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Return to New and Early Stage Investigator Policies
Frequently Asked Questions About The NIH Early Stage Investigator (ESI) Policy
Initial Posting: January 12, 2009
General Issues
- How does NIH describe a New Investigator?
- How does NIH describe an Early Stage Investigator (ESI)?
- How does NIH recognize ESIs?
- If I am an ESI, how do I ensure that NIH recognizes me as such?
- How do I get an eRA Commons account?
- Which grant opportunities are available to ESIs?
- How can institutions assist NIH in its commitment to ESIs?
- Are there other special initiatives or programs for scientists just beginning their independent careers?
Eligibility For Consideration As An Early Stage Investigator
- I finished my Ph.D. in November but didn’t graduate until the spring. What date should I use for the date of my terminal research degree?
- Can medical specialty or subspecialty training be considered a part of medical residency?
- I earned a Masters of Business Administration after my Ph.D. Can my M.B.A. be considered my terminal research degree?
- Do I have to be a U.S. citizen to be considered an Early Stage Investigator?
- If I am an Early Stage Investigator, will all my research grant applications receive special consideration?
- I have ESI status but I plan to submit a Multiple PI application. Will my application be flagged as ESI?
- I had an R01 several years ago but have no R01 now. Can I be considered an ESI?
- May I apply from a foreign institution?
- Can investigators at small businesses be considered ESIs?
- Can investigators at government agencies, non-academic, and/ or for-profit organizations be considered ESIs?
- I am a scientist in the NIH Intramural Program. Can I be considered for ESI status?
- I’ve entered the date of my terminal research degree and/or the end of residency date. Where do I look to find my ESI status?
Extension Of Early Stage Investigator Status
- How do I request an extension of my ESI status?
- When should I apply for an ESI extension?
- What time units will be considered in a request?
- Must the application for an extension come from or be endorsed by an institution?
- Is documentation required?
- Will NIH ask for more information to support my request for an extension?
- Who will make the decision about my request for an extension?
- How long will it take to get a response?
- Can I appeal the decision of the ESI Extension Committee?
- Is there an upper limit to the time requested for extension?
- What is the definition of disability?
- I have a chronic illness that generally impairs my ability to work full time. Am I eligible for an extension? If so, how long can this extension last?
- If I request and receive an extension and another issue comes up, can I ask for a second extension?
- How will I know if my extension has been granted?
- Can I talk to someone about my situation?
- I had a hiatus in my research career to take care of family members. Can I request an extension in my ESI status?
- I had a delay in my research due to a flood in our animal facility that resulted in the loss of a valuable mutant mouse colony. May I request an extension of the time equivalent to the time required to replace my experimental mouse colony and restart my research career?
- I spent 4 years conducting research in industry before taking my first academic position. Can I request an extension of my ESI to account for time out of academia?
- I spent 2 years working in the telecommunication industry after my degree. Can I request an extension of my ESI period to cover this time away from research?
- I was unemployed for 2 years after my terminal research degree. Can I request an extension of my ESI period to cover this time away from research?
- I spent time in a research staff associate position and was not permitted to apply for NIH grant support. Can I request an extension of my ESI period to cover this time away from research?
- I spent several years as a clinical fellow after my MD and my residency before I started my research training. Can I extend my ESI status?
- Can you provide a few clear samples of requests for extension of the ESI period?
- What is the maximum ESI extension that I can request?
Identifying Applications From ESIs
- I am an ESI and I am planning to submit a research grant application jointly with two other investigators. Will my ESI status ensure special consideration for our application?
- How are applications from ESIs identified in the review process?
- I submitted an application within my ESI eligibility window, which ends this month. I plan to submit a revised version of this application, which will be after my eligibility expires. Will my revised application be ESI-eligible?
- I self-identified on my grant application as a New Investigator/Early Stage Investigator (ESI), but this designation does not appear when I view the grant folder in the NIH Commons. How can I correct the information? (New: 05/29/2009)
General Issues
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How does NIH describe a New Investigator?
A New Investigator is an NIH research grant applicant who has not yet been awarded a substantial, competing NIH research grant. For example, a Program Director/ Principal Investigator (PD/PI) who has previously received a competing NIH R01 research grant is no longer considered a New Investigator. However, a PD/PI who has received a small grant (R03) or an Exploratory, Developmental Research Grant Award (R21) retains his or her status as a New Investigator. For a complete list of NIH grants that do not disqualify a PD/PI from being considered a New Investigator, visit http://grants.nih.gov/grants/new_investigators/resources.htm.
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How does NIH describe an Early Stage Investigator (ESI)?
An ESI, or Early Stage Investigator, is a New Investigator who has completed his or her terminal research degree or medical residency—whichever date is later—within the past 10 years and has not yet been awarded a substantial, competing NIH research grant.
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How does NIH recognize ESIs?
The NIH is committed to identifying and attracting Early Stage Investigators (ESIs). ESIs will be identified in the eRA Commons (https://commons.era.nih.gov/commons/) based on information entered about degree conferral date and the end of residency dates. R01 applications received from individuals with ESI status will be identified as they are submitted and those applications will be given special consideration at the time of review and award. As with applications from all New Investigators, peer reviewers will focus more on the investigator’s experience and training rather than the record of accomplishments that have advanced their chosen field. ESIs and New Investigators in general will not be expected to provide the same depth of preliminary data as one would expect from an established investigator.
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If I am an ESI, how do I ensure that NIH recognizes me as such?
Software within the eRA Commons will calculate the window of ESI status based on the terminal research degree or residency end dates stored in the investigator’s Profile. The system will check first for New Investigator status. If the individual is identified as a New Investigator and is within ten years of the terminal research degree or the completion of medical residence, then the software will set an ESI flag. If these dates are not entered, the person is not considered an ESI.
To ensure that NIH recognizes your ESI status, you must update your eRA Commons profile to reflect the date of completion of your terminal research degree. After January 17, 2009, the eRA Commons also will be ready to accept completion dates for medical residencies.
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How do I get an eRA Commons account?
Institutions must be registered with the NIH eRA Commons before faculty and staff can take advantage of electronic submission and retrieval of grant information. Only an individual with signing authority for the institution in grant related matters can register an institution. This individual is designated as the “Signing Official.”
For most institutions, the Signing Official is located in the institution’s Office of Sponsored Research or its equivalent. Researchers should work through their institution’s Office of Sponsored Research or its equivalent to establish their eRA Commons account. If you are unable to identify your institution’s Signing Official, please contact the NIH eRA Commons Help Desk at commons@od.nih.gov.
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Which grant opportunities are available to ESIs?
Grant opportunities for all investigators including ESIs are detailed in Funding Opportunity Announcements (FOAs). You can find FOAs at http://grants.nih.gov. ESIs may respond to specific Requests for Applications (RFAs) or Program Announcements (PAs).
NIH remains committed to investigator-initiated research and PD/PIs may use a “Parent” FOA such as R01 Parent: PA-07-070. Please note that ESI status will be considered only on applications for R01s. ESIs, however, can respond to nearly all NIH RFAs and PAs and Parent Announcements.
How can institutions assist NIH in its commitment to ESIs?
Institutions function as partners to the NIH in their ability to identify and attract biomedical researchers of the highest caliber. We urge institutions to continue to look for ways to reduce the duration of graduate and postdoctoral training; to enable new investigators to move quickly to research independence; and to compete successfully for extramural funding.
Are there other special initiatives or programs for scientists just beginning their independent careers?
A number of opportunities are highlighted on the New and Early Stage Investigator Website at http://grants.nih.gov/grants/new_investigators/index.htm. Two NIH-wide awards of particular note include the Pathway to Independence Award (K99-R00) and the NIH Director’s New Innovator Award (DP2). The Pathway to Independence Award provides support as a postdoctoral scholar transitions from a training position to a faculty position. The NIH Director’s New Innovator Award is designed to stimulate applications for grants to support highly innovative research approaches. Applicants for the Innovator Award must be within 10 years of their doctoral degree or the completion of their medical residency.
The New and Early Stage Investigator Website includes links to New Investigator pages at each of the NIH Institutes and Centers (ICs). IC websites frequently include a description of IC specific policies and initiatives for scientists at the beginning of their independent careers.
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Eligibility For Consideration As An Early Stage Investigator
I finished my Ph.D. in November but didn’t graduate until the spring. What date should I use for the date of my terminal research degree?
The formal date of receipt of your Ph.D. is the date the degree was conferred, as indicated on your diploma and/or transcript. That date determines the beginning of your 10 year window as an Early Stage Investigator.
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Can medical specialty or subspecialty training be considered a part of medical residency?
No. The training in a medical specialty or subspecialty in the years that follow the internship/residency period is not considered a part of residency for the purpose of this policy. Often the clinical fellowship period will consist of a mixture of clinical and research training. The time spent in research training will be considered as applicable toward the 10 years of research and research training that characterizes the period of ESI status. The time spent in clinical training and clinical care unrelated to research, however, will be considered favorably in a request for extension of the ESI period.
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I earned a Masters of Business Administration after my Ph.D. Can my M.B.A. be considered my terminal research degree?
No. An M.B.A. or an M.F.A. and similar degrees normally are not considered research degrees. However, some types of research Master’s degrees (like M.S. or M.P.H) can be considered terminal if they mark the beginning of a period of research or research training or the new degree substantially expands or advances an individual’s skills within a field related to the NIH mission. For example, an M.P.H. or a comparable research degree earned after the medical degree may initiate a period of research and should be listed as the terminal research degree. The conferral date for the terminal research degree will mark the beginning of the ESI status period.
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Do I have to be a U.S. citizen to be considered an Early Stage Investigator?
No. There are no citizenship or residency requirements for ESI (or New Investigator) status.
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If I am an Early Stage Investigator, will all my research grant applications receive special consideration?
No. Only applications for R01 research grants will receive special consideration.
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I have ESI status but I plan to submit a Multiple PI application. Will my application be flagged as ESI?
As with applications from New Investigators (see the Definition of New Investigator at http://grants.nih.gov/grants/new_investigators/index.htm), 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.
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I had an R01 several years ago but have no R01 now. Can I be considered an ESI?
No. If you have competed successfully for a substantial NIH grant at any time in your career, you will no longer be considered a New Investigator and therefore you will not be considered an Early Stage Investigator.
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May I apply from a foreign institution?
Yes. ESI status is associated with individual investigators and the advantages offered are designed to accelerate the transition to independence. They can apply to investigators in foreign settings as well as domestic settings. Applicants from foreign institutions may find the FAQs available at http://www.fic.nih.gov/funding/grants_info/faq.htm useful.
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Can investigators at small businesses be considered ESIs?
Yes, but the advantages of ESI status apply only to applicants for traditional NIH research grants (R01s) and do not apply to SBIR and STTR grants reserved for small businesses. Information on SBIR and STTR can be found at http://grants.nih.gov/grants/funding/sbir.htm.
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Can investigators at government agencies, non-academic, and/ or for-profit organizations be considered ESIs?
Yes. Applicants from any organization with an eRA institutional registration can complete the degree date and residency date fields in their eRA Commons Profile for classification as an ESI. PD/PIs should work through their institution’s Office of Sponsored Research or its equivalent to establish an eRA Commons account. If you are unable to identify your institution’s Signing Official, please contact the NIH eRA Commons Help Desk at commons@od.nih.gov.
I am a scientist in the NIH Intramural Program. Can I be considered for ESI status?
With the exception of certain Roadmap programs and the NIH Pathway to Independence Award (K99/R00), NIH Intramural scientists are not permitted to apply for extramural grants while associated with the NIH Intramural Program. Those considering transitioning to an extramural position should consult NIH policies for information about changing affiliation and preparing grant applications. (see http://www1.od.nih.gov/oir/sourcebook/ethic-conduct/fund-irp-erp-3-00.htm).
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I’ve entered the date of my terminal research degree and/or the end of residency date. Where do I look to find my ESI status?
Once you have entered the date of your terminal research degree and/or your end of residency date on the Degree/Residency Page of your eRA Commons Profile, your ESI status and the End of Eligibility Date will be displayed. See screenshot.
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Extension Of Early Stage Investigator Status
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How do I request an extension of my ESI status?
Beginning on January 17, 2009, a Form for requesting an extension of ESI status will be provided at http://grants.nih.gov/grants/new_investigators/index.htm. Submitting the completed Form will generate an email to the NIH ESI Extensions Committee requesting an extension of the ESI status period. This Form must be used to apply for an ESI extension. The policies and procedures for requesting an extension of the period of ESI status are detailed at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-034.html. If an extension is granted a new ESI end date will appear in eRA Commons and you will be sent email notification of the change.
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When should I apply for an ESI extension?
You may apply for an extension of the ESI period at any time after January 17, 2009 when the eRA Commons begins calculating and displaying your ESI status. PI/PDs are encouraged to update their degree and residency information and when necessary to request extensions well in advance of the due date for any planned R01 application. Early establishment of ESI status will avoid ambiguity about the ESI classification of submitted applications. It will be difficult to reclassify an application after it has been received and processed.
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What time units will be considered in a request?
Terminal scientific degrees and residency completion dates will be reported as month and year. Similarly, requests for extension should be made in whole months. Rounding up to the next whole month is permissible. For example, if the time away from research is 6 months and 3 weeks, a request of 7 months is appropriate.
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Must the application for an extension come from or be endorsed by an institution?
No, ESI status applies to an individual and requests for extensions are submitted by individuals. It is not necessary to send the request to an institutional official. The individual submitting the request for ESI extension is responsible for providing true, accurate, and complete information.
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Is documentation required?
No. NIH will not request any specific documentation at the time of submitting a request for extension. It will be useful, however, to explicitly describe your time away from research in months and years along with the reason for and the nature of the hiatus. It is possible, that the NIH will request documentation to support your request to better establish a reasonable extension period.
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Will NIH ask for more information to support my request for an extension?
In some cases, NIH may ask for additional information or clarification regarding a request.
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Who will make the decision about my request for an extension?
An ESI Extensions Committee composed of senior NIH extramural review and program staff will evaluate the requests for extensions and will make decisions. The Division of Receipt and Referral in the Center for Scientific Review will be responsible for coordination of the deliberations of the committee.
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How long will it take to get a response?
In most cases it is expected that a decision will be made within two weeks. If initially, there are large numbers of requests for extensions, the process and the decision may take longer.
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Can I appeal the decision of the ESI Extension Committee?
Decisions of the ESI Extension Committee are not appealable.
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Is there an upper limit to the time requested for extension?
The requested extension should be equal to the time away from research or research training during the 10 year period following the terminal research degree or the end of medical residency. Any well-justified request involving family care, illness, disability, periods of clinical training, natural disasters, active duty military service and other reasons will be considered.
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What is the definition of disability?
NIH defines disability as any physical or mental impairment that substantially limits one or more major life activities.
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I have a chronic illness that generally impairs my ability to work full time. Am I eligible for an extension? If so, how long can this extension last?
A chronic illness (mental or physical) could be a valid reason to request an ESI extension. You should prorate the request. For example if the chronic illness led to working only 80% time over a 5 year period within the ESI eligible time frame, you should request a one year extension.
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If I request and receive an extension and another issue comes up, can I ask for a second extension?
Yes. You may request a second extension if a second hiatus away from research or research training occurred within ten years of your terminal research degree or within ten years of completing your medical residency.
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How will I know if my extension has been granted?
You will receive an email response at the email address designated in your eRA Commons account. In addition, the ESI indicator in your eRA Commons Account will change and the end date of your ESI status period will be modified if an extension is granted.
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Can I talk to someone about my situation?
Yes. Please direct any concerns you may have to the mailbox for ESI inquiries (ESINIH@od.nih.gov). If you feel it is necessary to discuss a special situation, please indicate that in your email, and someone will call you.
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I had a hiatus in my research career to take care of family members. Can I request an extension in my ESI status?
Yes. Once the date of the terminal research degree and/or the date of residency completion have been entered in the eRA commons, the data system will calculate the end date of ESI status. If there has been a lapse in your research or research training during the ten year period after your terminal research degree or the end of medical residency you can request an extension. In general, the NIH will consider requests to extend the ESI period for reasons that can include medical concerns, disability, family care responsibilities, extended periods of clinical training, natural disasters, and active duty military service. Any such request will be considered on a case-by-case basis.
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I had a delay in my research due to a flood in our animal facility that resulted in the loss of a valuable mutant mouse colony. May I request an extension of the time equivalent to the time required to replace my experimental mouse colony and restart my research career?
Yes. A request for an extension of the ESI period can be based on natural disasters and other catastrophic events that led to a lab shutdown, relocation, or the need to rebuild resources required for your research. This can include a hurricane, fire, flood, earthquake or occurrences like an infection in an animal colony. In your extension request, please indicate the nature of the disaster and the actual time lost until you restarted your research or research training. As with other requested extensions, such requests will be considered on a case-by-case basis and the Extension Committee may ask for additional supporting information. The policies and procedures for requesting an extension of the period of ESI status are detailed at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-034.html.
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I spent 4 years conducting research in industry before taking my first academic position. Can I request an extension of my ESI to account for time out of academia?
No. There is no distinction between research or research training time spent in industry and comparable time spent in academia.
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I spent 2 years working in the telecommunication industry after my degree. Can I request an extension of my ESI period to cover this time away from research?
No. If the time away from research is a career choice and is not related to medical concerns, disability, family care responsibilities, natural disasters, active duty military service or comparable factors it should not be the basis for an extension request.
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I was unemployed for 2 years after my terminal research degree. Can I request an extension of my ESI period to cover this time away from research?
Generally, No. Requests for an extension of ESI eligibility related to a period of unemployment will not be granted unless the unemployment period is a direct result of medical concerns, disability, family care responsibilities, natural disasters, or comparable factors. All extension requests will be considered on a case-by-case basis and the Extension Committee may ask for additional supporting information.
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I spent time in a research staff associate position and was not permitted to apply for NIH grant support. Can I request an extension of my ESI period to cover this time away from research?
No. Institutional restrictions on the ability to apply for external research support should not be the basis for an extension request.
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I spent several years as a clinical fellow after my MD and my residency before I started my research training. Can I extend my ESI status?
Probably. Individuals who have engaged in clinical training after the doctorate or after the completion of an internship/residency can request an extension of the ESI period equivalent to the time away from research. For example, an MD degree holder who undertook a clinical fellowship after the residency period may ask for an extension of ESI status equivalent to the duration of clinical training leading to qualification in a medical specialty or subspecialty. Periods of the fellowship, however, that were devoted to research will count against the 10 year ESI period and should not be included in the request for extension. All such extension requests will be considered on a case-by-case basis. The policies and procedures for requesting an extension of the period of ESI status are detailed at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-034.html.
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Can you provide a few clear samples of requests for extension of the ESI period?
a. I was enrolled for twelve months in the clinical portion of my Cardiology Fellowship from July 2000 to July 2001. In addition, I had a child and spent 6 months away from research between the period of May 2002 and October 2002. In total, I’m requesting that my ESI status be extended 1 year and six months. According to the eRA Commons the ten year period of my ESI status will end on July 2010. I’m requesting that it be extended until January 2012.
b. My Ph.D. was granted in November 1999. In August of 2002, my postdoctoral appointment was interrupted and delayed by injuries sustained in a car accident. I was in the hospital and away from the lab for two months until the end of September and then worked only half time for 6 months between October 2002 and March 2003. I’m requesting a 5 month extension of my ESI period. That would extend my ESI period from November 2009 until April 2010.
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What is the maximum ESI extension that I can request?
120 months. Although most extension requests are for periods less than 36 months, one can request an extension to account for lapses at any time during ten year research or research training period (120 months) that occurred after the terminal research degree or the completion of medical residency. Those lapses, as indicated at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-034.html, must be related to family care responsibilities, extended periods of clinical training, extended periods of additional didactic instruction, disability, illness, active duty military service, loan repayment, natural disasters or comparable disruptive factors. All extension requests will be considered on a case-by-case basis and the Extension Committee may ask for additional supporting information.
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Identifying Applications From ESIs
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I am an ESI and I am planning to submit a research grant application jointly with two other investigators. Will my ESI status ensure special consideration for our application?
A multiple PI grant application will be flagged for ESI status if all Principal Investigators listed are ESIs. The policy for ESIs on multiple PI applications is parallel to the situation for New Investigators (see the Definition of New Investigator at http://grants.nih.gov/grants/new_investigators/index.htm.
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How are applications from ESIs identified in the review process?
The ESI status of the PI(s), on any R01 application submitted after February 5, 2009, will be determined at the time of submission. If the PI(s) on the application is/are classified as ESI on the submission date, the application will be flagged as ESI and will receive special consideration during the review and funding process. Similarly, any amendment of an ESI application received within 13 months of the submission date of the original application will be flagged as ESI even if the ESI status of the PI(s) has expired.
I submitted an application within my ESI eligibility window, which ends this month. I plan to submit a revised version of this application, which will be after my eligibility expires. Will my revised application be ESI-eligible?
If an original application is flagged as an ESI application and it is revised and resubmitted as an amended application (A1) within 13 months after the submission date of the original application, it will retain its ESI status even if your eligibility period has expired. If the amended application (A1) is resubmitted more than 13 months after the submission date of the original application, the ESI status and New Investigator status will be recalculated based on the submission date of the revised application.
I self-identified on my grant application as a New Investigator/Early Stage Investigator (ESI), but this designation does not appear when I view the grant folder in the NIH Commons. How can I correct the information?
For applications submitted after February 5, 2009, only R01 and DP2 applications are flagged by the eRA Commons as New Investigator/ESI-eligible. Principal Investigators who are identified in the eRA Commons as eligible for New Investigator/ESI status, even if they ‘self-identified’ their eligibility on their application, will only see this designation in the eRA Common in association with R01 applications, and not on Exploratory/Developmental Grants (R21), Smalls Grants (R03), AREA (R15) applications; NIH Challenge Grants (RC1), Grand Opportunities (RC2), etc.
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