2016 Society of Research Administrators International annual meeting presentation by Kiki Caruson, PhD (University of South Florida) and Sandy Justice (Emory University)

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

4. We are
all part
of the
solution
We Face Grand Challenges

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.

8. Source: Elsevier Scopus 2015
International Collaboration Enhances
Research Dissemination

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
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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11. It Takes A Village…Or A Large City
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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….

17. Comprehensive Data Mapping
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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.

19. Managing Change Management

20. “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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21. 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

22. 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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23. Where, oh where, has grant funding gone,
Where, oh where, can it be?
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24. 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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25. 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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26. 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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27. Intent to Submit
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Get out in front
–>Click the box!

28. International Assessment Questionnaire
Tools to Track, Support, Report International Collaborations
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29. Building the Budget
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30. 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...

31. 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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32. Emory Global Health Institute
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33. 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

34. CHAMPS: Child Health and Mortality
Prevention Surveillance
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35. 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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36. Ensuring Compliance
• Understanding export control
• Contract language with foreign partners
(e.g. Indemnification, Jurisdiction)
• Balancing data sharing & protecting IP
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37. Case Scenarios for Discussion

38. 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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39. 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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40. 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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41. 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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42. 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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43. 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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44. 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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