Fund Council 6th Meeting (FC6)—Rome, Italy November 8-9, 2011 Consortium Office Work Plan and Budget (Approved) Document presented for Agenda Item 5: 2012 Work Plans and Budget Submitted by: Consortium Office CGIAR Consortium Program of Work and Budget 2012 12 October 2011 Acronyms and Abbreviations ASTI Advanced Science and Technology Institute CB Consortium Board CO Consortium Office COF Common Operational Framework CPA Consortium Performance Agreement CRP CGIAR Research Programs CSE Corporate Services Executive Ex Co Executive Committee FC Fund Council FCS Finance and Corporate Services FG5 Financial Guidelines series 5 FO Fund Office GCARD Global Conferences on Agricultural Research for Development GFAR Global Forum on Agricultural Research HR Human Resources IA Intellectual Asset ICT-KM Information and Communications Technology (ICT) and Knowledge Management (KM) IP Intellectual Property ISPC Independent Science and Partnership Council OCS One Corporate System PIA Program Implementation Agreement PPA Program Participant Agreement RMS Research Management System SDC Swiss Agency for Development and Cooperation SLO System Level Outcome SRF Strategy and Results Framework i Table of Contents I. Introduction ................................................................................................................................................................ 1 II. Work Plan Priorities ................................................................................................................................................ 2 III. Resource Requirement ...................................................................................................................................... 3 IV. Activities .................................................................................................................................................................. 4 Consortium Board ......................................................................................................................................................... 4 Consortium Office ......................................................................................................................................................... 5 1. CEO Office ............................................................................................................................................................... 5 2. Science ...................................................................................................................................................................... 5 3. Gender ...................................................................................................................................................................... 8 4. Finance and Corporate Services .................................................................................................................... 8 5. Legal and Intellectual Property .................................................................................................................. 12 6. Communications ............................................................................................................................................... 13 7. One Corporate System .................................................................................................................................... 15 8. Administrative Support ................................................................................................................................. 16 V. Budget ........................................................................................................................................................................ 16 1. Resource Highlights: Consortium Board................................................................................................. 16 2. Resource Highlights: Consortium Office ................................................................................................. 16 3. Staff Positions ..................................................................................................................................................... 18 ii I. Introduction The Consortium, in its second year of activity, continues to consolidate its role of providing leadership to the CGIAR System and coordinating activities among the Member Centers and other Partners within the Strategy and Results Framework (SRF). In doing so, it fulfils a recognized need of enhancing the individual and collective contribution of the Consortium, the member Centers and the CGIAR Research Programs (CRPs) to the achievement of the 4 CGIAR System Level Outcomes (reduction in rural poverty, increased global food security, improvement of nutrition and health, and sustainable management of natural resources). As stipulated in the Constitution, the Consortium has six main responsibilities:  to foster a more conducive international environment for agricultural research for development and increase the effectiveness and relevance of the work of the CGIAR within this environment  to enhance the impact of the research conducted by the CGIAR Research Programs (CRPs) and the Centers through common objectives and concerted actions  to work with the Fund Office to expand the financial resource base of the System  to manage allocation of funds to meet priorities in the SRF and serve as a point for central fiduciary and operational accountability  to improve cost efficiency in the CRPs and the Centers by providing advice, best practices, shared functions and research platforms  to work with Member Centers to promote opportunities to achieve gains in relevance, effectiveness and efficiency. A major effort in the activities of the Consortium in 2011 was devoted to the approval of the SRF, and the development and approval of the whole CRP portfolio (15 CRPs), eleven of which have been approved so far this year by the Fund Council. Agreement was reached with the Trustee, leading to the approval of all legal documents, which unlocked the flow of funds from the Fund. The Consortium Office (CO) was established and started operations in Montpellier in March 2011. Significant progress was also achieved in a number of key issues: (i) agreement on stability financing, to prevent serious disruptions in the Centers’ research efforts during this transition year; (ii) approval of financing for gene banks maintenance separate from the CRPs; (iii) scoping study on gender; (iv) signing ceremony for establishing the Consortium as an International Organization; (iv) expansion in CGIAR financing activities; and (v) launching of joint resource mobilization efforts to key donor countries by FC and CB Chairs. The work plan for 2012 will focus on the implementation of the CRP portfolio; the design of a SRF Action Plan; the mainstreaming of gender in all CRP activities; providing support to the Fund Council in the achievement of expanded and stable long term financial commitments to international agricultural research; the development of a 1 Consortium POWB 2012 CGIAR communications strategy; the consolidation of the CO and its staff; the development of policies, guidelines and positions relating to CGIAR legal matters and positioning the CGIAR in the larger development context. In light of the resignation of the CEO, the Consortium Board has set up an Executive Committee presided over by its Chairman and integrated by its Vice-Chair as well as other two Board Members. The Committee has assumed the executive powers necessary to ensure the Consortium Office will continue to function effectively until a new CEO is recruited. The appointment of the CEO is a priority for the Board, and it is hoped that the new appointment will be made by the time of the next Consortium Board Meeting in February 2012. II. Work Plan Priorities During 2012, its third year of activity, the Consortium will build on the progress and experience of the first two years, and will focus on eight priorities, starting with the approval by the Fund Council of the remaining CRPs and their implementation. The second priority will be the design of an Action Plan to address a number of key strategic issues in the current SRF. The third priority will be the mainstreaming of Gender in CRP activities. All CRPs will produce a gender strategic work plan within 9 months of the inception of their activities, as per the guidelines included in the Consortium Diversity and Gender Strategy. The Consortium Office will facilitate interactions among CRPs and provide advice for the development and implementation of their activities. Fourth, the Consortium will continue to support the Fund Council to secure an expansion in the funding for the CGIAR international agricultural research work. Priority consideration will be given to secure, to the extent possible, multi-year commitments from donors. Political as well as technical preparations for a pledging conference to that effect will be given great attention. In 2012, the CB Chair will continue his joint visits with the FC Chair to donor countries, including non traditional CGIAR donors. Fifth, the development of a comprehensive CGIAR communications strategy will be a matter of high priority for 2012. There is an urgent need to communicate CGIAR work in an efficient and effective way, to help make CGIAR results more available and accessible and ensure that the CGIAR system is increasingly recognized as a leader in thinking and research-based solutions for agricultural development. A consistent brand strategy should be part of the plan to maximize the CGIAR reputation and image, and to improve its global presence and public knowledge of its work. The external communications strategy should be complemented by an efficient internal communications plan to ensure a more effective flow of information among CRPs, Centers and partners. Sixth, the Consortium will continue to oversee and coordinate the legal aspects of the Consortium. It will develop and maintain sound policies, guidelines and positions relating to legal, partnership and Intellectual Property Matters. A CGIAR Intellectual Assets principle will be adopted in 2012 (as part of the COF). The CRP funding agreements and their execution will continue to receive legal guidance and advice. 2 Consortium POWB 2012 Seventh, the Consortium Office should be fully staffed by end 2012. The selection process for a new CEO has already started and it is expected to have a new CEO onboard in early 2012. The establishment of the Consortium as an international organization will require a number of adjustments vis a vis Bioversity; office manuals for administration and operations will be developed. Finally, the Consortium will renew its efforts to position the CGIAR system in the larger development context. To do so, it will focus the activities of the CRPs to respond to the multiple and complex challenges that agriculture is confronting today. The Consortium will also work to disseminate widely evidence of the significant impacts of CGIAR research towards the achievements of the four SLOs. Greater attention will be paid to an active presence of the Consortium in all relevant and strategic fora in the area of agriculture, poverty and food security matters, conveying the collective message of the CGIAR. III. Resource Requirement The core fund request for the Consortium Board and Office is $6.2 million, of which $1.1 million is for the Board and balance of $5.1 million is for the Office. The total budget, however, is $ 6.9 million because the Consortium Office expects to benefit from an additional $700,000 in restricted-non-Fund resources, for activities that are mainly “one-off” in character and which are required for the start-up operations in the reformed system. A good example of this is funding for the complete re-building of the main CGIAR web site. This re-design and construction is an activity that, once completed, is not an annual requirement, so there is not a long-term financing implication for the CGIAR Fund. The core resources for the Consortium Board and Office requested from the Fund represent an overall increase of about 13% over the comparable 2011 level. The level of activity for both the Board and Office is accelerating. By 2012, the Consortium Office will be virtually fully-staffed for the first time since its establishment, and the personnel component is the main driver of costs which explains the projected budget increase. The expanded resources for the Consortium Board are accounted for by the increased number of days required for some of the Board members to devote to Consortium business. The distribution of resources for the Consortium Office is shown in two dimensions: by sector share of the core budget (far right column) and by classical “object of expenditure” (personnel costs, travel, overhead, etc.). The column for overhead represents the resources that are due to Bioversity International for their administration of Consortium operational matter. The formula is that the overhead charge is 15% on personnel budgets, and 4% on everything else – that is, the activities that actually flow through Bioversity and are processed by the Center. As the Consortium Office gets better established, and especially once the host country agreement is in place, these charges will decrease. The Bioversity charges are fully justified according to standard overhead policy and there is no implication of Bioversity inefficiency, just a future internal processing that will result in consortium savings. 3 Consortium POWB 2012 Total Budget Meetings / Operating Personnel Consultants Travel Workshops costs Overhead Share CEO 73% 5% 10% 0% 0% 12% 14% Science 60% 11% 10% 7% 0% 11% 18% Gender 38% 9% 8% 36% 0% 9% 10% Finance 44% 7% 7% 17% 15% 9% 15% Legal 33% 45% 7% 3% 0% 12% 10% Communications 36% 40% 8% 0% 4% 12% 21% OCS 0% 46% 6% 0% 39% 9% 5% Administrative support 64% 0% 4% 0% 21% 11% 7% TOTAL 47% 20% 8% 8% 7% 11% 100% IV. Activities The Consortium Activities are organized in two basic components: Consortium Board (CB) and Consortium Office (CO). Consortium Board In the last CB meeting in September 2011, the CB created four committees to strengthen the effectiveness of internal and external CB mechanisms. They are: the Audit and Risk Committee, Science Programs and Partnership Committee, Nominations and Evaluation Committee, and Member Interest Committee. The functions of these Committees were identified and approved by the CB. In particular and given the fact that the terms of CB members expire at the end of 2012, the Nominations Committee will put in place a system for staggering Board membership and identifying new Board members in 2012. The Committee will also conduct a board evaluation once every three years and a board self-evaluation annually, starting in 2012. Because of the special circumstance of the CEO’s resignation, an Executive Committee (Ex Co) was created in October to assume all the functions and responsibilities implied in the conduction of the Consortium, including the recruitment process of a CEO. The Chair of the CB will lead the development of the Action Plan for the SRF which will be presented at the next Funders Forum. This meeting will convene back-to-back to the GCARD meeting that will be held in Punta del Este (Uruguay) in October 2012. In line with the objective of securing an expansion and greater stability and continuity of finance, for CGIAR activities, the Consortium Board Chair will continue its resource mobilization missions together with the FC Chair. The first will start in Canada in February 2012, and will be followed by visits to the United States and a number of European donor countries not yet visited. Visits to non-traditional donors, including emerging countries, are also envisaged. The 2012 budget request from the CB includes an increased allocation of time to Consortium business on the part of the four members of the Executive Committee, as well as support of the CO Staff. 4 Consortium POWB 2012 Consortium Office The Consortium Office is composed of the CEO office and five operational areas related to: Science, Gender, Finance and Corporate Services, Legal and Communications. Additionally, there are two support components, the One Corporate System (OCS) for financial and project management, and the general administrative support for the office. The main function of the CO is to support the work of the CB. 1. CEO Office The Executive Committee has taken the necessary steps in order to secure a smooth transition in the CGIAR reform process until the appointment of the new CEO. The CEO will recruit the pending positions for the consolidation of the CO staff in consultation with the Executive Committee. Once the Consortium obtains the legal status as an International Organization, the CEO will have to manage the gradual transfer of activities from Bioversity to the Consortium, as well as any interim measures negotiated with the host country, France. This change will imply to develop procedure manuals for administration and operations, including purchasing, travel policies, personnel functions. Consultants may be engaged for support and advice on this process. The CEO will also have to oversee the process related to the new building provided by the French Government. The Executive Committee will continue to support the new CEO in the performance of his/her tasks defined in the CGIAR Constitution during 2012. 2. Science The principal role of the science component of the CO is to enhance the coherence of the portfolio of CRPs, and its alignment with the Strategy and results Framework (SRF). The CO facilitates needed interactions among the CRPs, including concerted actions and programmatic convergence, and designs mechanisms to fill research gaps at portfolio level and to address overlaps across the CRPs. It comprises effectively advising the CRPs on opportunities across the portfolio, and steering interactions at portfolio level towards increased effectiveness, efficiency, relevance, and scientific innovation and quality. Highlights of accomplishments in 2011 include the assessment of all CRP proposals and recommendations to the CB for approval or further amendments to each CRP; the analysis of the Scoping Studies on gender and on genetic resources, and design of recommendations to the CB for implementation thereof; the design of Monitoring Principles for the Common Operational framework; the design of a Consortium level Gender strategy, approved by the CB, which includes guidelines for all CRPs on the mainstreaming of gender. For 2012, there are four main activities. 5 Consortium POWB 2012 i. Supporting the life cycle of the SRF to improve programmatic synergies and efficiency gains The ad hoc Funders’ Forum (April 2011) requested that the Consortium should design an Action Plan for addressing a number of issues in the current SRF, for approval by next Funders’ Forum (October 2012). The elements of this, are: Criteria and principles for priority setting. In 2011, the CO initiated discussions with the CRPs and Centers on criteria and principles for a research priority setting process relevant at SRF level. This will be taken forward through building upon lessons learnt from previous initiatives and continuing discussions with the CRPs, Centers, key stakeholders and donors to design robust criteria and principles for research priority setting. The criteria will cover a range of different dimensions (e.g., cost efficiency, geographical balance, comparative advantage, probability of impact, contribution to the SLOs). The broader stakeholder constituency will be consulted through GCARD II. Building a stronger foresight dimension into the SRF. Developing a foresight vision will necessitate the consideration of lessons learnt and feedback from the activities of the CRPs and Centers, reviewing the foresight experiences of other agricultural research institutions, interaction and consultations with ISPC, GFAR and external think-tanks with an established scientific reputation in foresight. Identifying appropriate metrics for connecting the System level Outcomes (SLOs) to the CRPs’ expected deliverables. The CO will work with the CRPs, Centers and other experts to design a transparent process to identify and generate appropriate and strategic metrics for the SLOs, enabling a clear link to be drawn from them to the CRPs’ deliverables. The process will include the design of protocols and systems for data management, building on previous experiences (e.g., CGIAR Consortium on Spatial Information; ASTI, among others). This will be done in an efficient and coherent manner across the CRP portfolio. This will be achieved in collaboration with the Standing Panel on Impact Assessment of ISPC, and, once established, with the IEA. ii. Increasing synergies and cost effectiveness in the implementation of the CRPs Portfolio The CO has initiated work with the CRP Directors and DDGs-Research to identify mechanisms to increase research synergies across the CRPs and to create efficiency gains. The objective is to determine when CRPs will be able to achieve research synergies. The Science team is already working on a number of such cases, including mainstreaming research on gender, providing inputs into the Common Operating System, and supporting the CRPs by providing relevant tools for more effective data and knowledge management. Further discussions will take place on mechanisms for mainstreaming some of the recommendations of the scoping study on genetic resources (commissioned by the Consortium Board in 2010), that have not yet been implemented, in order to address potential gaps in the CRP portfolio. The CO will work with all CRPs to identify principles and criteria for selecting common research sites at key geographical locations. Common sites are expected to facilitate the realization of research synergies (through sharing of information and more coordinated planning and execution of activities), as well as to increase efficiency (e.g., through 6 Consortium POWB 2012 sharing infrastructure and other facilities). Other mechanisms to facilitate research synergies and efficiency will be identified for cases where common research sites are not feasible. The CO has been asked by the CRPs to develop guidelines for CRP operational plans. The CO will draw lessons from the implementation of the operational plans of the already implemented CRPs and identify emerging issues that need to be addressed at portfolio level. In addition, the CO will make these best practices and guidelines available online, for which it will need to access professional IT expertise. iii. Increasing system accountability through a robust monitoring system at Consortium and CRP levels The CO has been developing draft monitoring principles at Consortium level, that link monitoring at CRP level with monitoring at portfolio level. These principles have been discussed with Centre and CRP staff, some donors and ISPC. Following a phase of systematic consultations with donors, which the Fund Office and CO will jointly organize, and after formal approval by the Fund Council, it is intended that these principles will become part of the Common Operational Framework in early 2012. Both technical and financial monitoring are included in these principles. After finalizing the draft principles for inclusion in the Common Operational Framework, the CO will facilitate and support the design of the monitoring plans at CRP level. The CO will work with a task force of monitoring experts in the CRPs (that it will chair and facilitate) to draw lessons from the experiences of the CRPs and design portfolio level indicators of progress that also capture progress on issues that cut across the CRPs. The CO Science team will analyze and synthesize yearly CRP monitoring reports and integrate this analysis with its portfolio level analysis, working with and through the task force on monitoring. Facilitation of the monitoring plans of the CRPs will involve CO staff attending appropriate CRP meetings. Organization of the task force of monitoring experts and of its joint work will require face to face meetings that the CO will convene and organize. Appropriate IT support to the task force will also be provided so that all CRP monitoring reports and the portfolio level analyses are available online. The set of learnings, knowledge, results and international public goods that reflect progress in the portfolio of CRPs will be part of the Annual Report from the Consortium to donors and stakeholders. iv. Communicating externally on the CRP portfolio to raise international awareness and support It is important that successes in the CRPs be shared with the global community. The CO Science team will work with the CO Communications team to ensure that key scientific messages are included in the various communication tools and mechanisms organized by the CO. The Science staff will work with the science leaders in the CRPs and Centers to analyze, consolidate and synthesize appropriate messages, based on progress in the CRPs, as well as on emerging cross-cutting issues at portfolio level. 7 Consortium POWB 2012 3. Gender The Consortium developed a Diversity and Gender Strategy in 2011. The strategy has two main components: (i) mainstreaming research on gender in CRP activities and (ii) diversity and gender in the workplace. Gender related activity in the Consortium will be led by a Gender Advisor, to be recruited in the fourth quarter of 2011, who will be supported by the Science Team. Three main activities are planned for 2012. i. Mainstreaming Gender in CRP activities. Within 9 months of their inception, all CRPs will elaborate their gender strategic work plans in line with the Consortium Diversity and Gender Strategy. The CO (in particular the Gender Advisor) will facilitate interactions among CRPs on the development of their activities ensuring their alignment to the overall strategy and provide advice on their implementation. ii. Establishment of an active gender community of practice network. The CO will facilitate the creation and activities of a community of practice of gender experts across the CRPs. The community will provide a supportive environment for knowledge and experience, and a mechanism for greater cohesion in gender research across the CRPs. The community will work mostly through a web-based collaboration platform, which is a web-based communications tool. The Gender Advisor will facilitate this community of practices to ensure inclusion and participation of all members. iii. Capacity Strengthening. The Scoping Study on Gender commissioned by the CB noted an insufficient capacity in the CGIAR to address gender research issues. Recruitment of experts, training of gender issues and strategic partnerships are key to addressing this issue. In 2012, the CO will provide support to the CRPs on the establishment of strategic partnerships. The Gender Advisor will work with the community of practice to identify capacity strengthening needs in the CRPs and develop a prioritized training plan which will utilize lessons learnt from previous experiences. The CO will provide financial support to the CRPs for their scientists to attend appropriate training courses, as part of the implementation of this training plan. 4. Finance and Corporate Services The Finance and Corporate Services (FCS) activities in 2012 will continue with many of the same priorities that were established for 2011. The main focus will remain on financial matters as the CGIAR reform development process continues and as there are many CGIAR financial policy and procedural matters that require revision and even complete new preparation. When the CRPs are all approved and underway, it will be possible to expand the service horizon with a priority focus on human resource strategy and operations in the CGIAR system. Similarly, a significant effort remains to "achieve efficiencies" through coordinated administrative practices and policies; the highest priority by far in 2012 will be the continuing development and implementation of the One Corporate System (OCS). The following are the priority activities organized by topic. 8 Consortium POWB 2012 i. Office and Board Policy and Procedures a. Consortium Office budget: the finance team will review the 2012 budget on an on-going basis, develop and monitor expenditures, and will assist staff to plan activities in order to remain within the budgeted amount for their work plans. b. The physical move to a new office: while it is unlikely that the new office building will be completed in 2012, considerable planning for the move will be required in advance. This will include making plans for furniture acquisition, logistical matters such a interior design, among others. c. Policy and procedures manuals for the Consortium Office: the need for appropriate manuals (personnel, financial administration, operations including travel policy, etc.) is obvious, and these must be in place before the CO can consider separation from Bioversity International. Drafting these manuals will be done in 2012, with the help of external consultants expert in the different areas. d. Coordination with Bioversity International: as the moment draws nearer when the CO will have international organization status, there must be a plan for separating from Bioversity in an orderly manner. The CO will work with the Bioversity management team to plan how this can best be accomplished, ensuring that service levels are not compromised in the process. It is likely that Bioversity will retain at least some responsibility for personnel management in the medium term, although this aspect is costly for the Consortium as there is a 15% overhead rate charged on staff costs. e. Servicing the Consortium Board: the finance and CS team will ensure that all necessary reports are routinely available to the CB on a predictable schedule, and that all resource planning documentation (for the Office and for the CRPs) is available in advance of virtual or formal meetings of the Board. The FCS Director will also service the Board audit and Risk Management Committee. f. Establishing databases: the CO must establish robust databases to ensure that key resource data is maintained and is consistent with historical information, including all dimensions of expenditure and investments in different activities. These are tasks that were formerly the responsibility of the CGIAR Secretariat. ii. External Relationships g. Coordination with the Fund Office: an extremely high priority is constant coordination and collaboration with the Fund Office on all matters related to resource management, including for the System Units (as this affects the Consortium) and for the CRPs. Specific actions include monitoring of financing flows, development of financial policy for the system, CRP budgeting changes and associated legal documentation, in collaboration with the legal team in the CO, donor relationships especially at the Fund Council level. 9 Consortium POWB 2012 iii. Financial Policy h. Common Operational Framework: It will ensure that all the Financial Guidelines are updated for inclusion in the COF in 2012. The most urgent of the guideline changes relate to the accounting policy and resource planning modules, including the full implementation of cost recovery policies for all Centers/CRPs (FG5). The CO has established a working group to bring the accounting policy to completion, and we will do the same for the medium term planning module. i. CSE Directors’ Meetings: There will be two full meetings of the Finance and Corporate Services executives from the Member Centers, as there was for 2011. For these meetings, both Finance and Human Resource policy and administrative developments are reviewed, budgets discussed, policies established, and updates are provided for all parties. Problems of coordination and misunderstandings are therefore avoided, and efficiencies all around are clearly one of the main benefits from these meetings, which typically last 2.5 days. In 2011, the practice was established of holding one of the meetings in Montpellier and the second one at a Center, and this is the expected plan for 2012 as well. The cost of these meetings is largely borne by the Member Centers, as the Consortium provides only logistical and meeting support. However, the Consortium does try to involve the key Consortium staff participation in specific agenda items, especially for the meeting held in Montpellier. j. Capital infrastructure: the CGIAR Centers may need assistance in mobilizing needed capital resources for long-term infrastructure investment, as many of the Centers operate large physical plants. It is possible that the best approach in the new system will be to consider a system-wide capital plan, rather than individual and ad hoc Center plans, so that the FC may make informed investment decisions with all relevant information available at the same time. k. Treasury management: with the almost complete disappearance of unrestricted income for centers, a challenge is to maintain and where necessary grow financial reserves and to manage cash flow in an efficient and cost-effective manner. The CO will work with centers to develop operating plans for ensuring that the needed investments and facilities are maintained. l. Flow-through funds: the treatment of partner funding as a "flow-through" mode in CRPs needs to be defined in terms of the overhead and other applicable management costs, and where and how these should be charged/collected. m. Annual Financing Plan: one of the most critical functions of the finance team in the CO is to prepare an annual financing plan for the CRP's, for the Fund Council approval prior to the start of a calendar year. iv. Consortium Research Programs (CRPs) n. Budgeting and re-budgeting: experience has indicated that it is necessary for the CO to work with the Fund Office and lead Centers in order to develop a harmonized CRP portfolio with standard dates, common budget practices and 10 Consortium POWB 2012 calculations, and consistent management structures, once all CRP's have been approved. o. Harmonized Reporting Guidelines: the CO will work with centers to develop a financial reporting structure for CRPs. The necessary guidelines will be available in early 2012 as there is a working group established that will commence activity in December 2011. p. Resource allocation: the CO has an important role to play in ensuring the Fund resources are appropriately deployed at the CRP level, since early experience shows that many donors are content to provide their funds under window 1. q. Gene-banks: though technically not a CRP, the financing of the CGIAR gene-banks requires Consortium Office inputs and administration, including the preparation of an annual budget. In addition, the CO will work with the Global Crop Diversity Trust to establish a long-term strategic plan for the gene-banks, starting in 2012. v. Human Resources (HR) and Administrative Efficiencies r. Establishing a HR network: the first step to achieving common practices and approaches for HR management in the CGIAR is to establish a system-wide community of practice, similar conceptually to the existing finance component of the Corporate Services Executive group. This will build on existing regional or other limited joint activities/working groups that have recently formed in the CGIAR. This network ultimately will assist with the definition of work plans for HR development at the system level, and the Consortium will play a coordinating role in such a development (as it does for finance). s. Salary and benefits survey: as there has been no comprehensive CGIAR system survey of personnel remuneration for several years, the CO will commission such a study in 2012. This will provide needed information for Centers especially as there is a much more explicit need for joint programming and activity. As well, the donors have indicated that they believe there can be efficiencies realized through adoption of best practices at Centers, and this survey should identify those best practices. t. OCS deployment: the CO will continue to participate in the launch of the OCS. This activity is linked closely to the Consortium's role in generating system-level reports which can best be achieved through the use of a common system with standard definitions and structures. Centers that are not participating (yet) in the OCS will have to conform their reporting to the format generated by the OCS system. u. Administrative gains: the CO will re-convene a center reference group for other shared services leading to operational and financial efficiencies. This will build on earlier work convened by a reference group of CGIAR Center staff with the assistance of an expert consulting group several years ago. 11 Consortium POWB 2012 5. Legal and Intellectual Property The Consortium legal function provides in-house legal guidance and expertise to the Consortium in a broad range of fields, including intellectual property. As the reform of the CGIAR progresses and as the Consortium becomes a legal entity in its own right, this function has taken on a more strategic and essential role. These are the main legal/IP team’s highest priority activities in 2012. i. International Organization status. To respond to all legal issues raised by the ratification process to establish the Consortium as an International Organization. Some of them are the conclusion of the Headquarters Agreements with the French Ministry of Foreign Affairs and the amendment of the Consortium’s MOU on fiscal sponsorship concluded with Bioversity. The CO will ensure the transfer of relevant contracts from Bioversity to the Consortium. As the Consortium will be a legal entity in its own right, it will be necessary to determine the different laws and regulations that apply to the Consortium in various fields, and support the CB in complying with such laws and regulations. ii. Institutional documents of the reformed CGIAR. It will continue to participate in the development of the institutional documents that are yet to be completed, such as the chapters of the Common Operational Framework, and in particular, the Chapter on IP. iii. Developing ‘CGIAR IA Principles’ (as part of the Common Operational Framework). This key document sets out the requirements by the FC donors on the Consortium and Centers in terms of IA management, particularly with regard to accountability and transparency. It needs to be adopted by the FC and the CB in 2012 and will require substantive discussions and negotiations with Center representatives and FC donors. iv. Developing IA management guidelines and/or best practices. The CGIAR IA Principles will be adopted in 2012, and the Consortium IA Policy was adopted in May 2011. Although these 2 documents represent a substantial achievement at the System and Consortium levels with respect to IA management, an important challenge in 2012 and following years will be to ensure that they are understood and implemented in a coherent way in the Centers and CRPs. In consultation with Center IP working groups, guidelines will be developed to implement the principles laid down in these documents and their concrete implementation in the CRPs. The legal unit will identify needs in order to set up by the end of 2012 training activities on the Consortium and CRP processes and best practices. v. CRP funding agreements. As CRPs continue to be approved, it will finalize and oversee the execution of the corresponding Consortium Performance Agreements (CPAs), Program Implementation Agreements (PIAs), and Payment Requests made to the Fund. In addition, it will provide assistance with regard to the implementation of CPAs, PIAs, Program Participant Agreements (PPAs) and sub-agreements. vi. Coordination with other System Bodies. Regular coordination and collaboration with the Fund Office will be essential on all matters related to System 12 Consortium POWB 2012 and Consortium institutional and/or legal documentation, funding agreements, monitoring, evaluation and reporting on intellectual asset management (as per the future CGIAR Intellectual Assets Principles). vii. Communication. Reaching internal and external visibility and making outputs available will contribute to developing trust and understanding, efficiency, and impact at the CRP and Center levels, as well as showcasing activities for donors. viii. In 2012, the legal Unit will initiate work leading to:  Identifying, analyzing and curating past System-level policies and guidelines from a legal dimension and with the view of making recommendations as to their upkeep and/or amendment. This will be important for the Consortium in view of its responsibility to develop best practices for CRPs.  Animating a legal/ IP community-of-practice and working groups in order to leverage and share existing best practices and experience. The Unit will convene and coordinate a legal/IP community-of-practice and meeting as a whole once a year, starting in 2012. It will organize the activities mentioned above through the creation of working groups with center representatives. 6. Communications The purpose of the Communications team is to support the CGIAR Consortium, the CGIAR Research Programs (CRPs) and the member Centers communicate their work in an efficient and effective way; help make CGIAR research results more available and accessible; and ensure the CGIAR is increasingly recognized as a leader in thinking and research-based solutions for agricultural development. There are three main activities for 2012. i. Finalize and implement the CGIAR Umbrella Strategy and plan for branding and communications activities With the objective of increasing the dissemination of CGIAR research and foster relations with CGIAR Funders, in 2012 the Communications team will finalize and implement a comprehensive communications strategy and plan that include a framework for local and global key strategic outcomes, tactics, messages, traditional and non-traditional media outreach, and events calendar and issues management. This will involve bringing together results from market research, focus groups, key opinion leaders and the dissemination of key successes in research, advocacy and impact, including the CGIAR Annual Report. The strategy and plan will also include a consistent global brand strategy to ensure the CGIAR Consortium maximizes its reputation and image and takes advantage of key opportunities to improve its global presence and public knowledge of its work at both the CGIAR System and CGIAR Research Program levels. As part of the implementation of the communications strategy, the following key tasks will be carried out: 13 Consortium POWB 2012  Identify opportunities for the participation of Consortium members in key international events and, where appropriate, organize their presence  Develop a plan for issue-based communications campaigns  Finalize branding guidelines so that CRPs and Centers adopt a unified CGIAR brand  Develop influence mapping, and set the priorities for relationship engagement with the following groups: donors, international agencies, civil society and private sector  Develop a new CGIAR-wide ‘Annual Report’ that includes the progress of the CRPs portfolio  Coordinate and provide guidance to CGIAR Consortium communicators to ensure the effective monitoring of messaging and content so that it is consistent, relevant and accurate, and also help maximize their web presence and promotion through non-traditional media  Develop and maintain a new and more dynamic cgiar.org web presence, including a separate Consortium section The new cgiar.org website will shift the site emphasis from “the institution” to “content and research”, and increase the sense of “one CGIAR”, across CGIAR Research Programs, Centers, Fund and Consortium Office under a single CGIAR brand. The new web site will automatically aggregate the latest information from the now more than 140 web-based outlets of the CRPs and Centers, thereby becoming a central point of entry for all CGIAR- related websites. The new cgiar.org website is currently being developed and is expected to be launched in early 2012. Further 2012 activities for the cgiar.org website include ongoing development, training and mentorship of contributors to ensure that content is kept up to date, concise and relevant. The impact of the new site will be monitored and evaluated. ii. Make CGIAR research more available and accessible The Communications team will help the Science team identify methods and tools to document, share, collaborate on and communicate research activities, including:  Process: support CRPs develop and document strategies and plans to make their data, information and knowledge more available, accessible and applicable  Technologies: a set of software systems and tools will be designed and implemented to support this objective, to include: a. ‘CGIAR Ongoing Research’ ’CGIAR Ongoing Research’ is a crucial multifunctional mapping tool developed to better communicate CGIAR research project information. Developed two years ago, it is the 14 Consortium POWB 2012 only tool presenting a complete overview of CGIAR research. Planned enhancements include the design and implementation of a module to enable CRP-related project definition and mapping, archival functionality, training and support to Centers, include donor information in the factsheets and automate the aggregation of research output information. Focal points will be trained to ensure the information is kept up to date. The goal is to have ALL relevant CGIAR research projects available in this system so they can be easily communicated b. A knowledge management tool that supports the CRPs As the SRF and the CRPs entail a strong harmonization of processes across the CGIAR, new requirements for managing information collection, reporting and analysis have already emerged and will be further specified over time. The goal of this management tool is to support the Science Team in consolidating and comparing program management and performance information, and facilitate the aggregation and communication of the results of CGIAR work. The tool will be the main vehicle for high level planning and monitoring of the progress of the CRPs. It will be developed to easily integrate with OCS, the CGIAR One Corporate System. Requirement analysis with the Consortium Science team has already been done. Activities in 2012 will focus on developing and implementing this tool. iii. Establish a data and information management function In liaison with the Science and Finance teams, a data and information management function will be established in the Consortium Office. Such a function is fundamental to guarantee adoption, maintenance and update of the controlled lists and information management standards for use across the Consortium and Centers’ Research Management Systems (RMS). It is fundamental that an ultimate authority makes executive decisions on the official terminology, classification and update of the information management standards across the CGIAR. As for documentation and process coordination, the Document Curator will primarily support the Consortium Office team in document management, repository management, institutional memory maintenance (e.g. official documents, CGIAR Core Collection, other databases to be identified), process setup and monitoring, and maintenance and update of public communications materials. 7. One Corporate System The CO committed to the OCS Project in mid-2011 by signing agreements with Agresso (along with 9 of the centers). The CO will be implementing Agresso in the first half of 2012, so there will be extra costs involved – some costs will be recovered by project funding. OCS will require some further investment in 2012, but this is more than justified by: (a) the need to demonstrate CO support and participation in this initiative for a major shared service, (b) to be able to contribute to the design, (c) to ensure that information needs at system-level are satisfied, so that eventually the management information system used by the Centers will provide comprehensive programmatic, financial and HR data. The Centers will be achieving considerable savings from this shared service, and the inclusion of the CO helps that. 15 Consortium POWB 2012 There are two sources of costs for the Consortium Office with regard to OCS. Firstly, there are the payments to the OCS Project, which cover costs of the software itself, implementation, staff training, and vendor maintenance/support. Secondly, there are the expenses incurred directly by the Consortium Office, and this is primarily the time of the consultant. The latter has been involved in the design of the system not only for the CO but also from the viewpoint of the centers and the CRPs. It is planned that the cost of his time on OCS will be recovered from project funding provided by SDC in support of the OCS project generally. 8. Administrative Support This component supports the Consortium Board and Office with administrative assistance and logistics. In addition, this budget includes funds for insurances, office supplies and equipment, and services such as utility costs. V. Budget The Consortium Board and Office fund request for 2012 is for a total of $6.2 million from the CGIAR Fund. The Board share is $1.1 million (18% of the total) and the Office component is $5.1 million (82%). Comparable figures for 2011 are $0.9 million and $4.5 million. In addition, the Consortium Office anticipates carrying out some activities in 2012 that will be financed by different sources of restricted funding, with no added demand on the CGIAR Fund. This latter component adds about $0.7 million to the budget, but not to the fund request. Therefore, the total Consortium budget is $ 6.9 million. 1. Resource Highlights: Consortium Board The Board request is summarized in the table below. The major cost for the Board is for their honoraria and for travel to meetings. Additionally, there are some support costs, both in Montevideo (office rent and secretariat) and from several Consortium Office staff, whose related time is charged to the Board budget. Consortium Board Budget (US$) Meetings / Operating Workshops costs Personnel Travel Overhead Total Consortium Board Members 489,000 266,000 4 0,000 6 5,500 8 8,210 948,710 Support Costs 115,080 1 0,000 4 00 125,480 Total Board 604,080 266,000 4 0,000 7 5,500 8 8,610 1 ,074,190 2. Resource Highlights: Consortium Office The Consortium Office total budget is summarized in the following table. These figures include the activities for which special (non-Fund) income is available. 16 Consortium POWB 2012 The budget organisation of resources as seen below is a traditional input focus by "department" and by object of expenditure. However, in the detailed work plans for the different functional components of the Office, the activities - outputs - are fully costed, by allocating staff time as well as the other expenditure objects according to the best estimate of the Directors of the functional areas. Consortium Office Budget (US$) Meetings / Operating Workshops costs Personnel Travel Overhead Total Consortium Office CEO 611,439 8 1,000 9 4,956 787,395 Science Team 738,142 103,500 7 2,000 117,741 1 ,031,383 Gender 280,660 4 5,000 213,500 5 2,439 591,599 Finance 437,980 6 3,000 145,000 130,000 7 9,217 855,197 Legal and IP 455,701 4 0,500 2 0,000 7 0,775 586,976 Communications (incl ICT-KM) 939,527 9 4,500 5 0,000 146,709 1 ,230,736 OCS 131,200 1 8,000 110,000 2 4,800 284,000 Administrative Support 268,747 1 8,000 9 0,000 4 4,632 421,379 Total for Consortium Office 3 ,863,396 463,500 450,500 380,000 631,269 5 ,788,665 To get a better idea of relative effort or inputs, the following table shows the financial shares for the different functional areas, with and without the additional separately- financed activity. Consortium Budget (US$) Meetings / Operating Workshops costs Personnel Travel Overhead Total Consortium Board Members 489,000 266,000 4 0,000 6 5,500 8 8,210 948,710 Support Costs 115,080 1 0,000 4 00 125,480 Total Board 604,080 266,000 4 0,000 7 5,500 8 8,610 1 ,074,190 Consortium Office CEO 611,439 8 1,000 9 4,956 787,395 Science Team 738,142 103,500 7 2,000 117,741 1 ,031,383 Gender 280,660 4 5,000 213,500 5 2,439 591,599 Finance 437,980 6 3,000 145,000 130,000 7 9,217 855,197 Legal and IP 455,701 4 0,500 2 0,000 7 0,775 586,976 Communications (incl ICT-KM) 939,527 9 4,500 5 0,000 146,709 1 ,230,736 OCS 131,200 1 8,000 110,000 2 4,800 284,000 Administrative Support 268,747 1 8,000 9 0,000 4 4,632 421,379 Total Office 3 ,863,396 463,500 450,500 380,000 631,269 5 ,788,665 GRAND TOTAL 4 ,467,476 729,500 490,500 455,500 719,879 6 ,862,855 In constructing the resource request, the Consortium Office used the actual personnel costs for existing staff, and average costs for staff expected to be engaged in 2012. For 17 Consortium POWB 2012 operating expenses, standard/average costs for travel (airfares and living expenses) and consultants' daily rates were used in budgeting. 3. Staff Positions The Consortium Office proposes to maintain or engage the following positions at the internationally-recruited level. Most of these were budgeted and occupied in 2011; however, there is expected to be other changes and most or all of the positions will be filled in 2012. Position (internationally-recruited) Assumed months engaged CEO 12 (incl. recruitment cost) Senior analyst (for CEO office & Board Chair) 12 Chief scientific officer 12 Director of finance and corporate services 12 Director of communications 12 (recruitment process planned) Senior ICT-KM Officer 12 (may use funds for consultants) Gender officer (new) 12 (may be long-term consultant) Legal counsel 12 CRP officer 12 CRP officer 12 Finance / OCS long-term consultant 12 months Position (nationally/regionally recruited) Assumed months engaged Accountant/finance officer (new) 12 Office manager 12 Document administrator (new) 12 Senior administrative assistant 12 Administrative assistant 12 Administrative assistant 12 Senior Secretary (Montevideo) 12 18 Consortium POWB 2012 The positions are all budgeted for the full year, yet in reality it is possible that several will remain partially unfilled, since not all individuals are currently engaged. Finally, the Finance/OCS long-term consultant fulfils a role that is not expected to extend beyond 2012. However, for 2011 and 2012 this is virtually a full-time assignment, but one which is not a permanent requirement for the Consortium, when many policies are developed, and for the One Corporate System implementation. The Consortium Office will engage specialist experts in different areas in 2012, but they will be short-term consultants. The Bioversity administrative cost - their overhead arrangement with the Consortium Office, amounts to an 11% charge overall. This is calculated as a flat 15% for administration of personnel budgets, and 4% on everything else. 19 Consortium POWB 2012