01 application will be flagged as an ESI application only if all the listed PD/PIs have ESI status at the time of submission. Please see this FAQ: https://grants.nih.gov/faqs#/early-investigators.htm?anchor=question55024
Thank you! I was specifically wondering whether this is also the case if the senior researcher is not co-PI but instead their project role is co-investigator.
ESI status is only impacted by the PD/PIs on the application. All PD/PIs have to be ESIs for the application to be flagged as ESI. Other personnel on the application are not a consideration.
Would being a PI for a FDA U01 grant affect ESI status?
I believe it would not as it is a non – NIH grant, but I just wanted to double check. Thanks
Non-NIH grants would not affect ESI status.
Hello,
My ESI status expired a few months ago. I am planning to request for an extension of my ESI due to the drawbacks caused by COVID-19 right now. But the extension request button is not available in my ESI status profile in eraCommons website. How should I submit my request? Thanks!
Hi, you can submit a ticket to the eRA helpdesk here: https://public.era.nih.gov/submithelp/
Hi, I finished my clinical MD fellowship training in 2015 and then worked until 2017 as a full-time academic clinician. I subsequently received a K23 and entered a Ph.D. program in clinical investigation in 2018. I anticipate defending my Ph.D. dissertation in 2023. Does my ESI status expire in 2025, or does my anticipated Ph.D. degree extend the ESI status? Thank you.
An MD or PhD who completes a subsequent MD or PhD can submit a request to the ESI extension committee via the ESI Extension Request button in the Education section of the Personal Profile page in eRA Commons. We encourage you to reach out to esi_extensions@od.nih.gov for more information.
I have an active R00 and submitting an NIH supplement on parent R00. Will this affect my ESI status?
Your Early Stage Investigator status is maintained if you are designated as principal investigator on an R00 grant. Please see this site for more: https://grants.nih.gov/policy/early-investigators/list-smaller-grants.htm
If I have an ESI end date of 9/30/2023, may I submit for an R01 deadline of 10/5/2023 and retain ESI status, so long as the proposal is submitted by 9/30/2023?
An ESI investigator would like to simultaneously submit an R01 application as PD/PI and also be included as a project leader (not a PI or MPI) on a multi-component grant application. If NIH wanted to award both but the ESI investigator chooses to turn down the R01 in favor of the multi component application, will he/she lose their ESI status?
Based on the current guidance, being a project lead on a funded multi component application does not result in loss of ESI status.
Only one substantial NIH independent research application can be awarded as an ESI.
I have an application flagged as ESI and will need an ESI bonus, but I received NOA of another R01 (ESI bonus not needed) before the council meeting. Will I receive an ESI bonus for this application?
Per our ESI FAQ https://grants.nih.gov/faqs#/early-investigators.htm:
III/19. If I have two different applications under consideration as an ESI and one is awarded, will ESI consideration be given for the other?
No. Only one substantial NIH independent research application can be awarded as an ESI. When an ESI-eligible application is pending and the PD/PI has been awarded another R01 or R01-equivalent application, the ESI status of the pending application will be updated after release of the summary statement to indicate the application is no longer ESI-eligible.
Hi, there is a pervasive thought that having ESI status means that reviewers will expect less preliminary/supporting data. My understanding was always that this was not true, and that reviewers were to consider ESI status re: publication history, contributions to science, etc. Can you clarify? Does this vary across study section cultures?
This page from NIAID says reviewers *may* expect less prelim data…
https://www.niaid.nih.gov/grants-contracts/new-investigators
Generally speaking, applications from ESIs are given special consideration during peer review (e.g. being reviewed separately from applications designating well-funded researchers, where the amount of preliminary data may or may not be considered). NIH Institutes and Centers also prioritize funding for ESIs as part of implementing the NIH Next Generation Researchers Initiative. Several FOAs, including the Stephen Katz R01, do not require the inclusion of preliminary data. Generally speaking, we recommend before applying, all applicants thoroughly review relevant FOAs and also reach out to their program officer regarding any questions about expectations regarding the inclusion of preliminary data.
I earned my PhD in May 1, 2013 and have not previously been awarded with any big NIH grant. I’m planning to apply to a grant that requires ESI eligibility. If the deadline of the application is May 26, 2023, would I still be eligible to apply as an ESI for this grant?
If my role is subaward PI on an R01 grant, will I lose my ESI status?
Thank you for reaching out. Per our FAQ (https://grants.nih.gov/faqs#/early-investigators.htm?anchor=55240) and ESI flyer (https://grants.nih.gov/grants/esi-status.pdf) the answer is no.
If I am listed as a PI/PD with ESI under Senior/Key Personnel, and list senior NIH funded faculty as Co-Investigator under Senior/Key Personnel, does this impact my ESI status? Or do the senior faculty needed to be listed under an alternative section? Thank you.
Would being a follow-up PI on a NIH-funded network (for example, the Neonatal Research Network), impact ESI or New investigator status? Thank you,
Will being a Co-PI on an ARPA-H grant change my ESI status at the NIH?
Hello, thank you for reaching out. The answer is no, per https://grants.nih.gov/grants/esi-status.pdf, “NIH only recognizes senior/key with the role PD/PI as principal investigators” as well as https://grants.nih.gov/faqs#/early-investigators.htm?anchor=55240, “If an ESI is assigned a PD/PI role for the overall multi-project application, the individual will lose their ESI status when the award is made. If the ESI is the lead of a project or core, but not the PD/PI for the overall application, the individual will retain ESI status when the award is made.”
I have an ESI who would like to be a Co-Investigator on an R01 grant at another institution. The other institution would need to issue a subward agreement to my institution. Would I lose my ESI status in this instance?
Hello, thank you for reaching out. The answer is no, per https://grants.nih.gov/grants/esi-status.pdf, “NIH only recognizes senior/key with the role PD/PI as principal investigators” as well as https://grants.nih.gov/faqs#/early-investigators.htm?anchor=55240, “If an ESI is assigned a PD/PI role for the overall multi-project application, the individual will lose their ESI status when the award is made. If the ESI is the lead of a project or core, but not the PD/PI for the overall application, the individual will retain ESI status when the award is made.”
I am an ESI but got involved in an MPI grant application for a U01 as one of the PIs. However, the grant is under review, and I have changed institutions so am thinking of doing a PI replacement. If the PI replacement is effected before the grant is awarded, does this mean I can retain my ESI status and will be able to even apply for K grants.
I am a new assistant professor and early-stage investigator (ESI). I applied for a regular R01 as ESI, but the award is not funded. As I currently have no large NIH grants and no guarantee of funding, I would also like to apply for the KATZ R01 award following the criteria for a significant change in direction. These two grant applications have no overlap.
In the lucky scenario where both grants receive a fundable score: if my regular R01 is funded as an ESI, while the R01 KATZ is still pending counsel review, what would happen to my KATZ proposal? Would the KATZ proposal need to be withdrawn, or could it be moved to the regular R01 funding mechanism, or would it still remain eligible through the original funding mechanism?
Thank you!
My ESI status was active when the initial application was submitted. The application was subsequently revised. However, by the time the revised application was submitted, the ESI status had ended. Will the application still retain the ESI status?
If you are awarded an R61-33, the guidance seems to be that you would lose your ESI status only once the project has progressed to the R33 stage. If you submit an R01 grant while still in the R61 phase, would you still get the ESI status for the R01 submission?
I completed my PhD in 2006, worked in Biotech industry until 2012, worked as a research assistant professor until 2015, then secured a tenure-tracked position in 2015. Am I still eligible as an ESI?