Consultative Group on International Agricultural Research CGIAR SYSTEM OFFICE INTEGRATED OPERATING PLAN 2005 MARCH 2005 The System Office The System Office helps to capture wider system opportunities by identifying and pursuing opportunities to increase effectiveness, reduce costs, and enhance the funding of the System as a whole. The 2005 Integrated Operating Plan (IOP) of the System Office Executive Summary The third Integrated Operating Plan (IOP) of the CGIAR System Office (SO) reflects strengthened interlacing of service provision by units, and an increased demand for services particularly in the area of Human Resources (HR), auditing and risk assessment (see section 2). Currently the System Office has eight units. The total budget of the SO for 2005 is estimated at US$ 8.78 million. 1. Introduction This is the third Integrated Operating Plan (IOP) of the System Office (SO). It is an element of the Integrated Business Plan (IBP), which consists of two parts, the Business Case, and the Integrated Operating Plan. The Business Case describes the framework of the SO and the IOP is an annual reporting and planning document that provides a single and coherent view of the System Office and the work of its units. The SO comprises eight separate units (see Box 1). Box 1: The System Office Units 1. 2. 3. 4. 5. 6. 7. 8. Central Advisory Service - Intellectual Property (CAS-IP) CGIAR Secretariat Chief Information Officer (CIO) Future Harvest Alliance Office (FHAO) Gender and Diversity Program (G&D) Internal Audit Unit (IAU) Science Council Secretariat Strategic Advisory Service for Human Resource (SAS-HR) Annex 3 includes summary work plans of the individual SO units. Full business plans are available from the units directly. 2. Client expansion of System Office service in 2005 Two SO units – IAU and SAS-HR - operate on a “subscription” basis. In other words, the service provided is demand driven and Centers decide whether to participate. Service requests for IAU and SAS-HR have increased rapidly since these units were established. Internal Auditing Unit: Number of participating Centers reach 13 The CGIAR Internal Auditing Unit (IAU) was established in 2000 as a pilot involving three CGIAR Centers (IPGRI, IRRI, WorldFish) and the CGIAR Secretariat, which comprised the original CGIAR Internal Audit Consortium, but its client base and demands for service have expanded in each year of its existence, most rapidly in 20032004. In 2003, CIMMYT and CIAT and in 2004, ICRAF, ILRI and WARDA joined the consortium. As of FY 2005 CIP, IFPRI and ICARDA decided to join the consortium. Consequently, in 2005, the IAU will provide internal auditing services to 13 Centers as well as to the CGIAR Secretariat, in proportion to the budget contributions made by the consortium members. To meet the increasing demand for internal audit service the IAU intends to hire a second Associate Director, who will particularly service Centers and Programs based in the Americas. SAS-HR: Two new client Centers The SAS-HR initially started its operations in December 2003, servicing five client Centers (CIMMYT, CIAT, WorldFish, IWMI and IPGRI) and the CGIAR Secretariat. During the past year a number of center-specific and inter-center programs have been initiated and developed, including a strategic staffing project, a first level leadership program, a performance management program and PeoplePower (a shared online HR database and workspace). As of 2005, two Centers – IFPRI and the WorldAgroforestry Center- will be joining the client group. Initially a diagnostic study for the three Centers will be conducted, as the basis for designing further collaboration. 3. Functional Categories and Service Offerings of the System Office The Business Case defined four functional categories for the System Office: (1) Strategic Planning and Development (2) Monitoring and Evaluation (3) Communication and Resource Mobilization (earlier named Public Awareness and Resource Mobilization) (4) Management Services. Figure: 1 Expenditure Share for Functional Activities of System Office Management Services 33% Strategic Planning and Development 31% Communication and Resource Mobilization 14% Monitoring and Evaluation 22% In terms of expenditure, figure 1 shows the summary of units’ efforts in the four functional areas. Below the highlights in each functional category are described. 3.1 Strategic Planning and Development – Highlights in 2005 Activities in this functional area will focus on (i) System Priorities, (ii) Reform Program (iii) Organizational Health, (iv) Partnerships, and (v) Representing the CGIAR at external fora. With the new Science Council fully operational, the SC Secretariat will help to prepare and implement key business decisions of the SC. In 2005, the establishment of new system priorities and the development and implementation of a strategy for mobilizing science will be key business areas that the SC Secretariat will be supporting. Furthermore, it is expected that the Task Forces on Programmatic and Structural/ Organizational Alignment in Sub-Sahara Africa, which are backstopped by the CGIAR Secretariat, will complete its report and next steps towards implementation will be initiated in keeping with decisions that will be taken at AGM’05. In 2005, a number of partnership activities are planned with the private sector. This includes, for instance, the initiation of a Staff & Knowledge Exchange Program. Through collaboration with the CGIAR Private Sector Committee (PSC), the CGIAR Secretariat and FHAO will facilitate the implementation of exchange projects between the private sector and Centers. Table 1 CGIAR System Office Service Offerings – SP&D Highlights 2005 Unit SC Sec SC Sec CGIAR Sec CGIAR Sec CGIAR Sec/ FHAO SO Strategic Planning and Development (SP&D) Planning System level priorities and strategies and conducting perspective studies on System priorities Implementation of the mobilizing science strategy Support the Task Forces on Programmatic and Structural/ Organizational Alignment in Sub-Sahara Africa Support ExCo & AGM with substantive meeting documents & follow-up action Strengthen relationships with private sector Identify, define and communicate best practice to Centers (CIO, CAS-IP, IAU, SAS-HR, G&D) CIO, IAU, G&D, SAS-HR and CAS-IP will help to identify, define and communicate best practices to Centers in various business areas, e.g. ICT System Development and Security, Human Resources Management, “inclusive” workspace, and IP management. A complete list of service offerings within this function can be seen in table 1a in annex 1. 3.2 Monitoring and Evaluation – Highlights in 2005 Major activities in this functional area will be directed to (1) improving M&E processes (2) supporting M&E of Centers/Programs, (3) developing M&E Capacity, and (4) supporting Impact Assessment In 2005, some M&E instruments within the CGIAR will be reformed, strengthened and adjusted to be more compatible with each other. This relates to the EPMR, CCER and Medium-Term Planning (MTP) process. The SC Secretariat and the CGIAR Secretariat will be facilitating this change process. In addition, the basic design of the CGIAR Performance Measurement System was completed and it will be piloted in 2005. The CGIAR Secretariat and the SC Secretariat will be facilitating the collection of the pilot data and the further enhancement of the System during 2005. Table 2 CGIAR System Office Service Offerings – M&E Highlights 2005 Unit SC Sec/CG Sec CG Sec/SC Sec SC Sec IAU with CIO, SAS-HR, CG Sec, CAS-IP Monitoring and Evaluation (M&E) Installation and implementation of new M&E processes Support the development and implementation of a Performance Measurement System for the CGIAR Planning and organizing evaluation of the CGIAR research agenda Support to Centers in developing risk management systems Table 1b in annex 1 shows a complete list of service offerings for this SO function. 3.3 Communication and Resource Mobilization – Highlights 2005 The objectives of this functional thrust are (1) to strengthen internal systems and capacity among RM and Communications practitioners across the CGIAR; (2) to strengthen support from and relationships with current member countries and cosponsors; (3) to strengthen alliances with civil society organizations and NARS which share the CGIAR’s mission; and (4) to explore opportunities with non-traditional investors (i.e. outside CG membership) The CGIAR Secretariat (in conjunction with the CGIAR Marketing Group) will continue to conduct targeted campaigns to promote the work of CGIAR Centers and Challenge Programs among key decision makers in investor countries and to Cosponsors. This also includes membership briefings and efforts to further expand the CGIAR membership. Moreover, this functional thrust intends to further harmonize communications features and identity signage of the CGIAR and its constituencies, including the communication of the Science Council and Centers. The SC Secretariat, FHAO and the CGIAR Secretariat will be collaborating in this effort. Table 3 CGIAR System Office Service Offerings – C&RM Highlights 2005 Unit CGIAR Sec CGIAR Sec CGIAR Sec FHAO / CG Sec SC Sec/ CGIAR Sec Communication and Resource Mobilization (C&RM) Conduct targeted campaigns to promote the CGIAR Centers and Challenge Programs to key decision makers in investor countries and to Cosponsors (in collaboration with the MG) Member support and development Further develop opportunities to strengthen relations with CSOs Improve communication of CGIAR Centers and CGIAR news via relevant websites and, where appropriate, the press ( in collaboration with MG) Support the communication of CGIAR Science Council work and CGIAR Impact Table 1c in annex 1 shows a complete list of service offerings for this SO function. 3.4 Management Services – Highlights 2005 Services offered within this SO functional category relate to (1) organization of events and meetings; (2) development and maintenance of management related data and knowledge; (3) organizational development and capacity building of staff; (4) development of management policy, guidelines and manuals (5) implementation and operational support to the CGIAR, SC and Centers (6) governance and management/legal advice. Last year G&D undertook a comprehensive exercise to help Centers set their 3-5-7 year goals for gender and diversity. In 2005, G&D will provide support to Centers in achieving those goals. The CIO will continue to oversee the implementation of the ICTKM investment plan and draw lessons learned to be considered for a next phase. The remodeled CGIAR contact database was launched in January 2005. It provides a new mechanism whereby users may nominate individuals to serve on Center Boards, external review panels, and in other capacities. This builds a vehicle for the new CGIAR Board nomination process, which began early this year and will be managed by the CGIAR Secretariat. The organization of major CGIAR meetings such as AGM, ExCo and SC meetings continue to be key services provided by the System Office. Table 4 CGIAR System Office Service Offerings – MS Highlights 2005 Unit CG Sec SC Sec Management Services (MS) Organize & manage the Annual General Meeting (AGM) & ExCo meetings Organizing Science Council meetings, including document preparation CIO IAU G&D CAS-IP CG Sec CG Sec Support implementation of projects under 2004 ICT-KM investment plan and prepare lessons learned Lead CGIAR Internal Audit network Support centers' G&D goal achievement Assist centers with IP policy and implementation (IP tools) Maintain CGIAR, candidate and contact databases (open access though the web) Implement new CG nominee process Table 1d in annex 1 shows a complete list of service offerings for this SO function. 4. System Office Collaborative Highlights The System Office strives to continuously improve the effectiveness of unit services. This can be achieved by taking advantage of service synergies, and an intensified collaboration and service integration across SO units. The SO is actively strengthening cross unit collaboration. The following initiatives illustrate three collaborative highlights of the System Office for 2005. 4.1 Support to Centers in developing risk management systems – IAU with CIO and SAS-HR. System Office units, led by the Internal Auditing Unit, are providing support to Centers in developing and implementing more formal and systematic risk management processes to enhance management and Board oversight. The IAU has developed a framework based on international good practice, which will be refined as Centers gain experience with its implementation. The IAU is facilitating implementation in the Centers through various methods such as presentations, workshops, reviews of Center-prepared risk analyses, advice on risk assessment data collection and management methods, audits focusing on risk management, and the development of risk inventories which Centers can use begin analysis in particular areas of Center operations. These activities are being carried out collaboratively with Center staff and with other System Office units such as CIO, CAS-IP, SAS-HR and G&D which have risk management expertise in their professional areas. SO Unit Heads may also participate in Center risk management committees or task forces to provide inputs on particular areas of risk. 4.2 Support the communication of Science Council work and CGIAR Impact – SC Secretariat and CGIAR Secretariat In 2005, communicating science and the work of the Science Council will be a key collaborative activity. In collaboration with the SC Secretariat, the CG Secretariat will support implementation of the Science Council's communication strategy, produce two Science Briefs - short accessible summaries of SC publications for a broader audience and assist in developing identity signage for the SC Secretariat. Most importantly communications collaboration will maximize opportunities to highlight the strength of science across the System and integrate the Science Council's impact analysis within CGIAR communications and activities. 4.3 First Level Leadership Development Program (FLDP) – SAS-HR with G&D and CGIAR Secretariat in collaboration with Centers With the establishment of SAS-HR at the end of 2003, first level leadership development has been identified as a critical initiative by the SAS-HR participating Centers and the CGIAR Secretariat. The development and implementation of the program is led by SASHR and IWMI, the lead Center in this initiative. Piloting started end of 2004 and it is planned to roll out at least 6 sessions, hosted by various participating Centers, in 2005. The program intends to address critical human resources development needs and build competencies required for the future. The objectives of the program are: (1) to systematically build the leadership and management competencies on a long-term basis; (2) facilitate professional updating and career development; (3) create a common understanding of the values, expectations and processes needed for excellence and team work. Individual course modules will be developed based on priorities and in partnership with other SO units, i.e. G&D, CIO/ICT-KM, IAU, and CAS-IP. The expected result of this initiative is a step wise change towards strengthening the leadership performance of the first and middle level managers in the participating Centers. 5. Resource Summary The System Office overall budget is US$ 8.78 million. The sources of revenue for the SO are varied. The illustration below shows graphically the budget shares for the units and the funding sources overall. The Centers themselves contribute to the System Office units in several ways. One Center allocation process is through an assessment, managed through the CDC, where all Centers provide funding according to a formula based on the Centers’ size/funding. Another is a direct purchase of services, according to the level of service desired – for example in the case of Internal Audit and SAS-HR, only some Centers and the CGIAR Secretariat are direct partners, and pay on a joint venture basis, as a voluntary management action. CAS-IP receives additional funding from the Challenge Programs. Figure 2: System Office Unit Budgets Shares and Financial Sources in 2005 Budget Share and Financial Sources in 2005 Total Budget: US$ 8.78 million CAS-IP 6% SAS-HR 5% Chief Information Officer 4% Internal Audit 7% Gender and Diversity 9% Science Council Secretariat 17% Sources: FHAO 5% World Bank 62% ($ 5.42 m) FAO 9% ($ 0.79 m) CGIAR Members 7% ($ 0.59 m) CGIAR Centers 19% ($ 1.7 m) Challenge Program 1% ($ 0.1 m) CG Secretariat 47% 6. Performance Measurement The individual units participate in the staff appraisal system of their host institution or one established by their governing board (please see summaries of individual work plans for more details – annex 3). For all unit heads a periodic 360 degree feedback evaluation exercise is used as an additional input into their annual appraisal. Some units are also subject to external reviews – e.g. in 2004 the IAU was subject to an external peer review as required under international internal auditing standards. Moreover, units follow a harmonized performance measurement format for the System Office. This comprises an activity-based budgeting and reporting process and the measurement of outputs against annually set targets. 7. Fourth System Office Workshop A fourth SO workshop is intended to be held in 2005. The meeting will comprise: one day meeting of all SO unit heads to share, review and discuss work plans for the upcoming calendar year, including new opportunities for collaborative activities, and half-day meeting of all unit heads with the SO Steering Committee to discuss major decision items and to reach conclusion with the group. The workshop is scheduled for October, 2005. Annex 1 Table 1a Strategic Planning and Development Service Cluster System Priorities Unit(s) SC Sec SC Sec SC Sec SC Sec SC Sec CG Sec CG Sec CG Sec CG Sec/ FHAO CG Sec CG Sec/ SC Sec/CIO/FHAO Service Offering in 2005 Standing Panel on Priorities and Strategies (SPPS) Chair and members Planning System level priorities and strategies Conducting perspective studies on System priorities SC Chair's leadership of the SC Preparation of the annual report on global agricultural research Support ExCo & AGM with substantive meeting documents, & follow-up action Support the CGIAR Chairman's leadership of the CGIAR Monitor & report on trends affecting CGIAR in international development (with special consideration to changes in the ODA environment) Support strategic agenda setting for CGIAR meetings Prepare CGIAR annual financing plan Update and expand CGIAR project portfolio Input in '000 US$ 50 90 40 66 45 326 50 44 44 75 CG Sec: 63 FHAO: 6 Outputs to be achieved in CY 04 Facilitate planning, organizing and conduct of SPPS studies; prepare briefings and documentation for SPPS meetings; draft minutes of SPPS meetings and SPPS reports Planning System level priorities & strategies facilitated, and report disseminated Perspective studies on IP, food safety, Animal and fish genetic resources, and a feasibility study of poverty mapping for priority setting facilitated, and reports disseminated Briefing and follow-up notes and correspondence, SC meetings Preparation of the annual report facilitated Meeting documents available on the web 2 weeks (ExCo) or 4 weeks (AGM) before scheduled meeting; Records available within 8 weeks after meeting Briefing notes; CGIAR meetings and other events Briefings for CGIAR Senior Management on donor policies/trends Meeting agendas Financing plan 2006 Project portfolio database Contribution to establishing an online MTP logframe reporting system within the database Priorities and implementation plan agreed by the CGIAR Sc Sec: 9 CIO: 2.2 SC Sec / CG Sec Support consideration of CGIAR priorities and subsequent implementation 44 113 13 44 44 44 44 Reform Program CG Sec/SC Sec CG Sec CG Sec CG Sec CG Sec Support the Task Forces on Programmatic and Structural/ Organizational Alignment in Sub-Sahara Africa Support the review of Center governance (with CBC) Continous facilitation of CP process Support interested donor group in discussing/developing mechanism for the allocation of unresticted funds within system priorities (Initiative led by Denmark) Conduct total compensation study Report to ExCo SC Sec: Assistance of SC in the Africa Task Force review report Fully supported implementation of pilot and regular CPs, summary reports for ExCo/CGIAR Report to ExCo Full compensation study completed Organizational Health IAU Develop audit standards within the CGIAR system 21 SAS-HR/CGSec/G&D Pilot new management development and leadership training SAS-HR: 15 Complete review of Center Audit Committee and internal audit charters; complete update of IAU manual; disseminate proceedings of 2005 RIAS05 RIAS (INT'L ORG IAs) Meeting; Complete implementation of 2004 IAU QAR RECS; Review IA arrangement in Non-Consortium Centers Pilot course - Six First Level Leadership Course Programs scheduled for 2005, including one Train the Trainer Program to institutionalize capacity. These to be held a IWMIColombo; CIAT- Cali; IPGRI-Rome; CIMMYT-Mexico; South Africa and one to be decided. One Senior Leadership Program scheduled at IWMI-Colombo and a follow-up program at WFish-Penang. CG Sec: 38 Annex 1 Table 1a G&D Staffing: Improve attraction, promotion and retention of diverse staff 138 G&D Systems: Upgrade policies and practices for inclusive workplace 173 (a) update diversity positive recruitment resources; (b) expand spouse/partner employment resources; (c) collaborate with SAS-HR to integrate G&D into new staff development programs; (d) women's leadership course (ICARDA); and (e) pilot advanced women's leadership course (ICRAF and CIMMYT). (a) collaborate with SAS-HR to integrate G&D into HR reforms; (b) produce comprehensive 'inclusive workplace' policy and practice models; © strengthen system of 100 G&D Associates, incl. training workshop at CIFOR; and (d) costshare relevant training for 2 HR staff. (a) mentoring program follow up and expansion to 250 participants; (b) deliver online course for high performance for one global research team; © expand 'everyday methods for working with diversity'; (d) produce 2 diversity case studies; and (e) seek to establish women scientists fellowships. a sound ICT-KM investment plan for 2005 CIO- 4 sets of good practice documents on a range of ICT-KM processes / procedures available to all centers IAU: 6 Good Practice Notes - some jointly developed with other SO units ; 1 ILAC Paper on international Audit and Risk Assessment as basis for institutional Learning and Change CAS-IP: Publish 2 "IP Practice Notes" to raise awareness and practice of IP Management; Improved Intellectual Asset Identification and Product Development and Deployment tools Participation in system-wide venues such as CPs, GRPC, SGRP Preparation of a foresight document on a topic regarding an arising IP Management issue of importance to the Centers Develop the frame work and implement as pilot in CIMMYT Organize a workshop of HR practitioners to develop a Competency Model and Performance Development plans. Buy back time from at least two Human Resources Managers to work on SASHR projects to deal with the expansion. Fifty percent of IWMI's Human Resources Manager, Sharat Kumar's time committed in 2005. Continue the process of developing a system for Performance Management to link Individual objectives right up to the Performance Indicators set at the CG System level. Diagnostic visits to ICRAF and IFPRI . Idenify priorities and integrate into SAS HR initiatives Support CIMMYT to move to one Staff Approach CIAT: Business Process Re Enginnering, HR Team building; One Staff, CIMMYT: Strategic staffing and HR policy development; IPGRI: Change Management, Job Grading and Competency re-design; IWMI:Project and Performance Management; WorldFish: Organizational Transformation initiatives. IFPRI and ICRAF: to be decided Meeting documents available 1 weeks before scheduled meeting; Records available within 4 weeks after meeting Staff & Knowledge Exchange Program launched, documented participation/contribution of private sector to CPs, delivery systems initiative prepared. First CG-PS meeting held G&D Integration: Strengthen G&D collaborations with scientists, programs, CGIAR 83 CIO SO Develop System-wide ICT-KM investment plan for 2005 Identify, define and communicate best practice to Centers (CIO, CAS-IP, IAU, SASHR) 78 9 78 15 CAS-IP CAS-IP SAS-HR Support the development of a coherent system-wide implementation of IP Policy Support strategic IP Management Develop strategic approach to Center staffing 14 10 20 SAS-HR Compentency based approach to HR-function 15 SAS-HR SAS-HR SAS-HR Support Centers in Staff Performance Management Integrating New CG centers into the program Help Centers in introducing a "One staff approach" 35 15 15 SASH-HR Specific support to strategic HR management of Centers 105 Partnerships CG Sec CG Sec/FHAO Back-stop co-sponsor Group, GRPC, PSC Strengthen relationships with private sector 44 CGIAR Sec: 44 Annex 1 Table 1a FHAO: 23 CG Sec SC Sec SC Sec SC Sec FHAO CAS-IP Strengthen CGIAR relationship with CSOs which share the CGIAR mission Standing Panel on Mobilizing Science (SPMS) Chair and members Implementation of the mobilizing science strategy Mobilization of global scientific partnerships Support the CDC and CBC in formation of the Alliance of Future Harvest Centers IP Management Strategy to support of internal and external partnerships Represent CGIAR externally Represent CGIAR within the World Bank Represent the CGIAR Centers as requested 63 50 45 38 134 21 75 56 2 Improved mechanism for CSO linkages Facilitate planning and conduct of SPMS meetings; draft minutes of SPMS meetings and SPMS reports Preparation of mobilizing science task force and strategy facilitated Preparation of a strategy for the mobilization of the global scientific partnership facilitated Finalization of an Alliance Charter; negotiations to obtian a physical location for the new Office In conjunction with IP-Strategy Group and CP's, preparation of a strategy document; follow-up on requests for workshops/materials/reviews List of major dialogue with external stakeholders DGF submission; Dialogue with CODE; ESSD Management and Rural Sector Board meetings; ESSD Week; other List of participation CGIAR representation at external fora CG Sec CG Sec CAS-IP Annex 1 Monitoring and Evaluation Input in '000 US$ Outputs to be achieved in CY 04 40 30 CG Sec/SC Sec Support the development and implementation of a Performance Measurement System for the CGIAR 224 32 Table 1b Service Cluster Improve M&E processes Unit(s) SC Sec/CG Sec Service Offering in 2004 Installation and implementation of new M&E processes SC Sec: Assistance to SC in development of new TOR for EPMR and Guidelines for CCER; Facilitation of transition into new Centre M&E System CG Sec: modified guidelines for EPMR process Pilot PM system implemented, Data collection and analysis system for Center performance data in place SC Sec: Input to SC work to develop performance measurement indicators and reporting guidelines for programmatic indicators Input to SC's work on preparing MTP assessment framework and guidelines, appointment of consultant, preparation and dissemination of final documents Prepare documentation for SPME meetings; facilitate SPME communication and information sharing; Prepare minutes of SPME meetings and sections to SC reports to AGM IFPRI and CIMMYT EPMRs: Assist EPMR Panel during Main Phase, assist SC in commentary preparation, printing and dissemination of report; CIFOR, ICRAF, WorldFish EPMRs: Assist SC in Panel selection, appointment and briefing; support Panel during Initial phase Support the panel, preparation and dissemination of the report for the external review of the ASB SWP Assistance to SC on review of CP workplans, preparation of guidelines for CP MTPs and assessment of the CP process IFPRI and CIMMYT EPMR report; preparation for CIFOR, ICRAF and WorldFish EPMR completed CGIAR financial report Lessons from the program activities communicated throughout the year. learned and SC Sec Planning and organizing evaluation of the CGIAR research agenda 80 Support M&E of Centers/Programs SC Sec Support to Standing Panel on Monitoring and Evaluation (SPME) Chair and Members 50 SC Sec Organizing and implementing SC-commissioned external evaluation of Centres 149 SC Sec SC Sec CG Sec CG Sec CIO CIO Organizing and implementing SC-commissioned external evaluations of SWP Monitoring and evaluation of CPs Facilitate & backstop management component of center external reviews Support / Monitor compliance to CGIAR financial guidelines (with Centers) Evaluate impact of KM pratices applications Organize and implement reviews of ICT-KM investment impact 35 35 224 112 8 9 One review of the investment impact at the end of year Completed assignments as agreed with the CGIAR Secretariat, incl. input into SAS-HR First Level Leadership training course, CGIAR Procurement review, GPG1 Genebank upgrade mid term review participation, advisory support to ICT-KM Program projects Completed annual work programs for each Center participating in the CGIAR internal audit consortium IAU Undertake CGIAR system-wide audit and advisory services 106 IAU Undertake scheduled Center internal audits, advisory services, and progress reviews 306 IAU with CIO, SAS-HR, CG Sec, Support to Centers in developing risk management systems CAS-IP 109 7 10 IAU: Adoption by Centers of Center risk management frameworks in all consortium Centers and first Centerwide risk assessment completed bby Centers with IAU support and inputs from other SO units CIO: Support centers in developing risk management systems SAS-HR:Human Resource Management Good Pratice Note Annex 1 7 SAS-HR/IAU G&D CAS-IP Develop M&E Capacity Develop an e-learning package with IAU Develop M&E framework for G&D's new strategy 2005-2008 Review of current IP Management Practice, based on survey of Centers 10 11 15 7 21 5 CIO G&D CAS-IP SC Sec Support centers to set center-level ICT-KM strategies in line with system-wide strategy Support Centers' annual monitoring of G&D goals Support/Monitor Center IP Management Capacity Organization and implementing SC-commissioned System-level impact assessments 17 10 40 CAS-IP: IP risk-management guidelines e-learning package completed Table 1b Methodology and process for monitoring G&D results in new phase. Survey Report (Commissioned by the GRPC and SC) CIO:Support and advice Centers on the implementation and monitoring the GPGA Rehabilitation Initiative IAU: Completed reviews in selected Centers per Medium Term audit Plan (joint review with CIO and CAS) CAS-IP: Reports and recommendations of GPG projects ( Support centers in setting center-level ICT-KM strategies. Development of tool for annual monitoring of each center's G&D goals Reports of visits to CGIAR Centers for consultations Facilitate selection and hiring of SPIA study consultants/panels; briefings and correspondence with panels and CGIAR centres involved; technical and logistic backstopping; publication of completed reports; oversight to the studies Facilitate planning, organizing and conduct of SPIA studies; prepare briefings and documentation for SPIA meetings; draft minutes of SPIA meetings and SPIA Reports to the SC and AGM Facilitate interactions between SPIA members and case study leaders for the NRM research impact asssessment studies: planning SPIA Workshop for May/June to report cases. Upgrade site content and design; develop short "Briefs" of key system-level and centre impact assessments; update the ex-post IA bibliography and screen new submissions; encourage Centre submissions Document costs and benefits of 10 years of women's leadership courses, for individual women, network of women, and the centers and CGIAR. Assessment accepted by the WB Support and advice to Centers on the implementation and monitoring the GPGA CIO/ IAU/ CAS-IP Rehabilitation Initiative Support Impact Assessment 94 SC Sec Standing Panel on Impact Assessment (SPIA) Chair and Members 50 SC Sec Strengthening capacity of Centres to assess impacts on poverty 19 SC Sec Developing a 'CGIAR Impacts' information web-page in collaboration with CGIAR Centres 23 G&D FHAO Conduct impact study of women's leadership series Develop a draft assessment, for CDC clearance, of the first 2 years of the WB funded SW-EPs 54 2 Annex 1 Table 1c Communication and Resource Mobilization Subgoals To strengthen internal systems and capacity among RM and Communications practitioners across the CGIAR Unit(s) CG Sec Service Offering in 2004 Exchange investor trends and information with Centers including sharing RM&C databases, tools, impact information Exchange best practice, information and experience and provide professional development opportunities for center communications staff, related to traditional donors Support the communication of CGIAR Science Council work and CGIAR Impact Input in '000 US$ Outputs to be achieved in CY 04 Reglar briefings on investor trends, information on contacts, membership and institutional partnerships available 2 professional development workshops supported, 1 workshop on best practice facilitated CG Sec: General Comms Team support for SC. SC signage & identity developed & produced. 2 SC Briefs produced, SPIA website linked to CG website, impact information integrated in all communications Based on an evolution of the existing indenties, create a clear graphic and written identity for the Alliance of Future harvest Centers of the CGIAR and for the FHAO. The identity to clearly show positioning in the CGIAR. Articles in CG news, SO annual report , SO presence at AGM, website coverage 3 Effective Activities/Campaigns conducted in conjunction with the MG; inlcuding Robert McNamara Seminar Tokyo CG representation at 3 international events, including European Forum Switzerland AGM, Exhibition, Science Forum, Farmer's Dialogue, AGM Media Program CGIAR Annual Report 2005 6 corporate brochures updated and translated, 4 editions CG News and eNews produced and distributed on time; 3 partnership booklets produced and distributed in conjunction with campaigns, Hands On video production complete 1 Media and message training course delivered CGIAR member visits; briefings; new members; profiles updated, new members briefing at AGM 05 alternate/new sources of funding AGM 05 AGM, SO meeting, 3 conferences Monthly e-news, AGM annual report, program brochure produced and distributed on time 48 CG Sec 48 SC Sec/ CGIAR Sec 11 FHAO Strengthen collective identity of Centers 36 SO Communicate SO activities by using existing mechanisms Conduct targeted campaigns to promote the CGIAR Centers and Challenge Programs to key decision makers in investor countries and to Cosponsors (in collaboration with the MG) Coordinate & facilitate CG representation and contribution at key international events/conferences (in collaboration with MG) Conduct AGM to maximize stronger relationships and support for the CGIAR Produce CGIAR System Annual Report (with Centers) Produce targeted, relevant materials that meet investor perceived needs – including brochures, booklets and video Media relations - produce positive opportunistic media coverage in investor and host countries Member support and development Explore and take advantage of new opportunities and mechanisms for RM Represent G&D in CG events and other conferences Represent ICT-KM program in CG events and other conferences Produce promotional materials including annual report, brochures, enews 5 To strengthen support from and relationships with current member countries and cosponsors CG Sec CG Sec CG Sec CG Sec 202 74 212 64 CG Sec 202 CG Sec CG Sec CG Sec G&D CIO CIO 53 53 16 41 35 16 Annex 1 Table 1c 2 News articles published; Revise CAS Website, Reinstate publication of CAS Newsletter two articles written in CGIAR news or similar venue 1 effective joint CSO event held, CSO dialogue expanded CAS-IP FHAO To strengthen alliances with civil society organizations and NARS which share the CGIAR’s mission CG Sec Provide informational articles on CGIAR-IP issues Write articles for CGIAR news and other publications on CDC activities/outputs Further develop opportunities to strengthen relations with CSOs 35 6 74 To explore opportunities with nontraditional investors (= outside CG membership) FHAO, CG Sec Improve communication of CGIAR Centers and CGIAR news via relevant websites and, where appropriate, the press ( in collaboration with MG) 30 work with the Centers and Secretariat, including via the MG, to upgrade and update the information on the CG website and on other collective websites as appropriate to ensure that the total work of the CG is available worldwide Annex 1 Management Services Service Clusters Events and Meetings Table 1d Unit(s) CG Sec CG Sec FHAO FHAO SC Sec CAS-IP CAS-IP Service Offering in 2005 Organize & manage the Annual General Meeting (AGM) & ExCo meetings Organize System Office events and meetings Events planning for CDC and for joint CDC and CBC events Coordination of inter-center presentations Organizing Science Council meetings, including document preparation Organizing Annual CGIAR IP-Strategy Group Meeting Organizing Annual CAS-IP Expert Advisory Committee Meeting Input in '000 US$ 319 26 36 2 160 15 25 Output to be achieved in CY 04 AGM 2005, ExCo meetings Fourth SO workshop, quarterly teleconferences; AGM presence/display Two annual meetings, meeting documents, minutes AGM05 Logistical organisation of SC meetings in May and September, design of meeting agenda, EOM report 5th CGIAR-IP-Strategy meeting held 7th CAS-IP, EAC Meeting held Develop/ maintain management CG Sec related data and knowledge Develop CGIAR website & maintain core collection Monitor and advise centers on CGIAR annual funding/databases Maintain CGIAR, candidate and contact databases (open access though the web) Maintain CDC’s institutional memory and continuity Developing and maintaining SC databases and roster of peer reviewers Developing and maintaining SC website and document collection Maintain G&D Website and publish working paper series People Power 89 51 89 4 40 55 89 website and core document collection is updated and accessible CGIAR Financing Plan, Medium Term Plan Contact database operational CDC Archives established, Collaboration site expanded Support to SC in establishing expert vetting procedures; management of database Further development of SC web site website, papers The development of Phase 2 for 18 months published at AGM. The modules to be developed and implemented CG Sec CG Sec FHAO SC Sec SC Sec G&D SAS-HR 25 Organizational Development and Capacity Building (Staff) CG Sec CIO CIO CIO IAU G&D CAS-IP CAS-IP CAS-IP SASHR Support CBC and organize new Trustee training/orientation activities Strengthening of Communities of Practice ICT-KM Advisory Group activities Support strengthening of Internal Staff Capacities Lead CGIAR Internal Audit network Gender analysis of CGIAR's retention and mobility trends Institutionalize In-Center IP Management Lead CGIAR Center IP Management Community of Practice Assist in developing in-Center IP Management Units Develop individual modules & trainers as part of FLDP 51 29 35 17 16 56 22 20 12 130 Board of Trustees Orientation program conducted, CBC meeting documents Communities of Practice strengthened. Two workshops and advice provided on request ICT-KM Advisory Group strengthened. One workshop and ongoing consultations Internal staff capacities strengthened Maintain an active CGIARIANET discussion group; maintain and update the IA web pages in the CGIAR website; implement an IAU risk assessment and audit management database; Document gender differences in career development, and the reasons Provide information, reports, consultations, workshops/modules, as requested; provide information exchange venue Organize the 5th IP-Strategy Meeting; publish CAS-IP Newsletter; Establish an on-line "collaboration" area for IP Strategy group and strategic partners/collaborators Report detailing the experience of existing IP Management Units Modules on G&D : Coaching and Mentoring, Negotiation Skills; ICT-KM ILAC – Knowledge Management, Managing Change, Innovation and Creativity, Group facilitation skills; Project management Skills; Setting SMART Financial management guideline; Procurement guidelines new Board guidelines Respond to Center requests; Write reports as needed; Carry out CPcommissioned research Management policy, guidelines CG Sec and manuals Update CGIAR Financial Manuals Update of guidelines for Center Boards (with CBC) Assist centers with IP policy and implementation (IP tools) 77 64 100 CG Sec CAS-IP Annex 1 Implementation and Operational support Table 1d CG Sec CG Sec CG Sec CG Sec CG Sec CIO CIO CIO FHAO FHAO SC Sec SC Sec SC Sec SC Sec G&D CAS-IP CAS-IP CAS-IP CAS-IP CAS-IP CAS-IP Assist CGIAR Members with financial disbursements Collaborate with SO units as sponsor/client Explore, with centers, opportunities for coordinated purchasing Coordinate System Office functioning Implement new CG nominee process Support implementation of projects under 2004 ICT-KM investment plan and prepare lessons learned Negotiate ICT contracts Liaison with external partners Assist CDC develop/administer budget incl. center shares for central services Facilitate CDC management Assist the SC Chair in coordinating SC Activities Preparing documentation for CGIAR meetings Facilitating liaison and communication between SC and Centres Liaising with FAO on administrative and technical aspects of SC Support centers' G&D goal achievement Develop and carry out a CGIAR-Centers IP Management Survey Intern program Development of tools for identification of Center products and deployment Support multi-Center collaboration regarding background and foreground intellectual assets Support external partnerships with CGIAR Centers regarding intellectual assets and IP Provide referral directory of IP professionals Support centers and CP's on legal and governance issues 319 51 38 38 38 32 25 4 22 94 66 70 20 30 113 20 4 15 adequate Center cash flow; efficient and timely disbursement within agreed accountability framework agreed work and financial plans; effective dialogue with SO units and sponsors document identifying scope and process for coordinated purchase SO annual report 2004, IOP 2005; backstop Steering Committee new process operational 1st year of implementation of the 2004 Investment plan shows good progress. Some documents on lessons learned are included but the rest are separated. Services currently under CGNET contract re-tendered Proper communication with stakeholders and external partners Draft buget Information exchange among CDC members Input to SC Chair's planning of SC meetings in May and in September Preparation, printing and distribution of SC meeting documents for CGIAR meeting Assist SC in developing links with Centres Administrative operations completed; FAO expertise input to SC secrertariat work received Delivery of G&D services to support specific center goals Preparation of a Report that includes suggested strategy for improved IP Management in Centers Identification and assistance with internships at 2 Centers Improved, revised tools Interact with CP Management Prepare tools for identfication of background intellectual assets Revise and maintain directory CAS-IP: Advice on legal and governance issues; up-to-date database/network of IP professionals CG Sec: Advice on legal and governance issues; An analysis of additional common standards and services to create greater efficiency and effectiveness in the delivery of the Centers' work 10 15 2 20 25 Governance and Management/Legal advice CG Sec/ CAS-IP FHAO CAS-IP CAS-IP SASHR SASHR Assist CDC analysis and action on common standards and shared services 40 Assist the FHAO with FHA-IP Management Issues Review: IP provisions in agreements, IPR filings Develop an e-learning package on Intellectual Property Rights with CSIP Support G&D in the development of on-line spouse employment module 10 48 15 10 Review of IP Management strategy to support FHA Review of documents as requested by Centers e-learning package is completed Module is completed Annex 2: 2005 Financing - CGIAR System Office Units (in USD $'000) CGIAR Sec SC Sec G&D Program Internal Audit Income Source World Bank Co-sponsors (FAO) CG members 2/ Challenge Programs CGIAR Centers 1/ CIAT CIFOR CIMMYT CIP ICARDA WorldFish World Agrofor. C. ICRISAT IFPRI IITA ILRI IPGRI IRRI IWMI WARDA System-wide programs Total Centers/CDC Carryover /3 TOTAL Share SAS-HR CIO CAS-IP FHAO TOTAL SHARE 4,180 710 784 100 440 120 150 165 150 129 5,425 784 590 129 65 35 65 35 35 100 65 0 65 0 35 65 70 65 35 62% 9% 7% 1% 0.7% 0.4% 0.7% 0.4% 0.4% 1.1% 0.7% 0.0% 0.7% 0.0% 0.4% 0.7% 0.8% 0.7% 0.4% 35 35 35 35 35 70 35 35 35 35 70 35 35 12 30 30 30 30 30 30 30 4,180 48% 1,494 17% 100 126 766 9% 537 657 7% 210 60 420 5% 165 330 4% 221 500 6% 434 434 5% 1,667 186 8,781 100% 19% 100% Notes: 1/ IAU and SAS-HR receive direct funds from individual Centers participating in the program G&D, CIO, CAS-IP and FHAO receive funds from the CDC budget which is based on a general Center contributions to CDC to conduct their programs 2/ Expected Member support to Gender and Diversity in 2005 is from Netherlands ($134,000), Norway ($220,000), Switzerland ($80,000) and Rockefeller Foundation ($6,000). Additionally to funding from Centers, CAS-IP expects funding through the Challenge Programs and directly from members. 3/ SAS-HR plans for an additional $ 60,000. The source of the funds is still under discussion Annex 2b CGIAR Sec Budget plan by line-item for 2005 ('000 US$) SC Sec G&D IAU SAS-HR CIO CAS-IP FHAO TOTAL 5572 Personnel Consultants External Consultants Center staff (used in a consultancy model) 2,690 1,254 373 414 230 152 257 203 150 50 100 55 18 80 80 60 10 159 734 Publications Travel Other Professional Development Workshops, Special Projects, Capital Cost sharing activities with Centers and SAS-HR 1 G&D representation in CG events and other conferences 20 640 80 40 75 150 1 127 22 22 15 60 20 3 30 55 55 35 34 38 38 17 1084 302 140 10 General operating cost (e.g. rent, utilities, supplies, communications) 700 90 28 20 15 10 66 17 946 Grand Total 4,180 1,494 766 658 420 330 500 434 8781 1 Cost share G&D activities with Centers and SAS-HR (80,000 US$), and cost share G&D-related training opportunities for center staff (60,000 US$) Annex 3 Summaries of System Office Unit Work Plans CGIAR Central Advisory Service on Intellectual Property (CAS-IP) Summary Work Plan 20051 1. Introduction The CGIAR Central Advisory Service on Intellectual Property (CAS-IP) was established in 2000, with funding from the CGIAR Center Directors Committee (CDC). Over the last five years, the CGIAR system has developed an increased awareness regarding intellectual property (IP) and Intellectual Property Rights (IPR) through many routes, including the work of CAS. This increased capacity to deal with IP/IPR has been translated into outputs including: Center-generated IP Policy Statements, Center “IP-Audits”, Center-originated partnership and consortium agreements that contain a higher level of sophistication and implementation detail, more confidence in negotiating with both funders/donors and suppliers of proprietary inputs, and greater participation in influencing international deliberations involving access and product delivery. Through the assistance provided since its inception, CAS-IP has become known as a trusted internal partner for the Future Harvest Centers of the CGIAR, and their partners. The Centers know CAS-IP strives to support them in their mission, “to contribute, through research, to promoting sustainable agriculture for food security in the developing countries,” by assisting the Future Harvest Centers with good management of intellectual property (IP) and technology transfer planning, to encourage more efficient and effective product delivery. Good IP management practice that leads to effective product development and delivery is the result of a coordinated effort, in which: 1) the risks associated with IP management and management decisions are identified and managed; 2) institutional products/deliverables are identified and reported; 3) constraints or impediments to distribution of institutional products and knowledge to target users, are identified and strategies for overcoming these obstacles are formulated; 4) this data is then used as the basis for developing a technology transfer/product delivery plan for each project to maximize distribution of Center knowledge and products. Sustaining such good IP Management practices requires both continuing to build on existing work that is being carried out by the Centers and increasing the resources invested by the System with an eye to product development and delivery. 2. Objectives for 2005 The 2005 Objectives for CAS-IP are: ● To enhance effective IP Management practice in the Future Harvest Centers of the CGIAR, for support of product development and delivery. ● To enhance communications regarding IP Management Practice throughout the CGIAR System. ● To assist the CGIAR in the formulation of IP Strategy (both at the Center level and at the macro CP level) that supports technology transfer both in and out of the System. 1 Adapted from the CAS-IP 2005 Work plan formally presented to participants of: 1) the IP-Strategy Meetings/ June 2004, 2) the CAS-IP Expert Advisory Committee Meeting/Sept. 2004, and 3) the CDDC meeting/Oct 2004. ● To further the development of internal and external partnerships through support of strategic and effective IP Management. 3. Activities and Planned Outputs in 2005 ¾ Identifying needs regarding the improvement of IP management practices at the Future Harvest Centers and in the Challenge Programs (CPs) o Output: Survey and report of current IP practice in the Centers and CPs, including implementation of transitional protocols consistent with germplasm exchange under the multilateral system of the International Treaty on Plant Genetic Resources for Food and Agriculture o Output: Risks guidelines for IP management, identified by the “Risk Management” exercise being carried out by each Future Harvest Center ¾ Supporting Center and CP, IP Management capacity o Output: Visits and reports to Future Harvest Centers and CPs for consultations regarding IP and product development and delivery o Output: Assisting Centers with additional in-Center capacity via training and support of internships ¾ Building Internal Staff capacities and increasing linkages of the IP Managers/Focal Points through exchange of experiences o Output: Establishment of an on-line “collaboration” area for IPStrategy Group and strategic partners/collaborators o Output: Information on IP/TT Management practice via a CAS newsletter o Output: Organizing the annual IP-Strategy Workshop o Output: A report, prepared in conjunction with the IP-Strategy group, on a topic regarding IP Management that is of importance to the Centers ¾ Supporting the coherent system-wide implementation of IP Policy by acting as a resource for other System-wide bodies such as GRPC, the SO, SGRP, CSI, the Future Harvest Alliance Office (FHAO), and SC o Output: Attend/observe at meetings such as the Genetic Resources Policy Committee (GRPC), Challenges Programs (CPs), and/or other groups such as the System-Wide Genetic Resources Programme (SGRP), the Science Council, the Consortium for Spatial Information (CSI), etc. o Outputs: Preparation of foresight documents for these groups; reviews of documents for these groups o Output: Support to and collaboration with the CGIAR SO o Output: Support to and collaboration with, the FHAO o Output: Preparation of at least one “IP Practice Notes” to raise awareness and practice level of IP management, especially in risk management/ analysis scenarios, in conjunction with other SO units ¾ Supporting Center and CP’s on legal/IP issues important for the production and distribution of GPGs o Output: Reviews and revisions of IP provisions in agreements, with input from Center and CP staff o Output: Report on the importance of the Cartegena Protocol for Future Harvest Centers and CPs ¾ ¾ ¾ ¾ ¾ o Output: Provide assistance in IPR filings, etc., -- as requested by Centers and CP-member institutions o Output: Referral directory of IP professionals for provision of services to the Centers and CPs Representing a CGIAR-view in international IP fora o Output: Reports on participation in 2 international fora Supporting of multi-Center collaboration regarding background and foreground intellectual assets o Output: Report on the implications/responsibilities associated with joint ownership Supporting Center and CP efforts in building IP Management capacity in partner organizations o Output: Participate in, or sponsor, an IP Management Workshop for national IP practitioners Participating in the development of a strategy for building system-wide databases, accessible through the web and database sharing o Output: Research on data sharing protocols and facilitating agreements, especially in the CPs o Output: Report on data sharing implementation Providing informational articles for Public Awareness/Resource Mobilization/Marketing efforts regarding CGIAR-IP issues o Output: Report on an appropriate topic 4. Organization and Governance CAS-IP is managed by Victoria Henson-Apollonio, Senior Scientist; support staff consists of a half-time Project Assistant (PA). CAS-IP reports to the Chair of the CDCIP Subcommittee and, since February 2004, has been hosted by IPGRI, on behalf of the CDC. The work plan and budgets are prepared with input from the CAS-IP Expert Advisory Committee (EAC)2, the IP-Strategy Group3, and the Center Deputy Director Committee liaison4. Within IPGRI, CAS-IP is placed in the Legal and Policy Research Support Unit5. 5. Estimated Finance in 2005 For the year 2005, it is estimated that the total CAS-IP budget will be ~$500,000. The majority of core funding for CAS is provided by the CDC and will be $221,300, as approved by the CDC in October 2004. Additional core funding for 2005 is to be provided by the government of the Netherlands in the amount of $150,000. Revenues that are expected to by brought into CAS, for service work to the Challenge Programs, 2 The membership of the2004 EAC included: Chair –Janice Mueller (University of Pittsburgh), June Blalock (USDA), Jonathan Crouch (ICRISAT), Jan Engels (IPGRI), Emile Frison (IPGRI), Masa Iwanaga (CIMMYT), Rolf Jördens (UPOV), John Kedera (KEPHIS), Silvia Salazar (University of Costa Rica), and Devinder Sharma (the Forum for Biotechnology and Food Security, India). 3 The IP-Strategy Group consists of the Future Harvest Center IP Managers and IP focal points. 4 The CDDC has provided inputs through Justin Kouka (WARDA), 2004 and Stanford Blade (IITA), 2005. 5 In 2004, CAS-IP was a part of the Genetic Resources, Science and Technology Program (GRST). the Genetic Resources Policy Committee, the Science Council and others, is estimated to be $129,000. 6. Performance Assessment ƒ ƒ ƒ Performance Assessment of CAS-IP is carried out by reporting of activities and outputs to the CDC, the CDDC, the EAC, and the IP-Strategy Group. Dr. Henson-Apollonio and the CAS-IP PA participate in the staff appraisal system in place at IPGRI. IPGRI’s Finance office provides oversight and reporting on the CAS-IP budget and expenditures. CGIAR Secretariat – Summary Work Plan 2005 1. Introduction The CGIAR Secretariat, a unit of the CGIAR System Office, is the principal central service unit of the CGIAR System. It is focal point for relations with external partners, from legislative decision makers and scientific communities in the public and private sectors, to civil society institutions and the general public. The Secretariat supports the two main organs of the CGIAR, the Group and its Executive Council (ExCo), and bears the primary responsibility for ensuring that CGIAR decisions are carried out. It serves as a financial clearinghouse for the CGIAR to ensure that the System's research agenda is fully funded. 2. Objectives The business objective of the CGIAR Secretariat is to facilitate the efforts of the CGIAR System to fulfill the CGIAR mission, in keeping with the needs and aspirations of partners and beneficiaries. The Secretariat’s 2005 business plan is designed to meet the following major goals: • • • • • • • to support and facilitate the ongoing Reform Programs, and ensure that the program’s desired outcomes are achieved; supporting the agents of change; to support the Chairman CGIAR and ExCo, to assist CGIAR members with financial disbursement and accountability; to launch or facilitate initiatives that are consistent with the objectives of change, including the Task Forces on Sub-Sahara Africa; to mobilize resources for the CGIAR System’s research agenda; to promote greater public knowledge about the effectiveness of international agricultural research; to strengthen and nurture the System’s partnerships, including civil society organizations. 3. Activities and planned outputs for 2005 The service offerings of the CGIAR Secretariat are integrated into the four thrusts of the System Office: (1) Strategic Planning and Development (2) Monitoring and Evaluation (3) Communication and Resource Mobilization (4) Management Services. 3.1 Strategic Planning and Development Service offering System Priorities Support ExCo & AGM with substantive meeting documents, & follow-up action Support the CGIAR Chairman's leadership of the CGIAR Monitor & report on trends affecting CGIAR in international development (with special consideration to changes in the ODA environment) Support strategic agenda setting for CGIAR meetings (in collab with FHAO) Prepare CGIAR annual financing plan Update and expand CGIAR project portfolio (in collab. with SC Sec, CIO, FHAO) Support consideration of CGIAR priorities and subsequent implementation (in collab. with SC Sec) Meeting documents available on the web 2 weeks (ExCo) or 4 weeks (AGM) before scheduled meeting; Records available within 8 weeks after meeting Briefing notes; CGIAR meetings and other events Briefings for CGIAR Senior Management on donor policies/trends Meeting agendas Financing plan 2006 Project portfolio database Priorities and implementation plan agreed by the CGIAR >25 <5 <5 <5 5-10 5-10 <5 326 44 44 44 75 63 44 Output for CY 2005 Input category6 (%) Approx. Input in '000 US$ Reform Program Support the Task Forces on Programmatic and Structural/ Organizational Alignment in Sub-Sahara Africa Support the review of Center governance (with CBC) Continuous facilitation of CP process Support interested donor group in discussing/ developing mechanism for the allocation of unrestricted funds within system priorities (Initiative led by Denmark) Conduct total compensation study Report to ExCo 5-10 <5 <5 <5 <5 <5 113 44 44 44 44 44 review report Fully supported implementation of pilot and regular CPs, summary reports for ExCo/CGIAR Report to ExCo Full compensation study completed Needs assessment study, pilot course Organisational Health Design and pilot new management development and 6 The Input is estimated based on the following categories: major input (>25%); significant input (14-20%); medium input (5-10%) and minor input (<5%) leadership training (in collab. with SAS-HR and G&D) Partnerships Back-stop co-sponsor Group, GRPC, PSC Strengthen relationships with private sector (in collab with FHAO) Strengthen CGIAR relationship with CSOs which share the CGIAR mission Meeting documents available 1 weeks before scheduled meeting; Records available within 4 weeks after meeting Staff & Knowledge Exchange Program launched, documented participation/contribution of private sector to CPs Improved mechanism for CSO linkages <5 <5 5-10 44 44 63 CGIAR representation at external fora Represent CGIAR externally Represent CGIAR within the World Bank List of major dialogue with external stakeholders DGF submission; Dialogue with CODE; ESSD Management and Rural Sector Board meetings; ESSD Week; other 5-10 5-10 75 56 3.2 Monitoring and Evaluation Service offering Improve M&E processes Installation and implementation of new M&E processes (in collab. with SC Sec) Support the development and implementation of a Performance Measurement System for the CGIAR (in collab. with SC Sec) modified guidelines for EPMR process Pilot PM system implemented, Data collection and analysis system for Center performance data in place IFPRI and CIMMYT EPMR report; preparation for CIFOR, ICRAF and WorldFish EPMR completed CGIAR financial report 5-10 >25 30 224 Output for CY 2005 Input category (%) Approx. Input in '000 US$ Support M&E of Centers/Programs Facilitate & backstop management component of center external reviews Support / Monitor compliance to CGIAR financial guidelines (with Centers) >25 14-20 224 112 3.3 Communication and Resource Mobilization Subgoal 1 : To strengthen internal systems and capacity among RM and Communications practitioners across the CGIAR Service offering Exchange investor trends and information with Centers including sharing RM&C databases, tools, impact information Exchange best practice, information and experience and provide professional development opportunities for center communications staff, related to traditional donors Support the communication of CGIAR Science Council work and CGIAR Impact (in collab. with SC Sec) Communicate SO activities by using existing mechanisms (in collab. with other SO units) Output for CY 2004 Regular briefings on investor trends, information on contacts, membership and institutional partnerships available 2 professional development workshops supported, 1 workshop on best practice facilitated General Comms Team support for SC. SC signage & identity developed & produced. 2 SC Briefs produced, SPIA website linked to CG website, impact information integrated in all communications Input category (%) <5 Approx. Input in '000 US$ 48 <5 48 <5 <5 11 5 Articles in CG news, SO annual report, SO presence at AGM, website coverage Subgoal 1 : To strengthen support from and relationships with current member countries and cosponsors Service offering Conduct targeted campaigns to promote the CGIAR Centers and Challenge Programs to key decision makers in investor countries and to Cosponsors (in collaboration with the MG) Coordinate & facilitate CG representation and contribution at key international events/conferences Output for FY 2005 3 Effective Activities/Campaigns conducted in conjunction with the MG; including Robert McNamara Seminar Tokyo CG representation at 3 international events, including European Forum Switzerland Input category (%) 14-20 5-10 Approx. Input in '000 US$ 202 74 (in collaboration with MG) Conduct AGM to maximize stronger relationships and support for the CGIAR Produce CGIAR System Annual Report (with Centers) Produce targeted, relevant materials that meet investor perceived needs – including brochures, booklets and video Media relations - produce positive opportunistic media coverage in investor and host countries Member support and development Explore and take advantage of new opportunities and mechanisms for RM AGM, Exhibition, Science Forum, Farmer's Dialogue, AGM Media Program CGIAR Annual Report 2005 6 corporate brochures updated and translated, 4 editions CG News and eNews produced and distributed on time; 3 partnership booklets produced and distributed in conjunction with campaigns, Hands On video production complete 1 Media and message training course delivered CGIAR member visits; briefings; new members; profiles updated, new members briefing at AGM 05 alternate/new sources of funding 14-20 5-10 212 64 14-20 202 5-10 5-10 <5 53 53 16 Subgoal 2 : To strengthen alliances with civil society organizations and NARS which share the CGIAR’s mission Service offering Further develop opportunities to strengthen relations with CSOs Output for FY 2004 1 effective joint CSO event held, CSO dialogue expanded Input category (%) 5-10 Approx. Input in '000 US$ 74 3.4 Management Services Service offering Events and Meetings Organize & manage the Annual General Meeting AGM 2005, ExCo meetings >25 319 Output for FY 2004 Input category (%) Approx. Input in '000 US$ (AGM) & ExCo meetings Organize System Office events and meetings Fourth SO workshop, quarterly teleconferences; AGM presence/display <5 26 Develop/ maintain management related data and knowledge Develop CGIAR website & maintain core collection Monitor and advise centers on CGIAR annual funding/databases Maintain CGIAR, candidate and contact databases (open access though the web) website and core document collection is updated and accessible CGIAR Financing Plan, Medium Term Plan Contact database operational 5-10 <5 5-10 89 51 89 Organizational Development and Capacity Building (Staff) Support CBC and organize new Trustee training/orientation activities Board of Trustees Orientation program conducted, CBC meeting documents Financial management guideline; Procurement guidelines new Board guidelines adequate Center cash flow; efficient and timely disbursement within agreed accountability framework agreed work and financial plans; effective dialogue with SO units and sponsors document identifying scope and process for coordinated purchase SO annual report 2004, IOP 2005; backstop Steering Committee new process operational Advice on legal and governance issues; up-to-date database/network of IP professionals <5 5-10 5-10 >25 <5 <5 <5 <5 51 77 64 319 51 38 38 38 Management policy, guidelines and manuals Update CGIAR Financial Manuals Update of guidelines for Center Boards (with CBC) Implementation and Operational support Assist CGIAR Members with financial disbursements Collaborate with SO units as sponsor/client Explore, with centers, opportunities for coordinated purchasing Coordinate System Office functioning Implement new CG nominee process Governance and Management/Legal advice Support centers and CP's on legal and governance issues <5 26 4. Organization and Governance The CGIAR Director heads the Secretariat which functions administratively as a department of the World Bank’s Vice Presidency for Environmentally and Socially Sustainable Development (ESSD). The Secretariat supports the CGIAR Chairman, a Vice President of the World Bank (currently, the ESSD Vice President) in his role as the System’s leader and its chief spokesperson. It counts all components of the System among its client groups. The Secretariat is organized in three teams: Finance, Governance and Partnerships, Information and Communication, plus the Director’s office. The current staffing is 22 (includes both, support and professional staff/consultants). 5. Finance The overall funding of the CGIAR Secretariat in 2004 is estimated to be 4.18 million US$ and is provided by the World Bank. The following table 1 shows a detailed budget allocation by line item and diagram 1 by System Office function. Table 1: Budget allocation by line item Budget (in $’000) CGIAR Secretariat Total Budget - CG Sec operations - Personnel - Travel - Administrative Cost 4,180 2,840 640 700 % 100 68.0 15.3 16.7 Diagram 1: Budget allocation by System Office Function CGIAR Secretariat - Planned budget allocation by System Office Function in 2005 1400 1200 1000 '000 US$ 800 600 400 200 0 1253 1,061 1276 590 Strategic Planning and Development Monitoring and Communication Management Evaluation and Resource Services Mobilization 6. Performance Assessment Staff at the CGIAR Secretariat participates in the World Banks annual Overall Performance Evaluation (OPE), which is an institutional framework for performance discussions and evaluation. It is made up of a (1) Results Assessment (2) Behavioral Assessment (360 degree feedback) (3) Development Actions Assessment for developmental actions that the staff member agreed to pursue. Chief Information Officer – Summary Work Plan 2005 1. Introduction The ICT-KM Program of the CGIAR aims at a CGIAR system without boundaries, an internationally distributed, unified and open knowledge “organisation”. CGIAR centers staff, regardless of their location, will collaborate in science, using high capacity computing and communication. The global public goods the CGIAR manages will be safeguarded, developed and made accessible for use by all stakeholders. The ICT-KM Program will assist the Future Harvest centers of the CGIAR to: • Transform the way they work, incorporating new ICT and KM practices to preserve, produce, and improve access to the agricultural global public goods needed by the poor in developing countries; • Be a leading knowledge broker, bringing together all actors in an open, inclusive community for global public goods research for development. 2. Objectives The CIO Office is responsible for providing vision, strategic planning, and coordination of information technology (IT), Information Management (IM) and Knowledge Management (KM) activities within the Future Harvest Centers of the CGIAR System. The Program’s main components include: 1) developing and implementing a portfolio of projects to address the goals of Program; 2) nurturing champions and Communities of Practice; gaining economies of scale; 3) all for helping the Future Harvest Centers of the CGIAR work more effectively and efficiently as a true organic, unified “system” rather than 15 separate entities. 3. Activities and Planned Outputs for 2005 The Office of the CIO, through the ICT-KM Program, has the following objectives for the upcoming fiscal year: 3.1 Strategic Planning and Development 2005 Investment Plan Development • Carry out broad consultative process on needs and options - January 2005 • Building on GPG1 and some of the early work from the 2004 Investment Plan projects, finalize and launch the ICT-KM investment plan for 2005 - March 2005. 3.2 Monitoring and Evaluation Learning Focus • Ensure lessons from the program activities are learned and communicated throughout the year. • • Ensure smooth implementation of ICT-KM Program/Projects Monitoring and Evaluation Plan. Share results of M&E approach with other System Office Units Most of the costs for the above activities are covered by 2004 budget allocation for Monitoring and Evaluation. 2004 Investment Plan: Projects Implementation • Ensure careful monitoring of second year implementation; 3.3 Public Awareness and Resource Mobilization • • • Aggressively coordinate, communicate and promote activities related to its projects and objectives; Participate actively in various fora, including relevant international conferences, AGM 2005, etc.; Seek opportunities for new resource mobilization activities in concert with Marketing Group. 3.4 Management Services 2004 Investment Plan: Projects Implementation • Ensure that 2nd year of implementation of the 2004 Investment plan continues to show good progress; • Participate in project meetings; • Encourage cross-project linkages and meeting participation; • Ensure expeditious implementation of 2005 Investment Plan activities. Good Practice Notes • Together with the appropriate System Office unit develop and disseminate 2 Good Practice Notes relevant to ICT and KM practices Nurturing Champions and Communities of Practice • Nurture center-based talents and communities of practice to achieve potential system-wide benefits; • Point out linkages and opportunities; • Identify individuals for additional responsibility and training opportunities; • Support CoPs – linkages, provision of tools and advice, facilitation training, etc.; • Organize Web-based seminars on a regular basis to expose staff to leading edge technologies and approaches of interest to the unified CGIAR system. Maximizing Efficiencies • Building on the successes of 2003 and 2004, look for and pursue additional costsaving opportunities in the area of ICTs and Libraries; • Investigate and pursue opportunities for joint, inter-center services in the area of ICT and I/KM; • Facilitate the purchase of system-wide software and/or subscriptions; • • Manage the tendering process for renewal of the services now under the contract with CGNET; Carry out a study to streamline and rationalize the support to Future Harvest Centers in the area of ICT. 4. System-Office inter-unit cooperation Cooperation with sister System Office units will be pursued. Planning is being finalized as per results of the Third System Office meeting. 5. Organization and Governance The CIO functionally reports jointly to the chair of the CGIAR ICT-KM subcommittee of the Center Directors Committee and the Director of the CGIAR, and is hosted by WorldFish Center, Malaysia. The Director General of the WorldFish center provides administrative supervision of the CIO. The ICT-KM program is supported by a cross-functional Advisory Group. The ICT-KM Advisory Group is currently composed of 16 members representing 12 communities of practice (CoP) and management groups within the CG. The staffing of the ICT-KM program includes an internationally recruited Chief Information Officer and a nationally-recruited Program Associate. In order to build in-house capacity and ensure ownership, the projects under the ICT-KM Investment plan are managed by CGIAR staff. Consultants and temporary staff are hired for ad-hoc activities. 6. Finance The cost of the unit for 2005 is expected to be USD $330,600. Financing will be provided equally by the Centers and the CGIAR Secretariat. 7. Performance Assessment • • • Annual performance evaluations are prepared jointly by the Director of the CGIAR and the Chair of the ICT-KM sub-committee of the Center Directors Committee. Annual program expenditures are controlled by the Finance Department of the WorldFish Center. The CGIAR 360 degree Feedback system is used every 2-3 years to understand clients and supervisors perception. Future Harvest Alliance Office – Summery Work Plan 2005 1. Introduction The Center Directors Committee (CDC) co-manages the SO, along with the Director of the CGIAR Secretariat, and the Chair of the Science Council. The SO operates in a distributed and ‘virtual’ mode, with units located around the world as appropriate, and several are based at the Centers. The Future Harvest Alliance Office (FHAO) was formed in May, 2004, to support the CDC and the collective action framework among the Future Harvest Centers by incorporating the existing CDC Executive Secretary (part-time) position and adding (for 2004/05) a part-time Executive Officer. The enhancements were designed to help the collective work of the Centers, their representation in critical CGIAR forums such as the Executive Council and the System Office, and their work with other partners within the CGIAR System. During the course of 2004 and culminating at AGM04, historic action was taken on the part of the CDC and CBC, in their collective action through their agreement to establish an Alliance of the 15 Future Harvest Centers. The CBC and CDC produced a joint statement for their Framework for Collective Action, which laid out both immediate and longer-term goals. The Alliance will work to build on: • • • • Existing collaboration in programs, administration and policies; An analysis of deficiencies for collective action in the past, via a new focus on agreed upon guiding principles; Existing entities and mechanisms, such as the CDC, CBC and the Medium Term planning process and others; and The determination of the Centers to improve and streamline programming efforts in Sub Saharan Africa, in collaboration with the Task Forces, as a first priority, and then extend into other regions. In 2005 the CDC will begin to serve as the Executive of the Alliance, the CBC will act as the Alliance Board, and before meeting again in May, 2005, the Executive Committees of both CDC and CBC will discuss progress and review priorities regarding the implementation of the Collective Action Framework. The support for the Alliance Executive will be further developed in the coming year, and will build upon the work currently underway through the Future Harvest Alliance Office. A joint working group of CBC and CDC members will draft a charter for the Alliance, for discussion during their meetings in May, 2005, at WorldFish. 2. Objectives As leader and manager of FHAO, the EO is responsible for: • • • • • • Providing policy and administrative support to collaboration among Centers, in order to streamline and strengthen the Centers’ contributions to the reformed CGIAR System. Providing high level support to the CDC and as requested to the Committee of Board Chairs (CBC). Enhancing the contribution of the CDC and the Centers to the CGIAR Executive Council and the System, and strengthening the strategic agenda of the CDC and CBC. Advise the CDC and CBC on further operational and strategic improvements in its operations. Alert these bodies to trends and upcoming opportunities and issues of relevance to the success, efficiency and effectiveness of the Future Harvest Centers. EO also works to contribute to enriching the external partnerships of CG Centers and helps build momentum for greater collaboration and shared services among centers, as essential strategies to unlock the full potential of investments and the knowledge capital of the Centers The EO administers common CDC activities as assigned by the CDC in an effort to streamline and increase its efficiency, and works with the CG Secretariat, on behalf of the CDC, to increase efficiency, service procurement and delivery. • The Executive Secretary (ES) for the Committee of the Center Directors is responsible for: • • • • • Ensuring the CDC has continuous assistance to help in servicing the needs of the CDC (primarily the flow of information and meeting organization). Maintaining the Committee’s institutional memory and continuity, by devising ways in which to help the CDC improve its communication and flow of information, both internally and with external partners. Serves as liaison for the CBC and CDDC Committees. Provides oversight of the budgetary process with the Executive Director of AIARC, and oversees responsibility in managing the secretariat support for the CDC. The ES serves the Committee as a whole, its Chair and its members in their capacity as chairs of CDC Sub-Committees. The Executive Secretary reports directly to the Executive Officer of the FHAO and to the CDC Chair. 3. Activities and planned outputs for 2005 3.1 Strategic Planning and Development: • Work with CDC and unit heads to develop a forward plan for shared service operations, and commence implementation of Alliance plan for Collective Action. 3.2 Monitoring and Evaluation • • Track WB funding patterns with a view to helping the Centers maximize their benefits from the CGIAR funds. Assist the Centers to coordinate the monitoring of the SW-EPs and assess the performance of the World Bank funding to the programs in 2002 and 2003.. 3.3 Communication and Resource Mobilization • • • • Oversee the preparation of the formal CDC presentations to AGM (current and incoming Chairs). Work with CDC and CBC Chair for two articles for CGIAR News per year, and contribute as needed to the CGIAR Annual Report. Serve as liaison with CGNet and the Virtual Resources Center (when established) for CDC distribution lists, services and Collaboration site technical backstopping. Work with the CGIAR Secretariat and the Marketing Group to improve the currency and coverage of CGIAR achievements on the CGIAR and other related website. 3.4 Management Services • • • • • • • • Brief weekly report of FHAO activities to CDC Chair. Establish suitable working arrangements with CGIAR Secretariat. General administration and oversight of CDC collective activities. Establish a suitable arrangement with the Marketing Group. On behalf of CDC Chair, EO approves CDC/FHAO budget expenditures. Act as central point of contact with the CGIAR and Science Council Secretariats, PSC and support the CDC member on the SO Steering Committee. FHAO to work with CDC and CBC Chair and secretariat to help improve the processes of CBC. Help facilitate and organize Collective Action communications with various communities of practice and relevant groups within the CGIAR System as the FHAO evolves. 4. Organization and Governance The FHAO reports directly to the CDC Chair, and facilitates the work of the CDC as a whole. The Executive Officer gives policy and administrative support to collaboration among Centers, provides a high level support to the CDC as the governing body of the FHA and to the Committee of Board Chairs, especially with respect to enhancing the contribution of the CDC and the Centers to the CGIAR Executive Council and the System, and strengthening the strategic agenda of the CDC and CBC. The EO assists the CDC members responsible for oversight and support to the Center units participating in the System Office (i.e., Gender and Diversity Program, Central Advisory Service on Intellectual Property, Internal Audit Service, HR-Strategic Advisory Service, & Chief Information Officer), appropriate support to the shared System units, and provides support to the CDC System Office representative on the Steering Committee of the System Office. 5. Finance The CDC budget is established during their meetings prior to AGM, with activities and programs funded through contributions from each of the 15 Centers plus contributions from other parties, such as the CGIAR Secretariat and CGIAR members. Centers’ contributions are made on a bi-annual basis (January and June) and the funds are managed by relevant committees and boards overseeing the activities. In addition, the Future Harvest Alliance Office provides overall financial monitoring and financial control and management services are provided by the Association of International Agricultural Research Centers (AIARC). Funding from each Center is based on the proportion of each Center’s annual audited expenditure, for the year prior and based on the official audited figures released by each Center and the CGIAR Secretariat. The FHAO budget for 2005, as agreed to by the CDC during AGM04, consists of the following: • Personnel (EO, ES and Administrative Support Officer): US$ 203,000 • Consultants for Collective Action and Website development: US$ 159,000 • Travel: US$ 37,650 • Financial services and CDC Meetings: US$ 17,000 • General Operating Costs (CGNet, telecommunications): US$ 17,000 Total: US$ 433, 650 6. Performance Assessment The FHAO’s annual work plan is prepared for CDC review during their AGM meetings, and approved by the CDC Chair. The EO and ES serve as consultants to the CDC, and are reviewed based on performance, prior to contract renewal. The performance of the FHAO is assess twice yearly in a full achievement and performance report submitted to and discussed by the CDC. Gender and Diversity Program - Summary Work Plan 2005 1. Introduction In 2005 the Gender & Diversity Program of the CGIAR System (G&D) is launching a new strategy to guide the program over 2005-2008. Called ‘leveraging global diversity for global impact’ the new strategy is designed not only to build on the gains of G&D’s first four years, but also to chart new territory by building closer links to the core mission of the CGIAR. It is based on the recommendations of a positive External Program and Management Review in 2003 and a consultative planning process conducted with the CGIAR leadership and hundreds of staff members worldwide in 2004. VALUES All of G&D’s work is guided by four integrated values of diversity management – inclusion, opportunity, dignity and well-being. Dignity Inclusion Opportunity Wellbeing G&D’S MISSION To work in partnership and trust with the Future Harvest Centers to empower all staff, diverse in professional discipline, nationality, gender, race, culture, ethnicity, language, age, religion, sexual orientation, and physical capability to build greater diversity and to fully leverage that diversity for global impact. 2. Objectives Strategic Objective 1- Staffing: Strengthen the Future Harvest Centers’ abilities to attract, develop and retain the highest quality staff from diverse backgrounds and regions, with particular emphasis on women in management and science. Strategic Objective 2- Systems: Consolidate and institutionalize policies and practices that support inclusion, dignity, wellbeing and opportunity into the management systems of the Future Harvest Centers and CGIAR. Strategic Objective 3 – Integration: Integrate gender and diversity practices into the core work of the Future Harvest Centers through closer collaboration with scientists, research teams, and other global initiatives and systems office units of the CGIAR. In 2005, G&D will focus more so on two of its strategic objectives, staffing and systems, with an emphasis on consolidating its earlier work in human resources by expanding on gains in increased staff diversity and institutionalizing diversity policies and practices in workplace management. 3. Activities 2005 G&D’s activities and budget for 2005 is shown in the table below. The total estimated budget is: US$ 765,943. Of this sum, US$ 328,400 is for direct services and research, while US$ 437,543 is for personnel, travel and overhead. G&D’s top priority in 2005 is supporting the centers’ first steps toward achieving their new 1-, 3- and 5-year goals for gender and diversity in policy, practice and staffing. Other priorities include the 10th anniversary women’s leadership series, production of model policies for the inclusive workplace, and continued expansion of the mentoring program. In addition, two major research projects will be undertaken in 2005: (a) an impact assessment of the CGIAR’s 10 year investment in women’s leadership training; and (b) a gender analysis of the CGIAR’s retention and mobility trends. Activity STRATEGIC PLANNING AND DEVELOPMENT Staffing: Attraction, Promotion and Retention of Diverse Staff Upgrade diversity positive recruitment resources Spouse/partner resources and memberships Collaborate with SAS-HR to integrate G&D into new staff development programs Women's leadership and management course (ICARDA) Cost share 10th anniversary women's leadership courses (ICRAF and CIMMYT) Systems: Policies and Practices for Inclusive Workplace Collaborate with SAS-HR to integrate G&D into HR reforms Produce 'inclusive workplace' policy and practice guidelines and models Strengthen G&D Associates (formerly focal points), incl annual workshop Cost share relevant HR training opportunities Integration: G&D Collaborations with Scientists, Programs, CGIAR Mentoring program follow up and expansion On-line course for high performance research teams Expand 'everyday methods for working with diversity' Begin development of diversity case studies with select research teams With other SO units, seek to establish CGIAR women's fellowship program G&D Website and Publications Series Editing, design, printing, dissemination of G&D series, incl. regional adaptations Website development, fees MONITORING AND EVALUATION Conduct impact study of women's leadership series Support Centers' annual monitoring of G&D goals Develop M&E framework for G&D's new strategy PUBLIC AWARENESS AND RESOURCE MOBILIZATION G&D Representation in CG Events and Other Conferences MANAGEMENT SERVICES Conduct gender analysis of CGIAR's retention and mobility trends Support centers' G&D goal achievement INDIRECT COSTS G&D Personnel Secondments to G&D Travel (staff, secondees, board members) Office overhead, equipment and supplies Contingency TOTAL 2005 Budget 5,000 6,000 5,000 2,500 54,000 8,000 16,000 55,000 6,000 12,000 8,000 5,000 2,500 2,500 40,000 5,000 10,000 1,500 2,400 10,000 12,000 60,000 322,943 50,000 30,000 28,000 6,600 765,943 4. Organization and Governance As a systemwide service to the 15 Future Harvest Centers, G&D is organized for continuous consultation and communication with all key bodies of the organization. It is governed by the Director General of its host center ICRAF (Dr. Dennis Garrity) together with CGIAR Director (Dr. Francisco Reifschneider). To help ensure that G&D responds to the needs and priorities of the centers, it also has an Advisory Group consisting of a cross-section of stakeholders including representatives of CDC, CDDC, CBC, donors and both internationally- and nationally-recruited staff members. Day-to-day management of the program is the responsibility of the Program Leader (Vicki Wilde). In addition, G&D has about 100 Focal Points, with representatives in all Centers. This system of Focal Points supports dialogue and active consultation among G&D and staff members from all categories, including senior managers, scientists, and human resource personnel. ICRAF provides the legal and administrative home for G&D at its headquarters in Nairobi, providing office space, housing, transport and use of Center facilities such as computer networking, personnel, accounting and travel services. All costs are reimbursed by G&D according to the terms of a Memorandum of Agreement with ICRAF. The staffing for G&D consists of one Program Leader (internationally-recruited) and one Administrative Assistant (nationally-recruited), both full time. They enjoy the same status and benefits as regular ICRAF staff members. In addition, G&D expands its human resources with one to two secondments from other centers each year and will seek to expand its staffing with a new junior professional position starting in late 2005. 5. Finance Funding for G&D is raised on an annual basis to provide for all G&D costs, including personnel, office space and overhead, and the production of all services and resources. A strategic alliance of internal and external investors supports G&D. Internal investors include the Committee of Directors General and the CGIAR Secretariat. External investors include the Netherlands, Norway and Switzerland. Funding sources and levels for 2005 is expected to be about the same as 2004. 5. Performance Assessment G&D has the following forms of performance assessment and feedback: 1. External Management and Program Review in 2003; 2. Joint Board Chair-CGIAR Chair annual review of progress and expenditures; 3. Annual performance evaluation of the Program Leader by the Board Chair, plus biannual 360 reviews involving stakeholders throughout the system (last completed in November 2003); 4. Annual expenditures audit by ICRAF’s Finance Unit; 5. Workplan and progress review and feedback by the CDC, CBC and CDDC in response to reports and presentations during AGM; and 6. Ongoing feedback from Advisory Group members and Focal Points in response to ‘G&D Updates’ throughout the year. In addition, in 2005 G&D will develop a new monitoring system tailored specifically for measuring the effectiveness of its new strategy for ‘leveraging global diversity for global impact’ over 2005-2008. Internal Auditing Unit – Summary Work Plan 2005 1. Introduction The CGIAR Financial Guideline No 3 (FG3) provides that CGIAR Centers should establish an independent internal audit function. Internal auditing is defined as an independent, objective assurance and advisory activity designed to add value and improve an organization’s operations. It helps an organization accomplish its objectives by bringing a disciplined, systematic approach to evaluate and improve the effectiveness of risk management, control and governance processes7. 2. Objectives and Service Offerings The IAU provides customized service to Consortium members, including in some cases full delivery of their internal audit coverage, in other cases joint arrangements with in house or locally outsourced internal auditors, supplemental services to support in house internal audit functions, and special assignments. In addition, the IAU undertakes special reviews for the CGIAR Secretariat, monitors the implementation of FG3, promotes the development of the CGIAR Internal Auditors’ discussion group (CGIARIANET), and develops good practice guides on selected aspects of Center functions with a governance, risk management, internal control or accountability perspective, drawing on internal and external benchmarks and from lessons learned from audits. Overall objectives of the CGIAR Internal Auditing Unit To provide strategic leadership on internal auditing by assisting the Board and management of participating Centers to effectively discharge their management and fiduciary responsibilities. To provide independent, objective assurance and advisory services that add value, improve operations and help the Centers meet their business objectives. Establish and lead a network of internal auditors from all CGIAR Centers, to be a forum to learn and share best practices regarding internal auditing techniques, governance, risk management, internal control and accountability. Based on the Professional Practices Framework, Institute of Internal Auditing (the worldwide professional body for internal auditors). 7 The IAU will pursue these objectives through the following service offerings, grouped by CGIAR System Office functional objectives. SO Functional Objective Strategic Development Planning and IAU Service Offering Identify, define and communicate best practice to Centers – Preparation and dissemination of good practice notes and discussion papers on management processes from a control, risk management or corporate governance perspective Develop audit standards within the CGIAR system through such activities as interaction with Center internal auditors; System-wide training events; development of an internal audit manual; dissemination of results of meetings of internal auditors of international public agencies; interaction with international professional bodies relevant to internal auditing; development of links with internal auditors in the scientific research sector; and implementation of recommendations from the 2004 external quality assurance review. Undertake CGIAR system-wide audit and advisory services and progress reviews Support to Centers in developing risk management systems – as agreed in Center medium term internal audit plans. The IAU will collaborate closely with other SO units (in particular CIO, SAS-HR, CG Sec, CAS-IP) in delivering this service offering. Support and advice to Centers on the implementation and monitoring the GPGA Rehabilitation Initiative joint advisory work with other SO components, especially CAS-IP and CIO. This work is incorporated from 2004 into IAU audit and advisory work programs agreed with the Centers, but is shown separately for SO reporting purposes. Undertake other Center audits and advisory services – tasks as defined in the annual/medium term audit plans (additional to risk management support) agreed with each Center and as agreed for the CGIAR Secretariat. Includes support for the implementation of risk management systems and follow up of recommendations from previous reviews. Lead CGIAR Internal Audit network - lead CGIARNET discussion group, develop an IA website, and develop planning and monitoring tools for the IA function. Strategic Development Planning and Monitoring and Evaluation Monitoring and Evaluation Monitoring and Evaluation Monitoring and Evaluation Management Services 3. Activities, planned outputs for 2005 and performance assessment The table below sets out an IAU performance measurement and evaluation strategy based on an adaptation of the “Outcome Mapping” methodology presented at an ICTKM Evaluation Workshop in May 2004: IAU Service Offering Identify, define and communicate best practice to Centers Mission The IAU will, in collaboration with other SO units and various communities of practice across the CGIAR Centers, identify good practices and lessons learned to guide Center improvement efforts The IAU will move the CGIAR internal auditing function to full compliance with international standards and good practice. Outputs (Progress Markers) 4 Good Practice Notes per year – some to be jointly developed with other SO units 1 ILAC brief on the topic of internal audit and risk assessment as a basis for institutional learning and change Review (2004-5) Center audit committee and IA charters; Complete a further IA PD Week (2006); Complete (2005) and update (20062007) internal audit manual; disseminate (annually) results of meetings of internal auditors of international public agencies; implement (2005) recommendations from the 2004 external quality assurance review; visit (2005) non consortium Centers and assess audit arrangements. Completed assignments as agreed with the CGIAR Secretariat, includes: * Development of material for risk components of SASHR First Level Leadership Dev Program * Procurement review; * GPG1 Genebank Upgrade Mid Term Review; * ICT-KM inputs; * Explore ILAC linkages to IA Outcomes GPNs are referred to by Centers to assess their own practices, and to make improvements where applicable Selected good practice notes used in the development of CGIAR guidelines Full compliance by the CGIAR internal audit function with the International Standards for the Professional Practice of Internal Auditing Develop audit standards within the CGIAR system Boundary Partners * Communities of practice relevant to the GPN topics * Editor/ publisher to advise on improving formats * ILAC group to be consulted on improving GPN strategies * Center internal auditors * Center management and audit committees * Institute of Internal Auditors Monitoring Methods/ Progress Reporting Reviews in Centers (for some GPN topics, as components of audits) Quarterly IAU Activity Reports to Sponsors Evaluation Plan Annual evaluation by Board of Sponsors Internal quality assurance reviews Quarterly IAU Activity Reports to Sponsors Annual evaluation by Board of Sponsors; 5 yearly external quality assurance review Undertake CGIAR systemwide audit and advisory services and progress reviews The IAU will undertake high quality assurance and advisory services and research on management/control issues to support Systemwide programs and activities (a) for assurance and advisory reviews – implementation where identified of improvement recommendations (b) for “research” assignments – initiation of action using the IAU products * System/Center clients (will vary depending on the assignment) Tracking of assignment progress via IAU database Follow up reviews Quarterly IAU Activity Reports to Sponsors Annual evaluation by Board of Sponsors; 5 yearly external quality assurance review IAU Service Offering Support to Centers in developing risk management systems Mission The IAU will in collaboration with other SO units, provide knowledge, advice and guidance on risk management to CGIAR centers to enable them to identify and manage their risks and opportunities in accordance with international good practice. Outputs (Progress Markers) Completion (2005) of Center risk management frameworks and first Center-wide assessments; updates (2006-2007) Outcomes Centers routinely incorporate comprehensive risk management in their organizational processes, and implement action where the assessments indicate unacceptable exposures Center boards issue risk management statements annually without qualification Reviews help Centers ensure that GPG projects conform to donor requirements and public goods which benefit from upgrade efforts can be effectively used Internal audit coverage and reporting provides reasonable assurance to Center management and Boards that all significant risk areas are being adequately managed and controls are adequately designed and effective, or (if not) are subject to improvement action plans. CGIAR internal audit function as a whole (IAU and Center IAs) is effective, efficient and adopts relevant good practice drawn from the global IA profession Boundary Partners * Center management and Boards * Other SO units Monitoring Methods/ Progress Reporting Ongoing review of progress during each year Status reports to Centers; Summary status reports in Quarterly IAU Activity Reports to Sponsors Evaluation Plan Annual evaluation by Center management/ Boards; 5 yearly external quality assurance review Support and advice to Centers on the implementation and monitoring the GPGA Rehabilitation Initiative Undertake other Center audits and advisory services The IAU will, in collaboration with other SO units (especially CIO and CAS-IP) provide support and advice to assist Centers in their implementation and monitoring of GPG1 and GPG2 programs The IAU will provide independent, objective assurance and advisory services that add value, improve operations and help the Centers meet their business objectives Completed reviews in selected Centers as per Center medium term IA plans * Center management and Boards * Center auditees * Other SO units Tracking of assignment progress via IAU database Follow up reviews Status reports to Centers Audit client evaluations; Annual evaluation by Center management/ Boards; 5 yearly external quality assurance review Audit client evaluations; Annual evaluation by Center management/ Boards; 5 yearly external quality assurance review Completed annual work programs for each Center participating in the CGIAR internal audit consortium Achievement of audit services standards (see detailed 2005-2007 Business Plan) Maintain an active CGIARIANET discussion group; maintain and update the IA web pages in the CGIAR website; implement/maintain an IAU risk assessment and audit management database; * Center management and Boards * Center auditees Tracking of assignment progress and service standard achievement via IAU database Periodic reviews of status of implementation of audit recommendations Activity Reports and Follow Up Status reports to Centers Internal quality assurance reviews Quarterly IAU Activity Reports to Sponsors Lead CGIAR Internal Audit network The IAU will lead a network of internal auditors from all CGIAR Centers, to be a forum to learn and share best practices regarding internal auditing techniques, governance, risk management, internal control and accountability. * Center IAs * CGIAR webmaster (website support) * Editor/ publisher to advise on improving website presentation * CIAT ICT group (database support) Annual evaluation by Board of Sponsors; 5 yearly external quality assurance review 4. Organization and Governance The IAU is a virtual organization: its “global head office” is hosted by IRRI Los Banos. The Unit also has staff hosted in other Centers. Under an “11 Center Consortium scenario”8, for 2005-2007 the IAU organization will comprise 3 international level appointments (Director and Associate Directors) and 3 national level appointments: • • • • • the Director, to be hosted by IRRI Los Banos, but (in the case of the current Director) also working from Sydney. two Associate Directors, one based in the Africa region (at ILRI Addis Ababa) and one in the Americas region (host Center to be determined) one Senior Internal Auditors based at IRRI Los Banos one Internal Auditor based at IRRI Los Banos one administrative staff member (at IRRI Los Banos An additional position of Associate Director based in Asia will be added if the consortium membership, and therefore the service coverage of the IAU, is further expanded. IAU staff will be supplemented by experts on short term consultancies and cross-support from other Center internal auditors for specific assignments, where specialized or local expertise is desirable or where this is a cost-effective solution. The main features of the IAU’s governance arrangements are: • • The IAU is a joint venture of participating Centers and the CGIAR Secretariat; The IAU is headed by an IA Director who reports functionally, in respect of client services, to the Boards of Trustees and Directors General of the participating Centers9, and to the CGIAR Secretariat Director, and the internal audit function is given organizational recognition as part of each Center’s governance structure. In response to the 2004 IA Quality Assurance Review, the IAU will work with each Center to ensure that an IA Charter meeting current good practice is in place. Day to day governance of the IAU is exercised by a Board of Sponsors comprising the senior staff members of the Centers to whom the IA Director reports administratively (as determined by their Directors General), and the Lead Financial Officer in the CGIAR Secretariat; The Board of Sponsors meets formally with the IA Director at least annually and on an interim basis during the year as needed to ensure smooth operation of the IAU; • • At the time of preparation of this work plan summary, there were 11 Center members of the IA Consortium, but 2 more Centers have now applied to join from 2005. 9 Where the Centers have their own in house internal auditors, the reporting arrangements for audit coverage to the Boards of Trustees and Directors General will be agreed with these Centers and will generally be joint reporting arrangements. 8 • • The audits of the IAU are confidential to the concerned Center, and specific details of results are not disclosed to other parties, including other members of the consortium, without specific approval of the Center. Appropriate arrangements are made to ensure this requirement will be observed in the preparation of any reports of generic lessons and good practice prepared by the IAU. The IAU plans and reports administratively to the Board of Sponsors in formats compatible with integrated planning and reporting at the SO level. The IAU participates, as an SO component, in SO meetings in which overall results and plans of the SO units are presented, and in processes for the preparation of integrated plans, reports and evaluation activities at the SO level. 5. Finance Under the “11 Center Consortium scenario”, with IRRI and WorldFish contributing extra for additional services in lieu of their own in-house internal audit function, the participants will contribute the following shares of the IAU budget in 2005: a) base contributions – CIAT CIFOR CIMMYT CIP ICARDA ICRAF IFPRI ILRI IPGRI IRRI IWMI WARDA WorldFish CGIAR Secretariat $35,000 35,000 35,000 35,000 35,000 35,000 35,000 35,000 35,000 70,000 35,000 35,000 70,000 120,000 645,000 b) (b) contributions from System-wide programs (2005): 12,000 Total of (a) and (b) – 2005 657,000 The Science Council Secretariat – Summary Work Plan 2005 1. Introduction The Science Council Secretariat – formerly the TAC Secretariat – began functioning with the establishment of the Science Council (SC) in 2004. The Secretariat is an original central component of the CGIAR System, established when the CGIAR began operation. 2. Objectives The objective of the SC Secretariat is to facilitate the work of the Science Council, by providing scientific, institutional, administrative and logistical support in all the four major functions of the Science Council: (i) Ensuring relevance of science; (ii) Enhancing the quality of science; (iii) Assessing impact of CGIAR research; and (iv) Mobilizing global scientific and technical expertise. 3. Activities and planned outputs for 2005 3.1 Strategic Planning and Development Supporting SC Chair's leadership of the SC Ö Briefing and follow-up notes and correspondence, SC meetings Support to Standing Panel on Priorities and Strategies (SPPS) Chair and members Ö Facilitate planning, organizing and conduct of SPPS studies; prepare briefings and documentation for SPPS meetings; draft minutes of SPPS meetings and SPPS reports Planning System level priorities and strategies Ö Planning System level priorities & strategies facilitated, and report disseminated Conducting perspective studies on System priorities Ö Perspective studies on IP, food safety facilitated, animal and fish genetic resources, and a feasibility study of poverty mapping for priority setting facilitated, and reports disseminated Support to Standing Panel on Mobilizing Science (SPMS) Chair and members Ö Facilitate planning and conduct of SPMS meetings; draft minutes of SPMS meetings and SPMS reports Preparation of the annual report on global agricultural research Ö Preparation of the annual report facilitated Contribution to CGIAR Task Force work Ö Assistance of SC in the Africa Task Force Support to Standing Panel on Mobilizing Science (SPMS) Chair and members Ö Facilitate planning and conduct of SPMS meetings; draft minutes of meetings and reports Implementation of the mobilzing science strategy Ö Preparation of mobilizing science task force and strategy facilitated Mobilization of global scientific partnerships Ö Implementation of a strategy for the mobilization of the global scientific partnership facilitated 3.2 Monitoring and Evaluation Support to Standing Panel on Monitoring and Evaluation (SPME) Chair and members Ö Prepare documentation for SPME meetings; facilitate SPME communication and information sharing; Prepare minutes of SPME meetings and sections to SC reports to AGM Support to Standing Panel on Impact Assessment (SPIA) Chair and Members Ö Facilitate planning, organizing and conduct of SPIA studies; prepare briefings and documentation for SPIA meetings; draft minutes of SPIA meetings and SPIA Reports to the SC and AGM Implementation of New M&E Process Ö Assistance to SC in development of new TOR for EPMR and Guidelines for CCER; Facilitation of transition into new Centre M&E System Support the development of a Performance Measurement System for the CGIAR Ö Input to SC work to develop performance measurement indicators and reporting guidelines for programmatic indicators Planning and organizing evaluation of the CGIAR research agenda Ö Input to SC's work on preparing MTP assessment framework and guidelines, appointment of consultant, preparation and dissemination of final documents Organizing and implementing SC-commissioned external evaluation of Centres Ö IFPRI and CIMMYT EPMRs: Assist EPMR Panel during Main Phase, assist SC in commentary preparation, printing and dissemination of report; CIFOR, ICRAF, ICLARM EPMRs: Assist SC in Panel selection, appointment and briefing; support Panel during Initial phase; IWMI, ICARDA, ILRI EPMRs: Assist SC in planning Organizing and implementing SC-commissioned external evaluations of SWP Ö Support to panel, preparation and dissemination of report for the external review of ASB SWP Monitoring and evaluation of CPs Ö Assistance to SC on monitoring SSA CP implementation Organization and implementing SC-commissioned System-level impact assessments Ö Facilitate selection and hiring of SPIA study consultants/panels; briefings and correspondence with panels and CGIAR Centers involved; technical and logistic backstopping; publication of completed reports; oversight to the studies Strengthening capacity of Centres to assess impacts on poverty Ö Facilitate interactions between SPIA members and case study leaders for the NRM research impact assessment studies: planning SPIA Workshop for May/June to report cases Developing a 'CGIAR Impacts' information web-page in collaboration with CGIAR Centres Ö Upgrade site content and design; develop short "Briefs" of key system-level and centre impact assessments; update the ex-post IA bibliography and screen new submissions; encourage Centre submissions 3.4 Communication and Resource Mobilization Develop and maintain program and project database Ö Contribution to establishing an online MTP logframe reporting system 3.5 Management Services Organizing Science Council meetings, including document preparation Ö Logistical organization of SC meetings in May and September, design of meeting agenda, EOM report Developing and maintaining SC databases and roster of peer reviewers Ö Support to SC in managing a peer reviewed roster; Contribute to linking the roster to the CGIAR Central database Developing and maintaining SC website and document collection Ö Update the SC web site in its new design Assisting the SC Chair in coordinating SC Activities Ö Input to SC Chair's planning of SC meetings in May and in September Preparing documentation for CGIAR meetings Ö Preparation, printing and distribution of SC meeting documents for CGIAR meetings Facilitating liaison and communication between SC and Centres Ö Assist SC in developing links with Centres Liaising with FAO on administrative and technical aspects of SC Ö Administrative operations completed; FAO expertise input to SC Secretariat work received 4. Organization and Governance The SC Secretariat is hosted in the Sustainable Development Department. The Secretariat is headed by the Executive Director of the Science Council (Ruben Echeverria). The Secretariat has a 4-person compliment of professional staff (Amir Kassam on sick leave, Timothy Kelley, Sirkka Immonen and a vacant position to be filled early in 2005) and 5 support staff equivalents. The Secretariat is governed by the Science Council, and is bound by the rules and regulations of the host institution. 5. Finance The cost of the SC Secretariat operations (including salaries and other expenses of staff) are shared by CGIAR co-sponsors. Both budget administration and administrative offices are provided by FAO in Rome. 6. Performance Assessment Performance will be assessed in 2005 via: Ö Annual assessment submitted to FAO Ö Annual assessment submitted to SC Chair Strategic Advisory Service on Human Resources The detailed work plan is pending until the recruitment of a new SAS-HR Director is completed.