26 October 2015

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CGIAR Consortium Progress Update on 2015 Deliverables Including Gender and Open Access-Open Data special

initiatives

April to October 2015

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Part 1 – Executive Summary

This document summarizes progress against the following seven strategic priorities for the CGIAR Consortium for 2015 since its 8 April 2015 report to FC13:

Key Deliverable 1: Ensure system-wide adoption of a bold new Strategy and Results Framework (SRF)

Key milestones: 2016 – 2030 SRF approved by the Consortium Board and the Funders Forum, now serving as the key strategic document to direct the scientific research efforts of the CGIAR system through to 2030, with interim targets adopted for 2022.

Key Deliverable 2: Approve and launch the call for next generation CGIAR Research Programs (CRPs) in line with the SRF

Key milestones: 2nd Call Pre-Proposal Guidance issued on 15 June 2015; and the Consortium’s Independent Science, Programs, and Partnerships Committee (SPPC) review completed and presented to the Consortium Board for discussion in November 2015.

Key Deliverable 3: Options Team engagement and follow up on Fund Council 2015 decisions

Key milestones: Ongoing Consortium contributions to the planned transition, including routine engagement throughout June and July to support the Fund Council’s approval of a ‘Transition Plan’ to support the transformation processes.

Key Deliverable 4: Meaningful advancement gender diversity in research, and in the workplace in the larger context of a true Diversity and Inclusion Strategy for CGIAR

Key milestones: In early October, the Consortium submitted to the Fund Office: (i) for FC14 the Consortium’s 4th Gender in research and the work place report, (ii) together with a proposed re-stated 2016 – 2020 Diversity and Inclusion Strategy following broad consultation with Centers for consideration by the FC as soon as possible.

Key Deliverable 5: Manage the Consortium’s core business related to the ongoing CRP cycle.

Key milestones: The Consortium has concluded and delivered: (i) 2014 CRP Portfolio Report; (ii) 2014 CGIAR Intellectual Asset Report; (iii) 2014 CGIAR Annual Report, as launched during the SDG summit in September 2015; and (iv) the 2014 Financial Report. 2015 1st CRP disbursements were made in early July.

Key Deliverable 6: Increase the CGIAR funding through a successful fund drive, strategic communications and lead to new sources of international funding

Key milestones: The Consortium has (i) agreed with FO on the principles and agenda of a Fund Drive in 2016, (ii) completed its application for Green Climate Fund accreditation (pending review by the GCF), (iii) organized or participated in key cross-CGIAR and high level events, (iv) initiated the production of renewed communication supports.

Key Deliverable 7: Host and support successful deliver of Phase 1 of the Open Access – Open Data special initiative.

Key milestones: Almost each Center and CRP has taken steps towards making publications and data openly accessible, and towards better documenting and organizing other research outputs. Annex 1 to this paper provides a detailed report on progress to date.

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Part 2 – Elaboration of deliverables

Key deliverable 1: Ensure system-wide adoption of a bold new Strategy and Results Framework (SRF)

Critically for the collective work of the CGIAR system as a whole, on 11 May 2015 the Consortium Board approved a final version of a bold new 2016 – 2030 CGIAR Strategy and Results Framework (SRF) drawing on key additional inputs from donor representatives and the Independent Science and Partnerships Council (ISPC) at the Fund Council’s 28- 29 April 2015 Bogor meeting (FC13). These adjustments focused on:

a. Introducing targets for 2022, being the 6 year coverage point for the next generation of CGIAR Research Programs that will be approved in 2016, for a start date in 2017;

b. Referencing the evolving governance model, and more clearly articulating the need for an agreed and sustainable funding envelope to provide the right conditions for success of the next generation CRPs and the overall achievement of the SRF’s goals; and

c. Highlighting the qualitative prioritization exercise to be undertaken by the ISPC prior to approval of the pre-proposals for the next generation CRPs.

With agreement from the donors in Bogor, the SRF was used as the basis for the 2nd call guidance for pre-proposals in advance of Funders’ Forum approval (that is now also confirmed). A summarized version of the SRF has been produced (accessible here) in advance of our development with the Communications Community of Practice of a suite of new tools for donors, Centers and partners – current and new – to showcase the Strategy and shared CGIAR goals.

Key Deliverable 2: Approve and launch the call for next generation CGIAR Research Programs (CRPs) in line with the SRF

The Consortium worked with Centers, the ISPC, the Independent Evaluation Arrangement, partners (especially through the CGARD3 platform) and others to develop the framework for the 2nd call proposal process. As an important input into that work, FC13 saw:

a. Agreement of the 2nd call proposal timeline – although with clear reservation from the Consortium that the timeline prevented necessary Consortium-Center dialogue in advance of the Consortium’s Science, Programs and Partnerships Committee (SPPC) recommendations to the CB being shared directly with the FC also; and

b. Endorsement of the Centers’ desire to define the CRP2 Portfolio in advance of the formal call, with the Fund Council and Consortium Board reserving the right to comment on the appropriateness of the overall portfolio – with this unique opportunity presenting itself for the first time – when pre-proposal submissions were in.

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Key activities across the Consortium have included:

Issuing the CRP 2nd Call pre-proposal Guidance document on 15 June:

As a step aimed at addressing, to the extent that it would be possible, the risks arising from item a. above, introducing an informal in-confidence pre-review of early draft pre-proposals by members of the SPPC, with inputs focused on providing overall feedback on the coherence of the flagships to the SRF; and whether there was sufficient focus on systems issues. The pre-review was optional, with most but not all taking up the opportunity to participate; hence limiting the extent to which a holistic review could be had of the proposed portfolio as a whole;

Undertaking a preliminary value for money exercise of pre-proposals at flagship level to determine whether the pre-proposals, when taken as a collective whole, present a strong connection between prospective impacts and high-level targets, to provide confidence that the efforts across the portfolio will yield the best return on investment;

Co-leading workshops with Centers and partners on how to most effectively address youth (Montpellier 8-9 September) and Private Sector (The Hague, 21 September) in the CRP2 portfolio, with lessons learned bring incorporated into the full proposal stage;

Supporting the SPPC’s review of pre-proposals and resulting portfolio in the context of changed resource forecasts for 2015 and 2016; and

Facilitating and leading the CRP 2nd Call consultation process, with GFAR, implemented as the “GCARD3 consultation process”, focused around country level consultations, and four regional consultations and a GCARD3 Conference, that – following consultation in Q2 and Q3 2015 are now planned to take place in the first half of 2016 (in Africa); including CAADP alignment in Africa.

Key Deliverable 3: Options Team engagement and follow up on Fund Council 2015 decisions

Most notably, the Consortium actively contributed to the development of the Transition Plan that was approved by the Fund Council on 4 September 2015, providing inputs at both the strategic and operational levels. With the formation of the Transition Team in late September 2015, the Consortium’s engagement has shifted to providing more concrete inputs into the draft legal approach paper, and being proactive in its support for the transition of staff into the new System Organization. It is recognized that our Fund Office colleagues face considerably heightened uncertainty and our goal is to collaborate fully to mitigate these challenges to the extent possible for the individuals who are affected.

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Key Deliverable 4: Meaningful advancement of gender in research, and gender in the workplace in the larger context of a true Diversity and Inclusion Strategy for CGIAR

For gender in the work place: Collaboration across the Human Resources Community of Practice since March 2015 has resulted in the CGIAR Consortium bring ready to present a restated 2016 – 2020 CGIAR Diversity and Inclusion Strategy (‘Strategy’) for Fund Council approval at its November 2015 meeting. A particular strength of the restated Strategy is the inclusion of specific targets to incentivize the Consortium and its member Centers to proactively address gender diversity issues as a key aspect of CGIAR being identified as a world class employer of a diverse pool of highly talented staff. For gender in research: we see desired progress in the three Gender and Monitoring Framework indicators, subject to limitations of some data, as follows:

(i) At the portfolio-level, gender budget commitment by CRPs remains steady; (ii) Attention to sex-disaggregated data collection has increased; and (iii) Each of the CRP pre-proposals included the required summary explaining how

gender is incorporated into program priorities and how attention to gender will be operationalized.

Implementation of the Gender Strategy is on target: attention to gender has been thoroughly integrated into CGIAR’s key policy documents and into CRP annual plans of work and budget and reporting with CRP Budgets in 2013, 2014 and 2015 showing a steady commitment to investment in gender research largely matched by actual spend. Funds for the Consortium’s Gender Research Action Plan (‘Plan’) were released in March 2015 and awards for the Plan’s first round of Gender Postdoctoral Fellowship (‘PDF’) and the supporting advanced research partnership for coaching and mentoring PDFs were made. The Call for second-round Gender PDFs has also recently been announced. The Plan’s Electronic Platform for cross-program knowledge-sharing via the Gender Research Network was also launched with a weekly bulletin synthesizing gender research outcomes; support for specific communities of practice collaborating on joint studies; facilitated monthly virtual meetings on best practices; a system-wide inventory of gender studies including support for sharing sex-disaggregated data. Full details of the work undertaken over the past six months is set out in the stand alone report titled ‘Fourth CGIAR Consortium Gender and Diversity Performance Report, 30 September 2015’1 as submitted to the Fund Council through the Fund Office. The 2016 – 2020 Gender and Diversity Strategy has also been shared with the Fund Office for FC approval either at FC14 or electronically shortly thereafter.

1 http://www.cgiar.org/who-we-are/cgiar-fund/fundcouncil/fund-council-meetings/14th-fund-council-

meeting/

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Key Deliverable 5: Manage the Consortium’s core business related to the ongoing CRP cycle.

With the much appreciated engagement of Centers and CRP leads, and Communities of Practice as relevant, the Consortium has completed its mid-2015 reporting cycle, by delivering each of the following reports, with their respective key messages:

2014 CRP Portfolio Report2: Whilst there remains room for improvement, in particular for demonstrating more achievement in regard to the ‘nutrition and health’ and ‘natural resources management’ System Level Outcomes (SLOs) from the existing 2010 – 2015 SRF, the CRP portfolio is now embracing delivery against the SLOs in a more balanced manner than before, and end 2014 represents the first time that the portfolio was, as a whole, on track to deliver on the existing 4 SLOs.

2014 CGIAR Intellectual Asset Report3: developed by the CGIAR Consortium in collaboration with the Fund Council Intellectual Property Group (FC IP Group) and in consultation with the Centers. Based on Center 2014 Intellectual Assets (IA) reports and additional information received from the Centers, the CGIAR Consortium and the FC IP Group agree that all Centers complied with the CGIAR IA Principles in 2014. In this regard, all Centers submitted to the CGIAR Consortium their Boards’ assurances of compliance for 2014. The CGIAR Consortium, in consultation with the FC IP Group and Centers, is revising the reporting template used by Centers for the 2015 reporting cycle in order to streamline and improve consistency of reporting across Centers and better capture certain aspects not covered in the current template.

2014 CGIAR Annual Report4: The Scientific Progress section of the report highlights how CGIAR is making inroads in its collective effort to capitalize on its comparative advantages to contribute to the achievement of the Sustainable Development Goals and deliver concrete impacts: from discoveries in the laboratory to increased productivity in the field, fisheries and forests. The report also includes a special feature on nutrition, which underscores how CGIAR’s agricultural innovations and interventions along the entire agri-food value chain contribute to better nutrition and health, particularly by improving access to more affordable, nutritious and diverse diets for those most in need.

The Consortium has now also completed all Program Implementation Amendment agreements, as signed by Bioversity International due to the past hosting arrangements.

2 Shared with the Fund Office on 15 October 2015 for distribution to the Fund Office 3Available on the CGIAR website, for FC14, at: http://library.cgiar.org/bitstream/handle/10947/3999/2014%20CGIAR%20IA%20Report%20approved%20by%20CB%2018%20June%202015.pdf?sequence=1 4 Available on the CGIAR website at: http://www.cgiar.org/resources/cgiarannual-reports/cgiar-annual-report-2014-featuring-nutrition-and-health/

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Work on progressing a final transfer of all of the rights and obligations under the Bioversity hosting arrangements, to the Consortium has been undertaken across the 2015 calendar year, requiring first an amendment to the original Memorandum of Understanding with Bioversity, and then the Fund Council’s approval of that transfer. With all preliminary matters now attended to in collaboration between the legal teams of Bioversity, the World Bank and Consortium, it is expected that this final step will be active by end 2015. With changed financial projections for 2015 (delivered only in early October 2015) and for 2016 also, work must now turn to considering whether a revised 2015 CRP Financing Plan must be approved by the Consortium Board, in addition to the essential preparation by end December 2015 of a 2016 CRP Financing Plan. Adding an unplanned additional area of work for the Consortium, a joint CB/FC working group has been formed under the leadership of the CB Chair, to provide input in the Consortium’s deliberations on how to implement what are considerable additional cuts to available CRP resources compared to mid-2015 available projections for the remainder of the 2015 – 2016 CRP extension period. Input on draft materials is being requested from the FC at its November 4 – 5 meeting.

Key deliverable 6: Increase the CGIAR funding through a successful fund drive, strategic communications and lead to new sources of international funding

As approved by Consortium Board in July, the Consortium has led a series of activities towards increasing CGIAR funding, with early achievements including:

Work on and agreement with FO and Centers on the principles and agenda of a Fund Drive in 2016: The Fund Office leads the development of a Resource Mobilization Strategy for approval by the Fund Council at FC14 in early November, expected to provide a work plan for the CGIAR Fund Drive in 2016 to put in place the core resources for the first phase of funding for the next generation of CRPs (2017-2019). The Consortium’s Director of Strategic Partnerships is working with the Fund Office (now including a formerly IFAD replenishment specialist) and the cross-center RM-Community of Practice (CoP). Simultaneously, the Consortium Office has been conducting a value for money analysis of the CRP2 pre-proposals – in the first place as part of the CRP 2nd Call process - but also as a key element to develop the business case for a resource mobilization campaign in 2016.

Application for Green Climate Fund (GCF) accreditation: The GCF funding is the primary resource mobilization focus of the Consortium Office in collaboration with a number of Centers in 2015. Our efforts are two-pronged: (i) GCF accreditation of the CGIAR (through the Consortium for all Centers) and is under review; and (ii) CCAFS and WLE, the Consortium and a number of Centers are working with the French government and research institute on a major Climate Smart Agriculture initiative in 6 developing countries, at a level of $225 million over 5 years – with a focus on improving soil carbon sequestration – linked to a French government proposal to be launched at COP21 and called 4pour1000.

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Organization of key cross-CGIAR and participation in high level events: As an essential component of resource mobilization, a number of key events have been (co-)organized by the Consortium that provide high profile opportunities advocate for agri-food system research in general, and for the CGIAR in particular. These have included:

CGIAR Youth & Employment workshop at the CO, September 8-9, with the African Development Bank (ADB) and IITA. Brought together some 10 Centers and outside experts as well as the AfDB, which is planning major investments ($1 Bn) in youth employment schemes related to agriculture.

CGIAR Private Sector Event, The Hague, September 21. Brought together some 20 private sector representatives with CGIAR and Dutch stakeholders towards an enhanced CGIAR-private sector partnership. http://bit.ly/1P0AjZT

Norway, EAT, WHO and CGIAR High Level Event at UNGA Summit on Sustainable Development Indicators, New York, 25 Sep – presentation of EAT-SDSN-CGIAR proposal for key indicators to monitor agri-food related SDGs, and a global database and report to monitor the global food system.

CGIAR side-event at FAO Committee on World Food Security, Rome 13 Oct - Healthy Diets from Climate-Smart Food Systems: Debating a climate-smart approach for a food-secure future. http://bit.ly/1WdydX4

In addition, the Consortium CEO made presentations at other key events: Governing Body of the International Treaty on Plant Genetic Resources, Rome, October 5; International Conference "Strengthening Global Food and Nutrition Security through research and innovation - lessons learned from Expo 2015”, Milan, October 15; and AfDB’s Feed Africa Conference, Dakar 20-22 October.

The Consortium Office is also preparing 4 high-level events during COP21 in Paris.

Initiating the production of renewed communication supports: To support resource mobilization, the Consortium has initiated the development and/or renewal of key brochures, the CGIAR annual report, revamped website, short messaging documents around the 2016 – 2030 SRF - and has registered with the Salesforce Foundation for the installation of a CRM database before end 2015 to more effectively manage its contacts and leads.

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Key Deliverable 7: Host and support successful deliver of Phase 1 of the Open Access – Open Data special initiative.

Year 1 implementation of Phase 1 of the Open Access – Open Data proposal has commenced, with key early achievements including:

Completion by all Centers of a broad and multi-faceted assessment to identify, where possible, how information from different data streams was being managed;

Development of an Open Access- Open Data tool kit, in recognition of Centers’ expressed need for a set of tools, best practices and examples to help with OA-OD implementation; and

Discussions have been held with a number of funding and implementing entities in the agricultural domain and beyond to build common understanding, policies, support, expectations, and vision where possible to build a realistic Phase II proposal that will render CGIAR’s publications and data discoverable, accessible, and reusable, and deliver an integrated and contextualized view of research outputs across data stream, type, discipline, Center, and CRP.

Annex 1 to this paper sets out a detailed project update for Phase 1 implementation at 30 September 2015.

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Part 3 – Key operational priorities and staffing Financial reporting and CRP funding In September, the 2014 CGIAR Financial Report was finalized and is available on the Consortium web-page here: At the same time, the Preliminary 2015 Financial Report was developed, and forecasts revenues and execution of research work. At the time of preparation of this report, the 2015 CRP FinPlan is being adjusted in view of the latest information on changes of donor funding that have been applied retroactively for the 2015 year, as communicated to the Consortium in only October. The 2nd disbursement of funds to CRPs/Centers was retained in view of the significant changes of funding availability as compared to the forecast. As noted earlier in this report, a draft version of the 2016 CGIAR FinPlan with focus on Window 1 and 2 re-allocation based on performance ratings was circulated for inputs in advance of discussion at the Consortium and Fund Council governance meetings in early November 2015. Feedback on this initial consultation draft is continuing to be received and work must now turn to refining that document as regards to how performance ratings might impact fund allocations and to the development of a full 2016 FinPlan that also takes into account unexpected adverse financial resource projections. Financial Guidelines Series 1 to 6 Revision of a number of the CGIAR Financial Guidelines Series has not progressed as planned in light of the 2015 April FC13 decisions to transform the system, and recognition that the current guidelines are adequate in the circumstances of work continuing to define the scope of fiduciary services to be provided by the World Bank to the new system from 1 July 2016. Noting the long lead times for amendments to be considered, consulted and take effect5, the Consortium believes it would add undue pressure to Centers, and unnecessarily further stretch its own limited staff resources, to commence system-wide consultations on further FG series reforms absent clarity on where fiduciary responsibilities and reporting lines will sit in the new system. To proceed now would give rise to a real risk of significant duplication of effort for little if any perceived gain. Staff security To take forward the essential need for CGIAR to deliver a safe operating environment for all staff, travel management, and security services have been negotiated and established for all Consortium members – thereby putting in place essential foundational elements to know where CGIAR staff are and manage the situation should an incident arise. To further this holistic approach, the Consortium Board has approved a CGIAR Staff Security Accountability Framework in collaboration with Centers during an extended consultation phase as a means of clarifying the roles and responsibilities for the Consortium Board, Center Boards, all Consortium staff, and security focal points in regard to the safety and security of staff.

5 For example, the Consortium Board approved amendments to FG5 in June 2013 and submitted them to the

Fund Council shortly thereafter. The Consortium continues to await feedback from the Fund Council on whether the proposed restated FG5 is approved.

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Simultaneously with taking this Framework to the Centers for the necessary endorsement before it takes formal effect, the Consortium will work with Centers to prepare implementation guidelines that incorporate sufficient flexibility to enable them to respond to and be operable within their respective Centers and host countries. Supporting effective governance operations With considerably more on the governance program than before (including, concurrently, system reform discussions; leading the formal call process for the next generation CRPs, and unexpected discussions on adverse financial projections for CRP funding over the balance of the 2015 – 2016 extension period), the Consortium Board and its committees have held a number of meetings in addition to the regular cycle of annual meetings. Added to this is Consortium’s support for a new joint CB/FC working group initiated by the CB Chair to discuss a more strategic means of implementing significant budget cuts in the 2016 financial year. Staffing In keeping with the guidance given to the CEO by the Consortium Board in March 2015, no staff positions have been added to headcount as reported at FC13 (April 2015). Ad-hoc vacancies that have arisen (e.g. to provide cover for maternity leave) have been filled only on a short term basis to as to maintain minimum Consortium Office capacity to respond to the increasing complex operating environment across the system as a whole. Staff who have left during the year, or those who are soon to depart, have been/will be similarly replaced. In line with earlier commitments a Staff Survey will be conducted before the end of the year. Similar to the regular salary survey process in the Centers, the CO has embarked on salary survey which is also to be finalized before the end of the calendar year and this will be shared with the Transition Team to further inform their work in the area of supporting as smooth as possible transition to a new system office. Leadership team meetings were held on a weekly basis. In June monthly HR meetings were instituted with the CEO, Director of Finance and Corporate Services and the Director of Human Resources and Talent Management to strengthen the organization’s focus on maintaining a highly motivated effective team to deliver on key priorities, and the consistent application of the Consortium’s Personnel Policy Manual across that team.

Annex 1 CGIAR OA-OD Phase 1 project report

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PROJECT REPORT: CGIAR Open Access and Open Data Phase I (2015): Assessment, Prioritization, and Coordination of CGIAR’s Current Open Environment

An important component of the strategy for enhancing CGIAR’s impact and fueling a “translational agriculture” revolution involves enabling the discovery of, unrestricted access to, and effective reuse of publications, data, and allied research products, particularly those deemed to be of high quality and value, with the potential for accelerating change and catalyzing innovation. CGIAR and the agricultural science community in general still require substantial groundwork before seamless and consistent information discoverability, integration, and interoperability between related outputs is achieved. The 12-month Phase 1 Open Access and Open Data project funded by the Bill and Melinda Gates Foundation tackles some of these foundational needs via activities organized around five key objectives. This report provides an overview of the progress made on achieving these objectives since the project was approved in mid-January 2015. Objective 1. Conduct a broad inventory and assessment of CGIAR capacity in OA-OD. A pre-requisite to implementing OA-OD across CGIAR is a clear understanding of each Center’s needs and capacity with respect to managing research outputs for openness. A broad and multi-faceted assessment was undertaken – with an effort to assess, where possible, how information from different data streams was being managed (including but not limited to: genetic/genomic; genebank; agronomy; breeding; natural resource management—including soils, hydrology, climate and more; socioeconomic—including surveys, food security, poverty, livelihoods, nutrition and allied areas; geospatial, and other sectors). All Centers have completed the assessment, which is now being analyzed to determine: The OA publications landscape across CGIAR (Output 1.1); data management and quality practices (Output 1.2); how other research products are handled (Output 1.3); and gaps and needs in human resources and enabling environments for OA-OD (output 1.4). The final deliverable (Output 1.5) is the design of an indexing tool that will help assess each CGIAR Center repository’s compliance with interoperability standards and “openness”, and provide seamless and easy access to CGIAR research outputs through a central, user-friendly portal supporting querying and retrieval of information from all CGIAR publications and data repositories. Substantial progress has been made on this through collaboration with Cascadeo Inc., which has developed functional requirements for different user types, a conceptual architecture and design for the portal, and a roadmap towards its realization.

Annex 1 CGIAR OA-OD Phase 1 project report

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Objective 2. Develop a legacy data prioritization framework. It is virtually impossible and very expensive to identify all datasets and publications from the past several decades that are not currently openly accessible, but there are high-value outputs among these that could perhaps be identified and made discoverable as global goods. Discussions are ongoing with Centers on what key elements to include in a data prioritization framework (Output 2.1), initially with a few CGIAR GIS specialists, with members of the Data Management Task Force (DMTF) soon to be involved, along with Center and CRP scientists to ensure that the framework will hold true for varied data streams (e.g. genetic/genomic; genebank; agronomy; breeding; natural resource management—including soils, hydrology, climate and more; socioeconomic—including surveys, food security, poverty, livelihoods, nutrition and allied areas; geospatial, and other sectors). Objective 3. Provide coordinated support to Centers and CRPs in their ongoing efforts towards OA-OD, and leadership for external efforts. It is clear from the OA-OD assessments conducted in 2014 and 2015 that almost each Center and CRP has taken steps towards making publications and data openly accessible, and towards better documenting and organizing other research outputs. This work is continuing, but is likely to be of limited utility without a consistent approach to human and technical infrastructure, policies, standards, and interoperability—to name just a few key issues. In order to ensure that the OA-OD “scaffolding” being erected across CGIAR can interlink and pay off, it is critical to continue providing coordinated support to each Center and CRP. In recognition of Centers’ expressed need for a set of tools, best practices and examples to help with OA-OD implementation, an OA-OD Support Pack has been developed (Output 3.1), which brings together exemplar policies, templates, workflows, guidance on licensing and publishing while retaining copyright, data management plans, advocacy materials and talking points in support of OA-OD, ToRs for OA-OD related positions – and more. This resource currently exists as an open cgxchange/Google document platform, but may be re-deployed on another platform if such a move is warranted. To increase momentum towards OA-OD, each Center (as the enduring entity and ultimate steward of resources) is expected to develop for itself–and the CRPs it leads–a clear, practical, and actionable Open Access and Data Management Implementation Plan which complies with CGIAR’s Open Access and Data Management Policy (Output 3.2). A template implementation plan was developed to encourage consistency among Centers, and regional workshops focused on using the template to draft implementation plans were organized. These were held in April, in Kathmandu, Nepal (organized by CIMMYT-Nepal) for Centers in Asia and at ILRI in Addis Ababa, Ethiopia for those in Africa, the Middle East, and Europe; the Americas workshop was held in August at CIAT in Cali, Colombia. Three to four representatives from the research, data, information, communications, knowledge, or legal domains attended for each Center, and most left with a draft implementation plan in hand.

Annex 1 CGIAR OA-OD Phase 1 project report

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Some drafts have been submitted to the Consortium Office; others are being finalized through discussion with Center leadership. Infrastructural work to improve and link CGIAR tools and platforms (Output 3.3) was begun before this project started, through substantial in-kind contributions from staff at several Centers (CIAT, Bioversity, CIMMYT, ILRI, and IFPRI). This work is continuing under the auspices of the OA-OD project, and includes the following activities:

Development of a reference ontology for agronomic trial management, which will enable linkages between breeding and agronomy data, be available as Linked Open Data, and of value to a variety of tools and users, including the IBP-BMS and AgTrials.

The agronomy ontology will underlie the agronomy field book, envisioned to allow agronomists across CGIAR and its partners to create data sheets and collect data (laptop, tablet, or mobile based) with consistent metadata, terminology, scales, and methodologies, and to also store them temporarily in the IBP database with view/edit permissions. A one-click upload to AgTrials and APIs to easily deposit final field book data in key repositories is also envisioned; all these improvements will go a long way towards addressing data quality issues. Preliminary design of the fieldbook is underway, with more progress envisioned on completion of the agronomy ontology.

Improvements to the AgTrials interface, navigation, metadata schema, and data submission forms are underway, with a concerted push on all these fronts made in collaboration with the CCAFS team at CIAT in August.

Work with the CSI community to address geospatial data needs and accessibility is continuing, partially using project funds, and by leveraging other funding sources (e.g. via the recently approved African Agriculture Technology Platform’s Virtual Information Platform (AATP-VIP), but prioritizing linkages with additional platforms where useful.

CGIAR is collaborating with and providing leadership on OA-OD initiatives relating to the agricultural domain (Output 3.4), and is now working with FAO (on determining a coherent road map for agrisemantics efforts) and with the Global Open Data for Agriculture and Nutrition (GODAN) initiative. CGIAR is also teaming with INRA and WUR on maturing the Open Data Journal for Agricultural Research (ODjAR), in an effort to empower researchers to make their data open. Objective 4. Plan for impact assessment. Successful implementation of this project (Phase I and Phase II) will lead to the next obvious question: What, if any, impact has the move to open access had? This is a thorny issue, as the entire area is new enough that the appropriate metrics to assess true impact—not just citation counts—are still being discussed, developed, and reformulated. This project will

Annex 1 CGIAR OA-OD Phase 1 project report

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enable the development of a draft framework allowing an assessment of the impact of implementing OA-OD across CGIAR (Output 4.1). Initial discussions on such a framework have begun with consultants, vendors (e.g. Altmetrics Inc.), and Center-based staff, and is likely to be developed with the GODAN Secretariat, which is also grappling with similar issues. The framework is likely to include the open fraction of total publications and data sets produced by Centers and CRPs and estimated usage of these open products via citation and download counts. Collaborator and co-author network analyses to assess whether these might provide yet another view of the impact of OA-OD is another approach being considered. Objective 5. Plan for Phase 2: Implementation. This Phase I, 12-month project provides the necessary data and information to demonstrate where additional funding support should be focused. Discussions have been held with a number of funding and implementing entities in the agricultural domain and beyond (BMGF, USAID, USDA, NCBI, CIRAD/INRA) to build common understanding, policies, support, expectations, and vision where possible to build a realistic Phase II proposal that will render CGIAR’s publications and data discoverable, accessible, and reusable, and deliver an integrated and contextualized view of research outputs across data stream, type, discipline, Center, and CRP (Output 5.1). This will include support for Centers to address the very large cultural gaps emerging via assessments and implementation plans, and will enable OA-OD momentum to continue until this initiative becomes an integral part of the Second Call for CRPs. In addition to facilitating an enabling culture for OA-OD, key pieces of a Phase II project will be use-case driven, and centered on strengthening analytics and tools, interoperability, and data harmonization. A mature indexing system and overarching portal to enable discovery of research outputs across CGIAR is also seen as a centerpiece of this second phase.