BACKGROUND
The Consultative Group on International Agricultural Research (CGIAR) has charged its Technical Advisory Committee (TAC) with the responsibility of conducting External Programme Reviews (EPRs) of those International Agricultural Research Centres (Centres) that it supports financially. The CGIAR has assigned a similar responsibility to its Secretariat for External Management Reviews (EMRs).
TAC and the CGIAR Secretariat normally discharge these responsibilities by commissioning either separate panels or a joint panel to conduct the reviews. In commissioning panels, neither TAC nor the CGIAR Secretariat delegates its responsibility for reviews, but both use panels to facilitate the process. Panels submit their reports for consideration by TAC and the CGIAR Secretariat before they are transmitted to the CGIAR. While the main recommendations made by panels are normally endorsed both by TAC and the CGIAR, such endorsement cannot be presumed by either the panels or the Centre under review. Equally, as autonomous institutions, Centres are not obliged to implement the endorsed recommendations. In practice, however, they usually implement most, if not all of them.
PURPOSE
Through its support of International Centres, the CGIAR aims to contribute to increasing sustainable crop, livestock, fish and tree production in developing countries in ways that improve the nutritional level and general economic well-being of low-income people. The purpose of external reviews is to help to ensure that the Centres continue to implement strategies and programmes that are relevant to these goals; that they maintain or enhance their record of achievement; and that they are efficiently managed. In these ways, external reviews reinforce mechanisms of accountability within the System.
EPRs and EMRs are also essential components of the CGIAR's integrated planning process. The context in which they are undertaken is to be found in the document "Review Processes in the CGIAR".
THE REVIEW
Against this background, the panel is requested to make a thorough and independent appraisal of the Centre and all its activities, following the broad topics below, as well as the appended list of questions and guidelines. Panels are encouraged to set their findings in the broader context of the CGIAR System, where this is relevant to the activity or programme under review.
A. Recent Evolution of the Centre
Important changes affecting the Centre since the previous external review.
B. Mandate
The continuing appropriateness of the Centre's mandate in relation to the mission and goals of the CGIAR.
C. Strategy and Programmes
The policies and strategies of the Centre, their coherence with CGIAR strategies, and the mechanisms used for monitoring and revising them.The extent to which the Centre's strategy is reflected in its current programmes; the rationale for any proposed changes by the Centre and their implications for future activities.
The quality of current programmes and activities.
D. Centre Guidance, Values and Culture
The overall effectiveness of the Centre's Board of Trustees in governing the Centre, and the effectiveness of leadership throughout the Centre.The Centre's guiding values and culture, and their influence on the Centre's performance.
E. Programme Organization and Management
The mechanisms in place at the Centre to ensure the excellence of the programmes and cost-effective use of resources.The adequacy of the Centre's organizational structure, and the mechanisms it uses to manage and coordinate its research programmes and related activities.
F. Resources and Facilities, and their Management
The financial resources available to the Centre in relation to its present and future programmes.The land, laboratories and services available for supporting the programmes.
The Centre's human resources.
The Centre's information resources and facilities.
G. External Relationships
The Centre's relationships with national research systems1 in developing countries.1 National research systems include all those institutions in the public and private sectors, including universities, that are potentially capable of contributing to research related to the development of agriculture, forestry and fisheries.Collaboration with advanced institutions in research and training, in both the public and private sectors.
Collaboration with other CGIAR Centres and international agricultural research institutions, and undesirable overlap of activities.
The Centre's relationships with the government of its host country or countries and with institutions therein.
H. Achievements and Impact
The Centre's overall impact, its contribution to the achievement of the mission and goals of the CGIAR, and the methods used for making such assessments.Recent achievements of the Centre in research and other activities.
The potential of the Centre's current and planned activities for future impact.
THE REPORT AND RECOMMENDATIONS
Panels are requested to prepare succinct reports in plain language (understandable to non-technical readers), in which factual material is kept to the minimum necessary to set the conclusions in context. Reports should include clear endorsements of the Centre's activities where appropriate, as well as recommendations and suggestions for changes.
Recommendations should be justified by the analysis and approved by panel members. Recommendations for increases in staff or activities should be accompanied by analyses of their resource implications. Reports should be formally transmitted to the Chairman of TAC and the Executive Secretary of the CGIAR by panel Chairs.
LIST OF QUESTIONS FOR EXTERNAL REVIEWS
These questions supplement the Terms of Reference and illustrate the types of question the panel should consider in each category. They apply to most, but not necessarily to all CGIAR Centres. In addition, TAC and the CGIAR Secretariat usually compile a short list of questions that are specific to the Centre under review. In preparation for each review, the questions are circulated to the members of the CGIAR and the Centre inviting them to comment and, if considered essential, to add supplementary questions. The panel is not required to answer all questions explicitly, but to take them into account in making its own assessment of the most important ones.
A. Recent Evolution of the Centre
1. What important changes have taken place in the Centre since the previous external review? What were the principal reasons for change? What are the likely effects of these changes on the future performance of the Centre?2. How responsive was the Centre to the previous review?
B. Mandate
3. How appropriate are the Centre's operational mandate and mission statement in relation to the changing mission and goals of the CGIAR?4. How well do the present and planned activities of the Centre relate to the mandate and the mission of the Centre?
C. Strategy and Programmes
5. Does the Centre have an up-to-date and well-reasoned strategy statement? In particular, does it:(a) reflect a thorough understanding of the needs of the Centre's principal clients and of the relevant activities of its partners and collaborators?(b) take into account the major changes expected to occur in the Centre's external environment?
(c) spell out the Centre's aims and objectives in different programme areas and provide a clear justification for them?
(d) take into account the Centre's internal strengths and weaknesses and the financial constraints likely to be faced?
(e) provide a clear justification for the future scale of the Centre's operations?
6. Are national authorities satisfied with the Centre's strategy and did they have adequate opportunity to contribute to its formulation?
7. Does the Centre's allocation of resources to its programmes reflect the priorities appropriately? Are the planned directions and priorities within programmes appropriate?
8. Does the Centre's strategy sufficiently take into account the determinants of sustainable production, the alleviation of poverty and preservation of the quality of the environment?
9. Has the Centre analyzed the operational implications of its future strategy and priorities in terms of finance, staff and other aspects?
10. How well is the Centre's current strategy reflected in its programmes and activities?
11. How successful has the Centre been in reaching its major objectives in each major programme area since the previous external review? Have the approaches adopted been the most appropriate for the problems to be solved? What has been the quality of the Centre's work in each programme area?
12. How effectively does the Centre's training programme meet the needs of national research systems?
13. How much attention has the Centre paid to gender considerations in planning and implementing its programme activities? Is this adequate?
14. Does the Centre give appropriate attention to post-harvest technology?
15. Has the Centre made adequate provisions from its core funds for work on genetic resources? How effectively is this work exploited for the benefit of developing countries?
D. Centre Guidance, Values and Culture
16. Is the Centre's legal status appropriate for fulfilling its mission?17. How effective has the Centre's board been in determining policy and providing oversight? How effective has it been in managing its internal affairs (e.g., planning, internal board structure, member selection and development, managing meetings, etc.)?
18. Are board-management relationships based on openness, respect for each other's roles, and mutual trust? Does the board regularly assess and provide feedback on the performance of the director general on the basis of explicit and objective criteria?
19. How effectively has the Centre been led by the director general and the management team since the previous external review? How well do senior managers work as a team?
20. What principal guiding philosophies appear to shape the action of the board, management and staff? Are they conducive to high performance? (Among others, consider attitudes towards creativity, accountability, efficiency, and organizational change.)
21. What are the main features of the Centre's current organizational culture? Do aspects of this culture serve as barriers to performance? Is the Centre's organizational culture in harmony with its strategy, structure and management practices?
E. Programme Organization and Management
22. Has the Centre developed an organizational structure suited to good programme performance? What coordination mechanisms are in place? Are they effective? Are there alternative structures that could serve the Centre better in the future in the light of the Centre's strategy?23. How effectively are the Centre's decentralized activities linked with those at the headquarters? Do the staff outside the headquarters have adequate opportunities to contribute to overall planning and decision making?
24. How effective are the Centre's strategic and operational (i.e. medium term and annual) planning processes? How well are they linked to budgeting? Do these processes ensure sufficient consideration of the views of the Centre's clients and other key stakeholders?
25. Does the Centre have an effective planning and management system for projects or activities?
26. How effective are the Centre's programme monitoring and internal review systems and processes? Does the Centre have an effective peer review or a similar quality control process?
27. Do staff work effectively in teams? Do the structure and operating procedures of work-groups facilitate cooperation and teamwork?
28. Do the Centre's programme organization and management processes ensure efficiency and internal accountability? Are they conducive to innovation?
F. Resources and Facilities
29. How effective has the Centre been in organizing, staffing and managing its human, financial, administrative and information resources?
Human Resources
30. Has the Centre been able to attract and retain international and local staff of the highest calibre? Is the turnover rate one that ensures programme continuity as well as healthy infusion of new staff into programmes?31. Does the Centre have appropriate personnel policies for international and local staff stationed at the headquarters and outside it? Are they seen to be fair and consistent? (Consider policies for staff recruitment, orientation, compensation, performance planning and assessment, career development, tenure, spouse employment, retirement, etc.)
32. Does the Centre actively promote recruitment, retention and career development of women? Are there barriers to women's advancement in the Centre?
33. How successful are managers and supervisors in managing people? In particular, how skilful are they in planning, coordinating and delegating work, communicating effectively, and motivating, developing and rewarding staff?
34. How satisfied are staff at all levels with their jobs? How are morale, trust, communication and teamwork perceived among the staff?
Finance
35. How successful has the Centre been in securing funds for its activities? How stable is the Centre's funding? Does the Centre have a fund-raising strategy, and how effectively is fund-raising managed?36. Does the proportion of the Centre's budget received as restricted funding distort the Centre's strategy and the priorities accorded to its various activities?
37. How effective are the systems and processes used for financial management of headquarters and field operations? (Consider financial planning, analysis, reporting and control, accounting, budgeting, internal and external auditing, and cash and currency management.)
38. How strongly is financial management linked with programme management? How much financial responsibility do the programme staff have?
Administration
39. How successful has the Centre been in establishing an administrative infrastructure that meets the needs of staff in an efficient manner?40. How cost-effective are the systems and policies used for managing the Centre's:
- property (e.g., maintenance, development, construction, rental);
- general services (e.g., security, housing and dormitories, food services, transport, travel services);
- procurement operations (e.g., foreign and local purchasing, receiving, stores)?
Information
41. How successful is the Centre in acquiring, generating and managing the information it needs for decision-making, communication and integration of activities?42. How effectively are information services and technology managed? (Consider computerization, telecommunications, records management, archives, library, and documentation.)
G. External Relationships
43. How successful has the Centre been in managing its relations with:- clients in developing countries;- institutions in the host country of its headquarters and of its substations in other countries;
- public and private sector institutions in developed and developing countries (including other CGIAR centres);
- donors, the CGIAR and TAC;
- the media and the general public?
44. Is the Centre's strategy for collaboration with national research systems appropriate considering the sizes and stages of development of these systems? Are the priorities for collaborative work accorded to individual countries (in particular, the host country) appropriate? Does the Centre actively promote a strategy of collaboration in international research with national systems and regional research organizations?
H. Achievements and Impact
45. What mechanisms does the Centre have in place to monitor its achievements and impact? Are these adequate?46. How does the need to demonstrate impact influence the Centre's priorities and strategies? Is there a tendency for long-term consideration to be sacrificed for short-term gains?
47. What have been the most notable achievements of the Centre since the previous external review?
48. What benefits have developing countries derived from the Centre's work since the previous review? What contributions has the Centre made to strengthening national research systems through training, institution building, collaborative research and technical assistance?
49. What is the Centre's potential for further impact, given its planned activities? Do these justify continued donor support for the Centre? Is there a case for increasing the Centre's funding level? Could funding be reduced without seriously affecting the Centre's potential for further impact?
