Working with academics: A primer for U.S. government agencies
Collaboration between federal agencies and academic researchers is an important tool for public policy. By facilitating the exchange of knowledge, ideas, and talent, these partnerships can help address pressing societal challenges. But because it is rarely in either party’s job description to conduct outreach and build relationships with the other, many important dynamics are often hidden from view. This primer provides an initial set of questions and topics for agencies to consider when exploring academic partnership.
Why should agencies consider working with academics?
- Accessing the frontier of knowledge: Academics are at the forefront of their fields, and their insights can provide fresh perspectives on agency work.
- Leveraging innovative methods: From data collection to analysis, academics may have access to the new technologies and approaches that can enhance governmental efforts.
- Enhancing credibility: By incorporating research and external expertise, policy decisions gain legitimacy and trust, and align with evidence-based policy guidelines.
- Generating new insights: Collaboration between agencies and outside researchers can lead to discoveries that advance both knowledge and practice..
- Developing human capital: Collaboration can enhance the skills of both public servants and academics, creating a more robust workforce and potentially leading to longer-term talent exchange.
What considerations may arise when working with academics?
- Designing collaborative relationships that are targeted to the incentives of both the agency and the academic partners;
- Navigating different rules and regulations that may impact academic-government collaboration, e.g. rules on external advisory groups, university guidelines, and data/information confidentiality;
- Understanding the different structures and mechanisms that enable academic-government collaboration, such as sabbaticals, fellowships, consultancies, grants, or contracts;
- Identifying and approaching the right academics for different projects and needs.
Academic faculty progress through different stages of professorship — typically assistant, associate, and full — that affect their research and teaching expectations and opportunities. Assistant professors are tenure-track faculty who need to secure funding, publish papers, and meet the standards for tenure. Associate professors have job security and academic freedom, but also more mentoring and leadership responsibilities; associate professors are typically tenured, though this is not always the case. Full professors are senior faculty who have a high reputation and recognition in their field, but also more demands for service and supervision. The nature of agency-academic collaboration may depend on the seniority of the academic. For example, junior faculty may be more available to work with agencies, but primarily in contexts that will lead to traditional academic outputs; while senior faculty may be more selective, but their academic freedom will allow for less formal and more impact-oriented work.
Soft money positions are those that depend largely or entirely on external funding sources, typically research grants, to support the salary and expenses of the faculty. Hard money positions are those that are supported by the academic institution’s central funds, typically tied to more explicit (and more expansive) expectations for teaching and service than soft-money positions. Faculty in soft money positions may face more pressure to secure funding for research, while faculty in hard money positions may have more autonomy in their research agenda but more competing academic activities. Federal agencies should be aware of the funding situation of the academic faculty they collaborate with, as it may affect their incentives and expectations for agency engagement.
A sabbatical is a period of leave from regular academic duties, usually for one or two semesters, that allows faculty to pursue an intensive and unstructured scope of work — this can include research in their own field or others, as well as external engagements or tours of service with non-academic institutions . Faculty accrue sabbatical credits based on their length and type of service at the university, and may apply for a sabbatical once they have enough credits. The amount of salary received during a sabbatical depends on the number of credits and the duration of the leave. Federal agencies may benefit from collaborating with academic faculty who are on sabbatical, as they may have more time and interest to devote to impact-focused work.
Consulting limits & outside activity limits are policies that regulate the amount of time that academic faculty can spend on professional activities outside their university employment. These policies are intended to prevent conflicts of commitment or interest that may interfere with the faculty’s primary obligations to the university, such as teaching, research, and service, and the specific limits vary by university. Federal agencies may need to consider these limits when engaging academic faculty in ongoing or high-commitment collaborations.
Some academic faculty are paid on a 9-month basis, meaning that they receive their annual salary over nine months and have the option to supplement their income with external funding or other activities during the summer months. Other faculty are paid on a 12-month basis, meaning that they receive their annual salary over twelve months and have less flexibility to pursue outside opportunities. Federal agencies may need to consider the salary structure of the academic faculty they work with, as it may affect their availability to engage on projects and the optimal timing with which they can do so.
Informal advising
Advisory relationships consist of an academic providing occasional or periodic guidance to a federal agency on a specific topic or issue, without being formally contracted or compensated. This type of collaboration can be useful for agencies that need access to cutting-edge expertise or perspectives, but do not have a formal deliverable in mind.
Academic considerations
- Career stage: Informal advising can be done by faculty at any level of seniority, as long as they have relevant knowledge and experience. However, junior faculty may be more cautious about engaging in informal advising, as it may not count towards their tenure or promotion criteria. Senior faculty, who have established expertise and secured tenure, may be more willing to engage in impact-focused advisory relationships.
- Incentives: Advisory relationships can offer some benefits for faculty regardless of career stage, such as expanding their network, increasing their visibility, and influencing policy or practice. Informal advising can also stimulate new research questions, and create opportunities for future access to data or resources. Some agencies may also acknowledge the contributions of academic advisors in their reports or publications, which may enhance researchers’ academic reputation.
- Conflicts of interest: Informal advising may pose potential conflicts of interest or commitment for faculty, especially if they have other sources of funding or collaboration related to the same topic or issue. Faculty may need to consult with their department chair or dean before engaging in formal conversations, and should also avoid any activities that may compromise their objectivity, integrity, or judgment in conducting or reporting their university research.
- Timing: Faculty on 9-month salaries might be more willing/able to engage during summer months, when they have minimal teaching requirements and are focused on research and impact outputs.
Regulatory & structural considerations
- Contracting: An advisory relationship may not require a formal agreement or contract between the agency and the academic. For some topics or agencies, however, it may require a non-disclosure agreement or consulting agreement if the agency wants to ensure the exclusivity or confidentiality of the conversation.
- Advisory committee rules: Depending on the scope and scale of the academic engagement, agencies should be sure to abide by Federal Advisory Committee Act regulations. With informal one-on-one conversations that are focused on education and knowledge exchange, this is unlikely to be an issue.
- University approval: An NDA or consulting agreement may require approval from the university’s office of sponsored programs or office of technology transfer before engaging in informal advising. These offices may review and approve the agreement between the agency and the academic institution, ensuring compliance with university policies and regulations.
- Compensation: Informal advising typically does not involve compensation for the academic, but it may involve reimbursement for travel or other expenses related to the advisory role. This work is unlikely to count towards the consulting limit for faculty, but it may count towards the outside professional activity limit, depending on the nature and frequency of the advising.
Federal agencies and academic institutions are subject to various laws and regulations that affect their research collaboration, and the ownership and use of the research outputs. Key legislation includes the Federal Advisory Committee Act (FACA), which governs advisory committees and ensures transparency and accountability; the Federal Acquisition Regulation (FAR), which controls the acquisition of supplies and services with appropriated funds; and the Federal Grant and Cooperative Agreement Act (FGCAA), which provides criteria for distinguishing between grants, cooperative agreements, and contracts. Agencies should ensure that collaborations are structured in accordance with these and other laws.
Federal agencies may use various contracting mechanisms to engage researchers from non-federal entities in collaborative roles. These mechanisms include the IPA Mobility Program, which allows the temporary assignment of personnel between federal and non-federal organizations; the Experts & Consultants authority, which allows the appointment of qualified experts and consultants to positions that require only intermittent and/or temporary employment; and Cooperative Research and Development Agreements (CRADAs), which allow agencies to enter into collaborative agreements with non-federal partners to conduct research and development projects of mutual interest.
Offices of Sponsored Programs are units within universities that provide administrative support and oversight for externally funded research projects. OSPs are responsible for reviewing and approving proposals, negotiating and accepting awards, ensuring compliance with sponsor and university policies and regulations, and managing post-award activities such as reporting, invoicing, and auditing. Federal agencies typically interact with OSPs as the authorized representative of the university in matters related to sponsored research.
When engaging with academics, federal agencies may use NDAs to safeguard sensitive information. Agencies each have their own rules and procedures for using and enforcing NDAs involving their grantees and contractors. These rules and procedures vary, but generally require researchers to sign an NDA outlining rights and obligations relating to classified information, data, and research findings shared during collaborations.
Study groups
A study group is a type of collaboration where an academic participates in a group of experts convened by a federal agency to conduct analysis or education on a specific topic or issue. The study group may produce a report or hold meetings to present their findings to the agency or other stakeholders. This type of collaboration can be useful for agencies that need to gather evidence or insights from multiple sources and disciplines with expertise relevant to their work.
Academic considerations
- Career stage: Faculty at any level of seniority can participate in a study group, but junior faculty may be more selective about joining, as they have limited time and resources to devote to activities that may not count towards their tenure or promotion criteria. Senior faculty may be more willing to join a study group, as they have more established expertise and reputation, and may seek to have more impact on policy or practice.
- Soft vs. hard money: Faculty in soft money positions, where their salary and research expenses depend largely on external funding sources, may be more interested in joining a study group if it provides funding or other resources that support their research. Faculty in hard money positions, where their salary and research expenses are supported by institutional funds, may be less motivated by funding, but more by the recognition and impact that comes from participating.
- Incentives: Study groups can offer some benefits for faculty, such as expanding their network, increasing their visibility, and influencing policy or practice. Study groups can also stimulate new research ideas or questions for faculty, and create opportunities for future access to data or resources. Some study groups may also result in publication of output or other forms of recognition (e.g., speaking engagements) that may enhance the academic reputation of the faculty.
- Conflicts of interest: Study groups may pose potential conflicts of interest or commitment for academics, especially if they have other sources of funding related to the same topic. Faculty may also be cautious about entering into more formal agreements if it may impact their ability to apply for & receive federal research funding in the future. Agencies should be aware of any such impacts of academic participation, and faculty should be encouraged to consult with their department chair or dean before joining a study group.
Regulatory & structural considerations
- Contracting and compensation: The optimal contracting mechanism for a study group will depend on the agency, the topic, and the planned output of the group. Some possible contracting mechanisms are extramural grants, service contracts, cooperative agreements, or memoranda of understanding. The mechanism will determine the amount and type of compensation that participants (or the organizing body) receive, and could include salary support, travel reimbursement, honoraria, or overhead costs.
- Advisory committee rules: When setting up study groups, agencies should work carefully to ensure that the structure abides by Federal Advisory Committee Act regulations. To ensure that study groups are distinct from Advisory Committees , these groups should be limited in size, and should be tasked with providing knowledge, research, and education — rather than specific programmatic guidance — to agency partners.
- University approval: Depending on the contracting mechanism and the compensation involved, academic participants may need to obtain approval from their university’s office of sponsored programs or office of technology transfer before joining a study group. These offices may review the terms and conditions of the agreement between the agency and the academic institution, such as the scope of work, the budget, and the reporting requirements.
Case study
In 2022, the National Science Foundation (NSF) awarded the National Bureau of Economic Research (NBER) a grant to create the EAGER: Place-Based Innovation Policy Study Group. This group, led by two economists with expertise in entrepreneurship, innovation, and regional development — Jorge Guzman from Columbia University and Scott Stern from MIT — aimed to provide “timely insight for the NSF Regional Innovation Engines program.” During Fall 2022, the group met regularly with NSF staff to i) provide an assessment of the “state of knowledge” of place-based innovation ecosystems, ii) identify the insights of this research to inform NSF staff on design of their policies, and iii) surface potential means by which to measure and evaluate place-based innovation ecosystems on a rigorous and ongoing basis. Several of the academic leads then completed a paper synthesizing the opportunities and design considerations of the regional innovation engine model, based on the collaborative exploration and insights developed throughout the year. In this case, the study group was structured as a grant, with funding provided to the organizing institution (NBER) for personnel and convening costs. Yet other approaches are possible; for example, NSF recently launched a broader study group with the Institute for Progress, which is structured as a no-cost Other Transaction Authority contract.
Collaborative research
Active collaboration covers scenarios in which an academic engages in joint research with a federal agency, either as a co-investigator, a subrecipient, a contractor, or a consultant. This type of collaboration can be useful for agencies that need to leverage the expertise, facilities, data, or networks of academics to conduct research that advances their mission, goals, or priorities.
Academic considerations
- Career stage: Collaborative research is likely to be attractive to junior faculty, who are seeking opportunities to access data that might not be otherwise available, and to foster new relationships with partners. This is particularly true if there is a commitment that findings or evaluations will be publishable, and if the collaboration does not interfere with teaching and service obligations. Collaborative projects are also likely to be of interest to senior faculty — if work aligns with their established research agenda — and publication of findings may be (slightly) less of a requirement.
- Soft vs. hard money: Researchers on hard money contracts, where their salary and research expenses are supported by institutional funds, may be more motivated by the opportunity to use and publish internal data from the agency. Researchers on soft money contracts, where their salary and research expenses depend largely on external funding sources, may be more motivated by the availability of grants and financial support from the agency.
- Timing: Depending on the scope of the collaboration, and the availability of funding for the researcher, efforts could be targeted for academics’ summer months or their sabbaticals. Alternatively, collaborative research could be integrated into the regular academic year, as part of the researcher’s ongoing research activities.
- Incentives: As mentioned above, collaborative research can offer some benefits for faculty, such as access to data and information, publication opportunities, funding sources, and partnership networks. Collaborative research can also provide faculty with more direct and immediate impact on policy or practice, as well as recognition from the agency and stakeholders (and, perhaps to a lesser extent, the academic community).
Regulatory & structural considerations
- Contracting: The contracting requirements for collaborative research will vary greatly depending on the structure and scope of the collaboration, the partnering agency, and the use of internal government data or resources. Readers are encouraged to explore agency-specific guidance when considering the ideal mechanism for a given project. Some possible contracting mechanisms are extramural grants, service contracts, or cooperative research and development agreements. Each mechanism has different terms and conditions regarding the scope of work, the budget, the intellectual property rights, the reporting requirements, and the oversight responsibilities.
- Regulatory compliance: Collaborative research involving both governmental and non-governmental partners will require compliance with various laws, regulations, and authorities. These include but are not limited to:
- Federal Acquisition Regulation (FAR), which establishes the policies and procedures for acquiring supplies and services with appropriated funds;
- Federal Grant and Cooperative Agreement Act (FGCAA), which provides criteria for determining whether to use a grant or a cooperative agreement to provide assistance to non-federal entities;
- Other Transaction Authority (OTA), a contracting mechanism that provides (most) agencies with the ability to enter into flexible research & development agreements that are not subject to the regulations on standard contracts, grants, or cooperative agreements
- OMB’s Uniform Guidance, which set forth the administrative requirements, cost principles, and audit requirements for federal awards
- Bayh-Dole Act, which allows academic institutions to retain title to inventions made with federal funding, subject to certain conditions and obligations.
- Collaborative research may also require compliance with ethical standards and guidelines for human subjects research, such as the Belmont Report and the Common Rule.
Case studies
External collaboration between academic researchers and government agencies has repeatedly proven fruitful for both parties. For example, in May 2020, the Rhode Island Department of Health partnered with researchers at Brown University’s Policy Lab to conduct a randomized controlled trial evaluating the effectiveness of different letter designs in encouraging COVID-19 testing. This study identified design principles that improved uptake of testing by 25–60% without increasing cost, and led to follow-on collaborations between the institutions. The North Carolina Office of Strategic Partnerships provides a prime example of how government agencies can take steps to facilitate these collaborations. The office recently launched the North Carolina Project Portal, which serves as a platform for the agency to share their research needs, and for external partners — including academics — to express interest in collaborating. Researchers are encouraged to contact the relevant project leads, who then assess interested parties on their expertise and capacity, extend an offer for a formal research partnership, and initiate the project.
Short-term placements
Short-term placements allow for an academic researcher to work at a federal agency for a limited period of time (typically one year or less), either as a fellow, a scholar, a detailee, or a special government employee. This type of collaboration can be useful for agencies that need to fill temporary gaps in expertise, capacity, or leadership, or to foster cross-sector exchange and learning.
Academic considerations
- Career stage: Short-term placements may be more appealing to senior faculty, who have more established and impact-focused research agendas, and who may seek to influence policy or practice at the highest levels. Junior faculty may be less interested in placements, particularly if they are still progressing towards tenure — unless the position offers opportunities for publication, funding, or recognition that are relevant to their tenure or promotion criteria.
- Soft vs. hard money: Faculty in soft money positions may face more challenges in arranging short-term placement if they have ongoing grants or labs to maintain; but placements where external resources are available (e.g., established fellowships), could be an attractive option when ongoing commitments are manageable. The impact of hard money will depend largely on the type of placement and the expectations for whether institutional support or external resources will cover a faculty member’s time away from the university.
- Timing: Sabbaticals are an ideal time for short-term placements, as they allow faculty to pursue intensive research or external engagement, without interfering with their regular academic duties. However, convincing faculty to use their sabbaticals for short-term placement may require a longer discovery and recruitment period, as well as a strong value proposition that highlights the benefits and incentives of the collaboration. Because most faculty are subject to the academic calendar, June and January tend to be ideal start dates for this type of engagement.
- Incentives: Short-term placements can offer benefits for academics, such as having an impact on policy or practice, gaining access to new data or research areas, and building relationships with agency officials and other stakeholders. However, short-term placements can also involve some costs and/or risks for participating faculty, including logistical complications, relocation, confidentiality constraints, and publication restrictions.
Regulatory & structural considerations
- Contracting: Short-term placements require a formal agreement or contract between the agency and the academic. There are several contracting & hiring mechanisms that can facilitate short-term placement, such as the Intergovernmental Personnel Act (IPA) Mobility Program, the Experts & Consultants authority, Schedule A(r), or the Special Government Employee (SGE) designation. Each mechanism has different eligibility criteria, terms and conditions, and administrative processes. Alternatively, many fellowship programs already exist within agencies or through outside organizations, which can streamline the process and handle logistics on behalf of both the academic institution and the agency.
- Compensation: The payment of salary support, travel, overhead, etc. will depend on the contracting mechanism and the agreement between the agency and the academic institution. Costs are generally covered by the organization that is expected to benefit most from the placement, which is often the agency itself; though some authorities for facilitating cross-sector exchange (e.g., the IPA program and Experts and Consultants authority) allow research institutions to cost-share or cover the expense of an expert’s compensation when appropriate. External fellowship programs also occasionally provide external resources to cover costs.
- Role and expectations: Placements, more so than more informal collaborations, require clear communication and understanding of the role and expectations. The academic should also be prepared to adapt to the agency’s norms and processes, which will differ from those in academia, and to perform work that may not reflect their typical contribution. The academic should also be aware of their rights and obligations as a federal employee or contractor.
- Confidentiality: Placements may involve access to confidential or sensitive information from the agency, such as classified data or personal information. Academics will likely be required to sign a non-disclosure agreement (NDA) that defines the scope and terms of confidentiality, and will often be subject to security clearance or background check procedures before entering their role.
Case studies
Various programs exist throughout government to facilitate short-term rotations of outside experts into federal agencies and offices. One of the most well-known examples is the American Association for the Advancement of Science (AAAS) Science & Technology Policy Fellowship (STPF) program, which places scientists and engineers from various disciplines and career stages in federal agencies for one year to apply their scientific knowledge and skills to inform policy making and implementation. The Schedule A(r) hiring authority tends to be well-suited for these kinds of fellowships; it is used, for example, by the Bureau of Economic Analysis to bring on early career fellows through the American Economic Association’s Summer Economics Fellows Program. In some circumstances, outside experts are brought into government “on loan” from their home institution to do a tour of service in a federal office or agency; in these cases, the IPA program can be a useful mechanism. IPAs are used by the National Science Foundation (NSF) in its Rotator Program, which brings outside scientists into the agency to serve as temporary Program Directors and bring cutting-edge knowledge to the agency’s grantmaking and priority-setting. IPA is also used for more ad-hoc talent needs; for example, the Office of Evaluation Sciences (OES) at GSA often uses it to bring in fellows and academic affiliates.
Long-term rotations
Long-term rotations allow an academic to work at a federal agency for an extended period of time (more than one year), either as a fellow, a scholar, a detailee, or a special government employee. This type of collaboration can be useful for agencies that need to recruit and retain expertise, capacity, or leadership in areas that are critical to their mission, goals, or priorities.
Academic considerations
- Career stage: Long-term rotations may be more feasible for senior faculty, who have more experience in their discipline and are likely to have more flexibility and support from their institutions to take a leave of absence. Junior faculty may face more barriers and risks in pursuing long-term rotations, such as losing momentum in their research productivity, missing opportunities for tenure or promotion, or losing connection with their academic peers and mentors.
- Soft vs. hard money: Faculty in soft money positions may have more ability to seek longer-term rotations, as the provision of external support is more in line with their institutions’ expectations. Faculty in hard money positions may face difficulties seeking long-term rotations, as institutional provision of resources comes with expectations for teaching and service that administrations may be wary of pausing for extended periods of time.
- Timing: Long-term rotations require careful planning and coordination with the academic institution and the federal agency, as it may involve significant changes in the academic’s schedule, workload, and responsibilities. These rotations may be easier to arrange during sabbaticals or other periods of leave from the academic institution, but will often still require approval from the institution’s administration. Because most faculty are subject to the academic calendar, June and January tend to be ideal start dates for sabbatical or secondment engagements.
- Incentives: Long-term rotations offer an opportunity for faculty to gain valuable experience and insight into the impact frontier — both in terms of policy and practice — of their field or discipline. These experiences can yield new skills or competencies that enhance their academic performance or career advancement, can help academics build strong relationships and networks with agency officials and other stakeholders, and can provide a lasting impact on public good. However, long-term roles involve challenges for faculty, such as adjusting to a different organizational structure, balancing expectations from both the agency and the academy, and transitioning back into academic work and productivity following the rotation.
Regulatory & structural considerations
- Regulatory and structural considerations — including contracting, compensation, and expectations — are similar to those of short-term placements, and tend to involve the same mechanisms and processes.
- The desired length of a long-term rotation will affect how agencies select and apply the appropriate mechanism. For example, IPA assignments are initially made for up to two years, and can then be extended for another two years when relevant — yielding a maximum continuous term length of four years.
- Longer time frames typically require additional structural considerations. Specifically, extensions of mechanisms like the IPA may be required, or more formal governmental employment may be prioritized at the outset. Given that these types of placements are often bespoke, these considerations should be explored in depth for the agency’s specific needs and regulatory context.
Case study
One example of a long-term rotation that draws experts from academia into federal agency work is the Advanced Research Projects Agency (ARPA) Program Manager (PM) role. ARPA PMs — across DARPA, IARPA, ARPA-E, and now ARPA-H — are responsible for leading high-risk, high-reward research programs, and have considerable autonomy and authority in defining their research vision, selecting research performers, managing their research budget, and overseeing their research outcomes. PMs are typically recruited from academia, industry, or government for a term of three to five years, and are expected to return to their academic institutions or pursue other career opportunities after their term at the agency. PMs coming from academia or nonprofit organizations are often brought on through the IPA mobility program, and some entities also have unique term-limited, hiring authorities for this purpose. PMs can also be hired as full government employees; this mechanism is primarily used for candidates coming from the private sector.
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