Tropical Agricultural Research and Higher Education Center

Transcription

1 Tropical Agricultural Research and Higher Education Center Biennial Plan

2 What is CATIE? CATIE is a regional organization with an international university based on the model of land-grant universities in the United States, which integrates three basic functions: research, education and external projection (extension, transfer of technology and application of knowledge in the field). CATIE s mandate focuses on supporting sustainable management of agriculture and natural resources in Latin America and the Caribbean. In this sense, the nucleus of CATIE s work is knowledge management, from its generation to its dissemination, use and adoption. In the coming years, we propose a significant effort to effectively align the functions of research and external projection with the academic function, thereby offering our students a unique educational opportunity grounded in the best science and its application in the field. At the same time, CATIE has made its educational offer more flexible, opening more options for diplomas and both distance and hybrid (combining face-to-face and online work) courses in the countries. It has also broadened its graduate offerings, adding professional master s programs to the traditional academic master s programs and the option of doctoral studies in Spanish. In all cases, the opportunity for students, guided by their professors, to work on real problems in the field, with a solid scientific base and linked to projects that seek to contribute to development, is a central, unique element of the concept of an international university. In addition, in recent years CATIE has positioned itself as a regional platform for research and is home to prestigious international centers, which have placed outstanding researchers, equipment and operations in both permanent and temporary arrangements at CATIE headquarters and in the countries. 2

3 Our differentiating strength CATIE contributes effective solutions to the challenges that confront the region and the world. These challenges are complex because of their high degree of interrelatedness (for example, poverty and malnutrition, energy, climate change and variability, food and nutritional security, environmental degradation) and therefore require the integration of diverse disciplines and forms of knowledge, sectors, spatial scales and actors at all levels. Based on this, the institution has identified the need to develop systems approaches that offer practical and effective holistic solutions to the various challenges of today and the future in alliances with our multiple partners. The central strategic element is the climate-smart-territories (CST) approach, which encompasses climate change and variability along with the other elements associated with human security (poverty, food and water security, environmental degradation, etc.) as a transversal element in most of its actions. The institution understands CSTs as social and geographic spaces where stakeholders collaboratively manage ecosystem services to improve in an equitable manner the well-being of the people, continually optimizing land use and climate change mitigation and adaptation. The context The economic environment and international governmental cooperation for development in Latin America and the Caribbean has changed drastically, significantly affecting the way in which CATIE has traditionally been financed. In this context, the institution is implementing a new model of management, oriented toward diversification of its financial mechanisms, including self-generation of financial resources in its different units, as well as effective financial management. The process involves a renovated organizational structure and enabling environment in decision making and procedures that make CATIE more agile and competitive. The application of this new model of financing demands an operational modernization and strengthening of the Center that facilitates planned change. 3

4 Strategic plan For more than a year, the institution has been engaged in the design of a strategic plan to guide the efforts of the Center over the next six years. The Biennial Plan is aligned with the objectives and actions of this strategic plan. Institutional mission Increase sustainable and inclusive human well-being in Latin America and the Caribbean, promoting education, research and external projection for the sustainable management of agriculture and conservation of natural resources. Institutional vision To be an excellent international land-grant type of university specialized in agriculture and natural resources that effectively integrates education, research and external projection in alliance with multiple partners and countries through a solid regional scientific platform. Institutional strategy The territories now find themselves under a transforming stimulus of dramatic consequences: climate change and variability. Therefore, our institutional strategy is defined in the following terms: To promote the development of climate-smart territories in the American tropics as a tool to achieve sustainable and inclusive human well-being and the effective integration of actions in education, research and external projection, in alliance with multiple public and private partners through a solid regional scientific platform. 4

5 Summary matrix of annual actions for to advance toward the objectives and indicators of the CATIE Strategic Plan SO1.Contribute to reaching sustainable livelihoods, agricultural and forestry systems, territories and value chains through systemic and interdisciplinary research. CATIE Goals 2016 Indicators (medium term) 2015 Actions 2016 Actions 1. CATIE consolidated as a principal regional research and development platform in interdisciplinary systems approaches in agriculture and natural resources in Latin America and the Caribbean. 2. Climate-smart territories (CSTs) established in tropical countries. Indicator 1.1. New collaboration in research and development on systems approaches is carried out with CIRAD (France), KFRI (South Korea), Bioversity International, ICRAF, CIFOR, CIAT, ILRI, AIRCA, CATAS (China), EfD and others. Indicator 1.2. Open-access database (sensu CGIAR) is established and functioning according to agreed-upon guidelines with a follow-up committee that includes representatives of at least six sectors (academic, public, private, NGO, international research and development centers, civil society). Indicator 1.3 At least 60 publications of theses and final papers for graduation per year. Indicator 1.4. NOs, in coordination with programs and projects, communicate their joint work in the territories via bulletins, fairs and forums, among others. Indicator 1.5. Manuals and other materials developed by CATIE and partners are used to promote different agricultural, agroforestry and sustainable forest systems. Indicator 2.1. The systems and methodological approach to establish and manage a CST are available for publication in articles, manuals and other media- to scale out to other regions, based on research and application in key territories of MAP, Model Forests and biological corridors. 1. CATIE implements CRP Humidtropics (HT) in Trifinio. 2. CATIE used by CCAFS as a regional scientific platform. 3. Collaboration with AVRDC in Trifinio. 4. Phase 2 PCP CATIE CIRAD proposal (10 years). 1. Partners report they have been able to use the database. 2. Guidelines approved. 3. Data from one partner included as a test case. 4. First analysis and CATIE publication derived from the database. P1. At least 60 theses and final papers for graduation. 1. CATIE participates in HT in three sites in CAC. 2. Phase 2 CRPs recognize CATIE as a regional scientific platform. 3. Collaboration with CATAS (China) begins. 4. Restructuring PCP CATIE CIRAD 1. First analysis and publication (partner) derived from the database. 2. All of pertinent CATIE data incorporated. 3. Links with other comparable databases. 4. CGIAR recognition and promotion of the open database. P1. At least 60 theses and final papers for graduation. Responsible Party/Parties DID director with program leaders and other directors. DID director with FTA focal point at CATIE. DE, DID. 20 informational events. 25 informational events. Programs, NO Projects and OCI. 10 technological and methodological documents. 1. Five CSTs planned. 2. Three CSTs being established. 3. Agreements with two partners to establish CSTs outside of LAC. 4. Three scientific articles about systemic approaches published. 12 technological and methodological documents. 1. Five CST being established. 2. Three CST evaluated. 3. Five partners promote CSTs. 4. Five scientific articles report experiences with CST methodologies. Programs, NO Projects and OCI. MAP and other DID Programs: Bosques, CCC, IDEA, PAAS, GAMMA. Observations Depends on the actual opening of the GRPs and on CIAT and on the availability of funds for the region (e.g., from CATAS and CIRAD). We hope to obtain funds from CGIAR to align CATIE with the procedures they are establishing (CGIAR Consortium Office). The theses and final papers for graduation involve strong interaction between DE and DID. NOs and Liaison Offices receive inputs and materials. NOs and Liaison Offices receive inputs and materials. It can be said that it was established when responsible authorities have the capability to manage the territory with CST+G11 criteria. 5

6 3. CATIE recognized and used as the first option for obtaining models, methodologies, technologies, trustworthy data and inputs for policies to achieve sustainable management of lands from a systems point of view. Indicator 3.1. At least three centers of excellence (or of thought) established in CATIE: 1) environmental economics, 2) agroforestry systems with coffee and cocoa and 3) conservation and sustainable forest management. Indicator 3.2. NOs, in coordination with programs and projects, divulge advances in research via 20 fairs and 40 bulletins. 1. Establish IDEA as a CdE (EfD/ LACEEP). 2. Establish agroforestry CdE. 3. Establish forestry CdE. Participation in 10 scientific and academic fairs. Production of 15 bulletins. 1. Analysis of the impact of IDEA CdE (EfD/ LACEEP). 2. Agroforestry CdE functioning. 3. Forestry CdE functioning. 4. Proposals for other programs for CdEs. Participation in 10 scientific and academic fairs. Production of 15 bulletins. DID Programs: IDEA, PAAS, Bosques. Programs, NO Projects and OCI. We must develop criteria for classifying CdEs and what their functions are. This should be tied to efforts to create academic chairs. The limitation would be stable funding. NOs and Liaison Offices receive inputs and materials. Indicator inputs are delivered to national producers through projects and consultancies in alliance with partners. Indicator 3.4. Policy Briefs and other materials are delivered to national decision makers for knowledge and use in different national sectors and key territories. 70 inputs are shared with CATIE clients. 80 inputs are shared with CATIE clients. Decision makers adopt policy recommendations. Decision makers adopt policy recommendations. Indicator 3.5. Through CAN, four NOs socialize concepts and methodologies and develop six information programs directed to identify, attract and influence organizations to apply the CST approach. Two proposals to disseminate the concept. Four proposals to disseminate the concept. Indicator 3.6. Demonstration activities and pilot projects carried out in at least 10 sites in the countries communicate the concepts, methods and applications for developing CSTs. Indicator 4.1. Genetic material of coffee and cocoa is distributed by CATIE in at least 10 countries in the region. Four sites execute projects with adoption of the concept. Six sites execute projects with adoption of the concept. 4. Germplasm from the collections and genetic improvement programs at CATIE distributed throughout the region. 1. Coffee nurseries (F1) functioning in six countries. 2. Exchange of cocoa material with two countries. 3. Number of local cocoa nurseries doubled (vs 2014). 4. New experimental technology to reproduce coffee (F1). 1. Coffee nurseries (F1) functioning in six countries. 2. Exchange of cocoa material with four countries. 3. Number of local cocoa nurseries doubled (vs 2015). 4. New experimental technology to reproduce cocoa material. DID with DC and partners in countries. Demand depends on international coffee prices. Controls on exchange of germplasm between countries could be a limiting factor. Indicator 4.2. Genetic material of coffee, cacao and others are distributed in at least 10 countries in the region. CATIE genetic material is acquired by partners and allies. CATIE genetic material is acquired by partners and allies. Idem Idem Indicator 4.3. Forestry and coffee genetic materials are commercialized in at least five countries in the region. Sales of USD 550,000 in forest seeds and USD 100,000 in improved coffee materials. The search begins for properties to establish seed nurseries for gmelina and teak on Costa Rica s Pacific Coast, guaranteeing continuity of forestry genetic improvement programs over the long term. Sales of USD 600,000 and USD 150,000 in improved coffee materials. Property is acquired properties to establish seed nurseries for gmelina and teak on Costa Rica s Pacific Coast, Forestry Seed Bank and Biotechnology Laboratories. Also involve the Biotechnology Laboratories in the productive and commercial process. 6

7 Indicators Recalcitrant seed collection, with maximum of 50% of accessions regenerated and 100% documented; 100% of collection under consolidated and funded technical management plan Orthodox seed collection with maximum of 70% of accessions regenerated and 70% documented Continue responding to 250 to 300 requests per year Renovate 100% of refrigeration and laboratory equipment with basic equipment Seed-drying room in process of construction Rescue of 100% of plants with two or less individuals in the International Coffee Collection and document 100% of accessions in the field Sufficient budget and generation of new income. Maintenance of the Ecological Blue Flag distinction with at least five stars. Recalcitrant seed collection, with maximum of 40% of accessions regenerated and 70% documented; 100% of collection under consolidated and funded technical management plan. Orthodox seed collection with maximum of 50% of accessions regenerated and 50% documented, responding to 250 to 300 requests per year. Rescue of 50% of plants with two or less individuals in the International Coffee Collection. Document 100% of accessions in the field. Sufficient budget and generation of new income. Maintenance of the Ecological Blue Flag distinction with at least four stars. Recalcitrant seed collection, with maximum of 50% of accessions regenerated and 100% documented; 100% of collection under consolidated and funded technical management plan. Orthodox seed collection with maximum of 70% of accessions regenerated and 70% documented, responding to 250 to 300 requests per year. Rescue of 100% of plants with two or less individuals in the International Coffee Collection. Document 100% of accessions in the field. Sufficient budget and generation of new income. Maintenance of the Ecological Blue Flag distinction with at least five stars. Collection Committee and administrators of Germplasm Banks. 7

8 SO2: Strengthen scientific and professional formation in systems approaches through the development of Innovative educational products at graduate and professional levels through on-site, virtual and at-a-distance modes Responsible Goals 2016 Indicators (medium term) 2015 Actions 2016 Actions Observations Party/Parties 1. CATIE is the best option in Latin American and the Caribbean as an international university in agriculture and natural resources with interdisciplinary and systems approaches that differentiate us from other universities and with broad academic offerings that respond to the expectations, needs and demands of the countries through joint programs with other universities. Indicator 1.1. CATIE forms part of an international network of LGUs. Indicator 1.2. Graduate academic offerings revised and expanded in at least two programs. Indicator 1.3. At least three new evaluation mechanisms for academic excellence Implemented in the Graduate School. Indicator 1.4. Four master s programs accredited. Indicator 1.5. CATIE has 35 current cooperation and strategic alliance agreements with international universities. Indicator 1.6. Three cooperative graduate programs with universities in the countries of the region and international universities renewed or developed and implemented. Indicator 1.7. Number of current graduate programs and number of faculty and students maintained. Indicator 1.8. Update of the training program (strategic, special and diploma courses) and expansion of the offer of CATIE s thematic areas. Indicator 1.9. At least 10 events promoting CATIE as LGU are held in the countries. Indicator DE increases enrollment by 10% thanks to these information and marketing processes. P1. Document the strategy to position CATIE as an LGU. P1. Document with the academic plan revised and approved by the CAM and/ or CAD. P2. Proposals for master s in agribusiness and climate change approved. P1. Report on evaluation of faculty advisors. P2. Report on evaluation of members of the Advisors Committee. P3. Report on CATIE s place in the ranking of universities. P1. Document of internal evaluation and forms to apply for accreditation. P1. 20 agreements signed and in force. P1. Three agreements signed and documents describing the programs produced. P1. In addition to new programs, eight academic programs, at least 125 students and 60 professors continue as a fundamental part of the graduate program. P1. Document to report the update and expansion of the training program. Four events with partners where LGU is explained and promoted. DE increases enrollment by 4% thanks to these information and marketing processes. P1. Agreements signed to incorporate CATIE in LGU network LGU and as member of HACU. P1. Beginning of master s in agribusiness. P2. Beginning of master s in climate change. P1. Report on evaluation of faculty advisors. P2.. Report on evaluation of members of the Advisors Committee. P3. Report on CATIE s place in the ranking of universities. P1. Certificate of accredited careers. P1. 35 agreements signed and in force. P1. Three cooperative programs implemented; report on development and progress of the programs. P1. In addition to new programs, eight academic programs, at least 125 students and 60 professors continue as a fundamental part of the graduate program. P1. Report on implementation of the updated and expanded training program. Six events with partners where LGU is explained and promoted. DE increases enrollment by 6% thanks to these information and marketing processes. DE, DPE, DG. Graduate School, Climate Change and Watershed Program, CAM. Graduate School DG, DE, DID, DPE, DAF. DE, DG, DPE. DE. DE, DID, DPE. DE, DPE, DID. DPE/DE. DE, Training Area, Academic Chairs, NOs and OCI. Strengthening CATIE as an international university. Master s in agribusiness will be a joint program with New Mexico State University. Added to existing evaluation of courses and professors of courses and review of pensum of the different graduate programs. Accreditation is a task that requires participation of the entire institution. Idaho, Bangor, UNT, NMSU, Santander, UCR, etc. Equatorial Guinea, Penn State, Illy Café. Existing programs require a high level of effort by all personnel to maintain them. Requires participation of other divisions. NOs and Liaison Offices and OCI receive inputs and materials. 8

9 2. CATIE is consolidated as a leading university in excellent virtual distance education in agricultural and natural resource topics. Indicator 2.1 Virtual education program offers at least 15 training courses and eight graduate courses. Indicator 2.2. A virtual distance master s in Integrated Watershed Management and Administration. Eight training courses and 10 graduate courses developed and available on the virtual platform. Entrance of first group of students in the master s. 15 training courses and 10 graduate courses developed and available on the virtual platform. Graduation of first group of students in the master s. Graduate School, CCC Program. Graduate School, CCC Program. Requires support of other entities. Area of interest of Korea, Illy Café and Clinton Foundation. Requires support of OCI, NOs, etc. Indicator 2.3. Two virtual distance technical diplomas implemented. P1. Technical diploma in development of associative rural businesses taught. P1. A virtual distance diploma en biostatistics given. IDEA Program. Diploma in Rural Businesses, Biostatistics, GIS. Indicator 2.4. Two courses a year to train CATIE professors in virtual education. P1. 10 professors trained in virtual education. P2. 10 professors trained in virtual education. Graduate School. Requires activities to motivate professors to participate. 3. Academic offerings in the Training Area are recognized and used internationally as the main option for excellence in education and technical and professional training in agriculture, natural resources and environmental economics. Indicator 3.1. Strategic and special courses planned and implemented grow from 25 to 35 activities per year. Indicator 3.2. Courses planned and implemented in the Cooperative Study Abroad Program increase from 11 to 17 activities per year. Indicator 3.3. Four on-site technical diplomas. Indicator 3.4. Training courses in biostatistics expanded to 14 courses a year. P1. At least 30 courses implemented. P1. At least 14 courses a year implemented. P1. Two on-site technical diplomas given. P1. 14 training courses in biostatistics a year. P1. At least 35 courses implemented. P1. At least 17 courses a year implemented. P1. Four on-site technical diplomas given. P1. 14 training courses in biostatistics a year DE, DPE, DID. DE, DPE. DPE, Training Area, DE and DID. Biostatistics. Requires the support of other CATIE units. Requires the support of other CATIE units. Training Area acts as coordinator of the process. A topic of much interest for partners and other users of these tools. Indicator 3.5. Five virtual diplomas managed by UGO. Two virtual diplomas. Three virtual diplomas. DE, UGO, Academic Chairs, NOs and OCI. NOs and Liaison Office and OCI receive inputs and materials. Indicator 3.6. At least 40 short courses offered and carried out through UGO in the countries. 20 short courses in the countries. 20 short courses in the countries. Indicator 3.7. CATIE graduates in five countries participate as instructors (associate consultants) in at least 30 courses held by CATIE. 10 specialists participate in courses in the countries with partners and allies. 10 specialists participate in courses in the countries with partners and allies. NOs and UGO establish groups of specialists. Indicator 3.8. At least five fairs promote institutional academic offerings. Participation in two scientificacademic fairs, four alliances for education and training. Participation in three scientificacademic fairs, seven alliances for education and training. DE, Training Area, Academic Chairs, NOs, OCI and UGO. NOs and Liaison Offices and OCI receive inputs and materials. Indicator alliances are made and proposals prepared for continuing education. 10 alliances are made and proposals prepared for continuing education. 10 alliances are made and proposals prepared for continuing education. UGO, DE, Academic Chairs, NOs and OCI. NOs and UGO coordinate in the countries. 9

10 4. The Orton Memorial Library (OML, IICA- CATIE) strengthens its role and international recognition as a source of technical and scientific knowledge in agriculture and natural resources, using the most advanced communication and information (IT) technologies and training in management of agricultural information. Indicator 4.1. The OML implements at least three communication and information technologies to capture and provide bibliographic information for work in a network with NOs and related institutions. Indicator 4.2. OML increases bibliographical services by 10% and collection by at least 5,000 bibliographical resources per year, through access to information databases, interlibrary alliances and information and communication technologies. P1. An integrated library management system implemented. P2. Institutional repository created. P3. Digital library implemented. P4. Plan developed to incorporate NOs in digital library. P5. Virtual library created. P1. Incorporation into the CGIAR Library Consortium. P2. Access to information services at the University of Idaho through a bilateral CATIE- Idaho agreement. P4. Development of a platform of extension services for the coffee sector. P5. Increase in collections by 2,000 bibliographic resources per year. P1. Integrated library management system providing service. P2. Institutional repository updated and running. P3. Digital library providing service. P4. NOs incorporated into digital library. P1. Bibliographical services though the CGIAR Library Consortium enabled. P2. Bibliographical services via access to the University of Idaho library. P4. Website on coffee rust available and the resource center on coffee updated. P5. Increase in collections by 2,000 bibliographic resources per year OML Team. OML Team. KOHA system acquired and being installed. To achieve this indicator, it is indispensable that the OML can access bibliographic databases of the libraries integrated in CGIAR, Idaho, etc. Also, committed support from IICA is expected. Indicator 4.3. Library develops and applies a training program in informational abilities for NOs, students and external users. P external users training in informational abilities. P2. A virtual training for NOs on adding to repositories and one on use of the cataloging module and OPAC and KOHA. P3. A course on informational skills for new students. P4. A training course on application of Web tools in the services and products of OML. P external users training in informational abilities. P2. A virtual training for NOs on adding to repositories and one on use of the cataloging module and OPAC and KOHA. P3. A course on informational skills for new students. P4. OML staff develop skills in virtual tools. OML Team. IICA support, as the co-responsible institution for OML, is hoped for in order to achieve these products. 10

11 5. The Division of Education has an organizational structure for development of funds and financial management that ensures permanent financial selfsustainability, with a team having the highest standards of professional, academic, scientific and technical quality to support, facilitate and promote innovation and leadership in its graduate students and students in the training program. Indicator 5.1 The balance sheet shows, as a minimum, that income is equal to expenditures. Indicator 5.2. External financing for master s and doctoral students increases by at least 10% with respect to internal support. Indicator 5.3. Awarding of scholarship loans decreases by at least three per year and loan recovery is more than USD 100,000 per year. Indicator % of students comply with their economic commitments to pay costs of their studies. Indicator 5.5. A dynamic and permanent communication system with graduates that increases support in dissemination of graduate programs and management of financing through loans and resources for CATIE. P1. Graduate School and Training Area business plans being implemented. P1. External financing for master s and doctoral students increases by at least 5% with respect to internal support. P1. A maximum of four scholarship loans are given and at least USD 100,000 in loans are recovered. P1. At least four annual activities to interact with graduates to rekindle their identification with their alma mater and support in the management of scholarships and resources for CATIE. P1. Graduate School and Training Area business plans operational. P1. External financing for master s and doctoral students increases by at least 10% with respect to internal support. P2. A maximum of two scholarship loans are given and at least USD 100,000 in loans are recovered. P1. 100% of costs of studies are collected from students. P1.The communication system with graduates generates at least five scholarships for students to study in CATIE graduate programs. DE, DAF. DE, DG, DID, DPE. DE, Credit Committee. DE. Requires fulfillment of several suppositions. Project proposals should include funds for scholarships. It is necessary that Fundatrópicos or another source continue supporting matching scholarships. Necessary to continue the current, efficient process of collecting loan repayments. Partner universities and students comply with agreements. Indicator 5.6. The Biostatistics Unit generates economic resources of at least USD 50,000 annually through consultancies. P1. The Biostatistics Unit generates USD 50,000 through consultancies. P1. The Biostatistics Unit generates USD 50,000 through consultancies.. Biostatistics Unit, DE. Bioestatistics maintains at least the current staff. Indicator 5.7. Training Area prepares a proposal and achieves a fund for strategic and special services. P1. Proposal developed and approved. P1. Fund of at least USD 10,000 for scholarships. DE, DG. In the future, a more ambitious objective can be set, such as a trust fund. Indicator 5.8. A number of indicators (BSC) exist to control administrative and financial performance in key academic processes and the Training Area A process for financial planning in place to be the dashboard of the EP business plan, which integrates all of the businesses and allows evaluation of total management As a result, a cost system is in place for each unit, master s and doctorate so that all income and associated costs can be identified and recovered The preceding allows efficient allocation of resources throughout the Center s teaching base and encourages competitiveness among the Center s academic programs. The aggregated business plan of the Graduate School (EP) permits: 1. All EP businesses are under one plan and financial system, generating efficiency and cost indicators. 1.1 individualized records of income and costs of master s and doctoral academic programs. 1.2 costing system for academic and training programs and related businesses. 2. Teaching compensation plan in accordance with the above, which allows growing competitiveness in each of the programs, in training and related businesses. The EP business plan has been implemented and is under continuous improvement. Administrative financial dashboard implemented and reporting indicators of efficiency in all of the EP businesses. Efficient academic businesses growing and adding value to the Center s educational offer. Businesses with problems withdrawn from the academic offer. DE and DAF directors,, Dean s Advisory Council. Advances and products required are pointed out in the internal audit report and administrative agreements of the Dean s Advisory Council. 11

12 SO3. Strengthen and establish innovative and participatory processes with partners and allies that lead to widespread use of systemic solutions for development. Goals 2016 Indicators (medium-term) 2015 Actions 2016 Actions 1. CATIE transforms the offices in the countries to national Academic Management Centers, obtaining a greater participation in the functions of research, education and innovation in the field, operating efficiently in at least 10 countries in tropical America and contributing goods and services to members, partners and allies. 2. CATIE has an entity specialized in knowledge management for innovation, which positions the Center as a prestigious scientificacademic referent with specialized information for its target audience. This entity coordinates with other internal units its scope for education, training, and research. Indicator 1.1. CATIE initiates transfer from ON s to CGA to manage institutional capacity in research, education and outreach. The staff is integrated effectively in academic laboratories. Indicator 1.2. Five National Academic Management Centers operate efficiently and five are in process of consolidation. Indicator 2.1. Seven National Advisory Committees (CANs) strengthened, supporting processes of incidence in national and regional policies. Indicator 2.2. Technical Support Groups (GATs) and UGO, with assistance of programs, support 10 events to position and brand, actions of incidence, and offer of services in national and regional processes. Indicator 2.3. OCI and NOs manage 20 processes of incidence a year to offer five Policy Briefs analyzed annually in the CANs. Indicator 2.4. Goods and services developed and offered by CATIE publicized in different national media (press, radio and television), publishing 80 research notes developed jointly with GAT and scientific programs. Indicator bulletins and reports for print media, radio and television published annually that present work carried out by CATIE. Indicator 2.6. OCI develops a regional digital platform of communications, maintains information alliances with at least four leading organizations in dissemination of scientific knowledge, increasing by 100% the demand for materials, services, visits and others. Indicator 2.7. A strategy to position the brand of CATIE that promotes what the institution offers. Indicator 2.8. Strengthened management and offer of services (UGO) generates agreements with partners to mobilize resources and joint execution of projects. Integration of ON s staff to Cloister. Recruitment processes and induction. Two CGAs in process of legal status. Three CANs have agenda to support processes. Four events to promote institutional offerings. 20 processes of incidence with five Policy Briefs analyzed in the CANs. OCI implements dissemination strategy. 250 bulletins and reports for print media, radio and television. Information alliances with two organizations. Consolidation One CGA in process of legal status. Four CANs have agenda to support processes. Six events to promote institutional offerings. 20 processes of incidence with five Policy Briefs analyzed in the CANs. OCI implements dissemination strategy. 250 bulletins and reports for print media, radio and television. Information alliances with two organizations. Responsible Party/Parties CGA, DE, DPD NOs, DPD, DG, DAF. NOs, OCI, DPD, DG. NOs, DPD, UGO, Programs. OCI, NOs, Programs. OCI, Programs, NOs, DG. OCI, TI, Programs. Strategy formulated. Strategy being implemented. OCI, DG, Divisions. Agreements and active consortiums with four partners. Agreements and active consortiums with six partners. UGO, DPD, DG, Programs, DAF. Observations NOs receive institutional support. NOs increase lobbying. NOs, Liaison Offices and OCI receive inputs and materials. OCI receives inputs. CATIE promotes the business model. 12

13 3. CATIE has an entity for institutional offerings in research, education and external projection and advances in implementation of joint initiatives with other regional organizations. Indicator 3.1. Four of these centers manage institutional offerings in research, education and innovation in the field. Actions implemented by USD5 millions in this period. Indicator agreements and contracts with partners for joint execution of projects generate support from overhead and indirect administrative costs. Indicator collaboration contracts with partners and allies strengthen existing alliances. Actions continue in Peru, Ecuador and Haití. 15 agreements and contracts with partners. Actions continue in Peru, Ecuador and Haití. 15 agreements and contracts with partners. UGO, DPD, DAF. UGO, DPD, DG, DAF, Programs. CATIE promotes business model. 10% more calls compared to % more calls compared to Indicator % increase in institutional convening power and the demand for goods and services. Indicator 5.1. CATIE and IICA establish a joint plan of activities that identify opportunities for synergies in education, research and extension in support of technical cooperation on priorities of the agricultural sector in the countries. 4. CATIE and IICA maintain close collaboration in programs promoting sustainable management of agriculture and natural resources that benefit member countries. CATIE and IICA establish a joint plan of activities that identify opportunities for synergies in education, research and extension in support of technical cooperation on priorities of the agricultural sector in the countries. CATIE and IICA carry out at least five joint initiatives related to the needs of the agricultural sector in the region of their mandate CATIE and IICA. 13

14 SO4. Complete a process of institutionwide modernization and strengthening that gives the Center the organizational competencies and competitiveness it needs for effective and efficient execution of the strategic plan. Goals 2016 Indicators (medium term) 2015 Actions 2016 Actions 1. CATIE strengthens joint work among its divisions to achieve greater effectiveness and efficiency in the integration of its essential functions as an international landgrant type of university and regional scientific platform. Indicator 1.1.Two project proposals (different divisions) that include funds for scholarships (to at least pay student matriculation) and for operation of Orton Memorial Library, OCI, CATIE journals and institutional marketing. Indicator 1.2. A joint project presented to acquire funds for development and maintenance of educational infrastructure and of CATIE. Indicator 1.3. An operational strategy to increase the number of professors and active collaboration among divisions to develop training, education, research and projection programs. Indicator 1.4. All NOs identify research topics for M.Sc. and Ph.D. students. Indicator 1.5. An institutional management system for training programs. Indicator 1.6. Development and implementation of at least four techniques or tools for statistical analysis of data. Indicator management (and operational plans of different DPE entities identify and apply necessary mechanisms to ensure joint work among institutional entities. Indicator 1.8. A 10% annual increase in new joint actions and active collaboration among DPD entities and other divisions for execution of actions. Indicator 1.9. Participation in 100% of events of the Dean s Advisory Council. P1. Two project proposals developed that include funds for student scholarships and operation of Orton Memorial Library, OCI, CATIE journals and institutional marketing. P1. Project proposal developed. P1. Strategy document developed and approved. P1. List of at least five research topics for NOs. P1. Document on system developed and approved. P1. Techniques of generalized linear mixed models and nonlinear mixed available for analysis of data. Two management plans to strengthen joint work. Joint participation in actions with other divisions. Meetings with Dean s Council to coordinate actions in the implementation, adjustment and results of the EP business plan. P1. Two project proposals approved that include funds for student scholarships and operation of Orton Memorial Library, OCI, CATIE journals and institutional marketing. Responsible Party/Parties DE, DID, DPE. P1. Proposal for financing. DAF, DE, DID, DPE, DG. P1. Strategy implemented. DE, DID, DPE, Human Development. P2. List of at least 10 research topics for NOs. P1. Institutional management system implemented. P1. Softwares InfoStat, FDiversity and Q-Eco updated in cooperation with other institutions available for analysis of data. Two management plans to strengthen joint work. Joint participation in actions with other divisions. Meetings with Dean s Council to coordinate actions in the implementation, adjustment and results of the EP business plan. DPE, DE, DID. DID, DPE, DAF, DE. Biostatistics Unit, DE, DID. DPD, NOs, OCI, UGO, DH. Dean s Advisory Council Observations Requires close coordination among divisions. An activity fundamental to institutional image presented to visitors, students, etc. Requires vision and institutional action and responsibility in education, research and projection programs of professors. Updated every year. The Training Area should coordinate so that there is reliable information on this institutional activity. These tools are a horizontal institutional product. Favorable institutional policies. 14

15 2. CATIE expresses its plans, organization and operational-strategic control in financial and accounting terms through balanced budgets that ensure its health and financial sustainability. Indicator 2.1. Financial statements in accordance with international standards, free of caveats and with a clean bill of health from the auditor. Indicator 2.2. Aggregate income budget of USD 32 to 34 million and a core budget of USD 6 to 7 million. Indicator 2.3. The Research Division produces about USD 12 to 13 million annually; this includes agreements, for USD 8 to 10 million; and funds in custody of USD 2 to 2.5 million. This results in recovery of indirect costs of USD 1.4 to 1.6 million annually. Financial statements available in the form and time frame established in respective regulations. Aggregate income budget of USD 32 to 33 million and core budget of USD 5.5 to 6 million. The Research Division produces about USD 13 million in income; this includes agreements, for USD 9.5 to 10 million; and funds in custody of USD 2 to 2.2 million. This results in recovery of indirect costs of USD 1.2 to 1.4 million. Financial statements available in the form and time frame established in respective regulations. Aggregate income budget of USD 33 to 34 million and core budget of de USD 6 to 6.5 million. The Research Division produces about USD 12 million in income; this includes agreements, for USD 8 to 9 million; and funds in custody of USD 2.4 to 2.6 million. This results in recovery of indirect costs of USD 1.4 to 1.6 million. Accounting and Finance. Accounting and Finance. DG, Division Directors. DID, DPD, DAF, DG. Indicator 2.4. The Education Division generates increased income of USD 4 to 4.5 million annually; this includes funds in custody of USD 3.2 to 3.6 million (which also includes the raising of fresh funds of USD 0.5 million); and teaching activities with growing income of USD 0.8 to 0.9 million (which includes new components generated by virtual education and new master s programs). The Education Division generates income of USD 3.5 to 4.1 million annually; this includes funds in custody of USD 2.9 to 3.5 million (which also includes the raising of fresh funds of USD 0.5 million); and teaching activities with growing income of USD 0.6 to 0.8 million (which includes new components generated by virtual education and new master s programs). The Education Division generates income of USD 3.8 to 4.5 million annually; this includes funds in custody of USD 3.1 to 3.6 million (which also includes the raising of fresh funds of USD 0.5 million); and teaching activities with growing income of USD 0.7 to 1.0 million (which includes new components generated by virtual education and new master s programs). DID, DPD, DAF, DG. Indicator 2.5. The Projection and Development Division generates income Of USD 8.5 to 9.8 million annually; this includes income for sustainable execution of agreements of USD 7 to 7.5 million; funds in custody of USD 1.3 to 1.5 million. The above results in recovery of indirect costs of USD 0.6 to 0.8 million annually. The Projection and Development Division generates income of USD 8.6 to 9 million annually; this includes income for sustainable execution of agreements of USD 6.8 to 7.2 million; funds in custody of USD 1.3 to 1.5 million. The above results in recovery of indirect costs of USD 0.65 to 0.75 million annually. The Division of Finance and Administration (includes commercial operations) generates income of USD 4.5 to 5 million annually; this includes commercial activities and services for USD 3.5 to 4 million; funds in custody of USD 0.2 to 0.25 million. The above results in contributions to the core budget of USD 0.75 to 0.9 million annually. The Projection and Development Division generates income of USD 9.5 to 9.8 million annually; this includes income for sustainable execution of agreements of USD 7.3 to 7.6 million; funds in custody of USD 1.3 to 1.5 million. The above results in recovery of indirect costs of USD 0.7 to 0.8 million annually. DID, DPD, DAF, DG. The opportunistic character of these operations makes the range of variability even greater, but totally viable and feasible. Income structure for 2016 is a preliminary estimate based on information available. Indicator 2.6. The Division of Finance and Administration (includes commercial operations) generates income of USD 4.5 to 5.7 million annually; this includes commercial activities and services for USD 3.5 to 4.5 million; funds in custody of USD 0.25 to 0.3 million. The above results in contributions to the core budget of USD 0.75 to 1 million annually. The Division of Finance and Administration (includes commercial operations) generates income of USD 5.5 to 6 million annually; this includes commercial activities and services for USD 4.5 to 4.7 million; funds in custody of USD 0.25 to 0.3 million. The above results in contributions to the core budget of USD 0.8 to1 million annually. Costing system recovers at least 80% CII. DAF. Investments made in agribusiness and biotechnology yield expected products. Indicator 2.7. Methodologies for recovery of indirect costs implemented, with a rate of recovery of not less than 80% of indirect institutional costs (CII). Costing system recovers at least 50% CII Accounting and Finances 15

16 3. CATIE configures its regulatory and operational framework for management of human talent to achieve development and strengthening of attitudes and aptitudes that ensure motivated, high-performance teams. 4. CATIE operates a system of modern and up-to-date information systems that contribute effectively to the Center s operations. Indicator 3.1 PPI, PPN and Consultants regulations revised and adapted to the Center s business model. Indicator 3.2. Remuneration: a. metric of the Center with respect to the percentile 50% of the PwC salary survey and b. system of monetary and in-kind incentives approved and operating associated to the system of remunerations and bonuses. Indicator 3.3. Evaluation of performance: tools to conduct evaluation revised and 100% operational. Indicator 3.4. KPMG methodology implemented and aggregate level of health of the climate more than 75%. Indicator 3.5. Implementation methodology available and in operation in conformance with diagnosis of the Center s health and organizational strategy. Indicator 3.6. Revision of actual systems implemented and proposed improvements linked to the institutional ERP. Indicator 3.7. Formulation and implementation of two policies and associated instruments, one for Professional Development (professional career) and another for successional plans. Indicator 4.1. Electrical network and connectivity plus wiring in Wallace Building totally renovated and principal Office applications operating in the cloud. Indicator 4.2. All Web platforms enter through the institutional Web. Indicator 4.3. At least 10 functionaries with academic degrees in project management methodologies. Information system available and harmonized with financial system. Indicator 4.4. At least three functionaries with academic degrees in related methodologies. Information system available and harmonized with Web portal. PPI and Consultants regulations revised and approved by Center s governing bodies. Remuneration proposal adjusted to percentile 50 and the Center s budgetary reality. Proposed system of incentives for approval by the Center s governing bodies. Proposal approved under a digital platform. Evaluations for 2014 are conducted and the associated metric generated to make necessary adjustments. PPN approved by Center s governing bodies. Incentive system functioning, aligned to the Center s budgetary reality and the performance evaluation system evaluations conducted as optimized tool. The system is the basis for determining the Center s bonus and remuneration system, including incentives. Human Development. Human Development. Human Development and Information Technologies. Idem 4.5. Idem 4.5. Human Development. Idem 4.5. Idem 4.5. Human Development and Information Technologies. Idem 4.4. Idem 4.4. Human Development and Information Technologies. Policies formulated, in force, and with designed actions being executed. Financing obtained and ready to execute projects. At least two of the Center s important projects functioning under the project administration methodology. Policies formulated, in force, and with designed actions being executed. Project implementation. At least five of the Center s important projects functioning under the project administration methodology. Human Development and Finances. Information Technology, Operations, General Subdirection. Information Technology and OCI. Information Technology and Human Development. Information Technology, Human Development and DE. 16

17 5. Institutional agribusinesses consolidated as a generator of resources for the core budget and as a platform of support for scientific and educational programs. 6. Housing strengthened to support the student and scientific community on campus, focusing its management in maintenance, ecoefficiency, reinvestment and financial support to core functions. 7. Institutional services function as a support platform for operation of the Center within a framework of ecoefficiency and assistance to operational budgets. Indicator 5.1 Support to the core budget between USD 270,000 and USD 320,000. Indicator milk cows. Environmental certifications current. At least 300 persons trained in tropical dairy farming per year. Support of agribusinesses to the core budget of USD 200, milk cows. Environmental certifications current. At least 100 persons trained in tropical dairy farming per year. Support of agribusinesses to the core budget of USD 300,000. Indicator milk cows. Environmental certifications current. At least 300 persons trained in tropical dairy farming per year DAF and Commercial Farm. DAF and Commercial Farm. Indicator 6.1. Support to the core budget between USD 300,000 and USD 350,000. Indicator 6.2. Renewable energy substituting at least 50% of the energy required from the national electrical grid. Support of USD 300,000 to the core budget. Renewable energy substituting at least 30% of the energy required from the national electrical grid. Support of USD 350,000 to the core budget. Renewable energy substituting at least 50% of the energy required from the national electrical grid. DAF and Housing. DAF and Housing. Indicator 7.1. Information system identified and implemented to systematize and minimize risks associated with maintenance. Formulation and execution of a preventive maintenance plan, with compliance greater than 70%. Indicator 7.2. Renewable energy substituting at least 25% of the energy required from the national electrical grid. Information system identified and implemented to systematize and minimize risks associated with maintenance. Compliance with preventive maintenance plan greater than 70%. Renewable energy substituting at least 10% of the energy required from the national electrical grid. All concessioned services with a system of metrics for client satisfaction, with satisfaction rates of more than 60%. Information system identified and implemented to systematize and minimize risks associated with maintenance. Compliance with preventive maintenance plan greater than 70%. Renewable energy substituting at least 25% of the energy required from the national electrical grid. Operations and Housing. Operations and Housing. Indicator 7.3. All concessioned services with a system of metrics for client satisfaction, with satisfaction rates of more than 60%. All concessioned services with a system of metrics for client satisfaction, with satisfaction rates of more than 60%. Operations and Housing. 8. CATIE s current contract (Law 8028) is extended for an additional 20-year period beginning in Indicator 8.1. Agreements by the Government of Costa Rica and the IABA authorizing the extension of CATIE s current contract (Law 8028) for an additional 20-year period, beginning in Promote the corresponding agreements before the established legal governmental bodies to automatically extend Law 8028 for an additional period of 20 years. CATIE continues promoting the corresponding agreements before the established legal governmental bodies to automatically extend Law 8028 for an additional period of 20 years. DG. 17

18 Follow-up and evaluation of goals and indicators The process of follow-up and evaluation of goals and indicators established in the Biennial Plan, linked with each of the Center s strategic objectives, is carried out based on guidelines and instruments considered in the institutional policy for planning, follow-up and evaluation. In order to operationalize the process of follow-up and evaluation of goals, indicators and strategic actions to be reached in 2015 and 2016, CATIE will begin to conduct periodic monitoring activities at the institutional level, of the formal structures and of individuals, which permits it to determine the advances made and report on the results achieved for each of the strategic objectives set forth in the plan to the Center s governing bodies. The monitoring activities to be implemented will strive to ensure that the Biennial Plan is aligned with key objectives and actions in the institutional strategic plan. 18

19 Financial plan CATIE s financial plan is estimated on the robustness of its business model, which is basically selfgenerating and entreprenurial in all of its divisions and aligned with the growing historical trends and the plan described for the compliance of each of the strategic objectives. The following table shows the estimate of the main budget lines for income and expenditures, and has as a final result the net surpluses that will fortify the Center s financial reserves Biennial financial plan, with comparative figures from the estimated closing for 2014 (thousands of USD) INCOME Unrestricted: Members quotas 1,650 1,650 1,650 Fundatropicos trust fund Cost recovery 2,252 2,366 2,500 Overhead 2,073 2,200 2,250 Commercial farm 2,167 2,303 2,400 Other income Donations and others Subtotal 9,650 9,769 10,070 Core functions: Research 12,953 11,500 11,800 Outreach 8,448 8,200 8,500 Education 2,852 3,500 3,700 Subtotal 24,254 23,200 24,000 Total income 33,904 32,969 34,070 EXPENDITURES Core functions Research 12,953 11,500 11,800 Outreach 8,448 8,200 8,500 Education 2,852 3,500 3,700 Subtotal 24,254 23,200 24,000 Support to core functions: Research 1,062 1,148 1,200 Outreach Education 1,107 1,157 1,225 Commercial farm 2,249 2,357 2,400 Operative costs 2,124 1,743 1,775 General and administrative costs 2,384 2,421 2,495 Sub-total 9,550 9,594 9,895 Total expenditures 33,804 32,794 33,895 Projected result Core budget 5,869 6,150 6,300 $34,406 $602 19

20 The estimated figures for income are considered within the ranges described in each of the goals. This plan adds a description of where investments of funds will be concentrated to comply with the Center s mission and strategy, which are totally feasible and viable. Figures for 2015 take into consideration additional estimations of potential income from negotiations underway, with a high level of certainty, but which as of September 2014, have not been signed The 2015 income and expenditures plan, to be approved by the Board of Directors in September 2014, includes only agreements and contracts that have already been signed at that time. 20

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