Main legal documents of CGIAR

CGIAR Contractual Framework

Overarching documents

CGIAR Principles

  • Adopted by the Fund Council (Nov. 2, 2010) and the Consortium (Dec. 16, 2010)
  • Guides the FC and the Consortium in their joint efforts to implement the SRF in an efficient and effective manner

Strategy and Results Framework (SRF)SRF management update in progress

  • Approved by the Consortium (February 15, 2011) and the ad hoc Funders Forum (April 7, 2011)
  • Sets common goals, strategic objectives and results to be jointly achieved by the CGIAR Participants
  • SRF Action Plan approved by Funders Forum (Nov. 2012)

Common Operational Framework (COF)

  • Each chapter is adopted by the Fund Council and the Consortium
  • The common framework agreed between the Fund Council and the Consortium on all operational aspects that apply to funding and implementation of the SRF (including CRPs), regardless of funding source or implementing entity
COMMON OPERATIONAL FRAMEWORK (COF) Consortium Approval date FC Approval date Effective Date
Common Criteria for CRP Design and Assessment May 23, 2010 (CB2) Aug. 30, 2010 Aug. 30, 2010
CGIAR Non-Research System Costs Financing Sept. 8, 2011 (CB6) Nov. 8, 2011 (FC6)[1] Nov. 8, 2011
Glossary[2] May 5, 2011 (CB4) April 5, 2011 April 5, 2011
Financial Guidelines
  1. CGIAR Financial Management (Financial Guidelines Series, No. 1) – Last updated Feb. 2007. Under revision in 2014
 
  1. CGIAR Accounting Policies & Reporting Practices Manual (Financial Guidelines Series, No. 2) – Last updated Feb 2006. Under revision
 
  1. CGIAR Auditing Guidelines (Financial Guidelines Series, No. 3) - Last updated Oct. 2010. Under revision in 2014
 
  1. Guidelines for preparing the 2010-12 Medium Term plans and the 2010 Financing Plans (Financial Guidelines Series, No. 4) - Last updated Jan. 2009. Under revision in 2014
 
  1. CGIAR Cost Allocation Guidelines (Financial Guidelines Series, No. 5)- Last updated June 2013
June 14, 2013 (CB12) Pending
  1. CGIAR Procurement of Goods, Works and Services Guidelines (Financial Guidelines Series, No. 6) - Last updated Apr. 2008. Under revision in 2014
 
CGIAR Investment Policy Guidelines Oct. 3, 2013 (CB13) Pending
Reporting templates from the Consortium to the Fund Council. For year 2011 March 1,  2012 (CB7) March 8, 2012 (FC7)[3] Reporting year 2011
For years2012 and 2013 N/A March 2013[4] Reporting years 2012-2013
For year 2014 pending[5] pending
CGIAR Principles on the Management of Intellectual Assets March 1, 2012 (CB7) March 7, 2012 March 7, 2012
CGIAR Policy for Independent External Evaluation Sept. 8, 2011 (CB6) Nov. 9, 2011 (FC6)[6] Feb. 1, 2012

Consortium-wide policies, guidelines and strategies (not part of the Common Operational Framework)

CONSORTIUM POLICIES, GUIDELINES & STRATEGIES Consortium Approval Date Effective on Endorsed by Centers as mandatory as at [Date] % of Centers endorsement mandatory for all Centers as of
Consortium level Monitoring Principles May 5, 2011 (CB5) Nov. 1, 2011 N/A* N/A* Nov. 1, 2011
Consortium level Gender Strategy(revised and approved by the CB in November 2011) Sept. 8, 2011 (CB6)[1] Sept. 8, 2011 N/A N/A N/A
CGIAR Branding Guidelines- revised in September 2014 May 23, 2012 (CB8) May 23, 2012 N/A* N/A* May 23, 2012
CGIAR Consortium Good Governance (including Financial Governance & Certification Framework) June 14, 2013 (CB12) July 1, 2013 June 13, 2013 100% July 1, 2013
Implementation Guidelines for the CGIAR Principles on the Management of Intellectual Assets June 14, 2013 (CB12) June 14, 2013 N/A* N/A* June 14, 2013
CGIAR Open Access and Data Management Policy Oct. 2, 2013 (CB13) Oct. 2, 2013 Nov. 20, 2013 100% Nov. 20, 2013
CGIAR Open Access and Data Management Implementation Guidelines July 23, 2014 (CO) July 23, 2014 N/A  N/A July 23, 2014
CGIAR Consortium Policy Adoption Process(formalized/revised and approved by the CB on March 20, 2014 (CB15)) June 14, 2013(CB12) July 1, 2013 *N/A[2] N/A* July 1, 2013
Shared Services in the CGIAR Consortium- A strategy March 20, 2014 (CB15) March 20, 2014 N/A N/A N/A

Legal status of the CGIAR Consortium

Agreement establishing the Consortium as an International organization

  • Signed and ratified by sovereign States (currently signed by eight countries: France, Hungary, Denmark, Benin, Uruguay, Morocco, Senegal and Colombia); 2 equally authentic versions: Eng. and Fr.
  • Creates the International Organization; determines the rights and obligations of signatory States, as well as the legal status of the Consortium
  • Includes the Consortium Constitution as an annex

Consortium Constitution

  • Attached as an annex to the Agreement establishing the Consortium as an International Organization
  • Primary governing document of the Consortium; sets forth relationship between the Consortium and the Member Centers

Agreement regarding the headquarters of the CGIAR Consortium and its privileges and immunities on French territory

  • Signed on March 4, 2013betweenthe CGIAR Consortium and the Government of the French Republic. Approved by the French Government on 18 June 2014 and became effective as of 31 July 2014
  • Sets out the privileges and immunities granted to the Consortium by the French government

Rules of Fund, trustee and agreements governing relations with donors

Contribution Agreement (CA)

  • Form of which was adopted by the Fund Council (April 5, 2011)
  • Agreement signed by Trustee and each Fund donor with regard to contributions to the CGIAR Fund

Fund Governance Framework

  • Adopted by the Fund Council (Nov. 8, 2010) and amended on April 5, 2011
  • Annex to Contribution Agreement signed by Trustee and each Fund donor
  • Sets governance terms for the CGIAR Fund

Trustee provisions

  • Adopted by the Fund Council as an annex to Contribution Agreement (April 5, 2011)
  • Annex to Contribution Agreement signed by Trustee and each Fund donor
  • Sets terms applicable to the Trustee

Performance and funding agreements

Joint Agreement (JA)

  • Adopted by the Fund Council (April 5, 2011) and the Consortium (May 5, 2011)
  • Agreement signed by the Fund Council and the Consortium
  • Sets out the umbrella terms that govern the submission and approval of CRP proposals and the transfer and use of funds from the CGIAR Fund for implementation of CRPs

Consortium Performance Agreement (CPA)

  • Form adopted by the Fund Council (April 5, 2011) and the Consortium (May 5, 2011)
  • Agreement signed by the Fund Council and the Consortium for each approved CRP
  • Sets specific results-based terms applicable to the CRP; incorporates terms of CRP proposal (attached to CPA) and terms of Joint Agreement

Program Implementation Agreement (PIA) – downstream to JA and CPA

  • Form adopted by Consortium (May 5, 2011) and approved by each Lead Center (May 5, 2011)
  • Agreement signed by the Consortium and each Lead Center for each approved CRP for the use of funds from the CGIAR Fund to implement the CRP
  • Includes flow-down requirements from JA and CPA

Program Participant Agreement (PPA) – downstream agreement to PIA

  • 2 templates proposed by the Consortium (needs to be adapted to each CRP)
  • Subcontract between a Lead Center and another Center or other CGIAR Participant for the implementation of a specific CRP
  • Includes flow-down requirements from JA, CPA and PIA

Window 3 Transfer Agreement

  • Form adopted by the Fund Council as annex to Contribution Agreement  (April 5, 2011)
  • Agreement signed by World Bank (Trustee) on behalf of Fund Donor and each Center receiving Window 3 funds
  • Sets terms regarding the transfer of Window 3 funds to a Center

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[1]The Non-Research System Cost Financing paper was initially approved by the FC at its 3rd meeting in Washington DC Nov. 1-2, 2010 (cf. agenda item 7 FC3 minutes here). This revised version was approved by the FC on a no objection basis at its meeting on November 8, 2011 (cf. agenda item 4 FC6 minutes here).

[2] Initially approved by the CB on Dec. 16, 2010 and by the FC on Nov. 2, 2010.

[3]Approved as an interim reporting template for reporting on 2011 work. Cf. agenda No. 13 of FC7 meeting minutes available here.

[4] Amendments were made to the 2011 reporting template and discussed between Consortium representatives and a reference group of donors and approved on a no objection basis by the FC in March 2013 for use for reporting on years 2012 and 2013.

[5]A proposal to continue using the 2012-2013 reporting templates for year 2014 will be presented for approval by the CB and subsequently by the FC.

[6] Per Agenda item no. 14 of FC6 meeting summary available here.

*Policy approved by CB before 1 July 2013 therefore the 75% Center endorsement rule set out in the Policy Adoption Process does not apply.

[7]Initially approved by the CB on Sept. 8, 2011 but a revised Consortium level Gender Strategy was approved by the CB in November 2011.

[8]This was initially part of the GRCC’s recommendations endorsed by Centers on June 13, 2013 and approved by the CB on June 14, 2013. It was subsequently formalized into a policy document (and therefore slightly revised) and approved by the CB on March 20, 2014.