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08 April 2015
CGIAR Consortium Report
Fund Council 13, Bogor, April 2015
SUMMARY
This report:
1. Supplements the Consortium’s 11 October 2014 Report to the 12 th Fund Council (FC)
meeting in November 2014 (Consortium FC12 Report), to give an overall view of
implementation against the Consortium’s 2014 Program of Work and Budget (PoWB)
to end 2014.
2. Provides an early update on progress on key 2015 initiatives, with particular focus on
the collaboration between partners to finalize the new Strategy and Results
Framework (SRF).
Key messages include:
The Consortium’s 2014 ramped up external communications efforts resulted in much
clearer visibility of CGIAR’s relevance as a key stakeholder in the global debate on how
best to ensure sustainable agri-food systems for future generations.
2014 also saw considerable progress in the development and/or revision of key
system-wide policies, although full attainment of planned outcomes was adversely
affected by, predominantly, changing resources across the year. Based on work
undertaken in the 2014 year, the Consortium Board (CB) approved a number of
outstanding policies at its 19th meeting in late March 2015 (CB19). It also revised the
policy priorities in the context of additional resource changes for the 2015 calendar
year.
2014 Consortium Office (CO) stakeholder survey feedback identified a number of
pleasing results. Areas of support included appreciation of the Consortium’s renewed
focus on external representation of the CGIAR system as a whole, and the
strengthening of shared legal and communications experiences through wellperforming communities of practice. In other areas, satisfaction with the CO was not
where the Consortium wishes it to be. This provides important data on which to focus
increased effort across 2015 and beyond, to compliment significant change
introduced at CB level to increase Center participation and collaboration. This Q4
2014 initiative has resulted in improved confidence and trust between the Centers and
Consortium.
CGIAR Consortium, 1000 Avenue Agropolis, F-34394 Montpellier Cedex 5
t (+33 4) 67 04 75 75 w www.cgiar.org
CGIAR Consortium Update, 08 April 2015
There has been strong early performance against the 2015 PoWB, including
considerable focus on further strengthening the draft new Strategy and Results
Framework (SRF) to have it ready for approval at FC13. This progress is notable given
the significant drain on human resources that the Consortium and Centers have
experienced in their collective effort to ensure sufficient engagement with the Options
Team during the further governance review period.
By end Q1 2015, the CO was able to fill a number of continuing vacancies, providing
important capacity to meet multiple demands. One additional role remains key to fill
this year, addressing directly the Centers’ request for increased Consortium focus on
efforts to secure resources from non-traditional sources, seen as one part of an overall
CGIAR system wide strategy to improve longer-term predictability and sustainability
of funding.
A.
REVIEW OF 2014 OPERATIONS
This part includes the following sections:
1. Recap of 2014 Program of Work and Budget (PoWB) outcomes, with a focus on Q4
2014;
2. Commentary on 2014 Performance Assessment by stakeholders; and
3. 2014 Consortium Unaudited Financial Results.
1.
Review of 2014 Program of Work and Budget outcomes
Across the year, approximately 90% of the 2014 PoWB activities were implemented as
planned, including all routine annual core business tasks (the various annual reports and
financial management and reporting) and critical consultations to facilitate development of
the initial draft Strategy and Results Framework (SRF) and the 2nd call guidance note. More
was done in 2014 with more input than ever before, with the Consortium highly appreciative
of the helpful contributions.
Concurrently, the CO was required to expend considerable unexpected additional energy on
completing the essential legal requirements to separate from its former hosting arrangement
with Bioversity. As foreshadowed in the Consortium FC12 Report, this entailed a very large
amount of work performed in the second half of 2014 on top of regular duties (the cost
implications of which are discussed in part A.3 below). Elements of work that were not
completed relate to the planned revision of increasingly outdated system wide (Common
Operational Framework, COF) policies and processes. Table 1, Annex 1 summarizes lists
prioritized CO deliverables to end December 2014, with status updates compared to progress
at end September 2014.
2014 was also characterized by significant increased external engagement, through
representation of the CGIAR in various fora and meetings: e.g. Abu Dhabi Global Forum on
Innovation in Agriculture, Economist Food Security Summit, Stockholm EAT Food Forum, UN
SG’s Climate Summit, the Global Alliance for Climate-Smart Agriculture (GACSA), and close
Page 2 of 13
CGIAR Consortium Update, 08 April 2015
collaboration with IFPRI on the follow up of the CAADP alignment. A highlight of the year was
the inaugural CGIAR Development Dialogues meeting in New York in September 2014, in
association with the UN General Assembly meetings. In Q1 2015 the Consortium again
coordinated CGIAR communications around the 2nd Global Forum for Innovation (GFIA) in Abu
Dhabi. This included a shared CGIAR booth partnering with all 7 Centers/CRPs present at the
conference with strong CGIAR branding; creating a shared communications strategy and
media approach.
2.
Commentary on 2014 Performance Assessment by Stakeholders
Introduction
Various stakeholders, depicted in Figure 1, Annex 2, completed questionnaires to assess the
performance of CGIAR system entities. The rating was on a scale of 1 to 4, with 1 being very
dissatisfied and 4 as very satisfied. Three of the entities – the CO, the Fund Office and the
Independent Science and Partnership Council (ISPC), received ratings lower that 3 (on a scale
of 1 to 4). The Independent Evaluation Arrangement (IEA) scored highest, with an average of
3.10 out of 4.
Consortium Office specific results
From underlying survey data, we know that 63 individuals contributed to the CO results.
Areas of strength included the value stakeholders see in, especially, the legal and
communications communities of practices, the CGIAR common annual report; the intellectual
assets reporting framework, work on gender, and also how the Consortium represents the
system as a whole.
While noting that the questions were limited in depth and breadth, the CO recognizes that
there are other areas within the assessment that fall well short of a more desirable range, and
provides a meaningful input into the CO’s identification of areas that require development
and enhancement.
Already efforts have been made to move in the right direction. A key Q4 2014 initiative of the
Consortium Board was to rebuild confidence and trust between the Consortium and the
Centers. Key among this effort has been to expand the number of Center observers to the CB
from 1 to 4 (2 DGs, a CRP Director and a Center Board Chair) and treat the observers as if they
were full board members absent formal reform to the CGIAR Constitution. As a direct result,
there has been a much more positive and constructive atmosphere in Center-Consortium
engagements, as evidenced in the February 2015 meeting in Rome and the CB meeting in late
March 2015 at CIMMYT.
3.
Preliminary 2014 Consortium Unaudited Financial Results
The table below, read with the accompanying notes, compares the 2014 Consortium
expenditures to the approved 2014 budget. Taken together, the delayed final separation
from Bioversity (note 5) and the once-off costs incurred in 2014 (part note 6) themselves
account for 54% of the overall variance. Considerable effort will be made across the 2015
Page 3 of 13
CGIAR Consortium Update, 08 April 2015
calendar year to reduce total operational costs to address in part the deficit arising from the
2014 exceptional year without requesting additional support from the Fund Council. Actions
include not filling a small number of CO roles. However, the CO will recruit a senior
partnerships/ communications director to directly respond to a request of the Centers in light
of the stringent financial situation that became known in February 2015.
Budget Header
Board Fees
Staff Costs
Consultants
Travel
Meetings
Overhead
Other Operating
Expenses
Total
Unaudited Actual
as at 31 Dec 2014
($)
281,011
3,788,188
1,371,444
802,479
282,835
571,248
Approved
2014 Budget
($)
325,000
3,842,049
1,240,000
710,000
215,000
390,585
-43,989
-53,861
131,444
92,479
67,835
180,663
Variance
(%)
(See notes)
-14%1
-1%
11%2
13%3
32%4
46%5
522,194
325,000
197,194
61%6
7,619,399
7,047,634
571,765
8%
Variance
($)
The CB will approve the 2014 Audited Financial Statements in May 2015.
Explanatory notes on material variances (10% or more):
1
Board Fees: The budgeted Board fees were based on the 2014 daily rate for time anticipated
to be spent on CGIAR matters, an element for indexation and an additional amount for
Consortium Board visits to Centers to engage with Boards of Trustees. When it became
apparent that a deficit was projected for 2014, the Board decided to reduce the number of
Center visits for the remainder of the year.
2
Consultants were higher than forecast due to consultancies on SRF matters that had not been
expected at the time the budget was prepared.
3, 4
Travel and meetings expenses exceeded the budget due to the fact that crucial meetings that
had not been projected took place for SRF-related activities in the last quarter of the year
5
Overhead comprises Bioversity International administrative charges, as the immediate past
hosting body of the CGIAR Consortium. There was an expectation that the Consortium would
be recognized as an international organization, by the French Government, before the end of
2013. As a result, no overhead for Bioversity International administration charges was included
in the initial 2014 budget. In May 2014, the budget was reallocated to cover Bioversity
International charges for 8 months i.e. until 31 August 2014. Unfortunately, the relevant
mandatory agreements were only finalized in December 2014, thus prolonging the outsourced
activities for an additional four months, with the associated costs.
6
Other operating expenses for 2014 comprises 25% (approximately US$ 130,000) once-off nonrecurrent expenses directly resulting from the separation from Bioversity and implementation
of the One Corporate System platform. With effect from 2015, recurrent expenses will be
disaggregated to show Building Management expenses as a distinct budget chapter, as these
were not able to be predicted with certainty at the time of development of the 2014 budget.
Page 4 of 13
CGIAR Consortium Update, 08 April 2015
PART B:
PROGRESS ON KEY PRIORITIES FOR 2015
This part includes the following sections:
1. Progress review of key priorities within the 2015 PoWB; and
2. CO Staffing overview.
1.
Progress on Key Priorities for 2015
The 2015 – 2026 Strategy and Results Framework (SRF)
As background to the 2015 CB and FC approval timetable, 2014 saw deep engagement of the
FC/ISPC, as well as the Centers in the development of the new SRF, with multiple iterations
being shared, and the CB/CO receiving specific direction from the ISPC on the approach to be
taken forward. To take the work forward in 2015, the SRF was discussed with major CGIAR
and external stakeholders, through a consultation implemented jointly by GFAR and the CO.
Over 300 individual responses were received in the consultation, mostly online, with many
expressing the view that the overall direction of the proposed new SRF demonstrated “great
evolution” and “maturity”.
Whilst the development process for the proposed new SRF would have been far more
efficient if all stakeholders came to the process with a united understanding of the need for
quantification of targets in the final document, Q1 2015 represents a period of significant
progress towards a strong and dynamic SRF – based on highly collaborative engagement
between the Consortium and Centers. The proposed final new SRF is being submitted for
approval at FC13, following final clearance by the CB by 14 April 2014.
Guidance for the CRP 2nd Call
As the SRF nears completion, attention is also now focused on the CRP 2nd Call. While the
essence of the Consortium proposal (for a 2-stage call with pre- and full proposals in 2015 and
16 respectively) stands, discussion has focused on the Centers’ desire to define the CRP
portfolio in advance of the Call. In workshops pre-FC13 (27 April 2015) and post-FC13 (11-13
May 2015) the CRP portfolio will be discussed, with the aim of issuing a targeted call for preproposals in May-June 2015. Presentations were contributed to various CGIAR meetings
(ISPC, IEA etc.), and CO officers participated in different meetings organized by the CRPs to
support the preparation of the 2nd call; and harmonize commodity cross-CRPs monitoring and
evaluation processes.
Gender in Research
The implementation of the Gender Action Plan is on track. The CO conducted a competitive
Call for the gender Post-doctoral Fellowships. As a result 10 postdoctoral fellowship awards
were made to the CRPs and contracts have been issued. To support Postdoctoral Fellows and
their immediate supervisor/co-researcher in gender, a Request for Proposals was launched in
January, 2015 to Universities for training in advanced research methods, coaching and
mentoring. The CGIAR Gender and Agriculture Research Network, published a memo which
contributed to shaping the gender IDO and sub-IDOs in the draft SRF and provided expert
advice and commentary to sequential versions of the SRF and CRP 2nd Call Guidance. CRP
annual reports were reviewed to assess adherence to the gender objectives and CRP plans of
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CGIAR Consortium Update, 08 April 2015
work and budget and CRP extension proposals all are directed at advancing the capacity of
CRPs to implement their gender research strategies.
Core Business Related to the Ongoing CRP Cycle
All Consortium Performance Agreement amendments for the 2-year CRP extensions (201516) have been signed by the FC Chair and are in the process of being signed by Bioversity
International on behalf of the CGIAR Consortium. All associated Program Implementation
Agreement amendments have been prepared and will also be signed by Bioversity on behalf
of the CGIAR Consortium together with the Lead Centers of all CRPs. Following on from this,
the Lead Centers will sign Program Participant Agreement amendments with the program
participants of their CRPs.
The 2015 Program of Work and Budget for CRPs are currently being reviewed by the
Consortium and relevant feedback will be provided to the Lead Centers and CRP Directors.
The deadline set for submission of 2014 CRP annual reports to the consortium is 30 April 2015.
Subsequent to feedback, final versions will be ready before the end of June and incorporated
into the 2014 CGIAR Annual Report.
Intellectual asset management
The 2014 CGIAR Intellectual Asset Report, prepared by the Consortium in collaboration with
the FCIP Group and in consultation with the Centers, will be submitted for Consortium Board
approval at the end of May 2015. Once approved by the Consortium Board, it will be
submitted to the FC for approval, providing a comprehensive statement of the management
of intellectual assets system-wide.
Options Team engagement
The Consortium also engaged with the Options Team, including during a visit to the CO by the
Options Team in mid-February 2015. The focus of the day spent by the Options Team in
Montpellier was elaboration by each department and its officials regarding its role and
contribution to the CGIAR overarching mission and objectives. The Consortium Board has
provided comments on strategic elements to the Options Team and also submitted their
views on the proposed options as set out in the initial two draft reports.
Additional Operational matters to end March 2015
As requested by the FO, the CO Science team is co-contributor to material to inform the
Genebanks agenda item at FC13.
The Phase I Open Access proposal, covering a one-year period, was resubmitted and approved
by the FC. The Open Access Implementation Guidelines; and an Open Access Implementation
Plan template have been prepared and distributed to help Centers and CRPs develop
implementation plans easily and in coherence with each other.
System-wide harmonization of finance and corporate services elements continues. Some
Financial Guidelines are currently being reviewed and updated; disbursement policy for
financial resources is in train; system-wide revenue recognition principles are being
developed; and all centers have committed to have migrated to IFRS by the beginning of 2017.
Page 6 of 13
CGIAR Consortium Update, 08 April 2015
During its FC12 meeting in November 2014, the FC requested that an enhanced Gender and
Diversity Strategy be tabled during the April 2015 FC meeting. Substantive progress on this
matter was impeded by the absence of specialized skills to take this critical topic forward. The
CB is very pleased that the new Director of Human Resources and Talent Management, who
took up his role on 9 March 2015, has seized on this as a core priority for early action. As a
separate document, a third report on Gender and Diversity developments throughout the
CGIAR system has been prepared for FC13.
True to their commitment to improving the security of their staff, all Centers and the
Consortium Office selected a common travelers’ tracking and security assistance system that
will be implemented from May 2015. With the ‘One Corporate System’ now operating in
multiple Centers, the focus has now shifted to developing a common reporting tool.
A highlight on the ICT front was the delivery of a new collaboration space on the Consortium
Office 365 platform (one.cgiar.org), which includes utilities for online discussions, planning
and tracking priorities, a new email listserv, and an archive of documents from the previously
used Google sites collaborations space.
2.
CO Staffing overview
To cover the breadth of 2015 CGIAR Consortium priorities, the CB and CO would ordinarily
plan to be supported by 321 FTEs, including:
3 fellows seconded from Centers (with the dual purpose of enhancing cross-CenterCO exposure and learning);
2 seconded staff whose salaries are contributed in-kind by the French government
seconding these individuals;
3 persons who are supported through specific projects rather than core funding; and
1 Associate Gender Expert directly funded by SIDA.
This figure represents a full complement of planned FTEs, including a now fully established
senior management team to cover the full extent of management and governance
responsibilities carried by the CO on behalf of the Consortium as a whole.
To respond to the direct request of Centers, the role of Director - Communication and
Development (included within the 32 FTEs) will be recruited during 2015, to serve the dual
purpose of: (i) undertaking additional external engagement initiatives to those already
planned, to further improve the publicity and reach of the good work that CGIAR is doing; and
(ii) being the Consortium’s designated officer responsible for resource mobilization efforts
that target non-traditional funding sources to enhance the overall predictability and
sustainability of essential funding to deliver on impact across the system. The creation of this
post has been possible through the re-alignment of roles and responsibilities across
departments and teams. In light of the stringent finance situation, two other roles also within
the 32 FTEs are not presently planned to be filled.
1
Consortium Office FTEs do not include Internal Audit Unit (IAU) personnel who are hosted at the CO but
comprise a shared service function across Centers.
Page 7 of 13
Annex 1: Status of Consortium Office 2014 Program of Work and Budget deliverables to end December 2014
End Q4 status
2014 planned
update
Additional Comment
compared to Q3
output
2014
A. Policies under the Common Operational Framework (CoF)
Revision of
Good Q4
The first draft was produced by end Q4 2014, and will undergo Center consultation with a view to submitting it for
Financial
progress
Consortium Board and subsequent Fund Council approval during the course of 2015.
Guidelines (FG2) 1
Revision of FG 2
As above
Draft manual agreed on by finance heads will be submitted to Center Directors General for their feedback by July
2015
Revision of FG 5
No additional
The revised version was approved by the Consortium Board in June 2013 and submitted to the Fund Office for
Q4 progress
approval by the Fund Council. Feedback on the guidelines remains outstanding.
Revision of FG 6
As above
In consultation with the CB’s Governance and Policy Coordination Committee (GPCC), and as approved at CB19
(March 2015), revision of FG 6 (procurement of goods, works and services) will be deprioritized. These guidelines
remain sufficiently current and relevant to enable their continued application, pending a review in 2016, or earlier if
time becomes available. Instead, the CB has approved the escalation of priority in 2015 of FG 4 – Medium Term
planning, which is directly relevant to preparation of 2nd call proposals.
Common Reserves As above
This is to be developed by the joint Consortium-Fund Council Working Group. The Consortium Working Group
worked on a paper on how to generate and manage reserves and is awaiting the opportune time to engage with
Policy
Fund Council Resource group. Centers identify this policy as of increasing importance in the current resource
environment.
2
The CGIAR Financial Guidelines serve as control measures across the CGIAR system. The series is as follows: FG1 (Financial Management); FG2 (Accounting Policies and
Reporting Practices Manual); FG3 (Auditing Guidelines); FG4 (Preparing the 2010-2012 Medium-Term Plans and the 2010 Financing Plans; FG5 (Cost Allocation Guidelines);
and FG6 (Procurement of Goods, Works and Services Guidelines). Some FGs are not part of the Common Operational Framework or have not been approved by the Fund
Council, whilst others are outdated. The revision program takes into account the agreed priorities for the 2015 PoWB, with particular focus on the policies that are central
to the SRF and 2nd call.
Page 8 of 13
2014 planned
output
System-wide
Escalation Policy
for whistleblowing
End Q4 status
update
compared to Q3
2014
Re-prioritized as
important, and
good Q4
progress
No additional
Q4 progress
Additional Comment
The Consortium has verified that all 15 Centers have Whistleblowing and anti-harassment policies in place. The
Consortium has one in place as well. 2015 will see work focus on ensuring a systematic way to address incidents
that require escalation to the Consortium (or de-escalation to the Centers), and those that require reporting to the
FC other than in the ordinary course of the annual report of the Internal Audit Unit.
Center Investment
An initial policy was approved by the Consortium Board in October 2013 (CB13) and submitted to the Fund Office
for Fund Council review thereafter. Comments from the Fund Council Governance Committee were received in
Policy framework
March 2015 (regrettably too late to be incorporated and dealt with during CB19). Revisions are ongoing on the
draft revised policy based on FCGC inputs, and additional Center consultations. The CB’s GPCC will review the
material in May 2015, submit it for CB approval, and then re-submit the material for FCGC recommendation to the
FC for approval during 2015.
B. Consortium Policies (Non-CoF policies)
Open Access
Approved and
Implementation
implemented
Guidelines
Revised Branding
Approved and
Guidelines
implemented
Revised legal
Status quo
The Consortium Partnership Agreements and Program Implementation Agreements (PIAs) were amended in line with
requirements for
the extension of some CRPs. The revision of these and the Joint Agreement will be assessed and prepared by the
use of W1 and W2
Consortium legal team, in collaboration with the Centers’ and Fund Office legal teams, in advance of the 2nd phase of
funds
CRPs.
C. Operational efficiency / Core Business
Formal separation Finalized
The considerable delay in separation procedures resulted in a significant additional once-off cost overrun for the 2014
budget, with focused attention in 2015 on finding every efficiency possible to seek to recover this overrun to the
from Bioversity
extent possible.
SRF and Guidance Significant
Critical elements of the CO work program for 2014 were the SRF and Guidance for CRP 2nd Call, both of which entailed
nd
stakeholder
for CRP 2 Call
intense interaction with many stakeholders and resulted in the near completion of both streams of work.
engagement
Page 9 of 13
2014 planned
output
CRP 2nd Call
initiated
Gender Research
Action Plan
(GRAP)
End Q4 status
update
compared to Q3
2014
Additional Comment
Rescheduled to May-June 2015.
GRAP approved
and
implementation
started
The Fund Use Agreement and the disbursement of resources in place in early 2015. This project is now on-track.
Page 10 of 13
Annex 2 – Consortium Office Stakeholder Survey Results
Figure 1: Categories of participants in the stakeholder assessment exercise
Graphs: 2014 Consortium Office survey responses
Overall, how would you rate the performance of the Consortium Office?
2.21
1.00
2.00
3.00
4.00
To what extent are you satisfied with how the Consortium Office manages relationships with
the following?
2.23
Fund Council (FC)
CGIAR Global Research
programs (CRPs)
2.46
2.06
Centers and Centers’ Boards
1.00
2.00
Page 11 of 13
3.00
4.00
How would you rate Consortium Office's performance in: development and cyclical revision
of the following Policies and Common Operating Framework?
2.84
Branding Guidelines
2.92
Open Access
2.47
Harmonized Reporting
2.24
Reserves Policy
2.50
Financial Guidelines
1.00
2.00
3.00
4.00
How would you rate Consortium Office's performance in managing the following aspects?
2.96
CGIAR Annual Report
3.11
Intellectual Assets Report
2.81
Gender Research Action Plan
CRPs Individual Program/Financial and Portfolio
Reports
2.55
2.65
CRPs Plans of Work and Budget (POWB)
2.36
Guidance for second call
2.15
SRF Revision
1.00
2.00
3.00
4.00
To what extent are you satisfied with the following aspects of the Consortium Office's
communications?
2.91
Social media support to promote CRP and Center events
2.82
Representing CGIAR in Key Events/Venues
Are we “pushing” as much traffic as possible back to CRP
and Center sites?
2.58
Do you find the ‘gel’ for new websites the CO provides
helpful?
2.62
Web space for your CRP and Center events/posts and
promotion on cgiar.org
2.74
1.00
2.00
Page 12 of 13
3.00
4.00
How would you rate Consortium Office's performance in: Shared standards /systems /
services (both development and service provision)
Shared Approaches/Experiences (HR, ICT, Finance,
Procurement and Staff Security)
2.48
Integrated CRP Sites & Host country agreement for
CGIAR Hubs
2.12
2.06
OCS Development
Development and support of Communities of Practice
CoP (Other)
2.42
Development and support of Communities of Practice
CoP (Capacity Development)
2.23
Development and support of Communities of Practice
CoP (IT & Knowledge Management)
2.55
Development and support of Communities of Practice
CoP (Communications)
2.58
Development and support of Communities of Practice
CoP (Legal)
2.81
Development and support of Communities of Practice
CoP (CRP Leaders)
2.43
Development and support of Communities of Practice
CoP (Corporate Services)
2.43
1.00
2.00
3.00
4.00
Overall, how would you rate Consortium Office's communications (website, mailings,
publications, reports)?
2.63
1.00
2.00
3.00
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4.00