Managing Global Research Risk, Relationships & Evaluating Outcomes

Sandy Justice Research Administrator, Pre-Award III Emory University, Medicine RAS sjusti2@emory.edu

Kiki Caruson, PhD AVP for Research, Innovation & Global Affairs USF World – University of South Florida System kcaruson@usf.edu

Presentation Overview • Why “Global” Matters • Strategies for International Success

– Organizational Infrastructure – Risk Management – Relationship Development – Communication and Assessment – Equipping Research Administrators to “Go Global” – CASE SCENARIOS

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We Inhabit a Globalized World

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Source: Talent Mobility 2020 And Beyond: The Future of Mobility in a Globally Connected World (pwc). Source: Elsevier

We are all part of the solution

We Face Grand Challenges

Research in a Globalized World • Research stimulates the call to internationalization by institutions of higher

education (IHEs), research institutes, medical centers and their associated students, faculty, researchers, practitioners, and staff.

• International research evolves in many ways: – through engagement with international partners for the purpose of

knowledge generation in any field, – through the investigation of global issues that transcend geographic

borders, – though the exchange of researchers and personnel, and – from a desire on the part of individual researchers and scientists to move

beyond the idea of “researching on” a topic to adopting the approach of “researching with“ someone in many cases with a colleague who brings a different world view to the topic of interest.

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U.S. Institutions Are Increasingly…

• Building research capacity around complex, real-world problems

• Addressing interdisciplinary challenges that bridge humanities, social sciences, arts, and science and engineering

• Engaging across multiple contexts and cultures to arrive at sufficient consensus about how to proceed

• Encouraging researcher mobility and global engagement

Source: Elsevier Scopus (2006-2015) Citations per article fold increase over institutional co-authorship

International Research Collaboration is Increasingly Prevalent and High Impact

Source: Thomson Reuters InCites, October 7, 2015.

Source: Elsevier Scopus 2015

International Collaboration Enhances Research Dissemination

Global Rankings

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The top 500-800 universities are ranked annually by a number of organizations. Research productivity ranks heavily in the methodology of most global rankings. These rankings are a driver of global competitiveness of universities.

• Shanghai Jiao Tong (SJT) Academic Ranking of World Universities (ARWU) • Times Higher Education (THE) World University Rankings • Quacquerelli Symonds (QS) World University Rankings • Leiden Ranking published by the Centre for Science and Technology Studies (CWTS) and

Leiden University in the Netherlands • Scimago Institutions Rankings (SIR), or SIR World Report based in Spain • The Center for World University Rankings (CWUR) • The U.S. News & World Report Best Global Universities (launched in 2014)

Metrics for global research engagement contribute to a university’s reputation and prestige and can be used to identify areas of research strength, critical mass, as well as signature programs.

Common Global Research Metrics Grants and Contracts • Number and % of proposals (total and those

with an international collaborator(s) • Number and % of awards (total and those

with an international collaborator(s)

Research Expenditures • International research expenditures (total

dollars and percentage of total)

Publication and Citation Counts • Internationally co-authored publication

number count and percentage • Number of citations (total and with an

international collaborator(s) • Normalized citation impact (field-weighted

citation impact) • Number of publication downloads

Personnel • Number and percentage of global researchers Mobility • Degree of global mobility faculty/students International Partnerships • Number of institutional agreements and MOUs • Depth, breadth and impact of partnership activities

and outcomes

Honors and Awards • International honors and awards received (Nobel)

Patents • Number and percentage of co-invented

patent applications • Number and percentage of co-invented

patents issued

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It Takes A Village…Or A Large City

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Supporting Researchers

G l o b a l D i r e c t o r y – S i n g l e P o i n t s o f C o n t a c t f o r K e y I n t e r n a t i o n a l A c t i v i t i e s a n d O f f i c e s

I d e n t i f i c a t i o n o f F u n d i n g O p p o r t u n i t i e s a n d P r o p o s a l D e v e l o p m e n t S e r v i c e s f o r G l o b a l E n d e a v o r s

S u p p o r t f o r H o s t i n g o f I n t e r n a t i o n a l S c h o l a r s a n d G u i d a n c e f o r Tr a v e l i n g w i t h S t u d e n t s

E x p o r t C o n t r o l a n d I n t e l l e c t u a l P r o p e r t y / Te c h Tr a n s f e r A d v i c e a n d C o u n s e l

Tr a v e l a n d R i s k M i t i g a t i o n S e r v i c e s a n d Tr a i n i n g

C o m p r e h e n s i v e D a t a M a p p i n g o f R e s e a r c h e r G l o b a l E n g a g e m e n t a n d U n i v e r s i t y P a r t n e r s h i p A c t i v i t i e s

Risk Management

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• Dedicated Export Control Officer(s) • Dedicated Risk and Security Officer(s) • 24/7 Emergency Line - Instant access for any situation • Coordination with health and evacuation insurance provider • Compliance, University Regulations, and Orientations • Health, Wellness, and Travel Document Preparation • Prior to Departure: Risk assessments, mitigation, and daily monitoring while abroad • Link to Resources on Campus and Abroad

Communication Strategies • Survey says… • Get out in front of the conversation

– New Faculty Orientation – Meeting of the Deans/Leadership

• Coordination with units across campus • Intent to submit – identify grants with global

partners/collaborators

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“Under the Hood” Strategies for Communication and Assessment at USF

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USF strategies for capacity building among PIs

USF Passport: https://issuu.com/usfworld/docs/global_hub_passport_handout_for_web/1

USF Global Discovery Newsletter http://www.usf.edu/world/resources/global-discovery-newsletter-fall2016.pdf

Institutional training from HR, Export Control, Risk and Safety, and Education Abroad

Use of Social Media

Who Is Doing What and Where?

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“The President of the University wants to know what we have going on in Mexico, Nigeria, and France.”

Simple requests like this can create a lot of headaches….

Comprehensive Data Mapping

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Knowing Your Global Research Footprint

Researchers are consistently engaging in interesting and innovative work that can lead to new ways of thinking; new methods of healthcare; new technologies, and novel approaches to age-old questions. We cannot support it and celebrate it if we don’t know about it.

Managing Change Management

“Under the Hood” Strategies for Communication and Assessment at Emory In 2014 Emory University began a process to refine its strategic global priorities, with 3 key framing questions: 1. How can Emory prepare its students for success in a

globalized world? 2. How can Emory achieve lasting & positive transformation in

the world? 3. How can Emory and its community thrive in an increasingly

globalized higher ed landscape? The resulting global strategy outlined multiple initiatives …including the creation of a Global Services function.

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Global Services

• Hosting Visitors • Legal and Insurance • Project Planning • Human Resources • Travel

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• Import and Export • Finance • Research Ethics • Ethiopia Country Guide

Research Administrator Perspective

• Ideal vs. Reality – The many hats of the research administrator (accountant, lawyer, travel agent, purchasing, invoicing…)

• Purpose – RA experts as administrative partners for our scientists and scholars

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Where, oh where, has grant funding gone, Where, oh where, can it be?

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Identify Funding Sources • Identify sponsors and opportunities • Jointly funded programs (e.g. NSF/JST) • Adding international collaborators to federally

funded proposals • Philanthropic private foundations • International sources of funding • Industry

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Understanding the RFP • RFP identified. Next, Proposal Dev. Checklist • Be sure to read the fine print:

– Arbitration requirements – Restrictions on publishing – Hiring of foreign personnel – IP/Data management – Parallel submission processes – Travel policies – Other

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Fielding the Questions Frequently Asked Questions from PIs: • Can I add a collaborator from China to my NSF grant? • My collaborator at Utrecht said that they are waiting

on our institution to pay them. What’s the hold up? • Can I use the travel funds in my NIH grant to present

findings at a discipline conference in Australia? • My university requires the purchase of emergency

health and evacuation insurance for myself and my students prior to international travel. May I direct charge this cost to my grant?

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Intent to Submit

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Get out in front –>Click the box!

International Assessment Questionnaire

Tools to Track, Support, Report International Collaborations

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Building the Budget

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Emory Global Health Institute

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Between 2013-2015, this database records 2,838 international activities: research, teaching, consulting, clinical research, training, data analysis, mentoring, service learning...

Office of Global Strategy and Initiatives

A GLOBAL VISION FOR EMORY: Thinking and acting strategically through global engagement • Goal 1: Equip students to meet the opportunities and

challenges of an increasingly interconnected world • Goal 2: Lead and influence global scholarship,

research, and teaching • Goal 3: Position Emory as a university known for its

global impact

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Emory Global Health Institute

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Resources

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• Who is working where? • The Emory Global Health Institute,

developed a Global Engagement Directory – Sort by Countries/Regions – Department – Topic Area (e.g. Zika) – Type of Work

CHAMPS: Child Health and Mortality Prevention Surveillance

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Post-Award Research Administrator Role • Requisitioning and Spending

– Cash advances?

• Tracking progress and costs – What receipts?

• Award Closeout – Distribution of equipment acquired as

part of the project

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Ensuring Compliance

• Understanding export control • Contract language with foreign partners

(e.g. Indemnification, Jurisdiction)

• Balancing data sharing & protecting IP

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Case Scenarios for Discussion

Case Scenario #1

An NSF REU has taken place in Puerto Rico for the previous 2 years with good success. This is year 3 of the REU and many students and faculty are excited to return for the program….but there is concern regarding the Zika outbreak in the region.

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Case Scenario #2 Your researchers have completed a 5-year project, jointly funded by the National Science Foundation (NSF) and the Japanese Science and Technology (JST) Agency. The joint project resulted in the development of a new piece of equipment and it is currently located at the test site in the UK. What happens to the equipment now? Who owns it? Who is responsible for its maintenance?

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Case Scenario #3 Researchers from a public research university have forged a partnership with colleagues in Malawi, and a NIH collaborative research award to support the health disparities project. NIH requires the grant recipients to report salary data, however, the Malawi collaborators are paid irregularly by their government and do not receive traditional payroll information. Funds have been held-up on the US side due to payroll reporting issues. The research in Malawi cannot move forward without the transfer of funds to the Malawi collaborators. The project grinds to a standstill. How do we resolve this?

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Case Scenario #4 University researchers are managing a large, externally funded, multi-year STEM research project in Venezuela. Vendor payments have been made by the U.S. university to Venezuelan citizens who are employed (performing services) on the project. Does the university have a requirement to withhold foreign taxes for such vendors? If not, why? If so, who is responsible within the U.S. university for compliance and payment?

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Case Scenario #5 The university’s art museum plans to hold an exhibition of artwork including works from two Iranian artists who live and work in Tehran. Museum curators plan a trip to Iran to organize the exhibit and discuss possible joint ventures. Do the curators have to take personal time for this trip? What steps should be taken before the curators travel? The museum curators are planning on bringing home a few smaller pieces of original artwork with them – to reduce the cost of transporting items for the expected exhibit. Can they do that?

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More Quick Case Scenarios Digital humanities researchers are working with priceless artifacts … something goes missing. Who needs to know?

A drone accident occurs during a test run for grant project … who is responsible for the damages?

Cash “bribes” are commonplace for access to key officials and community leaders. These individuals are key to the success of field research. Can the PI be reimbursed or are these out-of-pocket costs not allowed?

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Resources USF World International Engagement Resources: http://www.usf.edu/world/resources/about-hub.aspx USF Research & Innovation, The Research Administration Improvement Network (TRAIN): http://www.usf.edu/research-innovation/train/train-international.aspx Emory University Office of Global Strategy and Initiatives http://www.global.emory.edu/ Emory University Office of Research Compliance http://compliance.emory.edu/export-control/index.html

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