1. 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
2. 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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3. 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
5. 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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6. 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
7. 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.
9. 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.
10. Common Global Research Metrics
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• Personnel
Number and percentage of international researchers
• Grants and Contracts
Number and percentage of proposals (total and those with an international collaborator(s)
Number and percentage 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
• Patents
Number and percentage of co-invented patent applications
Number and percentage of co-invented patents issued
Source: International Research Metrics Evaluation Study, NSF Award #1324474.
12. Supporting Researchers
Global Directory – Single Points of Contact for Key
International Activities and Offices
Identification of Funding Opportunities and Proposal
Development Services for Global Endeavors
Support for Hosting of International Scholars
and Guidance for Traveling with Students
Export Control and Intellectual Property/Tech
Transfer Advice and Counsel
Travel and Risk Mitigation Services and Training
Comprehensive Data Mapping of Researcher Global
Engagement and University Partnership Activities
13. 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
14. 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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15. “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
16. 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….
18. 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.
20. Transdisciplinary Integration of Ideas
“The key message of convergence is that merging
ideas, approaches, and technologies from widely
diverse fields of knowledge at a high level of
integration is one crucial strategy for solving
complex problems and addressing
complex intellectual questions
underlying emerging disciplines.”
National Academies of Sciences, Engineering and Medicine
(2016).
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21. “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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22. 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
23. 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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24. Where, oh where, has grant funding gone,
Where, oh where, can it be?
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25. 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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26. 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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27. 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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31. 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...
32. 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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34. Resources
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• Who is working where? Build it, they will come
• The Emory Global Health Institute, developed a
Global Engagement Directory
– Sort by Countries/Regions
– Department
– Topic Area (e.g. Zika)
– Type of Work
36. 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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39. 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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40. 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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41. Case Scenario #3
Researchers from a public research university have forged
a partnership with colleagues in Malawi. Funds from the
NIH have been awarded to support collaborative research
regarding health disparities. NIH requires the grant
recipients to report salary data but the collaborators in
Malawi are paid irregularly by their government and do not
receive traditional payroll information. Simply finding a
working computer can be a challenge. Funds have been
held-up on the U.S. side because of the payroll reporting
issue. The research in Malawi cannot move forward
without the transfer of funds to the Malawi collaborators.
The project grinds to a standstill.
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42. 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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43. 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.
Is this even possible? Must the curators take
personal time for this trip? What steps should
be taken before the curators travel?
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44. 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.
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45. 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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Hinweis der Redaktion
Talent Mobility 2020 And Beyond available at: http://www.pwc.com/gx/en/managing-tomorrows-people/future-of-work/pdf/pwc-talent-mobility-2020.pdf
Global Mobility of Research Scientists (2015) Edited by Aldo Geuna, Academic Press Elsevier.
Karen A. Holbrook and Kiki Caruson, Globalizing University Research: Innovation, Collaboration and Competition, Institute of International Education (IIE), forthcoming 2017.
Based on a 2015 case study of the University of South Florida – Elsevier Scopus Data.
Arasu, P. (2016). Metrics for Institutional Assessment of the Impact of International Research Collaboration. Poster #18039 presented at the AAAS 2016 Annual Meeting, Washington, D.C.
The project was funded by the U.S. National Science Foundation Award #1324474.
Knowing who to contact in what office for what purpose. How is your institution organized? Do you know who to contact to support PIs as necessary?
Added insurance required for international travel.
International SOS @ Emory
Office of Global Strategy and Initiatives http://global.emory.edu/about/index.html
A GLOBAL VISION FOR EMORY: Thinking and acting strategically through global engagement http://global.emory.edu/documents/2015-global-strategy-web.pdf (2015-2020)
http://global.emory.edu/documents/2015-global-strategy-web.pdf
Emory’s Global Strategies (updated August 2016)
Goal 1: Equip students http://global.emory.edu/about/global-strategy/strategy-goal-one.html
Goal 2: Lead and influence global scholarship, research, and teaching http://global.emory.edu/about/global-strategy/strategy-goal-two.html
Goal 3: Position Emory as a university known for its global impact http://global.emory.edu/about/global-strategy/strategy-goal-three.html
Global Services at Emory http://global.emory.edu/support/index.html
Global Services offers a single point of contact for questions and issues that might arise during the course of conducting research abroad, hosting international scholars, or planning a global project. Contact Christine Rapalje, director of Global Services, for guidance through the process.
In case of emergency, contact ISOS immediately.
We currently have substantial online resources regarding working in Ethiopia and are developing additional online resources for working in Brazil, China, India, and South Korea. In the meantime, the Center for Faculty Development and Excellence has gathered resources on Brazil associated with a recent academic learning community program.
Grant Forward (previously IRIS out of the University of Illinois)
Grants.gov
Community of Science PIVOT
Philanthropy News Digest PND (e.g. Gates Foundation)
Sponsor agency website (USA: NSF, NIH, NEH) (Japan Science & Technology Agency, JST http://www.jst.go.jp/EN/), (EU, Horizon 2020), etc.
Do’s and Don’ts with Foreign Partners *** Research Experience for Undergrads
Federal agencies that partner with like-agencies, e.g. National Science Foundation and the Japan Science Technology co-funded grant programs. Division of Computer and Network SystemsUS-Japan Big Data and Disaster Research (BDD)
The US National Science Foundation (NSF) and the Japan Science and Technology Agency (JST) are embarking upon a collaborative research program to address compelling research challenges that arise from leveraging Big Data approaches to transform, at both human and societal scales, disaster management.
This NSF solicitation parallels an equivalent JST solicitation (available at http://www.jst.go.jp/sicp/announce_usjoint_bdd.html). Proposals submitted under this solicitation must describe joint research with Japanese counterparts who are requesting funding separately under the JST solicitation.
Sample NSF-Sponsored Activities with East Asia and Pacific Countries https://www.nsf.gov/od/oise/tokyo/activities.jsp
Indo-US Collaborative Program on Low-Cost Medical Devices (R03) To encourage collaborative research and/or technology development between scientists and engineers in the United States and India to develop new, low cost, appropriate diagnostic and therapeutic medical technologies for low-resource settings. The NIH award will support investigators based in the United States who are collaborating with Indian investigators, Indian collaborators are expected to apply to the Department of Biotechnology (DBT) in India for complementary funding.
Scientific Meetings for Creating Collaborative Research Teams under the Indo-US Program for Contraception and Reproductive Health Research (CRHR) (R13) encourages Research Conference Grant (R13) applications from institutions and organizations that propose to develop collaborative research teams to address priority areas under the Indo-US Program for Contraception and Reproductive Health Research (CRHR). Teams must include investigators from US and Indian institutions involved in basic, clinical and/or social and/or behavioral sciences with particular emphasis on contraception discovery and development, implementation science and social/behavioral science to expand contraceptive options and improve reproductive health. This FOA is intended to provide support for collaborative conferences designed to address high priority areas identified by the Indo-US CRHR Joint Working Group (JWG) utilizing the NIH Conference grant mechanism. The goal of this FOA will be to support collaborations between US and Indian scientists intended to translate science into improved practice and technology addressing issues in contraception and reproductive health. Specifically, conferences would be designed to: 1) review the extant science, 2) identify research gaps, 3) develop a targeted research agenda and 4) wherever possible establish new partnerships to address these gaps through collaborative research proposals. The intent is to broaden the scope of investigation into scientific problems, yield fresh and possibly unexpected insights, and increase the sophistication of theoretical, methodological, analytical and implementation approaches. This program will allow investigators from multiple disciplines to hold meetings in order to provide the foundation for developing interdisciplinary research projects.
Does this proposal/award involve any of the following international collaborations: a subaward to a foreign organization; international travel by Emory personnel for the conduct of project activities; the lease of property by Emory in a foreign country; or the employment of personnel by Emory in a foreign country? If yes, please briefly describe the collaboration and select the country(ies) involved from the list below.
Are any of the following statements True? * The proposal involves research to be conducted outside of the U.S., or collaboration with a non-U.S. collaborator. * The proposal involves payments to be made to or from persons, entities, or governments outside the U.S.. * This proposal will involve carrying or shipment of research equipment or other technology that will remain outside of the U.S. for more than one year. * This proposal will involve shipment of research materials, provision of technical assistance, or transmission of technical data or scientific information outside of the U.S.
PLEASE NOTE: If you answered 'Yes' to any of the questions in this section, please briefly describe the collaboration in the text box above. Additionally, please note that you will need to: 1. Complete an International Assessment Questionnaire at https://redcap.emory.edu/surveys/?s=CHEKWDRP4A . Completion of this Questionnaire is not needed at the time of proposal. However, completion and institutional analysis of the answers will be required prior to issuance of an award if this proposal is selected for funding, and prior to execution of any industry-sponsored research agreement. 2. Consider and budget for business and/or legal expenses that the proposed international work may involve, understanding that such expenses may not be allowable per agency rules for grants. Chris Rapalje in Global Services can help assess if such expenses will be necessary. Please be aware that certain activities may simply be prohibited by law.Please contact Chris Rapalje in the Office of Global Strategy and Initiatives at christine.rapalje@emory.edu with any questions about the above or if you need assistance with other aspects of your proposed international activity.
At Emory, “Our goals” or “How we work” section of EGHI’s website.
http://global.emory.edu/about/index.html
http://global.emory.edu/about/global-strategy/strategy-goal-one.html
http://global.emory.edu/about/global-strategy/strategy-goal-two.html
http://global.emory.edu/about/global-strategy/strategy-goal-three.html
http://global.emory.edu/documents/2015-global-strategy-web.pdf (2015-2020)
http://global.emory.edu/documents/2015-global-strategy-web.pdf
Growing number of Global Health Topics:
Capacity Strengthening, Community Development
Drug Discovery
Education, Environmental Health
Faith, Religion, and Health
Health Care Delivery
Health Policy, Law, and Ethics
Infectious Diseases, Injury Prevention and Violence
Maternal and Child Health, Mental Health, Migrant Health
Non-Communicable Diseases, Nutrition and Malnutrition
Reproductive Health
Technology and Public Health, Tobacco Control
Vaccines
Water, Sanitation, and Hygiene (WASH)
Who's Working Where
The Emory Global Health Institute developed the Emory Global Engagement Directory to provide a searchable listing of Emory faculty members engaged in global work or who possess relevant expertise. The Emory Global Health Institute gathered this information from a variety of sources, including school websites, annual reports, surveys, and individuals. The level of detail that was available from these different sources varies widely, as reflected in this spreadsheet. To request edits or additions, please send an email to globalfaculty@emory.edu.
This directory is intended to provide a simple, short-term solution for those who need to know “who is working where” at Emory. We anticipate that in the future this directory will be replaced by “Emory FIRST,” a new online database currently under development that is designed to help promote faculty research and teaching. Emory FIRST will capture research resources and services as well as faculty publications, grants, professional activities, and areas of research, and will be searchable by country. As of fall 2015, Emory FIRST is in phased implementation at the Schools of Medicine, Nursing, and Business. Several other schools are in discussion to implement it by 2018.
In the meantime, we hope you find this directory useful. www.globalhealth.emory.edu/resources/whos_working_where.html
Private Foundations – such as the Gates Foundation
A $75M program which includes the Emory Global Health Institute, the International Association of National Public Health Institutes, the Centers for Disease Control and Prevention, Deloitte Consulting LLP, and the Public Health Informatics Institute at the Task Force for Global Health as partners – will directly collaborate with government ministries and local stakeholders, providing technical and financial assistance.
CHAMPS focuses on countries in southern Asia and Sub-Saharan Africa. More than 82 percent of global under-five deaths occur in these regions, and children in Sub-Saharan Africa are 15 times more likely to die before the age of five than children in high-income countries.
Reducing under-five mortality is a key objective for global development initiatives, including the United Nations Sustainable Development Goals, but the world currently faces significant gaps in health surveillance, research and cause-of-death determination. CHAMPS helps train local site staff and build surveillance infrastructure to support a field-based, data-driven approach to understanding the causes of under-five mortality.
Data from CHAMPS sites will be shared with scientists, health officials and others around the world to help inform and catalyze advocacy, research and other actions. As part of the CHAMPS Network, IANPHI will work with governments, Ministries of Health and National Public Health Institutes to facilitate use of CHAMPS data for country-led public policy and health interventions.
“Parents who lose a child deserve to know why, so they can prevent other deaths in the family and community. And, so do health officials and policy makers, since no child should die of a preventable cause,” says Dr. Robert F. Breiman, director of the Emory Global Health Institute, and CHAMPS’s co-principal investigator and director for science. “CHAMPS will work with these three initial sites – and many more in the coming years – to gather accurate, timely data about the causes of child mortality.”
CHAMPS is envisioned as a long-term program that will take place at up to 20 sites with high child mortality. Over the coming months, the CHAMPS Network will welcome additional sites in southern Asia and Sub-Saharan Africa to expand collection and sharing of data to help save young lives.
http://globalhealth.emory.edu/what/events_programs/champs.html * CHAMPS Child Health and Mortality Prevention Surveillance http://champshealth.org/