UNU 2020-2021 Biennium
Distr.: Limited Council of the Original: English United Nations University
Seventy-third Session 25 June 2020
Programme and budgetary matters
UNU Work Programme and Budget Estimates for the 2020-2021 Biennium (Revised)
UNU 2020-2021 Biennium
Contents PAGE PARAGRAPH
I. OVERVIEW OF THE WORK PROGRAMME AND BUDGET FOR B2020-2021 4 1-9
PRIORITIES 2018-2019 5 10-19
II. ORGANIZATION OF THE UNITED NATIONS UNIVERSITY B2020-2021 7
UNU ORGANIZATIONAL CHART 7 GOVERNANCE 8 20-31 UNU CENTRE 9 32-36 DESCRIPTION OF UNU INSTITUTES 9 37-51
III. BUDGET OF THE UNITED NATIONS UNIVERSITY B2020-2021 13
OVERVIEW 13 52-59 EXPENDITURE ESTIMATES 15 60-87 INCOME ESTIMATES 22 88-106 BUDGET FOR MANAGING AND MAINTAINING THE UNU HEADQUARTERS BUILDING IN TOKYO 28 107-110 BUDGET AUTHORIZATIONS GIVEN BY THE UNU COUNCIL TO THE RECTOR 29 111
IV. WORK PROGRAMME OF THE UNITED NATIONS UNIVERSITY B2020-2021 30
UNU-BIOLAC PROGRAMME AND BUDGET 2020-2021 31 UNU-CPR PROGRAMME AND BUDGET 2020-2021 33 UNU-CRIS PROGRAMME AND BUDGET 2020-2021 36 UNU-CS PROGRAMME AND BUDGET 2020-2021 38 UNU-EGOV PROGRAMME AND BUDGET 2020-2021 41 UNU-EHS PROGRAMME AND BUDGET 2020-2021 43 UNU-FLORES PROGRAMME AND BUDGET 2020-2021 46 UNU-IAS PROGRAMME AND BUDGET 2020-2021 49 UNU-IIGH PROGRAMME AND BUDGET 2020-2021 52 UNU-INRA PROGRAMME AND BUDGET 2020-2021 55 UNU-INWEH PROGRAMME AND BUDGET 2020-2021 58 UNU-MERIT PROGRAMME AND BUDGET 2020-2021 60 UNU-WIDER PROGRAMME AND BUDGET 2020-2021 64 UNU CENTRE/OFFICE OF THE RECTOR PROGRAMME AND BUDGET 2020-2021 67
V. SUMMATIVE WORK PROGRAMME TABLES AND GRAPHS B2020-2021 70
WORK PROGRAMME B2020-2021 BY UNU INSTITUTE 70 RESEARCH PROGRAMME THEMES 73 112 SHARE OF EXPENDITURE FOR ACADEMIC ACTIVITIES BY UNU INSTITUTE 74 INTERNAL COLLABORATION MATRIX B2020-2021 75 113 EXTERNAL COLLABORATION MATRIX B2020-2021 76 114 EXPENDITURE B2020-2021 BY BUDGETARY FUND 79 115
ANNEXES 80
ANNEX I: SUMMARY TABLE OF THE UNU BUDGET PROPOSAL FOR B2020-2021 80 ANNEX II: SUMMARY TABLE OF THE UNU BUDGET PROPOSAL FOR B2020-2021 (BY YEAR) 81 ANNEX III: UNU STAFFING TABLE COMPARISON OF FUNDED POSTS BETWEEN INITIAL B2016-2017 AND 82 ESTIMATED B2020-2021 BY LOCATION AND LEVEL ANNEX IV: UNU STAFFING TABLE FOR ESTIMATED B2020-2021 83 ANNEX V: TRAVEL ANALYSIS 89 1 UNU 2020-2021 Biennium
List of Abbreviations and Acronyms
ADB Asian Development Bank IPBES Intergovernmental Platform on AfDB African Development Bank Biodiversity and Ecosystem Services IPCC Intergovernmental Panel on Climate AERC African Economic Research Consortium Change B2010-2011 2010-2011 Biennium IPSAS International Public Sector Accounting Standards B2012-2013 2012-2013 Biennium ITU International Telecommunication Union B2014-2015 2014-2015 Biennium IUCN International Union for Conservation of B2016-2017 2016-2017 Biennium Nature IWMI International Water Management Institute B2018-2019 2018-2019 Biennium MCII Munich Climate Initiative B2020-2021 2020-2021 Biennium MEXT Ministry of Education, Culture, Sports, BMBF German Federal Ministry of Education and Science and Technology of Japan Research MOFA Ministry of Foreign Affairs of Japan BMZ German Federal Ministry for Economic Cooperation and Development NGO Non-Governmental Organization c/f Carried Forward OC UNU Office of Communications C3 UNU Campus Computing Centre OECD Organisation for Economic Co-operation CBD Convention on Biological Diversity and Development OHCHR Office of the United Nations High Commissioner for Human Rights CONDIR Conference of Directors of UNU Research OSCE Organization for Security and Co- and Training Centres / Programmes operation in Europe CTC Consultant Contracts PACET Pan-African Cooperation and Educational DEIP Design and Evaluation of Innovation Technologies Policies PAU Pan-African University DRR Disaster Risk Reduction PSS Policy Support System EMSVA Environmental Migration, Social SDG Sustainable Development Goal Vulnerability and Adaptation EU European Union SNV Netherlands Development Organisation EVES Environmental Vulnerability and SPC Specific Project Contribution Ecosystem Services STI Science, Technology and Innovation FAO Food and Agriculture Organization of the United Nations SCYCLE Sustainable Cycles GEF Global Environment Facility TU Dresden Technische Universität Dresden GHG Greenhouse Gas UN United Nations GIZ Deutsche Gesellschaft für Internationale UNCCD United Nations Convention to Combat Zusammenarbeit Desertification GWP Global Water Partnership UNCTAD United Nations Conference on Trade and HLPF High-Level Political Forum on Sustainable Development Development UN DESA United Nations Department of Economic IADB Inter-American Development Bank and Social Affairs UNDP United Nations Development Programme ICARDA International Center for Agricultural Research in the Dry Areas UN DPPA United Nations Department of Political and ICT Information and Communications Peacebuilding Affairs Technology UN DPO United Nations Department of ICT4D Information and Communications Peacekeeping Operations Technologies for Development UN ECA United Nations Economic Commission for ICTD Information and Communications Africa Technologies and Development UN ECE United Nations Economic Commission for IFAD International Fund for Agricultural Europe Development UN ECLAC United Nations Economic Commission for IGES Institute for Global Environmental Latin America and the Caribbean Strategies UN EOSG United Nations Executive Office of the IHA International Hydropower Association Secretary-General UN ESCAP United Nations Economic and Social ILO International Labour Organization Commission for Asia and the Pacific IMF International Monetary Fund UN ESCWA United Nations Economic and Social Commission for Western Asia IOM International Organization for Migration UNEP United Nations Environment Programme
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UNESCO United Nations Educational, Scientific and WASCAL West African Science Service Center on Cultural Organization Climate Change and Adapted Land Use UNFCCC United Nations Framework Convention on WFP World Food Programme Climate Change WHO World Health Organization UNFPA United Nations Population Fund WIPO World Intellectual Property Organization UN-HABITAT United Nations Human Settlements Programme WLC Water Learning Centre UNHCR United Nations High Commissioner for WMO World Meteorological Organization Refugees WTO World Trade Organization UNICEF United Nations Children's Fund UNIDO United Nations Industrial Development Organization UNISDR United Nations Office for Disaster Risk Reduction UNITAR United Nations Institute for Training and Research UN OCHA United Nations Office for the Coordination of Humanitarian Affairs UNOPS United Nations Office for Project Services UN-SPIDER United Nations Platform for Space-based Information for Disaster Management and Emergency Response UNU United Nations University UNU Centre United Nations University Centre UNU HQ UNU Headquarters in Tokyo UNU-BIOLAC UNU Biotechnology Programme for Latin America and the Caribbean UNU-CPR UNU Centre for Policy Research UNU-CRIS UNU Institute on Comparative Regional Integration Studies UNU-CS UNU Institute on Computing and Society UNU-EGOV Operating Unit on Policy-Driven Electronic Governance UNU-EHS UNU Institute for Environment and Human Security UNU-FLORES UNU Institute for Integrated Management of Material Fluxes and of Resources UNU-GCM UNU Institute on Globalization, Culture and Mobility UNU-IIGH UNU International Institute for Global Health UNU-INRA UNU Institute for Natural Resources in Africa UNU-INWEH UNU Institute for Water, Environment and Health UNU-IRADDA UNU Institute for Sustainable Development UNU-MERIT UNU Maastricht Economic and Social Research Institute on Innovation and Technology UNU-ONY UNU Office at the United Nations in New York UNU-ViE UNU Vice-Rectorate in Europe UNU-WIDER UNU World Institute for Development Economics Research UNV United Nations Volunteer UN-Water United Nations Water UNW-DPC UN-Water Decade Programme on Capacity Development UN Women United Nations Entity for Gender Equality and the Empowerment of Women USD United States Dollar VARMAP Vulnerability Assessment, Risk Management and Adaptive Planning
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UNU 2020-2021 Biennium
I. Overview of the Work Programme and Budget for B2020-2021
1. The United Nations University (UNU) operates as a decentralized system of 14 policy-oriented think tanks, each researching specific themes related to development, peace and security, or the environment, unlike most traditional academic institutions which organize academic research by discipline.
2. As knowledge partners within the United Nations system, UNU connects diverse international stakeholders to generate and share this research with a broad spectrum of publics. The University translates research into evidence-based policy recommendations and delivers it to those who can drive positive change, seeking to ensure that policy works for people, locally and globally. UNU also promotes knowledge creation and exchange through education and capacity building programmes.
3. The resources available to carry out research, policy advisory services and capacity development initiatives vary considerably amongst UNU institutes. This is due to historical factors and the varying strategies pursued to expand the UNU system’s geographic reach and thematic coverage since its establishment in 1974. While in early periods UNU host governments were able to provide generous grants to endow new UNU entities, later on host authorities mostly wished to commit only to time- bound operational support. Aside from the UNU Centre and the Headquarters Building, nine UNU entities benefit from an endowment. These endowments range from USD 5 million to over USD 100 million.
4. As a result, many UNU institutes are heavily reliant on project fundraising and institutional fundraising to sustain core operations, which also makes them vulnerable to changes in donor strategies. The management challenges associated with the operation of unendowed institutes are significant relative to endowed UNU institutes. For these reasons, the UNU’s governing board (UNU Council) decided in June 2018 to refrain from authorizing the creation of additional UNU entities unless host authorities make available significant endowment funding.1
5. The income projections for 2020-2021, which include both institutional and project-based fundraising, have been formulated with prudence, in line with longstanding UNU budget practice. Such prudence has allowed UNU to avoid system-wide financial shocks. The projections for 2020-21 consequently represent the lowest reasonable estimates based on information available at the time of budgeting.
6. Income estimates for both institutional fundraising (for core operations) and project-based fundraising in 2020-2021 are expected to increase by 8.4 percent (USD 33.6 million) and 9.2 per cent (USD 37.4 million), respectively, as compared to initial estimates for 2018-2019. UNU expects to receive additional contributions throughout the 2020–2021 biennium which, in keeping with past practice, will be reflected in revised organizational budgets the UNU Council will review periodically. The total budget estimate for 2020-2021, USD 112.5 million, represents a 3.7 per cent increase over the initial estimate presented for UNU’s 2018-2019 budget.
7. The 2020-2021 budget estimates include USD 51.1 million earmarked for academic programmes and projects, a 1.6 per cent increase over initial 2018-2019 estimates. The University anticipates delivering an expanded programme of work with fewer United Nations core funded staff (total headcount reduced from 151 to 140) and will make greater use of project specific specialists (increased to 19 from 11), thus ensuring more agility in the implementation of the academic programme and greater budgetary flexibility. While the overall number of United Nations staff has decreased from 162 in 2018-2019 to 159 funded positions for 2020-2021, the associated personnel costs have increased by 7.9 per cent as a result of higher common staff costs.2
8. Each UNU institute has engaged its Advisory Board/Committee as part of the budget development process in order to sensitize its members to fundraising goals over the medium-term. Together, they have co-developed strategies and monitoring indicators to encourage more successful resource mobilisation practices. Advisory Boards/Committees comprise independent subject matter experts
1 The UNU Council, at its 69th session in Bonn, Germany, in June 2018, adopted the Policy and Criteria for the establishment of UNU research and training centres and programmes. 2 The common staff costs in the 2020-2021 budget were revised upward to take into account patterns of actual expenditure in 2018- 2019, financial provisions made to support a broadened parental leave policy and estimated income tax reimbursements. 4
UNU 2020-2021 Biennium
with unique access to academic networks and donors and play a crucial role in familiarizing relevant stakeholders to UNU’s work.3
9. The 2020-2021 work programme and budget document is structured as follows: - Chapter I – Overview of the Work Programme and Budget, articulates the University’s priorities and objectives. - Chapter II – Organisation of the United Nations University, provides descriptions of all UNU entities. - Chapter III – Budget of the United Nations University, elucidates the overall University budget. - Chapter IV – Work Programme of the United Nations University, provides detailed programme and budget information for each UNU entity. - Chapter V – Summative Work Programme Tables and Graphs, comprises a graphic overview of the information provided in the previous chapter.
Priorities for 2020-2021
10. The University’s work programme and budget for 2020–2021 supports the implementation of the UNU Strategic Plan (2020-2024). This five-year Strategic Plan builds on the comprehensive programme of change launched by the Rector in 2015 under the 2015-2019 Strategic Plan. Priorities for 2020-2024, agreed by the UNU Council in May 2019, aim, inter alia, to ensure sustainable growth of the UNU system and improved financial stability amongst existing UNU institutes. Creation of new UNU institutes will adhere to revised guidelines outlined in paragraph 4 above.4
11. The 2020-2024 Strategic Plan also emphasizes the policy orientation of UNU research, prioritizing the policy needs of the United Nations and its Member States, and in particular the needs of policymakers in developing countries. David M. Malone’s seat on the United Nations Chief Executives Board provides UNU with insight into the evolving needs of the United Nations, enabling UNU researchers to consider over-the-horizon activities, and also allows him to make key UNU initiatives and findings better known to this key constituency. Meanwhile, UNU anticipates that continued United Nations reform initiatives, such as the development reform, will generate greater demand during 2020-2021 for research and policy advice to address specific needs of Member States, as they did in late 2018 and throughout 2019.
12. Thematically, the University’s academic programme for 2020–2021 encompasses three principal themes: peace and security; environment, climate and energy; and social change and economic development. These themes provide a framework for UNU’s global research programme. Within this framework, several thematic research areas will serve as points of conversion for intra-institute research efforts, notably, research in the areas of migration, water, and innovative technologies.
13. In line with new initiatives launched by the Secretary-General in 2018-2019, the UNU will continue to support specific organisational change initiatives in 2020-2021 addressing, notably, workplace conduct and relationships, gender-sensitive communication and behavior. UNU executive leadership will encourage a culture of collaboration, tolerance and innovation. Investing in a dynamic, inclusive and diverse institutional culture is a central priority for the University and its governing Council.
14. To further encourage innovation in all dimensions of UNU’s work, the 2020–2021 work programme and budget includes a “programme development and innovation fund”. This fund makes available resources to nurture and showcase innovative academic, technical, and partnership initiatives.
3 Institute Advisory Committees/Boards are advisory in nature whereas the UNU Council approves the work programme and adopts the budget of the University, in line with the UNU Charter, Art. IV para. 4 (d).
4 These guidelines, approved by the UNU Council at its 69th session in Bonn, Germany in June 2018 and revised at the 71st session in Rome, Italy, in May 2019, require a host government to provide a capital contribution to be paid into the UNU Endowment Fund as well as operating contributions to finance the operation of any new UNU institute, thus ensuring a degree of sustainability and stability at any new UNU institute.
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UNU 2020-2021 Biennium
15. In 2018-2019, UNU welcomed several new institute Directors and Council members, with strong representation from women, the Global South. These revitalized groups bring new expertise in several academic disciplines, resulting in the most diverse group in UNU’s 40-year history.
16. UNU will continue to pursue the goal of gender parity at all staff levels, building on the significant progress made across professional- and director-level positions in 2018-2019. Currently, the overall UNU personnel complement has reached 49 per cent female representation. At the level of institute Directors, 46 per cent are female. These levels represent a dramatic increase over 2016 staff composition.
17. Policy changes that can have a material impact on the recruitment of women and persons with disabilities will continue to be pursued, building on the changes instituted in 2018-2019, which saw new guidelines issued on gender sensitive recruitment practices and flexible working arrangements, aimed at fostering a more gender-sensitive work environment. In 2020, a new UNU Gender Action Plan will take effect and will further galvanize these initiatives.
18. UNU addresses all 17 Sustainable Development Goals (SDGs) by leveraging expertise that spans numerous disciplines. The University will build on its past achievements and actively integrate ‘lessons learned’ in order to improve the quality and effectiveness of its programmes. Research conducted by the University in 2018–2019 helped shape several important policy discussions–for example, on gender equality in the digital age, on the eradication of modern slavery, and on the creation of a United Nations system-wide narrative on the SDGs.
19. UNU’s executive leadership will continue to encourage collaboration amongst global Communications and Information Communication Technology networks with the aim of increasing the University’s global visibility. Building on system-wide efforts towards a more coherent UNU brand, the University will develop a new and integrated web-platform in 2020–2021.
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II. Organization of the United Nations University B2020-2021 UNU Organizational Chart
UNU Council
Academic Management Rector Committee & Group CONDIR
UNU Vice-Rector Research Institutes, Director of Senior Vice-Rector Executive Officer Representation Europe Programmes and Administration at UNESCO Units
UNU-BIOLAC UNU-CPR UNU-CS UNU-EGOV Office of the Budget & Finance UNU-EHS Rector Services UNU-FLORES UNU-IAS UNU-IIGH UNU-INRA UNU-INWEH Office of Human Resources UNU-IRADDA Communications Services UNU-MERIT UNU-WIDER
Campus Operations Computing Centre Services (C3)
Operating Units Conference & Facilities Management
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Governance
UNU Council 20. The UNU Council is the governing board of the University. Members are appointed by the Secretary- General of the United Nations and the Director-General of the United Nations Educational, Scientific and Cultural Organization (UNESCO) and serve in their individual capacity (not as representatives of their countries), normally for six-year terms. The Secretary-General of the United Nations, the Director- General of UNESCO and the Executive Director of United Nations Institute for Training and Research (UNITAR) are ex-officio members of the Council. 21. The Council formulates principles and policies that govern the activities and operations of the University in accordance with the UNU Charter. It adopts statutes for the application of the UNU Charter and decides upon the setting up or incorporation of research institutes in developed or developing countries and establishes standards for their operation. 22. The Council comprises an Executive Committee as well as a Committee on Finance, Budget and Human Resources. The latter considers the work programme and the budget of the University on the basis of proposals submitted to it by the Rector, which the Council subsequently approves. The Council reports to the United Nations General Assembly, the United Nations Economic and Social Council, and the Executive Board of UNESCO. 23. The Council consists of 12 members, who are joined by the Rector and three ex-officio members. As of May 2019, when six new members joined the Council, gender representation is majority female (ten female and six male members).
Office of the Rector 24. The Office of the Rector supports the Rector in his capacity as the chief academic and administrative officer of the University and assists in executive management and coordination of the UNU system. This includes responsibilities for the University's direction, organization, administration, programme and institutional development. 25. The Office provides an overall supporting role for governance and policy development within the UNU system, in particular through the UNU Council and its Executive Committee, Advisory Boards and Committees of the UNU institutes and programmes, the Management Group, the Conference of Directors of UNU Research and Training Centres/Programmes (CONDIR), and the Academic Committee. It also manages the legal affairs of the University with the support of legal advisors. 26. The Office of the Rector maintains a close relationship with the main host government of Japan, in particular its Ministry of Foreign Affairs (MoFA), the Ministry of Education, Culture, Sports, Science and Technology (MEXT), and the Ministry of the Environment. 27. A representative to UNESCO, based in Paris, France, serves in a liaison capacity between UNU and UNESCO.
Management Group 28. The Management Group is a forum of senior UNU personnel that considers policy development, strategy, planning, and other priority issues. The Group is chaired by the Rector and includes the Senior Vice-Rector, the Vice-Rector in Europe, the Director of Administration, and the Executive Officer. The Group meets on a regular basis to review developments and to evaluate the evolving needs of the University. 29. The Senior Vice-Rector, based in Tokyo, maintains UNU’s scientific partnership with the University of Tokyo and supports a number of broader relationships in Japan, including with government ministries and the general public. 30. UNU operates a Vice-Rectorate in Europe (UNU-ViE), located in Bonn, Germany. Established in May 2007, UNU-ViE strengthens the presence of UNU in Europe. The Vice-Rectorate supports the institutional development of UNU, facilitates collaboration across the University and with the United Nations, and shares knowledge and expertise through the development of joint activities and projects. Additionally, UNU-ViE promotes cooperation with the United Nations agencies in Bonn, as well as with other local and regional stakeholders.
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31. UNU-ViE hosts the SCYCLE Programme focusing on the production, consumption and disposal of electrical and electronic equipment, among others. SCYCLE will transfer to another United Nations entity by the end of the 2020-2021 biennium.
UNU Centre
32. The global UNU system is coordinated by UNU Centre, which comprises the Office of the Rector, the UNU-ViE, UNU Administration, the Office of Communications, the Campus Computing Centre, the Centre for Policy Research (UNU-CPR), the Operating Unit on Policy Driven Electronic Governance (UNU-EGOV), and UNU’s representation at UNESCO.
Administration 33. UNU Administration provides services related to budget and finance, human resources, procurement, management of the enterprise resource planning system, operations, and conference and facilities management. While most UNU institutes have in-house administrative capacity, UNU Administration is responsible for, inter alia, developing unified standards and norms, handling headquarters functions – like the production of financial statements – managing the treasury system, and budget reporting to the UNU Council. 34. UNU Administration provides multi-function transactional services to the entire UNU system. It is located in Tokyo with a Global Service Centre located in Putrajaya, Malaysia.
Office of Communications 35. The Office of Communications (OC) develops and leads the University’s communications strategy including digital communications, visual identity, media relations, stakeholder outreach, and content development in English and Japanese. OC works in close collaboration with communications focal points across the UNU system to articulate and meet global communications goals. It maintains UNU’s main web platforms and social media accounts, with input from institutes and other stakeholders, and promotes UNU’s brand and identity. It oversees global communication campaigns and establishes the editorial tone and style for UNU’s many communications products. OC also coordinates media relations activities, often in collaboration with focal points and partners.
Campus Computing Centre 36. The Campus Computing Centre (C3) is the technology arm of the University. The Centre provides user- focused, innovative and cost-effective shared technology solutions that assist UNU and its institutes in achieving their respective missions. C3 oversees, implements, advances and maintains the University’s technology infrastructure and services. Its main office is in Tokyo, where it also hosts UNU’s main data centre. C3 relies on a second data centre in Germany to ensure faster services for institutes in Europe and Africa, and as a proven back-up site for Tokyo.
Description of UNU Institutes
UNU Biotechnology Programme for Latin America and the Caribbean (UNU-BIOLAC), Caracas, Venezuela 37. UNU-BIOLAC's mission is to promote the use of biotechnology for the sustainable development of Latin American and Caribbean countries. The Programme is focused on capacity building, creating knowledge, and conducting problem-oriented research in the area of biotechnology that are of major concern for the region and for the United Nations. UNU-BIOLAC operates closely with the University of Granada, the University of Antioquia, and the International Centre for Genetic Engineering and Biotechnology, and is hosted on the premises of the Instituto de Estudios Avanzados.
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UNU Centre for Policy Research (UNU-CPR), New York, United States of America 38. UNU-CPR combines research excellence with deep knowledge of the multilateral system to generate innovative solutions to current and future global public policy challenges. UNU-CPR undertakes timely, clear, and rigorous research, directly relevant to the major policy debates at the United Nations. The Centre is uniquely placed to serve as a hub for multilateral policy innovation, working closely with diverse partners on research design, execution and knowledge uptake. UNU-CPR also offers strategic representational support to the UNU Rector and UNU institutes.
UNU Institute on Comparative Regional Integration Studies (UNU-CRIS), Bruges, Belgium 39. UNU-CRIS focuses on the provision of global and regional public goods and on processes and consequences of intra- and inter-regional integration. The Institute aims to generate policy-relevant knowledge about new forms of governance and cooperation and to contribute to capacity building on addressing challenges on a global and regional level. UNU-CRIS operates in partnership with the Free University of Brussels and the University of Ghent and has strong working relationships with several United Nations entities working on global and regional governance issues.
UNU Institute on Computing and Society (UNU-CS), Macau SAR, China 40. UNU-CS works at the intersections of information and communication technologies (ICT) and international development. The Institute focuses on challenges faced by developing societies through high-impact innovations in computing and communication technologies. Specifically, UNU-CS investigates human-centred ICT to address priority topics of the United Nations, offers actionable knowledge and thought-leadership to policymakers, and nurtures the next generation of inter- disciplinary computing, information and social scientists, and engineers while embracing the dynamism of its location in Macau and in the Pearl River Delta.
Operating Unit on Policy-Driven Electronic Governance (UNU-EGOV), Guimarães, Portugal 41. UNU-EGOV is hosted by the University of Minho and supports the United Nations system and Member States in transforming the mechanisms of governance and building effective governance capabilities through strategic applications of digital technologies. The Operating Unit’s primary focus is on the intersection of governance, technology and development. UNU-EGOV undertakes policy-relevant research; translates research findings into relevant policy instruments; builds capacity in localizing and applying such instruments within United Nations agencies, governments and other intergovernmental organizations; builds and maintains research and policy networks; and monitors, evaluates and disseminates the latest developments in research and practice. UNU Institute for Environment and Human Security (UNU-EHS), Bonn, Germany 42. The mission of UNU-EHS is to contribute to solving challenges to humanity driven by global environmental change. The Institute conducts cutting edge research on vulnerability and risk to shape scientific and policy-oriented debates on transformations towards sustainability in the 21st century. UNU-EHS combines global perspectives with locally grounded research to develop tailored solutions for people and resilient societies and, additionally, strives to achieve long-term impact by investing in the capacity of the next generation of thought leaders. This Institute’s research focuses on environmentally driven risks, while taking into account the interplay between ecological and societal factors. The Institute is also engaged in education and capacity building and offers the joint Master of Science degree programme “The Geography of Environmental Risks and Human Security” with the University of Bonn.
UNU Institute for Integrated Management of Material Fluxes and of Resources (UNU-FLORES), Dresden, Germany 43. UNU-FLORES develops strategies to resolve pressing problems in the sustainable use and integrated management of environmental resources, particularly water, soil and waste. Focusing on the needs of the United Nations and its Member States, particularly developing countries and emerging economies, the Institute engages in research, capacity development, advanced teaching and training as well as dissemination of knowledge. In all activities, UNU-FLORES strives to fulfil its mission of advancing a Nexus Approach to the sustainable management of environmental resources.
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UNU Institute for the Advanced Study of Sustainability (UNU-IAS), Tokyo, Japan 44. UNU-IAS advances efforts towards a more sustainable future, through policy-oriented research and capacity development in three areas: (i) transformations toward sustainable societies, (ii) natural capital and biodiversity, and (iii) global change and resilience. UNU-IAS master’s and doctoral degrees in collaboration with leading universities in Japan, postdoctoral fellowships, and innovative short courses produce the policymakers and researchers of tomorrow, who will be at the forefront of global efforts for sustainability. UNU-IAS also maintains an operating unit in Ishikawa/Kanazawa, Japan.
UNU International Institute for Global Health (UNU-IIGH), Kuala Lumpur, Malaysia 45. UNU-IIGH focuses on global health with the aim to advance evidence-based policy on key health issues related to sustainable development. The Institute engages in knowledge creation and capacity building for decision-making by United Nations agencies, United Nations programmes and Member States and serves in several capacities: as a policy hub, convening critical dialogues to support the translation and dissemination of global guidance and recommendations for country level decision makers; as a platform for the review of evidence and generation of policy-relevant analysis related to the impact of gender mainstreaming on health systems, interventions and outcomes; and, as a hub for South-South capacity development of local decision makers and stakeholders to engage effectively with global health challenges within the 2030 Agenda for Sustainable Development.
UNU Institute for Natural Resources in Africa (UNU-INRA), Accra, Ghana 46. UNU-INRA is UNU's think tank on natural resource management (NRM), which provides cutting-edge knowledge primarily to African governments towards sustainable responses to NRM challenges. The Institute works collaboratively, principally with African research organizations and governments to build their capacities and respond to on-demand queries on NRM and undertakes policy-relevant research aimed at promoting sustainable natural resources in Africa. The Institute’s basic premise is that natural resources are at the heart of Africa's growth and transformational development agenda, and effective governance through policy advice, capacity building, research and advocacy will enable an effective management of natural resource goods and services, and in turn alleviate poverty. 47. UNU-INRA also includes a network of operating units in five countries (Cameroon, Cote d’Ivoire, Namibia, Senegal and Zambia) and an extensive knowledge consortium, the Council of Research Associates, spread throughout the continent, which it leverages to enhance its reach.
UNU Institute for Water, Environment and Health (UNU-INWEH), Hamilton, Canada 48. UNU-INWEH’s mission is to help resolve pressing water challenges that are of concern to the United Nations, its Member States, and their people. Working globally and regionally, the Institute carries out critical analysis and synthesis of existing bodies of scientific discovery; conducts targeted research that identifies emerging policy issues; and, applies on-the-ground scalable science-based solutions to water issues. UNU-INWEH also engages in water initiatives that assist Member States, and developing countries in particular, in their efforts to reduce poverty and improve human well-being, to ensure environmental sustainability and growth, and to foster gender equity.
UNU Institute for Sustainable Development (UNU-IRADDA), Algiers, Algeria 49. A host country agreement and a bilateral funding agreement were concluded in 2013, establishing UNU-IRADDA in Algiers, Algeria. Once operational, the Institute will contribute through research, postgraduate education and advanced training and dissemination of knowledge to the resolution of pressing challenges of sustainable development in the African Continent. Due to delays in financing, the Institute is not yet operational.
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UNU Maastricht Economic and Social Research Institute on Innovation and Technology, (UNU- MERIT), Maastricht, The Netherlands 50. UNU-MERIT is a joint research and training institute of UNU and Maastricht University. The Institute explores the social, political and economic factors that drive technological innovation, with a particular focus on the creation, diffusion and access to knowledge. Working with the Maastricht Graduate School of Governance (MGSoG), UNU-MERIT covers all aspects of governance in domestic and global organizations, from risk assessment to policy analysis, design and evaluation. In its work, UNU-MERIT researches how countries can catch up in the unequal global playing field of the 21st century, without increasing inequality and social exclusion; analyses knowledge flows at the regional and global levels, and their impact on local development, employment and productivity; and trains specialists who combine a high level of academic scholarship with leadership, in order to strengthen democratic governance in domestic and international organizations.
UNU World Institute for Development Economics Research (UNU-WIDER), Helsinki, Finland 51. UNU-WIDER focuses on the interlinked development challenges of transforming economies, states, and societies, which are central to the achievement of the 2030 Agenda for Sustainable Development. The Institute primarily works on research-into-use processes to: effectively inform decision-making and policy processes with the most up-to-date rigorous research; link-up stakeholders across research and policy communities; exchange knowledge between national and international researchers, policy analysts in governments, and development partners; co-create analysis as a ‘thought partner’ of government stakeholders and navigate complex policy problems for local settings; and co-develop and support national researchers and policy analysts in applying their analytical capacities. The Institute engages with a series of developing countries, with the governments of its core donor countries, and with several United Nations entities in its projects and activities.
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III. Budget of the United Nations University 2020-2021
Overview 52. The 2020-2021 budget has been formulated with prudence and represents the lowest income and expenditure estimates based on prevailing information at the time of the release of this document. 53. The budget proposal for 2020-2021 amounts to USD 112.5 million, which will support thematic and strategic priorities outlined in the 2020-2024 Strategic Plan. 54. The proposal represents a 3.7 per cent increase over the initial budget for the 2018-2019 biennium. The increase is primarily due to an increase in academic activities and financial provisions made to support a broadened parental leave policy. 55. Table 1 presents a summary of the key financial information.
B2020-2021 Budget Table (in thousands of USD) Table 1 Revised Estimates B2018-2019 B2020-2021 Estimates Revised Estimates Cost Category over Estimates over Estimates B2018-20195 B2018-20196 B2020-2021 B2018-2019 % B2018-2019 %
Academic Programme* 50,285 51,253 51,095 1.9% 1.6% Staffing Table Costs 28,615 29,122 30,873 1.8% 7.9% Other Personnel Costs ** 11,187 10,562 11,621 -5.6% 3.9% General Expenses ** 18,374 18,571 18,897 1.1% 2.8% GRAND TOTAL 108,461 109,508 112,486 1.0% 3.7%
Budget Financing (Income)
Project fundraising 34,268 34,566 37,416 0.9% 9.2% Institutional fundraising 30,957 29,712 33,567 -4.0% 8.4% Income from Endowment Fund 32,431 32,431 33,444 0.0% 3.1% Cumulative Surplus Carried Forward 8,455 10,445 4,931 23.5% -41.7% Other Income 2,350 2,354 3,128 0.2% 33.1% GRAND TOTAL 108,461 109,508 112,486 1.0% 3.7%
5 The budget estimates approved by the Council at its 68th session in December 2017.
6 Refers to the initially approved 2018-2019 budget and subsequent approved revisions. * Academic programme indicates core-funded academic programmes. Academic programmes funded by third parties appear in the Project Fundraising line.
** Other Personnel Costs comprise of short-term contractors, persons engaged under Personnel Service Agreements, and individual consultant costs. In 2018-2019, the budget for individual consultants was presented under the General Expenses category. Therefore, to facilitate the comparison of expenditures, the Other Personnel Costs data for 2018-2019 has been adjusted to include the individual consultant costs.
13 UNU 2020-2021 Biennium
56. Of the total anticipated expenditure in 2020-2021, a significant percentage (estimated at 64.5 per cent or USD 72.6 million) is allocated to academic activities, including staffing and other personnel costs, as shown in Table 2. (in thousands of USD) Table 2 Estimates Estimates B2020-2021 Estimates Cost for Academic Activities B2020- over Estimates B2018-2019 2021 B2018-2019 %
Academic Programme 50,285 51,095 1.6% Staffing Table Costs 15,602 16,258 4.2% Other Personnel Costs 4,249 5,205 22.5% Total 70,136 72,558 3.5% % of total budget 64.7% 64.5%
57. The mean actual budget of UNU over the past 8 years (Actual B2010-2011 to Actual B2016-2017) is USD 107.5 million. The estimate for B2020-2021 represents a 4.6 per cent increase from that mean (as summarized in Graph 1 and Table 3). The growth is attributable to higher projected fundraising.
Graph 1
(in thousands of USD) Table 3
Actual Actual Actual Actual Estimates Estimates Cost Category B2010- B2012- B2014- B2016- B2018- B2020-2021 2011 2013 2015 2017 2019
Academic Programmes & Projects 53,705 59,565 50,574 45,251 50,285 51,095 Staffing Table Costs 32,090 29,587 25,752 25,337 28,615 30,873 Other Personnel Costs 7,171 10,552 8,397 9,415 11,187 11,621 General Expenses 19,061 19,841 18,126 15,632 18,374 18,897 GRAND TOTAL 112,027 119,545 102,849 95,635 108,461 112,486
58. The Staffing Table and Other Personnel costs as a percentage of the total budget have increased marginally from 35 per cent (in 2010-2011) to 38 per cent (2020-2021).
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59. The sections that follow are structured as follows: a. Expenditure Estimates (paragraphs 60–87) includes information on each cost category, namely, Academic Programme, Staffing table costs, Other Personnel costs and General Expenses; b. Income Estimates (paragraphs 88–106) expands on each income category – project fundraising, institutional fundraising, income from endowment fund, cumulative surplus carried forward and other income; c. The final section includes the budget for managing and maintaining the UNU Headquarters Building in Tokyo which is administered as a separate budgetary fund.
Expenditure Estimates 60. Expenditures are categorized as either core-funded expenditures or specific project expenditures. The total expenditure estimates are approved by the UNU Council. During the execution of the budget, the Council may approve the use of additional resources through budget revisions. The Rector is authorized to accept and utilize additional funds for specific projects which may be received by the University during the course of the biennium to fund the work programme approved by the Council. 61. The 2020-2021 budget comprises fourteen budgetary funds. Each of these funds represents a separate accounting entity with self-balancing accounts and relative managerial autonomy for the purpose of realizing their specific mandates. Table 4 shows the breakdown of total expenditure by budgetary fund.
B2020-2021 Expenditure by Budgetary Fund (core and specific project expenditures) (in thousands of USD) Table 4 Change over Actual Estimates Estimates Funds/Programmes Estimates B2016-2017 B2018-2019 B2020-2021 B2018-2019 %
UNU Centre7 23,214 27,129 30,763 13.4% UNU HQ 10,599 14,153 14,731 4.1% UNU-CPR 6,013 5,977 5,952 -0.4% UNU-EGOV 1,845 2,310 3,020 30.7% UNU-ViE 4,757 4,689 7,060 50.6% Institutes
1.UNU-BIOLAC 844 926 939 1.4%
2.UNU-CRIS 1,007 1,886 2,904 54.0%
3.UNU-CS 3,648 4,744 4,991 5.2%
4.UNU-EHS 5,109 4,625 6,553 41.7%
5.UNU-FLORES 3,580 3,838 4,165 8.5%
UNU-GCM 1,581 1,697 Closed8 -
6.UNU-IAS 17,780 17,766 15,206 -14.4%
7.UNU-IIGH 2,903 4,040 4,031 -0.2%
8.UNU-INRA 2,184 1,231 1,547 25.7%
7 For comparison purposes, the 2016-2017 actuals of the UNU Office in New York are included under UNU-CPR, instead of under UNU Headquarters (the previous practice).
8 The UNU Institute on Globalization, Culture and Mobility (UNU-GCM) closed on 31 December 2018 following a decision of the UNU Council taken at its 69th session (June 2018, Bonn). UNU-GCM budget data have been included to facilitate comparisons.
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9.UNU-INWEH 3,296 3,596 3,273 -9.0%
10.UNU-IRADDA 12 984 564 -42.7%9
11.UNU-MERIT 8,020 7,969 9,011 13.1%
12.UNU-WIDER 17,778 23,082 23,321 1.0% Others UNU HQ Bldg 4,679 4,948 5,218 5.5%
Total 95,635 108,461 112,486 3.7%
62. As the last column in Table 4 indicates, more than half of the budgetary funds for 2020-2021 record an increase over 2018-2019 estimates, attributable to new projects secured from successful fundraising efforts. 63. The fourteen budgetary funds can be grouped as follows: twelve institutes, that constitute 68.0 per cent of the total estimated budget (USD 76.5 million) for 2020-2021; the UNU Centre, which constitutes 27.4 per cent of the budget (USD 30.8 million); and the UNU headquarters building in Tokyo, which represents 4.6 per cent of the total budget (USD 5.2 million). See Graph 2, below.
Graph 2
64. The budget is organized in five cost categories; they are: academic programme costs (core and specific project-funded activities), 45.4 per cent; staffing table costs, 27.5 per cent; other personnel costs, 10.3 per cent; and, general expenses, 16.8 per cent. See Graph 3.
Graph 3
9 UNU-IRADDA is not yet operational. The Institute’s budget reflects its current status. 16 UNU 2020-2021 Biennium
65. Table 5 shows the detailed breakdown of expenditures by budgetary fund and by cost category.
B2020-2021 Expenditure by Cost Category
(in thousands of USD) Table 5
-
Fund/
Programmes
Total Academic Programme (Core Funded) Staffing Table Costs OtherPersonnel Costs General Expenses Specific Projects
UNU Centre 30,763 2,032 11,444 4,138 4,830 8,319
UNU HQ 14,731 1,032 8,050 1,828 2,739 1,082
UNU-CPR 5,952 500 1,531 398 1,091 2,432
UNU-EGOV 3,020 420 630 1,572 378 20
UNU-ViE 7,060 80 1,233 340 622 4,785
UNU-BIOLAC 939 606 - 201 132 -
UNU-CRIS 2,904 1,118 447 55 834 450
UNU-CS 4,991 406 1,575 1,198 1,812 -
UNU-EHS 6,553 240 1,306 277 462 4,268
UNU-FLORES 4,165 162 2,143 844 414 602
UNU-IAS 15,206 1,445 1,379 807 678 10,897
UNU-IIGH 4,031 729 2,032 547 673 50
UNU-INRA 1,547 140 460 169 176 602
UNU-INWEH 3,273 330 1,343 839 661 100
UNU-IRADDA 564 100 419 - 45 -
UNU-MERIT 9,011 1,331 3,206 569 1,606 2,299
UNU-WIDER 23,321 5,040 4,864 1,539 2,049 9,829
UNU HQ Bldg 5,218 - 255 438 4,525 -
Total Budget 112,486 13,679 30,873 11,621 18,897 37,416
Distribution (%) 100% 12.2% 27.4% 10.3% 16.8% 33.3%
(a) Academic Programme Costs 66. As is the case with all other forms of expenditure, academic programme costs can be met by core funding and/or specific project funding. The terms project fundraising and specific project funding refer to non- assessed contributions that result from active fundraising efforts and which are earmarked for specific projects. This category of contributions supports academic activities over and above planned activities financed from core income. 67. The total expenditure for academic programmes in 2020-2021 is estimated at USD 51.1 million. This represents a 1.6 per cent increase compared to the 2018-2019 estimates.
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68. Academic programmes are organized into three thematic areas: (i) Peace and security; (ii) Social change and economic development; and (iii) Environment, climate and energy. 69. Academic programme costs can be broken down into (i) defined academic programmes (including degree programme activities); and, (ii) innovation and programme development funds (previously programme development). 70. The Innovation and Programme Development funds provide funding for activities that do not relate to any specific project at the budget planning stage. It is intended to fund new, promising initiatives that will contribute to the accomplishment of an institute’s overall objectives; these funds can be used to seed new projects or support ad hoc academic, technical, and other partnerships. Overall, these funds may represent up to 15 per cent of total budgets. 71. Defined academic projects and the innovation and programme development funds comprise 95.6 per cent and 4.4 per cent respectively of total academic programme costs. This ratio is consistent with the ratio in the 2018-2019 budget (96.0 per cent and 4.0 per cent, respectively). 72. In addition to core funding, the 2020-2021 budget includes an estimated USD 37.4 million from project fundraising that is allocated to specific projects. Project fundraising overall indicates an increase of 9.2 per cent compared to the initial 2018-2019 budget. 73. Given that the 2020-2021 budget is formulated with prudence and represents the lowest income and expenditure estimates based on prevailing information at the time of budget formulation, it is expected that additional project funding will be received during the course of biennium (2020-2021), permitting a higher level of expenditure for specific projects. 74. Generally, obligations can be incurred, and payments made only after a specific project agreement has been signed or funds have been received in UNU accounts. 75. The details of the academic programme costs are summarized in Table 6.
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B2020-2021 Academic Programme and Specific Projects Costs
(in thousands of USD) Table 6 Estimates B2020-2021
Core Specific Projects Change
over Estimates
Actual Estimates
Fund Fund
Fund/ B2018-
B2016- B2018- Programmes 2019
2017 2019 Total
%
Projects Projects
Programme Programme
Innovation & Innovation & Innovation
Defined AcademicDefined AcademicDefined
Development Development
UNU Centre 7,005 8,305 10,351 1,009 1,023 8,319 24.6% UNU HQ 1,104 2,373 2,114 509 523 1,082 -10.9% UNU-CPR 2,514 2,910 2,932 - 500 2,432 0.8% UNU-EGOV 761 553 440 420 - 20 -20.4% UNU-ViE 2,626 2,469 4,865 80 - 4,785 97.0% UNU-BIOLAC 584 610 606 606 - - -0.7% UNU-CRIS 111 1,242 1,568 974 144 450 26.2% UNU-CS 127 377 406 356 50 - 7.7% UNU-EHS 3,190 2,711 4,508 240 - 4,268 66.3% UNU-FLORES 711 747 764 135 27 602 2.3% UNU-GCM 258 123 Closed Closed Closed Closed Closed - UNU-IAS 16,298 16,122 12,342 1,445 - 10,897 -23.4% UNU-IIGH 1,077 1,011 779 630 99 50 -22.9% UNU-INRA 926 285 742 80 60 602 160.4% UNU-INWEH 658 816 430 130 200 100 -47.3% UNU-IRADDA - 230 100 - 100 - -56.5% UNU-MERIT 3,476 2,829 3,630 1,160 171 2,149 150 28.3% UNU-WIDER 10,830 14,877 14,869 4,840 200 9,829 -0.1% UNU HQ Bldg ------Total 45,251 50,285 51,095 11,605 2,074 37,266 150 1.6% Distribution (%) 100% 22.7% 4.1% 72.9% 0.3%
(b) Staffing Table Costs and Other Personnel Costs 76. The UNU Staffing Table (Annex IV) includes all established academic and non-academic staff posts. These posts are funded by either core funding or specific project funding. Staffing Table costs comprise salaries of established posts (including common staff costs) across the Professional, National Professional Officer and General Service categories. 77. The common staff costs in the 2020-2021 budget are revised upward from an average of 42 per cent to 45 per cent for International Professional Staff and from an average of 32 per cent to 35 per cent for National Professional Officer and General Service categories. In addition, there was a change in the salary base for the common staff cost calculation from (a) employing net salaries, to (b) employing net salaries and post adjustments. This revision takes into account patterns of actual expenditure in 2018- 2019, financial provisions made to support a broadened parental leave policy and estimated income tax reimbursements amounting to USD 1.0 million. These changes contribute to an overall increase in the Staffing Table costs. 78. UNU is projecting a total of 159 funded posts, of which 140 are core-funded (USD 30.9 million), while 19 utilize specific project funding (USD 5.3 million).
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B2020-2021 Staffing Table Costs (core and specific project funded)
(in thousands of USD) Table 7 Change Estimates B2020- over B2018- 2021 Estimates B2018-2019 Staffing Estimates B2020-2021 Est. Variance Funds / 2019 Number Table Costs Staffing Table Costs B2018- No. of Programmes Number of 2019 Posts of Funded Funded % Posts Posts Total Core Sp. Total Core Sp. Project Project UNU Centre 50 54 4 10,280 9,989 291 13,171 11,444 1,727 28.1% UNU HQ 33 33 - 6,784 6,784 8,050 8,050 18.7% UNU-CPR 6 5 -1 1,678 1,563 115 2,400 1,531 869 43.0% UNU-EGOV 3 5 2 550 550 630 630 14.5% UNU-ViE 8 11 3 1,268 1,092 176 2,091 1,233 858 64.9% UNU-BIOLAC ------0.0% UNU-CRIS 1 1 - 294 294 447 447 52.0% UNU-CS 5 6 1 1,258 1,258 1,575 1,575 25.2% UNU-EHS 12 13 1 2,054 1,387 667 2,383 1,306 1,077 16.0% UNU-FLORES 10 10 - 1,947 1,947 2,143 2,143 10.1% UNU-GCM 3 - -3 747 747 Closed Closed - UNU-IAS 8 9 1 2,140 765 1,375 2,511 1,379 1,132 17.3% UNU-IIGH 13 15 2 1,744 1,744 2,032 2,032 16.5% - UNU-INRA 4 3 -1 683 683 580 460 120 15.1% UNU-INWEH 5 5 - 1,208 1,208 1,343 1,343 11.2% - UNU-IRADDA 7 1 -6* 478 478 419 419 12.3% UNU-MERIT 12 9 -3 2,956 2,956 3,206 3,206 8.5% UNU-WIDER 31 32 1 5,770 4,934 836 6,065 4,864 1,201 5.1% UNU HQ Bldg 1 1 - 225 225 255 255 13.3% Total 162 159 -3 31,784 28,615 3,169 36,130 30,873 5,257 13.7%
Several positions are funded with both core and specific project funds. * UNU-IRADDA is not yet operational and only one post for the founding director is budgeted to reflect its current status.
79. The detailed UNU Staffing Table provides the framework within which the University can develop and execute its human resources strategy for 2020-2021; the UNU Staffing Table is presented in Annexes III and IV. 80. As stated in the UNU Personnel Policy, established staff posts are classified according to the common job classification standards established by the International Civil Service Commission as appropriate to the categories of posts. In addition, for all established research and/or capacity development posts, for the purpose of drawing on comparative benchmarks, due consideration is given to equivalent or corresponding academic ranks commonly used in leading universities and research institutions around the world. Directors of institutes have the autonomy to decide on the appropriate ratio between professional, national professional office and general services posts based on the circumstances of their research institutes.10 81. The core-funded posts include: 72 Professional posts, 19 National Professional Officer posts, and 49 General Service posts. The posts funded by specific project funding include 15 Professional posts, and 4 General Service posts. In addition, 14 non-funded posts listed on the staffing table will be filled only once core funding or specific project funding are secured to cover salary and related costs.
10 This follows from the delegated authority on all relevant human resources decisions at the University from the United Nations Secretary-General to the UNU Rector, who can further delegate this authority to UNU institute directors.
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82. Out of a total of 87 Professional posts UNU- wide, 67 posts or 77 per cent of all Professional posts are academic posts. 83. The distribution of Staffing Table costs, as shown in Graph 4, demonstrates a higher percentage of expenditure allocated to academic personnel. Given that several senior staff and other staff under non-academic Graph 4 contracts also perform academic tasks, the University’s ratio of academic to non-academic resources is presumably even higher. Graph 4 84. Other personnel costs include the salaries of (i) short-term contractors engaged under a Personnel Service Agreement (PSA); (ii) individual consultants engaged under Consultant Contracts; and, (iii) United Nations Volunteers. The expenditure during 2020-2021 is estimated to be USD 23.8 million, reflecting an increase of 5.9 per cent over the initial 2018-2019 budget, as summarized in Table 8. The number of PSA contractors remained at a level similar to the previous biennium.
B2020-2021 Other Personnel Costs (core and specific project funded)*
(in thousands of USD) Table 8 Change over Estimates Actual Estimates Estimates Expenditure B2020- B2016-2017 B2018-2019 2018-2019 2021 % Other Personnel Costs (Core-Funded) 9,415 11,187 11,621 3.9%
Other Personnel Costs (Specific 11,547 11,276 12,177 8.0% project funded)
Total Costs 20,962 22,463 23,798 5.9%
* To facilitate the comparison of expenditures in the Other Personnel Costs category, B2016-2017 and B2018-2019 data has been adjusted to include the individual consultant costs.
85. Approximately 1.6 per cent of UNU Centre’s budget for the biennium is allocated for implementation of the UNU Policy on Gender Equality, and is intended to cover staff resources, training and capacity development of Centre staff including travel costs as well as annual capacity building sessions for institute directors. This is in addition to 2 percent allocated in the overall budget for training and continuous development, a portion of which will also be spent on training and capacity building on gender mainstreaming. These resources do neither include funding set aside by UNU institutes for the staffing and training of gender focal points, nor funds spent more generally on training or capacity building on gender mainstreaming activities.
(c) General Expenses 86. General expenses for 2020-2021 are estimated to be USD 18.9 million, an increase of 2.8% over the 2018-2019 budget estimates. General expenses include: (i) Travel costs; (ii) Contractual services, which are professional services provided by companies or organizations, and which includes Institutional Contractual Agreements (ICAs); (iii) Maintenance and operating costs of the UNU Headquarters Building in Tokyo, Japan;
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(iv) General operating expenses, which mainly cover communications, maintenance of equipment, supplies, and materials. It also includes indirect costs that are incurred for common objectives of UNU, such as the financial management system of the University (PeopleSoft ATLAS), human resources services provided by United Nations Development Programme (UNDP)/Staff Administrative Service, and audits; and, (v) Acquisition of furniture and equipment, including IT equipment. 87. The travel budget (non-programme) was reduced by 24 per cent due to the increased use of ICT tools for meetings and learning. An analysis of travel expenditures is available in Annex V.
B2020-2021 General Expenses (in thousands of USD) Table 9 Change over Actual Estimates Estimates Estimates Expenditure B2016- B2020- B2018-2019 B2018- 2017 2021 2019 % Travel 2,149 2,975 2,263 -23.9 % Contractual Services 1,343 1,029 1,341 30.3% Maintenance and Operating Costs of 4,196 4,441 4,525 1.9% UNU HQ Bldg General Operating Expenses 6,311 8,391 9,292 10.7% Furniture and Equipment 1,633 1,538 1,476 -4.0% Total 15,632 18,374 18,897 2.8%
Income Estimates 88. In accordance with the UNU Charter (Article IX), capital costs and recurrent costs of the University are met from voluntary contributions, or from the income derived therefrom. The UNU is not financed through assessed contributions from Member States but solely from voluntary contributions. UNU does not receive any subvention from the regular budget of the United Nations. 89. Voluntary contributions are obtained through fundraising activities. These funds may come from governments, bilateral and multilateral agencies, foundations, and other public and private sector sources. The estimated income for 2020-2021 is USD 112.5 million. Just as expenditure can be met from either core funding or specific project funding, income can also be categorized this way. 90. Core income represents unearmarked resources. For 2020-2021, estimated core Graph 5 income amounts to USD 75.0 million (66.7 per cent of the total estimated income), comprising USD 33.4 million in endowment fund income; USD 33.6 million in institutional fundraising; USD 4.9 million from the cumulative surplus, which is carried forward; and, USD 3.1 million from other income (see para 103). Estimated core income is expected to increase by 1.2 per cent, as compared to the initial 2018-2019 budget. Graph 5 91. Specific project funding is primarily intended to support academic activities over and above activities financed from core income. Estimated specific project funding amounts to USD 37.4 million (33.3 per cent of the total estimated income). 92. Graph 5 and Table 10 show the sources of estimated income for 2020-2021.
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B2020-2021 Income (in thousands of USD) Table 10 Estimates Change over Actual Estimates Income Category B2020- Estimates B2016-2017 B2018-2019 2021 B2018-2019 % Endowment Fund 32,699 32,431 33,444 3.1% Cumulative Surplus 10,141 8,455 4,931 -41.7% Institutional Fundraising 32,536 30,957 33,567 8.4% Other Income 8,600 2,350 3,128 33.1% Total Core Funding 83,976 74,193 75,070 1.2% Project Fundraising 48,405 34,268 37,416 9.2% Total 132,381 108,461 112,486 3.7%%
93. The estimated income by Institute for 2020-2021 is summarized in Table 11.
B2020-2021 Income by Fund (in thousands of USD) Table 11 Specific Core Income Project
Income
Fund/Programme Core
Fund
Project
Income Income
Surplus Specific
Total
Cumulative
Endowment Fundraising
Institutional Institutional
Total Income Other Other Income
UNU Centre 30,763 22,444 13,685 1,812 6,947 8,319 UNU HQ 14,731 13,649 10,305 672 2,672 1,082 UNU-CPR 5,952 3,520 3,380 140 - 2,432 UNU-EGOV 3,020 3,000 - 1,000 2,000 20 UNU-ViE 7,060 2,275 - - 2,275 4,785 UNU-BIOLAC 939 939 939 - - - UNU-CRIS 2,904 2,454 - - 2,454 450 UNU-CS 4,991 4,991 3,831 - 1,160 - UNU-EHS 6,553 2,285 237 - 2,048 4,268 UNU-FLORES 4,165 3,563 - - 3,563 602 UNU-IAS 15,206 4,309 452 - 3,857 10,897 UNU-IIGH 4,031 3,981 3,741 240 - 50 UNU-INRA 1,547 945 945 - - 602 UNU-INWEH 3,273 3,173 - - 3,173 100 UNU-IRADDA 564 564 441 123 - - UNU-MERIT 9,011 6,712 2,006 1,766 2,790 150 2,299 UNU-WIDER 23,321 13,492 4,896 990 7,575 31 9,829 UNU HQ Bldg 5,218 5,218 2,271 - - 2,947 - Total Budget 112,486 75,070 33,444 4,931 33,567 3,128 37,416
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Estimated Core Income (a) Income from the UNU Endowment Fund 94. Capital contributions mobilized for UNU Centre, UNU-BIOLAC, UNU-CS, UNU-EHS, UNU-IIGH, UNU- INRA, UNU-IRADDA, UNU-MERIT, UNU-WIDER and UNU-IAS are invested in an endowment fund under the fiduciary responsibility of the Secretary-General of the United Nations. Income derived from the investment of the UNU Endowment Fund is distributed to the UNU Centre, the UNU Headquarters Building, and each of the above institutes in proportion to the amount of capital contributions each has invested.
95. The UNU Council decided at its 46th session in December 1999 that the annual investment income withdrawal from the UNU Endowment Fund should be limited to 5.00 per cent of the five-year average market value of the UNU Endowment Fund. This limit is meant to protect the long-term capital value of the UNU Endowment Fund. 11 An ad-hoc advisory committee on the investment of the UNU Endowment Fund, comprising a number of financial experts, recommended the 5.00 per cent limit to the UNU Council. To ensure the sustainability of the UNU Endowment Fund, the 2020-2021 budget proposal includes a reduced withdrawal amount of 4.75 per cent. 96. At its 69th session in June 2019, the UNU Council adopted the Policy and Criteria for the Establishment of UNU Research and Training Centres and Programmes, and Operating Units of the UNU. The benchmark financing model for new operations requires a capital contribution of, normally, USD 40-60 million to launch a new institute,12 and USD 10-15 million to establish new UNU programmes13 and operating units.14 97. Endowment fund income for 2020-2021 is estimated to be USD 33.4 million, representing a slight increase (3.1 per cent) compared to the initial 2018-2019 budget, as summarized in Table 12.
B2020-2021 Income from Endowment Fund (in thousands of USD) Table 12 Change over Estimates Actual Initial Estimates Funds/Programmes B2019-2019 B2016-2017 B2018-2019 B2020-2021 % UNU Centre 15,240 15,724 13,685 -13.0%
UNU HQ 11,887 12,031 10,305 -14.3%
UNU-CPR 3,353 3,693 3,380 -8.5%
UNU-BIOLAC 951 926 939 1.4%
UNU-CS 3,813 3,776 3,831 1.5%
UNU-EHS 295 234 237 1.3%
UNU-IAS - - 452 -
UNU-IIGH 4,192 3,686 3,741 1.5%
11 The 5.00 per cent figure was used by universities in the United States of America with similar, medium-sized endowments based on the results of a study conducted and presented to the Council prior to its 46th session. 12 The term Research and Training Centres is synonymous with UNU Institute. A UNU Institute is the largest of UNU research and training operations, developed with a long-term perspective, and requires substantial multi-year funding. The creation and incorporation of an Institute is subject to decision by the UNU Council (Article VII of the UNU Charter). 13 The term Research and Training Programme is synonymous with UNU Programme. A UNU Programme is a smaller research and training operation than an institute. UNU Programmes may be established either as a foundation for fully-fledged institutes or as entities focused on a comparatively limited set of research/policy issues. The creation and incorporation of a Programme is subject to decision by the UNU Council (Article VII of the UNU Charter). 14 A UNU Operating Unit/Academic Unit is the smallest of the University’s academic entities. UNU Operating Units/Academic Units are established to implement specific research, policy studies, capacity development and dissemination programmes in accordance with the UNU Programme of work and shall be under the supervision and guidance of a parent UNU Institute or UNU Programme, or the UNU Centre.
24 UNU 2020-2021 Biennium
UNU-INRA15 1,272 850 945 11.2% from HQ’s EF 500 - - - from INRA’s EF 772 850 945 11.2%
UNU-IRADDA - 434 441 1.6%
UNU-MERIT 2,000 1,978 2,006 1.4%
UNU-WIDER 4,936 4,823 4,896 1.5%
UNU HQ Bldg. 2,271 -
Total 32,699 32,431 33,444 3.1%
(b) Cumulative Surplus Carried Forward 98. These funds, resulting from surplus of income over expenditure from previous biennia, are mobilized with the approval of the UNU Council. Given the different funding schemes among institutes as well as individual project timelines, fluctuations are to be expected. 99. Table 13 summarizes the cumulative surplus carried forward, by institute, for the 2016-2017 and 2018-2019 biennium. The table also includes the projected total cumulative surplus as at the end of 2019 (USD 23.7 million). Of this an amount of USD 4.9 million is proposed to finance the 2020-2021 budget.
B2020-2021 Cumulative Surplus Carried Forward (in thousands of USD) Table 13 Change over Actual Estimates Projected Estimates Estimates Funds/Programmes B2016-2017 B2018-2019 Balance as at B2020-2021 B2018-2019 2019 % UNU Centre 1,285 1,467 1,828 1,812 23.5% UNU HQ 1,265 293 675 672 129.4% UNU-CPR - 174 140 140 -19.5% UNU-EGOV 20 1,000 1,013 1,000 0.0% UNU-ViE - - - - 0.0% UNU-BIOLAC - - 826 - 0.0% UNU-CRIS - - 71 - 0.0% UNU-CS - - 4,837 - 0.0% UNU-FLORES - - 774 - 0.0% UNU-GCM - - - - 0.0% UNU-IAS - - 1,687 - 0.0% UNU-IIGH - - 4,634 240 0.0% UNU-INRA 157 276 - - -100.0% UNU-INWEH 279 280 655 - -100.0% UNU-IRADDA 100 550 822 123 -77.6% UNU-MERIT 1,405 1,520 5,443 1,766 16.2% UNU-WIDER 6,915 4,102 1,496 990 -75.9% UNU HQ Bldg. - 260 675 - -100.0% Total 10,141 8,455 23,748 4,931 -41.7%
15 Endowment fund income in 2016-2017 reflects a transfer of USD 0.5 million from the UNU Centre to UNU-INRA as authorized by the UNU Council.
25 UNU 2020-2021 Biennium
(c) Institutional Fundraising 100. These are discretionary funds which can be utilized to meet the costs associated with academic activities as well as the administration and general operations of an institute or programme. These contributions are generally not earmarked for a specific academic project at the time of receipt. 101. Institutional fundraising estimated for the period 2020-2021 amounts to USD 33.6 million, reflecting an increase of 8.4 per cent from 2018-2019. The increase is mainly due to the higher unearmarked financing secured by UNU-IAS from the Ministry of the Environment of Japan. The increase is approximately USD 0.5 million per year. In addition, UNU-EGOV is projecting an increase of USD 1 million in institutional funding from the Government of Portugal. 102. Table 14 shows the breakdown of all estimated institutional fundraising for the UNU Centre and UNU institutes.
B2020-2021 Institutional Fundraising (in thousands of USD) Table 14 Change over Actual Estimates Estimates Estimates Funds/Programmes B2016-2017 B2018-2019 B2020-2021 B2018-2019 % UNU Centre 4,759 3,632 6,947 91.3% UNU HQ 626 410 2,672 566.3% UNU-CPR - - - 0.0% UNU-EGOV 2,000 1,000 2,000 100.0% UNU-ViE 2,133 2,222 2,275 2.4% UNU-BIOLAC - - - - UNU-CRIS 1,135 1,480 2,454 65.8% UNU-CS 828 968 1,160 19.8% UNU-EHS 2,017 2,000 2,048 2.4% UNU-FLORES 3,857 3,431 3,563 3.8% UNU-GCM 1,898 1,667 Closed - UNU-IAS 2,131 2,696 3,857 43.1% UNU-IIGH - - - 0.0% UNU-INRA - - - 0.0% UNU-INWEH 3,122 3,008 3,173 5.5% UNU-IRADDA - - - 0.0% UNU-MERIT 2,753 2,614 2,790 6.7% UNU-WIDER 7,445 7,123 7,575 6.3% UNU HQ Bldg. 2,591 2,338 - -100.0% Total 32,536 30,957 33,567 8.4%
(d) Other Income 103. Other income is mainly derived from services provided to the Headquarters Building tenants and from users of the UNU Headquarters’ conference facilities. The estimated income from these activities for 2020-2021 is USD 3.1 million, an increase of 33.1 per cent over the initial 2018-2019 budget (USD 2.4 million), which is mainly attributed to the higher income generated from the conference and facilities rentals at the UNU Headquarters Building.
26 UNU 2020-2021 Biennium
Estimated Income from Project Fundraising 104. While the level of core income can be estimated with certainty at the beginning of a biennium, any estimate of new project funding will be subject to variation. This is mitigated by including project funding estimates based largely on assured funding at the time of budget formulation. 105. Specific projected income for 2020-2021 amounts to USD 37.4 million, representing an increase of 9.2 per cent compared to the initial B2018-2019 (USD 34.3 million) as per Table 15.
B2020-2021 Income from Project Fundraising
(in thousands of USD) Table 15 Breakdown of new Change over Estimates and c/f Project Funds Actual Estimates Estimates B2020- Fundraising /Programmes B2016-2017 B2018-2019 B2018-2019 2021 2020-2021 % New c/f UNU Centre 8,285 6,306 8,319 31.9% 7,603 716 UNU HQ 2,643 1,419 1,082 -23.7% 701 381 UNU-CPR 1,252 2,110 2,432 15.3% 2,432 - UNU-EGOV 399 310 20 -93.5% 20 - UNU-ViE 3,991 2,467 4,785 94.0% 4,450 335 UNU-BIOLAC - - - 0.0% - - UNU-CRIS - 406 450 10.8% 314 136 UNU-CS - - - 0.0% - - UNU-EHS 4,915 2,391 4,268 78.5% 4,268 - UNU-FLORES 543 407 602 47.9% 596 6 UNU-GCM 41 30 Closed - Closed Closed UNU-IAS 22,271 15,070 10,897 -27.7% 8,196 2,701 UNU-IIGH 416 354 50 -85.9% 50 - UNU-INRA 852 105 602 473.3% 602 - UNU-INWEH 676 308 100 -67.5% 61 39 UNU-IRADDA - - - 0.0% - - UNU-MERIT 4,671 1,857 2,299 23.8% 2,135 164 UNU-WIDER 5,735 7,034 9,829 39.7% 6,199 3,630 UNU HQ Bldg - - - 0.0% - - Total 48,405 34,268 37,416 9.2% 30,024 7,392
106. New project fundraising income is expected to increase by USD 3.7 million to USD 30.0 million, which represents an increase of 13.9 per cent over initial estimates for 2018-2019.
27 UNU 2020-2021 Biennium
Budget for Managing and Maintaining the UNU Headquarters Building in Tokyo 107. Since the 2006-2007 biennium, the UNU Headquarters Building in Tokyo has been administrated as a separate budgetary fund. The total expenditure for operating and maintaining the UNU Headquarters Building is primarily covered from the income generated from the building operations and income from the endowment fund. The UNU Headquarters Building’s budget represents 4.6 per cent of the total UNU budget.
108. During 2020-2021, estimated expenditures for regular maintenance, utilities, and personnel will amount to USD 5.2 million The estimated budget allocated to the UNU Headquarters Building for 2020- 2021, shown in Table 16, has increased by 5.5 per cent from the initial 2018-2019 budget (USD 4.9 million) due to the annual salary step increments and inflation. Further, the cash advance to finance the refurbishment of the office space at UNU Headquarters was fully reimbursed by the UNU Headquarters Building fund to the UNU Centre during the course of 2018-2019.
B2020-2021 UNU Headquarters Building Budget (in thousands of USD) Table 16 Change over Estimates Actual Estimates Estimates Expenditure B2020- B2016-2017 B2018-2019 B2018-2019 2021 %
Staffing Table and Other Personnel Costs 483 507 693 36.7%
General Expenses: Maintenance and Operating Costs 4,196 4,441 4,525 1.9%
Total 4,679 4,948 5,218 5.5% Income Endowment Fund 2,271 -
Other Income: Contribution for Maintenance 2,591 2,338 - -100.0% Contribution for Maintenance from UNU HQ Bldg. Tenants 1,915 1,978 2,078 5.1% Fee charged for Utilization of Conference Facilities 1,184 792 869 9.7% Cost Sharing for Safety and Security Coordination 69 - - - Others 47 - - - Repayment to the Endowment Fund -420 -420 - - Cumulative Surplus Carried Forward - 260 - -100.0% Total 5,386 4,948 5,218 5.5%
109. The financing for the maintenance and operation of the UNU Headquarters Building comes from three sources of income: (i) Fees charged for the utilization of conference facilities in the UNU Headquarters Building. These facilities are used extensively for UNU activities and are also rented to United Nations agencies and to external parties, i.e. non-governmental/non-profit entities and private sector companies. For the year 2018, a total of 262 events were organized, of which 191 events were organized by UNU or United Nations agencies. The estimated income generated by the rental of the conference facilities and services for 2020-2021 amounts to USD 0.9 million. This estimate factors in the closure of the conference facilities during the first quarter of 2020 to upgrade the seismic vibration control of the ceiling of the facilities to mitigate any seismic impact on the building.
28 UNU 2020-2021 Biennium
(ii) Contributions for the use of office space received from United Nations offices (International Labour Organization (ILO), UNDP, United Nations Population Fund (UNFPA), United Nations Information Centre, United Nations Industrial Development Organization (UNIDO), United Nations Children's Fund (UNICEF), United Nations Office for Project Services (UNOPS), World Tourism Organization (UNWTO), World Food Programme (WFP)) and non-governmental organizations – NGOs (Global Compact Network Japan and the Japan Foundation for UNU). The total estimated rental income for 2020-2021 amounts to USD 2.1 million. (iii) Income from the UNU Endowment Fund. The expected withdrawal for 2020-2021 amounts to USD 2.3 million. 110. After twenty-seven years of use, the prevention of structural damage and repair are essential. The owner of the building, MEXT, is pursuing, in close consultation with the University, a programme of structural repairs in accordance with the Agreement Between the United Nations and the Government of Japan Regarding the Headquarters of the United Nations University, dated 14 May 1976. The seismic vibration control renovations of the ceiling of the conference facilities is an example of the structural repairs financed directly by MEXT.
Budget Authorizations Given by the UNU Council to the Rector 111. In connection with the decision to adopt the budget, the UNU Council considers the necessary budget authorizations, which might be required by the Rector as chief academic and administrative officer, to effectively execute the budget of the University. In this regard, the UNU Council: (i) Authorizes the Rector to transfer up to a total of 15 per cent from the UNU Centre to institutes; also authorizes the Rector to transfer up to a total of 15 per cent from any budget line of the UNU Centre or within respective institute budgets; (ii) Further authorizes the Rector to accept and utilize additional funds which may be received by the University during 2020-2021 for the work programme that has been approved by the Council; (iii) Further authorizes the Rector, where necessary, to establish and reclassify posts on the 2020- 2021 staffing table, within the available resources; (iv) Stipulates that the Rector shall consult the Council when the University has to make expenditure commitments which would exceed the total approved budget and that all such actions shall be approved by the Council in due course.
29 UNU 2020-2021 Biennium
IV. Work Programme of the United Nations University 2020-2021
Note of Guidance The following guidance is intended to facilitate the interpretation of the charts and figures presented in this section: • Research programmes at UNU institutes contain smaller sub-projects. Each research programme contributes to one of the thematic areas of focus defined in the UNU Strategic Plan 2020-2024. • All figures presented for the biennia 2010-2011, 2012-2013, 2014-2015, 2016-2017 represent final values at the end of the respective biennia. Figures shown for 2018-2019 marked with the annotation ‘revised’ are based on the data available as of the last budget revision, undertaken on 14 May 2019. Figures shown for 2018-2019 marked with the annotation ‘adjusted’ combine data from the latest budget revision, as well as actual Specific Project Contribution (SPC) income received through until June 2019. Figures shown for 2020-2021 are forecasted estimates. • Performance measures are a combination of expected results and indicative measures of programme success. The implementation of academic programmes is monitored at the level of projects throughout the biennium. • The figures presented in this section do not reflect anticipated counterpart support from cooperating institutions, as in the case of UNU-BIOLAC, UNU-CRIS and UNU-MERIT, among others.
Tables and charts: • SPC funding for 2018-2019 (adjusted) takes into account income received during the 18-month period between 1 January 2018 to 30 June 2019. • The ratios reflected in the chart ‘Allocation of Resources’ are based on figures reported by the directors and heads of the UNU institutes/academic units. They represent the expected allocation of resources at the outset of a biennium. • The fundraising charts incorporate both institutional and project fundraising. The charts distinguish between domestic and international fundraising. Domestic fundraising includes all funds obtained (whether institutional or project-specific) from domestically domiciled partners (host government, local NGOs, national foundations, etc.), except international organizations – the latter are categorized as international donors. International donors include all other partners not based in the same state as the UNU institute. • Personnel charts include all known personnel that fall into one of four categories: o UN Staff (International Professional Staff, National Professional Officers and General Services Staff); o United Nations Volunteers (UNVs); o Personnel Service Agreement-holders (PSAs); and o Consultants that are hired through UNU-issued Consultant Contracts (CTCs).
30 UNU 2020-2021 Biennium
UNU-BIOLAC Programme and Budget 2020-2021
The UNU Biotechnology Programme for Latin America and the Caribbean (UNU-BIOLAC) focuses on building biotechnological capacities in Latin American and Caribbean countries by co-funding training courses and research/training fellowships. The Programme supports researchers from the least developed countries in the region. More than 450 young researchers who engage with health and environmental challenges of the region are trained each year. UNU-BIOLAC operates closely with the University of Granada, Spain, the University of Antioquia, Colombia, and the International Centre for Genetic Engineering and Biotechnology, Italy, and is hosted on the premises of the Instituto de Estudios Avanzados in Caracas, Venezuela.
Income Category (in thousands USD) Fundraising
B2020-2021 (Estimated)
B2018-2019 (Revised)
0 200 400 600 800 1000
(Actual) (Actual) (Actual) (Actual)
Endowment Funding (Revised)
(Estimated)
B2018-2019 B2012-2013 B2014-2015 B2016-2017 B2020-2021 B2010-2011
Funded Personnel ALLOCATION OF RESOURCES 10 100% PSA 8 80% Research Capacity development Administration 6 60%
4 40% Consultants 2 20% B2018-2019 12% 53% 35%
0 0%
B2020-2021 Personnel 13% 53% 34%
(estimated)
(Actual) (Actual)
(Actual) Cost % of
(Actual)
(Revised)
(Estimated)
B2014-2015 B2016-2017 B2018-2019 B2020-2021
B2012-2013 Budget B2010-2011
Targeted Sustainable Development Goals and Major Policy Processes UNU-BIOLAC is operated as one programme that works to ensure inclusive and quality capacity development via research scholarships and training courses throughout the Latin American and Caribbean region. Framing all activities around SDG 4 (Quality Education), UNU-BIOLAC is focused on providing equal opportunities for higher technical education. More specifically, in building capacity and providing scholarships in developing countries in Latin America and the Caribbean, UNU-BIOLAC supports the regional achievement of target 4 (b) that specifically focuses on scholarships in higher education for developing country nationals.16 The Programme's academic activities vary in focus, but they mostly relate to SDG 3 (Good Health and Well-Being), SDG 7 (Affordable and Clean Energy), SDG 9 (Industry, Innovation and Infrastructure), and SDG 15 (Life on Land).
16 “By 2020, substantially expand globally the number of scholarships available to developing countries, in particular least developed countries, small island developing States and African countries, for enrolment in higher education, including vocational training and ICT, technical, engineering and scientific programmes, in developed countries and other developing countries”, see UN-ECLAC (May 2016), The 2030 Agenda and the Sustainable Development Goals. An Opportunity for Latin America and the Caribbean.
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Research Programmes Programme Name Theme(s) Personnel USD (thousands) Environment, Climate and Biotechnology Programme 5 personnel 606 Energy The programme targets specific areas of biotechnology, such as climate change and bioenergy, vector control of emerging diseases, industrial biotechnology, bioinformatics in the era of big data, and bioethics. Priority (although not exclusive) areas are selected on the basis of those deemed strategically valuable by regional academic institutions and research organizations, as well as UNU-BIOLAC’s Scientific Advisory Committee members.
Performance Measure(s) • Facilitate and co-fund 24 (12 per year) research fellowships in biotechnology. • At least 65 per cent of UNU-BIOLAC fellows publish one or more papers related to the research they conducted during their fellowship. • Facilitate and co-fund 36 (18 per year) training courses and workshops to build regional capacities in the most relevant topics in the field of biotechnology.
Training, Teaching and Capacity Development Activities UNU-BIOLAC co-organizes high level courses, workshops and research fellowships all over Latin America and the Caribbean, building technical capacities of young researchers working to address human, animal, and plant health and environmental problems of the region. The academic activities of UNU-BIOLAC mobilize more than 450 teachers and students every year. Collaboration Highlights UNU-BIOLAC activities are co-hosted by regional universities and research institutes and supported through cooperation agreements with the University of Granada in Spain and the International Centre for Genetic Engineering and Biotechnology in Italy. At least 30 capacity development activities throughout the region are organized per year, leveraging the co-hosting institutions' academic facilities. UNU-BIOLAC also organizes 15 annual fellowships, each involving at least two institutions, and more than 14 academic institutions that co-host courses and workshops in the region.
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UNU-CPR Programme and Budget 2020-2021
The United Nations University Centre for Policy Research (UNU-CPR) combines research excellence with deep knowledge of the multilateral system to generate innovative solutions to current and future global public policy challenges. UNU-CPR was relaunched in 2018 in New York, following a merger between the then-Tokyo based UNU-CPR with the UNU Office at the United Nations in New York (UNU-ONY).
Income Category (in thousands USD) Fundraising 3000
2500 Fundraising B2020-2021 2000 Domestic (Estimated) 1500
1000 Fundraising B2018-2019 500 International (Revised) 0
0 1000 2000 3000 4000 5000 6000 7000
(Actual) (Actual) (Actual)
(Actual)
(Revised)
(Estimated)
B2020-2021 B2012-2013 B2014-2015 B2016-2017 B2018-2019
Endowment Funding Cumulative Surplus Project Funding B2010-2011
Funded Personnel ALLOCATION OF RESOURCES 30 80% Consultants 25 Research Capacity development 60% 20 Communications Administration 15 40% PSA Other 10 20% 5 UN Staff 0 0% B2018-2019 65% 19% 8% 7%
Personnel cost
B2020-2021
(Actual) (Actual)
(Actual) as % of total (Actual)
(Revised) 63% 1% 8% 29%
(Estimated)
B2020-2021 B2014-2015 B2016-2017 B2018-2019 B2012-2013 (estimated)
B2010-2011 budget
Targeted Sustainable Development Goals and Major Policy Processes UNU-CPR focuses primarily on SDG 8 (decent work and economic growth), and to some extent also on SDG 16 (peace, justice and strong institutions) and SDG 17 (partnerships for the goals). The Centre’s programming on Modern Slavery aims to become a leading global knowledge resource for the anti- slavery community, with a particular emphasis on connecting anti-slavery research to policy. UNU-CPR will foster research innovation to accelerate understanding of what works to achieve Target 8.7, and partner with like-minded organisations to accelerate and scale anti-slavery efforts.
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Research Programmes Programme Name Theme(s) Personnel USD (thousands)
Preventing Violent Conflict Peace and Security 3 personnel 1,297
UNU-CPR aims to assist the United Nations, Member States and other relevant groups develop and implement effective, evidence-based policies to prevent violent conflict around the world. The Centre’s goal is to combine evidence and analysis to influence policy discussions in New York and other policy centres as well as to inform prevention and conflict resolution initiatives in the field. The projects in this space are designed in close collaboration with partners, ensuring their direct relevance and impact.
With the Preventing Violent Conflict programme, UNU-CPR aims to develop a strong understanding of multi- dimensional conflict systems and also of how tools for addressing violence can be adapted to each context to manage, resolve and prevent violence and conflict.
Performance Measure(s) • Engage in an estimated five projects conducted with key peace and security segments of the United Nations (e.g. United Nations Department of Political and Peacebuilding Affairs) and produce policy relevant publications or reports for each project. • Provide at least two policy research outputs that result in identifiable United Nations uptake of policy analysis. Digital Technology and Global Social Change and Economic 1.2 personnel Order Development UNU-CPR aims to help develop multilateral stakeholders’ comprehensive understanding of the impacts of digital technologies on global order and the resulting risks for individuals, communities and countries. Acting as a hub of knowledge and bringing together a new community of stakeholders, UNU-CPR aims to develop refined policy recommendations for how the multilateral system can effectively meet these challenges.
With the Digital Technology and Global Order programme, UNU-CPR seeks to be a thought leader for the United Nations and wider multilateral system on the impact of digital technology and its enormous potential to promote human well-being, as well as the enormous risks it poses to human and international security.
Performance Measure(s) • Continue to build upon UNU-CPR's role as an influential voice in the frontier issues discussions at the United Nations in New York, as evidenced by testimonials, convening power, and invitations to engage in expert group meetings.
Fighting Modern Slavery and Social Change and Economic 4.8 personnel 1,135 Human Trafficking Development
UNU-CPR aims to work with partners to transform scientific understanding of what works to end modern slavery and human trafficking, and to see that understanding translated into effective global policies. Significant project funding has already been secured to fund four ongoing Modern Slavery projects.
With the Fighting Modern Slavery and Human Trafficking programme, UNU-CPR aims to become a leading global knowledge resource for the anti-slavery community, with a particular emphasis on connecting anti- slavery research to policy. UNU-CPR will foster research innovation to accelerate understanding of what works to achieve Target 8.7, and partner with like-minded organizations to accelerate and scale anti-slavery efforts.
Performance Measure(s) • Specific cases of traceable influence by Delta 8.7 and/or information contained therein on policy level choices. • Publish global, regional and 100 per cent of country dashboards on Delta87.org. • Publish more Thematic Overviews, Learning Opportunities, and Forum Articles. • 200 page-views/month on Delta 8.7’s data dashboards. • 50 per cent of surveyed respondents agree that Delta 8.7 is an effective space for data and policy analysis. • 250 participants at Code 8.7 convenings.
Future of Multilateralism Peace and Security 1 personnel
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CPR works to understand how the United Nations and its partners can launch and sustain genuinely new approaches to global public policy problems, transcending existing organizational habits and boundaries. By developing cutting-edge research, understanding the diplomatic dynamics in multilateral forums, and designing clearly targeted, evidence-based proposals, UNU-CPR can stimulate original initiatives on emerging issues.
UNU-CPR will continue to monitor global policy debates to identify areas where the Centre can add value by strengthening the evidence-based nature of discourse. As the United Nations Migration Network becomes established and migration programming in UNU adjusts, UNU-CPR will consider how best it can contribute to the discourse on international migration.
Performance Measure(s) • Successful fundraising for any identified future migration-related projects. • Successful collaboration, including on project development, with other UNU institutes.
Innovation and Programme Development Fund 500
Collaboration Highlights UNU-CPR’s forthcoming collaboration highlights include: • UNU-CPR’s collaboration with the Federal Republic of Germany during its United Nations Security Council tenure for the project “Common Problems, Collective Solutions”. UNU-CPR is preparing policy briefs, which help inform Germany’s position on various issues arising at the United Nations Security Council. • In a multi-year collaboration with Member States, the World Bank, United Nations Department of Peace Operations, UNDP, UNICEF, and universities, the Managing Exits from Armed Conflict initiative is building a comprehensive United Nations framework for assessing individual exits from armed conflict which will strengthen efforts on the ground to design and implement effective interventions to support sustainable transitions out of armed conflict.
35 UNU 2020-2021 Biennium
UNU-CRIS Programme and Budget 2020-2021
The UNU Institute on Comparative Regional Integration Studies (UNU-CRIS) focuses on the provision and management of international and regional public goods and the study of processes and consequences of intra- and inter-regional integration and cooperation. UNU-CRIS seeks to act as a resource for the United Nations system, with strong links to United Nations system entities working on matters of global governance and regional integration. UNU-CRIS is located in Bruges, Belgium and works in close partnership with the Free University of Brussels and University of Ghent.
Income Category (in thousands USD) Fundraising 3000
2500 B2020-2021 (Estimated) 2000
1500 Fundraising Domestic 1000 B2018-2019 (Revised) 500 0
- 500 1,000 1,500 2,000 2,500 3,000
(Actual) (Actual)
Cumulative Surplus Institutional Funding Project Funding (Actual)
(Actual)
(Revised)
(Estimated)
B2012-2013 B2014-2015 B2016-2017 B2018-2019 B2020-2021 B2010-2011
Funded Personnel ALLOCATION OF RESOURCES
5 100% Consultants
4 80% Research Capacity development Communications Administration
3 60% PSA 2 40% B2018-2019 30% 10% 20% 40% 1 20% UN Staff 0 0%
B2020-2021 35% 18% 47% (estimated)
Personnel
(Actual) (Actual) (Actual) (Actual)
(Revised) cost as % of
(Estimated)
B2016-2017 B2012-2013 B2014-2015 B2018-2019 B2020-2021 B2010-2011 total budget
Targeted Sustainable Development Goals and Major Policy Processes The work of UNU-CRIS focuses on several SDGs: • SDG 16 (Peace, justice and strong institutions) by exploring conditions for stable institutions in a regional and global, but also national and sub-national context. • SDG 13 (Climate action) by addressing regional and global governance in environmental protection; and • SDG 1 (End poverty) by exploring developments on regional and sub-regional levels supporting the move towards higher income levels, prosperity and stability for those currently affected by poverty and hunger.
36 UNU 2020-2021 Biennium
Research Programmes
Programme Name Theme(s) Personnel USD (thousands) The Role of Regions in Global Social Change and Economic 2 656 Governance Development This programme sustains a database on regional integration (Regional Integration Knowledge System). The updated database will provide information for researchers working on regional integration and organisation. Within this programme, UNU-CRIS also focuses on the role of regions in global governance, notably the ways in which the European Union (EU) and the United Nations collaborate and interact.
Performance Measure(s) • Updated database, available online on the UNU-CRIS webpage. • Number of publications in peer-reviewed journals. • Number of presentations of research results at academic workshops and conferences. • Number of policy briefs on the UNU-CRIS webpage. The UN and Peace and Security 2 142 Regional Public Goods This programme contains a project focused on multi-stakeholder mechanisms in global governance and is focused on addressing relations between the EU and the United Nations in peace missions.
Performance Measure(s) • Number of publications in peer-reviewed journals. • Dissemination of research results at workshops and conferences. • Number of policy briefs.
Patterns of Regional and Global Environment, Climate and 2 128 Governance Energy This programme focuses on the future of global climate and energy politics in the context of multilateral organisations, such as of the EU and the United Nations, and their legal and political mechanisms.
Performance Measure(s) • Number of publications in peer-reviewed journals. • Dissemination of research results at workshops and conferences. • Number of policy briefs. Academic Capacity Building and Peace and Security 3 497 Training Activities The Institute offers traineeships, hosts visiting researchers, and contributes to the training of PhD students in UNU-CRIS’ area of work.
Performance Measure(s) • Research stays of visiting scholars and PhD students at UNU-CRIS; traineeships of (advanced) BA and MA students at UNU-CRIS. • Contributions to PhD training, including through summer schools. Innovation and Programme Development Fund 144
Training, Teaching and Capacity Development Activities UNU-CRIS aims to train researchers and young scholars in areas relevant to the work programme. It offers possibilities for visiting researchers, trainees and PhD students to stay at UNU-CRIS for a period ranging from a few weeks to several months. Collaboration Highlights UNU-CRIS engages with representatives of UNDP, United Nations Liaison Office for Peace and Security, United Nations High Commissioner for Refugees (UNHCR), UNICEF, and European institutions in the framework of its lectures and workshops in Bruges, and for its summer school (lectures in Bruges and Brussels).
37 UNU 2020-2021 Biennium
UNU-CS Programme and Budget 2020-2021
The United Nations University Institute for Computing and Society (UNU-CS) is a research institute at the intersection of Information and Communications Technology (ICT) and international development. The Institute focuses on the key challenges faced by developing societies through high-impact innovations in computing and communication technologies.
Income Category (in thousands USD) Fundraising 2500
2000 B2020-2021 Fundraising (Estimated) Domestic 1500
1000 B2018-2019 (Revised) 500 Fundraising International 0 0 1000 2000 3000 4000 5000 6000 7000
Endowment Funding Institutional Funding Project Funding
(Actual) (Actual) (Actual)
(Actual)
(Revised)
(Estimated)
B2012-2013 B2014-2015 B2016-2017 B2018-2019 B2020-2021 B2010-2011
Funded Personnel ALLOCATION OF RESOURCES
30 100% Consultants Research Capacity development Communications 25 80% Administration Other 20 60% 15 PSA 40% 10 B2018-2019 40% 5% 2% 23% 30% 5 20% UN Staff 0 0%
B2020-2021 52% 5% 26% 17% (estimated)
Personnel
(Actual) (Actual) (Actual) (Actual)
(Revised) cost as % of
(Estimated)
B2016-2017 B2012-2013 B2014-2015 B2018-2019 B2020-2021 B2010-2011 total budget
Targeted Sustainable Development Goals and Major Policy Processes The Institute’s diverse academic programmes focus on various SDGs. The gender and technology programme targets SDG 4 (quality education), SDG 5 (gender equality), SDG 8 (decent work), SDG 10 (reduced inequalities) and SDG 17 (partnerships). The Data and Sustainable Development programme makes an overall contribution to SDG 17, in particular, target 17.17, and its projects also contribute to SDGs 3, 8, 9 and 18. The Migration and Technology programme contributes to SDG 8, specifically the targets 8.5, 8.7 and 8.8. UNU-CS strives to serve as a think-tank on ICT matters within the SDGs for the United Nations System (e.g. United Nations Economic and Social Commission for Asia and the Pacific (UN ESCAP), UNESCO and UNDP). The Institute also participates in regional and global United Nations conferences and interacts directly with ministries and policy makers to support policymaking. UNU-CS also provides inputs to the drafting process of United Nations Development Assistance Frameworks and offers expertise on ICT and SDGs development plans to governments.
38 UNU 2020-2021 Biennium
Research Programmes
Programme Name Theme(s) Personnel USD (thousands) Social Change and Economic Gender and Technology 1 personnel 28 Development The programme explores the gendered dimensions of the digital age and seeks ways to leverage ICT to tackle urgent gender problems, including gender-based discrimination in economic opportunities.
Performance Measure(s) • The programme will be submitted to the Science and Technology Department Fund of the Macao Special Administrative Region for funding and generate external project funds. • Research results will be published, and policy papers produced.
Social Change and Economic Migration and Technology 1 personnel 28 Development This programme tries to understand how technology could be used to support the identification of victims of labour, exploitation, and forced labour.
Performance Measure(s) • The programme will generate international project funds. • Research results will be published, and policy papers produced.
Data and Sustainable Social Change and Economic 1 personnel 32 Development Development This programme aims at harnessing the data revolution towards the achievement of sustainable development, through an approach that privileges civil society and citizen-centric data valorisation.
Performance Measure(s) • The digital health project within the programme was submitted for funding and is expected to generate external project funds. • Research results will be published, and policy papers produced. Frontier Technologies with Social Change and Economic 4 personnel 22 Young ICTD Fellows Development A group of young information and communication technologies and development (ICTD) postdoctoral fellows will work on frontier technologies projects, e.g. artificial intelligence and blockchain, and examine the contribution of these new technologies to the SDGs.
Performance Measure(s) • Young ICT for development fellows will publish academic and policy papers and seek funding opportunities.
Strengthening Policy Impact Social Change and Economic with Senior Visiting Research 4 personnel 260 Development Fellows Senior visiting research fellows will join current researchers or independently initiate research projects fitting into the Institute’s programme of work, providing insights and multiple perspectives to development issues.
Performance Measure(s) • Increased policy impact of the Institute’s footprint and research results. • Number of publications, policy papers, and potential funding opportunities. Innovation and Programme Development Fund 50
39 UNU 2020-2021 Biennium
Training, Teaching and Capacity Development Activities UNU-CS will nurture a group of young postdoctoral fellows and engage them in research projects related to frontier technologies and SDGs. The Institute will also maintain a bigger virtual group of young postdoctoral fellows in the field. Through its event series (Conversation Series), the Institute engages with the local public on information and communication technologies for development (ICT4D) topics. As a host of the International Development Informatics Association (IDIA) 2020 conference, UNU-CS expects to welcome international scholars and policy makers on ICT4D. Collaboration Highlights UNU-CS will collaborate with UN ESCAP and both UNDP and UNESCO Regional Centers in Bangkok on multiple projects in gender and technology, data for SDG indicators, and migration and technology. The Institute will also continue to work with the United Nations Secretary-General's Office to follow up on the proposed action plans related to the United Nations Secretary-General's New Technologies Strategy.
40 UNU 2020-2021 Biennium
UNU-EGOV Programme and Budget 2020-2021
The United Nations University Operating Unit on Policy-Driven Electronic Governance (UNU-EGOV) is a research, policy analysis and capacity-building institute located in Guimarães, Portugal. Its mission is to support the United Nations system and Member States in finding effective ways to utilize the global digitisation trend to transform public governance in the service of sustainable development.
Income Category (in thousands USD) Fundraising 3000
2500 B2020-2021 Fundraising (Estimated) 2000 Domestic 1500
1000 B2018-2019 500 Fundraising (Revised) International 0
0 500 1000 1500 2000 2500 3000 3500 4000
(Actual) (Actual)
Cumulative Surplus Institutional Funding Project Funding (Actual)
(Actual)
(Revised)
(Estimated)
B2012-2013 B2014-2015 B2016-2017 B2018-2019 B2020-2021 B2010-2011
Funded Personnel ALLOCATION OF RESOURCES
30 100% Consultants Research Capacity development Communications 25 80% 20 Administration Other 60% 15 PSA 40% 10 B2018-2019 54% 18% 5% 12% 11% 5 20% UN Staff 0 0%
B2020-2021 54% 10% 8% 14% 14%
Personnel (estimated)
(Actual) (Actual) (Actual) (Actual)
(Revised) cost as % of
(Estimated)
B2016-2017 B2012-2013 B2014-2015 B2018-2019 B2020-2021 B2010-2011 total budget
Targeted Sustainable Development Goals and Major Policy Processes UNU-EGOV's research programme encompasses research activities that directly impact SDG realisation, particularly SDG 16 (peace, justice and strong institutions). UNU-EGOV contributes to SDG 16 by studying how ICT can be used to allow more inclusive and participatory policy and decision-making processes, in order to reduce asymmetries in accessing information, open government data to release economic and social development, democratize the access to services by underserved populations, improve efficiency in service delivery, and reduce corruption and increase accountability and public trust. UNU-EGOV research supports policymakers, government officials, among others, and promotes peaceful and inclusive societies for sustainable development. UNU-EGOV is focused on supporting efforts to provide access to justice for all, and build effective, accountable and inclusive institutions at all levels. The Operating Unit’s research programme also serves several major policy processes through the Unit’s study of their impact in different countries and regional contexts, as well as its study of digital transformation and emerging technologies in the public sector. The goal of this research is to offer an instrument for better governance and sustainable development, to help governments better serve citizens by offering, at best value, efficient services, certified identity, data portability, privacy and interoperability, and more robust management policies. UNU-EGOV’s work in this area will be articulated through collaborative development projects in several Member States, notably on the African continent.
41 UNU 2020-2021 Biennium
Research Programmes
Programme Name Theme(s) Personnel USD (thousands) Digital Transformation for Social Change and Economic better Governance and 12 140 Development Sustainable Development In compliance with the 2030 Agenda for Sustainable Development, this programme explores new digital challenges and key elements of digital governance. It is organized in three areas: (1) Managing digital transformation in the public sector: planning, designing, monitoring, and evaluation; (2) Digital and technology- based transformations of the public sector and emerging technologies; and, (3) Digital governance evolution through practice-research collaboration.
Performance Measure(s) • Number of research scientific publications it may generate, with a target of two indexed publications per year and senior researcher. • Number of i) policy instruments and ii) supporting tools for digital transformation upon e-governance policies for sustainable development, validated through multi-disciplinary pilot projects in different contexts; with a target of three such projects in different developing countries within the biennium. • Number of policy-oriented reports and white papers produced, with a target of two per year.
Community Building and Social Change and Economic 7 300 Institutional Development Development The programme aims at building capacities in policy-driven e-governance research, promote its wider contextualization, particularly through the International Conference on Theory and Practice of Electronic Governance community, and develop research-oriented educational programmes at both doctoral and executive levels.
Performance Measure(s) • Staffing at a world-class level. • Progressive integration of multi-disciplinary expertise to address cutting-edge problems. • Number of countries benefiting from UNU-EGOV Government Fellowship Programme, under which practitioners of national agencies and UNU researchers work together on concrete case-studies relevant for both the Programme and Member States, which are moreover aligned with the SDGs. Training, Teaching and Capacity Development Activities Primary training and capacity development by UNU-EGOV for the 2020-2021 biennium will include: • A Government fellowship programme for civil servants from national e-governance agencies (16 per year). The programme allows an immersion into UNU-EGOV activities and research during three months in Guimarães with the aim to combine the world of research and practice; • Implementation of a “Doctoral label in EGOV” through a training research programme for PhD students enrolled in PhD programmes at the University of Minho; • The global coordination and supervision of PhD students conducting their e-governance thesis; • A training portfolio with comprehensive executive training programme based on an offer of intensive 25- hour courses, emerging from current UNU-EGOV research, and articulated with academic and governmental partners; and, • Collaboration with different entities in designing and developing a massive open online course directed at public officials and the general public in areas of digital transformation in government and society. Collaboration Highlights UNU-EGOV will collaborate with United Nations Department of Economic and Social Affairs (UN DESA) in the preparation of the United Nations e-Government Survey 2020, by leading a worldwide assessment of e- government development at a local government level and by writing a chapter presenting the results of that study. The United Nations e-Government Survey is a reference publication used by governments worldwide as a tool for benchmarking and ‘bench-learning’ e-government policies and strategies. UNU-EGOV will also collaborate with the National Information Technology Authority of Uganda in the development of a strategy to enhance and sustain the ICT Function in the Government, including the review and definition of the structure, roles, responsibilities and job descriptions of the ICT functions in government.
42 UNU 2020-2021 Biennium
UNU-EHS Programme and Budget 2020-2021
The UNU Institute for Environment and Human Security (UNU-EHS) contributes to solving challenges to humanity driven by global environmental changes. UNU-EHS is also engaged in education, offering a joint Master of Science degree programme with the University of Bonn, entitled The Geography of Environmental Risks and Human Security and, in cooperation with the United Nations Framework Convention on Climate Change (UNFCCC), the UNFCCC-UNU Early Career Climate Fellowship Programme.
Income Category (in thousands USD) Fundraising 8,000 7,000 B2020-2021 6,000 Fundraising Domestic (Estimated) 5,000 4,000 3,000 2,000 B2018-2019 Fundraising (Revised) 1,000 International 0
0 1000 2000 3000 4000 5000 6000 7000 8000
(Actual) (Actual)
Endowment Funding Institutional Funding Project Funding (Actual)
(Actual)
(Revised)
(Estimated)
B2012-2013 B2014-2015 B2016-2017 B2018-2019 B2020-2021 B2010-2011
Funded Personnel ALLOCATION OF RESOURCES* 80 100% UNVs 70 Research Degree programmes Capacity development 80% 60 Consultants Administration Other 50 60% 40 40% 30 2% 6% PSA B2018-2019 86% 20 20% 6% 10 0 0% UN Staff
B2020-2021 1% 6% 83%
(estimated) 5% 6%
(Actual) (Actual)
(Actual) Personnel
(Actual)
(Revised)
(Estimated)
B2016-2017 B2012-2013 B2014-2015 B2018-2019 B2020-2021
B2010-2011 cost as % of total budget
*Communications costs are shared with UNU-ViE and are not included in this chart
Targeted Sustainable Development Goals and Major Policy Processes The main United Nations policy processes UNU-EHS is supporting are the Sendai Framework for Disaster Risk Reduction (DRR), the Paris Agreement, and the related SDGs (Goal 13 and several targets related to risk), through projects, as well as the Institute’s membership in the group of Lead Authors for upcoming Special Reports of the Intergovernmental Panel on Climate Change (IPCC). Furthermore, UNU-EHS is a founding and leading member of the Partnership for Ecosystems and DRR, which brings together United Nations system entities, research institutions, NGOs, as well as the private sector. Through its project "Water and Energy Security for Africa", UNU-EHS serves as a leading partner in the build- up of research and education strategy and programming for the Pan-African University (PAU) initiative of the African Union. The Institute also provides advisory support to the PAU Rectorate on institutional development. UNU-EHS is recognized by the German Federal Ministry of Education and Research (BMBF) as a respected partner for successful project execution, particularly on strategic programming in development and risk research.
43 UNU 2020-2021 Biennium
Research Programmes Programme Name Theme(s) Personnel USD (thousands) Environmental Migration, Social Vulnerability and Adaptation Environment, Climate and 18 personnel 1514 (EMSVA)/Munich Climate Energy Insurance Initiative (MCII) EMSVA undertakes research on how society manages stressors such as floods, drought, storms, and climatic shifts. The programme works with governments, private sector companies, and civil society to identify and design climate risk management solutions. Specific themes of adaptation-related research include human mobility; livelihood resilience including loss and damage, and legal dimensions of environmental change. Another dimension consists of climate risk insurance, which is the primary focus of MCII operating out of UNU- EHS.
Performance Measure(s) • Degree of implementation (number of insured people) in the Caribbean project and in the InsuResilience project. • Number of new acquired research projects (together with other Institute sections). Vulnerability Assessment, Risk Environment, Climate and Management and Adaptive 15 personnel 514 Energy Planning (VARMAP) VARMAP develops and applies conceptual frameworks and scientific methods to assess the drivers, patterns, and dynamics including future scenarios of vulnerability and risk in the context of natural hazards, environmental and societal change. Drawing on scenario techniques and dynamic assessment tools, it examines the trends in exposure, vulnerability, and adaptive capacity as societies undergo wider cultural, economic, demographic, and political transformation. The programme explores opportunities for risk reduction and examines diverse adaptation options and potential pathways towards sustainability and resilient societies with a particular focus on urban areas and rural–urban linkages.
Performance Measure(s) • Successful acquisition of new and implementation of recently acquired projects. • Number of peer-reviewed publications that significantly contribute to the record of UNU-EHS.
Environmental Vulnerability Environment, Climate and 5 personnel 1005 and Ecosystem Services (EVES) Energy
EVES aims at characterizing the vulnerability and risk of social-ecological systems exposed to environmental hazards and advancing ecosystem-based solutions in order to contribute simultaneously to the 2030 Agenda for Sustainable Development, the Sendai Framework, the Paris Agreement, and the Aichi biodiversity targets of the Convention on Biological Diversity (CBD). With an interdisciplinary team, EVES is pursuing research and capacity development along with a strong involvement in partnerships, working groups, and science-policy platforms related to the mandate of UNU and the aforementioned key frameworks.
Performance Measure(s) • Maintain high visibility and recognition in the field of ecosystem-based DRR and adaptation. • Maintain strategic partnerships. • Number of peer-reviewed publications to demonstrate a good publication record. • Expand the 2018-2019 level of third-party funding.
44 UNU 2020-2021 Biennium
Migration & Environment Environment, Climate and 3 personnel 259 Programme Energy This programme helps to build a stronger evidence base on the interactions between the environment and human mobility through conceptual, methodological and empirical advances. The related section's research findings contribute to global and national policy dialogues and inform United Nations organisations, Member States and other relevant actors in the overall framework of the SDGs.
Performance Measure(s) • Volume of new projects acquired under a new Section Head. • Number of publications in peer-reviewed journals; • Number of publications in formats aimed at policy makers and the general audience.
Innovation and Programme Development Fund 618
Training, Teaching and Capacity Development Activities UNU-EHS offers a modular portfolio of educational activities. It includes a joint master’s programme with the University of Bonn named “Geography of Environmental Risks and Human Security” and the ‘Resilience Academy”, organised in cooperation with UNFCCC and designed for academics and practitioners. In cooperation with the UNFCCC, UNU-EHS offers the "UNFCCC-UNU Early Career Climate Fellowship Programme" and the Initiative for Climate Action Transparency in developing eLearning programmes on "Implementing the Paris Agreement". UNU-EHS designs various additional eLearning modules, for example in cooperation with PAU, to support public institutions in Africa in developing climate action activities. Collaboration Highlights The MCII project with MunichRe, other insurance companies, and NGOs (e.g. GermanWatch) launched by UNU- EHS in 2007 has actively shaped the climate insurance discourse. Thus far, climate insurance frameworks have been prototyped in Pakistan and the Caribbean, and UNU-EHS has maintained close links to UNFCCC in the process. Since 2016, MCII has been mandated by Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) and the German Federal Ministry for Economic Cooperation and Development (BMZ) to support the implementation of the G7-Insuresilience initiative ("Insurance for 400 Million of the poor"). The Graduate Studies Programme of the BMBF-funded West African Science Service Center on Climate Change and Adapted Land Use (WASCAL) consists of ten M.Sc. and PhD programmes with different thematic focus areas. Since its establishment in 2012, UNU-EHS has been the German counterpart for WASCAL, cooperating with Universities in the Gambia and Togo. UNU-EHS provides lectures, contributes to the International Advisory Board of WASCAL, and supports PhD students.
45 UNU 2020-2021 Biennium
UNU-FLORES Programme and Budget 2020-2021
The UNU Institute for Integrated Management of Material Fluxes and of Resources (UNU-FLORES) strives to serve as a global think tank and a postgraduate teaching institute in service to the United Nations, its Peoples and its Member States in the area of environmental resources management. Policy relevant research, agenda- setting, and capacity development activities each advance the nexus approach to the sustainable management of environmental resources: water, soil, waste, energy and other geo-resources, particularly in developing and emerging economies. Income Category (in thousands USD) Fundraising 4500 4000 3500 Fundraising B2020-2021 3000 Domestic (Estimated) 2500 2000 1500
B2018-2019 1000 Fundraising (Revised) 500 International 0
0 1000 2000 3000 4000 5000
(Actual) (Actual) (Actual) (Actual)
Institutional Funding Project Funding (Revised)
B2012-2013 B2014-2015 B2016-2017 B2018-2019 B2010-2011
Funded Personnel ALLOCATION OF RESOURCES
45 100% Consultants Research Degree programmes Capacity development 40 35 80% Communications Administration 30 60% 25 PSA 20 40% 15 B2018-2019 42% 11% 10% 8% 29% 10 20% 5 UN Staff 0 0%
B2020-2021 45% 12% 11% 8% 24% (estimated)
Personnel
(Actual) (Actual) (Actual) (Actual)
(Revised) cost as % of
(Estimated)
B2016-2017 B2012-2013 B2014-2015 B2018-2019 B2020-2021 B2010-2011 total budget
Targeted Sustainable Development Goals and Major Policy Processes UNU-FLORES focuses on SDG 6 (Clean Water and Sanitation), SDG 7 (Affordable and Clean Energy), SDG 12 (Responsible Consumption and Production), SDG 13 (Climate Action), and SDG 15 (Life on Land). While environmental resources are crucial for supporting life on earth and human development, many of them are finite. Their availability and quality are interconnected, biophysically and socially. Development can only be sustained if these constraints are considered. Achieving any single SDG is inherently interlinked with the success of many other SDGs, and one aspect linking the different goals are the environmental resources required to implement them. Nearly all SDGs rely on environmental resources – in particular, water, soil, and waste. The Nexus Approach is a critical concept for tackling the SDGs: by highlighting the synergies and trade-offs of resource management strategies, it can help identify challenges to minimize unintended consequences of misaligned management practices.
46 UNU 2020-2021 Biennium
Research Programmes Programme Name Theme(s) Personnel USD (thousands) Climate Change Adaptation Environment, Climate and Energy 3 personnel 80 UNU-FLORES is advancing integrated solutions to sustainably manage resources and improve the adaptation and resilience of Member States and their local communities by (a) improving the assessment of climate trends and impacts, (b) understanding impacts of land-use changes versus climate change on water yield and of soil and crop management on soil water, and (c) identifying and fostering soil-related ecosystem services.
Performance Measure(s) • Uptake of UNU-FLORES research outcomes by policy makers on the global, national and local level, e.g. in policy visions or policy instruments. • Publication of two peer-reviewed journal articles per year and senior researcher. • Supervision of one to two PhD students and two to three master’s degree students at a time. Circular Economy in a Environment, Climate and Energy 3 personnel 167 Sustainable Society
A circular economy is an economic system where products and services are traded in closed cycles with the aim to retain as much value as possible of products, parts, and materials. The Nexus Approach supports the circular economy by assessing interlinkages and interdependencies between resources as well as the respective impacts of their use.
Performance Measure(s) • Developing sustainable management strategies, tools and resources for implementing circular economy mechanisms. • Providing valuable input into the activities of the United Nations. • Advising and supporting Member States in their efforts to achieve the SDGs. • Uptake of our research outcomes by policy makers on the global, national and local level, e.g. in policy visions or policy instruments. • Publication of two peer-reviewed journal articles per year and senior researcher. • Supervision of one to two PhD students and two to three master’s degree students at a time.
Resource Nexus Environment, Climate and Energy 7 personnel 412 The Nexus Approach to environmental resource management examines the interconnections and interdependencies of environmental resources and their transitions and fluxes across compartments. Instead of just looking at individual components, the functioning, productivity, and management of the ecological, economic, and social dimensions of a complex system are taken into consideration.
Performance Measure(s) • Overcoming silo thinking in resource management. • Contributing to the validity of the construct "resource nexus". • Capacity development in integrated resource management. • Uptake of our research outcomes by policy makers on the global, national and local level, e.g. in policy visions or policy instruments. • Publication of two peer-reviewed journal articles per year and senior researcher. • Supervision of one to two PhD students and two to three master’s degree students at a time.
47 UNU 2020-2021 Biennium
Energy Futures Environment, Climate and Energy 2 personnel 19 By applying the nexus approach, UNU-FLORES will contribute to the transition of the Lusatian mining district by acting as a link between science and policymakers. Within the framework of the programme a monitoring system will be developed to assist in the evaluation of the sustainability of the transformation processes in mining regions towards a largely climate-neutral society and economy.
Performance Measure(s) • Submission of a multi-year project proposal for the coal mining regions in Germany. • Developing a monitoring system. • Transferring the experiences to other mining regions worldwide. • Uptake of our research outcomes by policy makers on the global, national and local level, e.g. in policy visions or policy instruments. • Publication of two peer-reviewed journal articles per year and senior researcher. • Supervision of one to two PhD students and two to three master’s degree students at a time. Innovation and Programme Development Fund 86
Training, Teaching and Capacity Development Activities UNU-FLORES will further develop:
• The accredited PhD degree programme with Technische Universität Dresden (TU Dresden) will be expanded to other faculties. • The Internship Programme for young researchers/professionals. • The Visiting Scholar programme for postgraduate students and for mid- and senior-career professionals will be connected to research programmes. Collaboration Highlights UNU-FLORES will be expanding the cooperation with its strategic partner TU Dresden in several areas: • Expansion of the PhD programme to other faculties. • Institutionalisation of the organisation of the Dresden Nexus Conference with TU Dresden and Leibniz Institute of Ecological Urban and Regional Development. • Establishment of a master theses fellowship programme. • Joint professorships: Heads of Research can be co-opted as professors at TU Dresden and vice-versa. • Institutionalization of the “Nexus seminar”. • UNU-FLORES will prepare a proposal to become a member of “Dresden-Concept”.
48 UNU 2020-2021 Biennium
UNU-IAS Programme and Budget 2020-2021
The UNU Institute for the Advanced Study of Sustainability (UNU-IAS) advances efforts towards a more sustainable future through policy-oriented research and capacity development in three thematic areas: (i) transformations toward sustainable societies, (ii) natural capital and biodiversity, and (iii) global change and resilience. UNU-IAS master’s and doctoral degrees produce the policymakers and researchers of tomorrow, who will be at the forefront of global efforts for sustainability.
Income Category (in thousands USD) Fundraising 25000
20000 Fundraising B2020-2021 Domestic (Estimated) 15000
10000
B2018-2019 5000 Fundraising (Revised) International 0
0 5000 10000 15000 20000 25000
Endowment Funding Institutional Funding
(Actual) (Actual) (Actual)
(Actual)
(Revised)
(Estimated)
B2012-2013 B2014-2015 B2016-2017 B2018-2019 B2020-2021
Other Income Project Funding B2010-2011
Funded Personnel ALLOCATION OF RESOURCES
350 100% Consultants Research Degree programmes Capacity development 300 80% 250 Communications Administration 60% 200 PSA 150 40% B2018-2019 65% 8% 9% 4% 14% 100 20% 50 UN Staff* 0 0%
B2020-2021 68% 19% 3% 5% 12% (estimated)
Personnel
(Actual) (Actual) (Actual) (Actual)
(Revised) cost as % of
(Estimated)
B2016-2017 B2012-2013 B2014-2015 B2018-2019 B2020-2021 B2010-2011 total budget Targeted Sustainable Development Goals and Major Policy Processes UNU-IAS’ activities will target three specific international policy agendas: 1. The 2030 Agenda for Sustainable Development UNU-IAS research and policy development will advance implementation of the 2030 Agenda for Sustainable Development, with a focus on governance. In collaboration with UN ESCAP and other partners, UNU-IAS will support Member States in mainstreaming and localizing the SDGs and contribute to global policy dialogue including the High-Level Political Forum (HLPF) on Sustainable Development. The Institute will also further develop platforms for education and knowledge generation to advance sustainable solutions at the local level. 2. The CBD and Intergovernmental Platform on Biodiversity & Ecosystem Services (IPBES) UNU-IAS activities will support efforts by Member States for the conservation and sustainable use of biodiversity and ecosystem services. The Institute will contribute to formulation and implementation of the Post-2020 Global Biodiversity Framework and advance the IPBES agenda through scientific assessments and modelling. 3. The Paris Agreement on Climate Change and Sendai Framework on DRR UNU-IAS research will advance implementation of the Paris Agreement, the Sendai Framework for DRR, and related SDGs – while strengthening links and synergies between these agendas. The Institute will contribute to assessments of climate change, engaging its interdisciplinary approach and global networks to bring valuable perspectives and insights.
49 UNU 2020-2021 Biennium
Research Programmes Programme Name Theme(s) Personnel USD (thousands) Transform to Sustainable Society Environment, Climate and Energy 18 personnel 4516
This programme will advance transformations through which societies can become more environmentally, socially, and economically sustainable. It will develop knowledge and partnerships to (a) strengthen governance and institutional structures for the SDGs, (b) accelerate sustainability education and training at the local and regional levels, and mainstream sustainable development within higher education, and (c) improve management of watershed environments in Asian cities for sustainable development.
Performance Measure(s) • Publication of journal articles, reports, and at least 3 policy briefs. • Development of platforms and networks for education and knowledge generation, as measured by organisation/participation in annual regional conferences on Education for Sustainable Development. • The number of trainings and leadership courses conducted.
Natural Capital and Biodiversity Environment, Climate and Energy 13 personnel 3943 This programme will analyse and promote the sustainable use of biodiversity and ecosystem services to secure their benefits for current and future generations.
Performance Measure(s) • Conduct scientific assessment and modelling of biodiversity and ecosystem services to support policymaking for their sustainable use. • Provide scientific inputs for assessments of the IPBES: number of publications focused on scientific assessment. • Develop and promote approaches for landscape and seascape management to advance the sustainable use of biodiversity and ecosystems. • Contribute to formulation and implementation of the Post-2020 Global Biodiversity Framework by issuing a number of academic and policy-oriented publications. Global Change and Resilience Environment, Climate and Energy 1 personnel 20 This programme will develop approaches to address climate change, build community resilience and reduce disaster risks.
Performance Measure(s) • Formulate strategies and build partnerships to address global environmental change, through research and policy dialogue focused on climate change adaptation and mitigation, as well as resilience building and DRR through a number of policy briefs, journal articles, and reports. • Develop research focused on ecosystem-based DRR (eco-DRR), producing practical, nature-based approaches in local communities based on visualisation of disaster risks, evaluation of multiple ecosystem functionalities, and scenario analysis.
Operational Unit Ishikawa / Environment, Climate and Energy 5 personnel 985 Kanazawa This programme will draw upon the rich local knowledge of the region through analysis and fieldwork, providing unique insights to international processes for biodiversity and ecosystem services.
Performance Measure(s) • Contribute to international processes based on local and regional inputs and analysis, including on biological and cultural diversity, evidenced by at least three case studies. • Develop communications and networks with local stakeholders through public outreach and capacity building through successful organisation of workshops and conferences for local stakeholders every year.
50 UNU 2020-2021 Biennium
Postgraduate Degrees and Environment, Climate and Energy 8 personnel 2323 Training
This programme will manage and administer the UNU-IAS master’s and doctoral degrees, and several short courses.
Performance Measure(s) • Maintain a critical mass of students while ensuring high teaching quality. • Expand joint teaching arrangements with leading universities. • Expand the active engagement of students in UNU-IAS research project, ensuring that the degree programmes draw on and strengthen the institute's research. Communication, Dissemination, Environment, Climate and Energy 5 personnel 574 and Outreach This programme will shape, package, and deliver UNU-IAS outputs and expertise to maximize impact, effect positive change, and drive further demand. It will disseminate UNU-IAS research outputs, conduct public outreach in Japan and other countries, and provide information services.
Performance Measure(s) • Build the brand of UNU-IAS as a leading institute on sustainability issues, by increasing visibility in the international community and Japan, while emphasising comparative advantages, as measured by increased website traffic and social media following. • Strengthen links with civil society by forming new partnerships with leading universities, NGOs, and the private sector.
Training, Teaching and Capacity Development Activities UNU-IAS postgraduate programmes develop international leaders with the interdisciplinary understanding and skills needed to develop creative solutions to problems of sustainability. The Institute offers a Master of Science in Sustainability and a PhD in Sustainability Science, in close collaboration with leading universities. Exchange agreements with the University of Tokyo, International Christian University, and Sophia University allow the transfer of credits with these universities. Joint diploma programmes have been established with the Tokyo Graduate School of Frontier Science and Sophia University. The Institute received accreditation by the National Institution for Academic Degrees and University Evaluation of Japan in March 2015, certifying the quality of its degree programmes. UNU-IAS also provides postdoctoral fellowships, and a range of innovative short courses for young scholars and policymakers. Teaching and research activities are closely linked; students are encouraged to engage in the Institute's research projects, which provide field experience and develop applied skills. Collaboration Highlights • UN ESCAP The UNU-IAS Governance for Sustainable Development project continues to collaborate with UN ESCAP on regional implementation of the 2030 Agenda for Sustainable Development under an MoU signed in 2017. Jointly produced guidelines on multi-stakeholder partnerships for the SDGs were presented at the 2018 HLPF meeting. Other partners include the Earth System Governance project, which is a core part of the Future Earth initiative, as well as the International Institute for Sustainable Development and the Sustainable Development Solutions Network. • CBD and IPBES The UNU-IAS Natural Capital and Biodiversity programme works closely with the secretariats of CBD and IPBES, and UNDP, UNESCO, and Food and Agriculture Organization of the United Nations (FAO). UNU-IAS has been advancing efforts to achieve the Aichi Biodiversity Targets of CBD and develop the Post-2020 Global Biodiversity Framework, supporting the CBD secretariat in analysis of National Biodiversity Strategies and Action Plans, and also contributing to IPBES assessments.
51 UNU 2020-2021 Biennium
UNU-IIGH Programme and Budget 2020-2021
The mission of the UNU International Institute for Global Health (UNU-IIGH) is to build knowledge and capacity for decision-making by United Nations agencies, programmes, and Member States about global health issues. UNU-IIGH aims to advance evidence-based policy on key health issues related to sustainable development.
Income Category (in thousands USD) Fundraising 800 700 B2020-2021 600 Fundraising Domestic (Estimated) 500 400 300 200 B2018-2019 Fundraising (Revised) 100 International 0
3,500 3,600 3,700 3,800 3,900 4,000 4,100
(Actual) (Actual)
Endowment Funding Cumulative Surplus Project Funding (Actual)
(Actual)
(Revised)
(Estimated)
B2016-2017 B2012-2013 B2014-2015 B2018-2019 B2020-2021 B2010-2011
Funded Personnel ALLOCATION OF RESOURCES 25 100% PSA Research Degree programmes Capacity development 20 80% Communications Administration Other 15 60%
10 40% UN Staff B2018-2019 30% 5% 15% 15% 25% 10% 5 20%
0 0%
B2020-2021 Personnel 52% 3% 8% 8% 25% 4%
cost as % of (estimated)
(Actual) (Actual) (Actual)
(Actual)
(Revised)
(Estimated)
B2016-2017 B2014-2015 B2018-2019 B2020-2021
B2012-2013 total budget B2010-2011
Targeted Sustainable Development Goals and Major Policy Processes A significant effort for UNU-IIGH is addressing the policy dialogue in the interface between SDG 3 (good health and well-being) and SDG 5 (gender equality) – can strategies for gender mainstreaming for gender equality demonstrate a significant improvement in health and wellbeing, or, would approaches that focuses primarily on addressing health outcomes devalue efforts towards gender equality? This work is being undertaken in collaboration with the gender specialists across the United Nations health implementing agencies, particularly with the World Health Organization (WHO). UNU-IIGH also engages across United Nations agencies, Member States and civil society through partnerships such as the United Nations Interagency Task Force on Non-Communicable Diseases, Digital Health Initiatives, the World Health Summit to address intersections between SDG3 and other non-traditional health sectors. These include universal health coverage, migration, biodiversity, aging and welfare, innovations for implementation and community engagement and the health workforce. There is strong engagement with the broader United Nations system through the United Nations Country Team in Malaysia and regional initiatives, like the Asia-Pacific Observatory for Health Systems, and with other agencies working in the region.
52 UNU 2020-2021 Biennium
Research Programmes Programme Name Theme(s) Personnel USD (thousands) Social Change and Economic Translation of Evidence to Policy 3.5 personnel 200 Development UNU-IIGH serves as a policy think tank to support United Nations agencies and global health institutions to move evidence to action. Acting as a neutral broker for United Nations and member state global health priorities, the focus is of this programme is to provide a forum to convene a broad set of stakeholders, synthesize, communicate and disseminate recommendations and support implementation.
Performance Measure(s) • UNU-IIGH is recognized as a convening partner of choice for global health priority issues. • Number of externally funded, cost neutral events. • UNU-IIGH convenes and produces reports, proceedings or briefs for three policy dialogue events per year with actionable policy recommendations. Generation of Policy Relevant Social Change and Economic 5 personnel 200 Analyses Development UNU-IIGH focuses on transformative gender power dynamics that influence policies and interventions and generate impact on health outcomes. This programme of work is undertaken in collaboration with health-related United Nations system entities and global health institutions.
Performance Measure(s) • Transformation in approaches to gender mainstreaming, greater community engagement approaches to health programs and systems with potential to improve health outcomes. • A minimum of two peer reviewed papers are published in high impact journals. • One case study undertaken per year that is demonstrating impact. Strengthening Capacity for Local Social Change and Economic 3 personnel 120 Decision-Making Development UNU-IIGH works with and through Malaysian partners to consolidate evidence and lessons learned generated by the Global South to support health policy formulation and implementation in other low- and middle-income countries in support of South-South collaboration.
Performance Measure(s) • Development of knowledge products, flagship short courses, mentoring of young researchers and capacity strengthening programs for policy makers in low- and middle-income countries. • UNU-IIGH will develop one major knowledge product and deliver one flagship course per year.
Social Change and Economic Capacity Development 1.5 personnel 80 Development This programme supports modest stipends for interns, IIGH Fellows in Residence, programmes for early to mid- career global health academics and policy makers.
Performance Measure(s) • This activity focuses on the development of human capital with support to encourage and mentor early and mid-career academics into global health policy work. • UNU-IIGH will support six interns and two policy/visiting fellows per year.
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Social Change and Economic Postgraduate Training 1 personnel 30 Development Global Health PhD Fellows are PhD candidates enrolled in partner universities, on topics related to UNU-IIGH’s areas of focus. Fellows will explore the process of political prioritisation, policy analyses and translation within the context of the United Nations system and participate in UNU-IIGH activities.
Performance Measure(s) • The output of the fellowship is a publishable report and/or policy brief to be included as an appendix to the thesis. • Global Health PhD Fellows are awarded a UNU-IIGH certificate of participation. • UNU-IIGH aims to host two Global Health PhD Fellows per year. Innovation and Programme 99 Development Fund
Training, Teaching and Capacity Development Activities UNU-IIGH provides demand-driven short course programmes that support policy makers, particularly in low- and middle-income countries, to engage in policy dialogues that impact on health but may be outside the health sector, and critically, are not offered by traditional programs in universities. These include areas such as health and human rights, the right to health and development, governance for health, transdisciplinary systems thinking, health security and health diplomacy, and implementation research. Other training efforts include: a PhD fellowship programme that supports candidates enrolled in partner institutions for up to six months to learn about pollical prioritisation and policy translation; an internship programme; and a fellows-in-residence programme for sabbatical leave for mid-career academics and policy makers. Also relevant are training programmes to be developed in response to research and analysis on gender and health. Collaboration Highlights The Institute will build on the joint UNU-IIGH and WHO expert consultation convened in Kuala Lumpur, Malaysia, from 29-30 April 2019 to review gender mainstreaming in health, which set a forward-looking action and research agenda in gender and health. The consultation was attended by gender experts from United Nations system entities responsible for implementing the global health agenda (WHO, UNDP, UNICEF, UNFPA, UN Women), as well as a number of representatives from civil society, and the academic community. UNU-IIGH will continue as a neutral convenor to provide a platform for collaboration, practice-based learning, and to co-produce analyses and evidence for action, broker new partnerships and alliances. The Institute will also host further consultations with the aim of developing and mobilizing resources for a robust joint programme and with a first series of knowledge outputs by the end of 2020, for universal health coverage and SDG 5.
54 UNU 2020-2021 Biennium
UNU-INRA Programme and Budget 2020-2021
The United Nations University Institute for Natural Resources in Africa (UNU-INRA) aims to assist in the efficient and sustainable management of the continent’s natural resources. The Institute’s work focuses on strengthening the capacity of key players, mainly universities and other research institutions.
Income Category (in thousands USD) Fundraising 1000 900 800 B2020-2021 Fundraising 700 Domestic (Estimated) 600 500 400 300 B2018-2019 200 Fundraising (Revised) 100 International 0
0 500 1000 1500 2000
Endowment Funding Cumulative Surplus
(Actual) (Actual) (Actual) (Actual)
Other Income Project Funding (Revised)
(Estimated)
B2012-2013 B2014-2015 B2016-2017 B2018-2019 B2020-2021 B2010-2011
Funded Personnel ALLOCATION OF RESOURCES 25 100% UNVs Research Degree programmes Capacity development 20 80% Consultants Communications Administration 15 60%
10 40% PSA B2018-2019 50% 1% 6% 4% 39% 5 20%
0 0% UN Staff
B2020-2021 44% 10% 2% 44%
(estimated)
(Actual) (Actual)
(Actual) Personnel
(Actual)
(Revised)
(Estimated)
B2016-2017 B2012-2013 B2014-2015 B2018-2019 B2020-2021
B2010-2011 cost as % of total budget
Targeted Sustainable Development Goals and Major Policy Processes The four programme areas at UNU-INRA will contribute to the attainment of the nationally determined contributions of most countries as well as the efficient resource management in the agriculture, forestry and other land use sectors, which are critical for the attainment of the SDGs. UNU-INRA’s proposed programmes principally and directly contribute to SDG 6 (clean water and sanitation), SDG 7 (affordable and clean energy), SDG 9 (industry, innovation and infrastructure), SDG 11 (sustainable cities and communities), and SDG 15 (life on land). UNU-INRA will continue its participation in a four-institution consortium consisting of Ashesi University, SNV – Netherlands Development Organisation, Ernst & Young and UNU-INRA. The Institute’s role is to analyse and determine constraints that small and medium size enterprises face in developing climate smart businesses, and UNU-INRA will specifically facilitate the engagement of policy makers with entrepreneurs.
55 UNU 2020-2021 Biennium
Research Programmes Programme Name Theme(s) Personnel USD (thousands) Transition Towards Land-based Social Change and Economic Ecosystems Management 6 personnel 30 Development (AFOLU) This programme aims to generate knowledge that contributes to the attainment of food security and development of climate smart landscapes in Africa. Considering food security as central to human and livelihood improvement in Africa, the programme also acknowledges that efforts towards achieving food security must be pursued to minimize impact on ecological systems and reduce greenhouse gas emissions (GHG).
Specifically, this programme will contribute knowledge towards achieving food security and meeting national and global mitigation targets. It consists of: (1) climate smart agriculture, (2) desertification, land degradation and droughts, and (3) weather and climate information system. The programme will also address potential tension points with respect to competing natural resources.
Performance Measure(s) • Recommended management practices or technologies (including water) for achieving high productivity and reduced GHG emissions for different crops in different vegetation zones/biomes. • Catalogue of barriers to successful implementation of sustainable land management practices. • Reduced GHG emissions from the agricultural sector due to adoption of management practices: percentage (<=10 per cent) reduction in GHG emissions from selected crops in different vegetation zones/biomes. • Increased agricultural productivity as a result of widespread adoption of sustainable land management practices: 50 farmers adopt investigated sustainable land management practices.
Producing Knowledge for Social Change and Economic 4 personnel 20 Natural Resource Governance Development This programme will focus on resource governance through the prism of extractives to produce relevant knowledge for effective resources management. It will serve as a demonstration area to test the range of knowledge and policies that are relevant for a new resources narrative. By focusing on mineral and extractives, it will: 1) interrogate resource governance and interrelations with political economy and gender inclusiveness through artisanal small-scale mining; 2) identify, co-design, co-produce, and co-implement knowledge relevant for resource management across UNU-INRA's focus areas, across its Operating Units, and with relevant partners; 3) identify best practices for policy support and advocacy for quality mineral resources governance; and, 4) create niches and spaces for advocacy for effective resource governance
Performance Measure(s) Reduction in the negative impacts of artisanal mining on land and water quality, as measured by: • Four ASM related policy briefs, op-eds and scientific publications developed annually. • One project focused on reversing the trend of mining-induced land degradation and water pollution. • One capacity development programme on reducing the negative externalities from artisanal mining. Best practices for quality resource governance, through synergizing global and local knowledge systems, as measured by: • Two projects co-designed, co-developed, co-implemented with women and indigenous/local groups. • Five state and non-state actors (governments, United Nations agencies, regional/sub-regional bodies, and the private sector) advised on the best practices for quality resource governance. • Two projects that support diversification away from hydrocarbons and other non-renewable extractives. Conducive policy environment for the realisation of a resilient, diversified and inclusive economy in African countries through extractive industries, as measured by: • Two natural resource management national/regional policies into which UNU-INRA provides annual input. • Degree of UNU-INRA’s involvement in legislative processes at the various levels of governance. • Two policy advocacy meetings/workshops organized annually.
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Promoting a Blue Economy and Social Change and Economic 4 personnel 20 Water Resource Management Development
This programme will focus on generating knowledge to assist African governments in achieving sustainable development through the efficient and equitable management of water resources, and the conservation and responsible use of the oceans, seas and marine resources. The programme acknowledges the potential tensions that arise as a result of increasing scarcity of water resources and increasing water demand as a result of population increases and competing water uses. The programme also acknowledges the critical role the oceans, seas and marine resources play in improving the livelihood and the economies of several countries.
Performance Measure(s) • Recommendations for integrating and mainstreaming disaster risk reduction in aquaculture (freshwater and marine) at various levels of decision-making. • Catalogue of management and coping strategies employed by fishing communities against disasters and climate shocks. • Recommendations for water allocation among competing uses. • Reduced climate-related risk, losses and damages in the aquaculture industry: number and frequency of climate-related disasters in the aquaculture industry. • Reduced water-related conflicts, especially community and transboundary: number of communities / countries involved in water-related conflicts.
Technical Innovation Systems – Environment, Climate and Shifting Focus to Clean Energy 4 personnel 612 Energy and Green Economy This programme proposes that the success of the introduction of new technologies is not only determined by the technology itself, but also by the socio-material and cultural system that develops and implements the innovation. The key objectives of the programme are to: identify and examine the key barriers of sustainable energy innovation; analyze the enablers of the sustainable energy innovation transition process; co-produce ideas and strategies to achieve step-changes in the sustainable energy innovation transition with all relevant stakeholders.
Performance Measure(s) • Contribution of existing low carbon technologies to reducing GHG emissions. • Knowledge of existing and potential barriers to the successful scaling of existing technologies. • Documentation of measures required to overcome identified barriers. • Recommendations on integrating inclusiveness and social equity in green/blue transition plans. • Documentation of resources/sectors to be constrained as a result of pursuing blue/green economy. • Number of sector-based policy briefs and research reports on key results as well as key challenges. • Recommendations on the way forward for various African countries based on their peculiar situation. Innovation and Programme Development Fund 60
Training, Teaching and Capacity Development Activities The Institute will work with key stakeholders from universities, research institutions and individuals across Africa through training programmes to strategically position them to address challenges in the management of natural resources on the African continent. This will be achieved by developing and organizing flagship training programmes, including for professionals, on relevant natural resources management, notably: climate change and its environmental and socio-economic impacts; application of geospatial tools in natural resources management research as well as in resources management in Africa; green bond/secular economy; and climate diplomacy. Collaboration Highlights Examples of collaboration highlights for B2020-2021 at UNU-INRA include: • Joint organization of Kwapong Lecture Series - Nature Speaks with the University of Ghana; • IPCC Meeting in collaboration with IPCC and the University of Ghana; • Africa Climate Week in collaboration with Ghana Climate Innovation Center; and, • Summer Academy with UNU-EHS.
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UNU-INWEH Programme and Budget 2020-2021
The UNU Institute for Water, Environment and Health (UNU-INWEH) helps resolve pressing and emerging water challenges that are of concern to the United Nations, its Member States, and their Peoples. The Institute aims to become the world's most trusted source for water policy ideas, syntheses and analyses.
Income Category (in thousands USD) Fundraising 7,000 6,000 Fundraising B2020-2021 5,000 Domestic (Estimated) 4,000 3,000 2,000 Fundraising B2018-2019 1,000 (Revised) International -
0 500 1000 1500 2000 2500 3000 3500 4000
(Actual) (Actual) (Actual) (Actual)
Cumulative Surplus Institutional Funding Project Funding (Revised)
(Estimated)
B2012-2013 B2014-2015 B2016-2017 B2018-2019 B2020-2021 B2010-2011
Funded Personnel ALLOCATION OF RESOURCES 35 100% UNVs Research Degree programmes Capacity development 30 80% 25 Consultants Communications Administration Other 20 60% 15 40% 10 PSA B2018-2019 60% 8% 9% 10% 13% 20% 5 0 0% UN Staff
B2020-2021 58% 7% 8% 8% 19%
(estimated)
(Actual) (Actual)
(Actual) Personnel
(Actual)
(Revised)
(Estimated)
B2016-2017 B2012-2013 B2014-2015 B2018-2019 B2020-2021
B2010-2011 cost as % of total budget
Targeted Sustainable Development Goals and Major Policy Processes UNU-INWEH contributes directly to all targets of SDG 6 (water and sanitation for all). It also contributes to SDG 3 (health and well-being), SDG 11 (resilient communities), and SDG 13 (climate action); particularly to those targets of SDG 11 and 13 that address water-related disasters. Further, UNU-INWEH engages in a range of United Nations Water (UN-Water) activities, including annual World Water-Development Report, the SDG 6 Synthesis Report, UN-Water briefs, Task Forces and Expert Groups. Within UN-Water, UNU-INWEH co-leads (with UN DESA) the special Task Force on the implementation of the Water Action Decade of 2018-2028 and leads the Task Force on Unconventional Water Resources. Through the "SDG6 Policy Support System", a flagship product of the Institute, UNU-INWEH facilitates national dialogues on the transparent identification of gaps, risks and needs to accelerate the progress towards SDG 6. Notably, UNU-INWEH offers its direct methodological expertise for the SDG 6 indicator framework. The Institute further engages with large international sustainable development processes and Conventions (United Nations Office for Disaster Risk Reduction (UNISDR), IPBES, Ramsar) and with global partnerships and networks, such as the Global Framework for Action against Water Scarcity, and the Groundwater Solutions Initiatives for Policy and Practice.
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Research Programmes Programme Name Theme(s) Personnel USD (thousands) Environment, Climate and Water, Environment and Health 9 personnel 230 Energy
This research programme covers a range of water-related challenges; these include: information and policy support to Member States in their progress towards water-related SDGs; the assessment of the role of unconventional sources of water in alleviation of water scarcity; addressing water-food-energy-environment nexus and water-related security issues; managing water-related health and environmental risks; and, reducing the risk of water-related disasters, such as floods and droughts, and increasing resilience. Moreover, issues of increasing climate variability and change, and ecosystem services cut across the programme.
Performance Measure(s) • Increased awareness and improved understanding of water-health-environment issues and links by policymakers, donors, United Nations entities, media, private sector and general public, as measured by the number and type of UNU-INWEH’s knowledge products published; and the number/type of UNU-INWEH capacity building activities carried out. • Improved water-related policies and procedures of governments, development partners, private sector and United Nations entities/processes influenced by UNU-INWEH scientific support.
Innovation and Programme 200 Development Fund
Training, Teaching and Capacity Development Activities Training and capacity development activities at UNU-INWEH in 2020-2021 will include: • A two-semester Water Without Borders collaborative graduate diploma programme with McMaster University, which aims to enhance professional and academic development and addresses water issues across geopolitical or disciplinary boundaries. • An Online Water Learning Centre, with several specialized courses on water security, water and health, and mangrove ecosystems management. • Training and capacity building activities associated with specific projects, for example training national stakeholders in the use of the SDG 6 PSS. • Several in-house internship and trainee programmes both at the Institute and in collaboration with McMaster University. Collaboration Highlights UNU-INWEH collaborates with governments and researchers from five Member States (Costa Rica, Ghana, Republic of Korea, Pakistan, and Tunisia) on the development of PSS, an online tool that provides Member States with a national evidence base necessary for measuring progress towards SDG 6. The project's second phase in 2020-2021 consists of these five countries becoming regional hubs while the policy support system is rolled out to an additional 40 countries. Another notable instance of collaboration is a project UNU-INWEH undertakes in partnership with International Development Research Centre (Canada) and the University of Kinshasa (Democratic Republic of Congo) assessing the drivers, consequences, as well as impact of water-related migration on women and girls.
59 UNU 2020-2021 Biennium
UNU-MERIT Programme and Budget 2020-2021
The United Nations University Maastricht Economic and social Research institute on Innovation and Technology (UNU-MERIT) functions as a unique research centre and United Nations think tank addressing a broad range of policy questions on science, innovation and democratic governance, and includes as well a graduate school for around 100 PhD fellows and 140 master’s degree students.
Income Category (in thousands USD) Fundraising 10,000 9,000 8,000 B2020-2021 Fundraising 7,000 Domestic (Estimated) 6,000 5,000 4,000 3,000 2,000 B2018-2019 Fundraising International (Revised) 1,000 0
- 2,000 4,000 6,000 8,000 10,000
(Actual) (Actual)
Endowment Funding Cumulative Surplus Institutional Funding (Actual)
(Actual)
(Revised)
(Estimated)
B2012-2013 B2014-2015 B2016-2017 B2018-2019 B2020-2021 Other Income Project Funding B2010-2011
Funded Personnel ALLOCATION OF RESOURCES
14 100% Research Degree programmes Capacity development UN Staff 12 80% Communications Administration Other 10 8 60% 6 40% PSA B2018-2019 30% 5% 15% 15% 25% 10% 4 20% 2 0 0% B2020-2021 40% 22% 4%5% 27% 2% Personnel (estimated)
cost as % of
(Actual) (Actual) (Actual) (Actual)
(Revised) total budget
(Estimated)
B2016-2017 B2012-2013 B2014-2015 B2018-2019 B2020-2021 B2010-2011
Targeted Sustainable Development Goals and Major Policy Processes UNU-MERIT is actively involved in the Forum on Science, Technology and Innovation (STI) for the SDGs. The Institute has played a leading role in designing and delivering an innovation training programme in this context, with the course having previously been delivered in Jordan (2018) and Peru (2019). UNU-MERIT has been engaged by the Asian Development Bank (ADB) to work on the new strategic programme for the Greater Mekong Subregion, a programme supporting regional cooperation through sub-regional projects in transport, energy, agriculture, the environment, and trade facilitation. UNU-MERIT will work with the ADB over the period 2019-2020 to provide a stocktaking of current development levels in the region and to provide inputs into the strategic programme for regional development over the period 2020-2030. UNU-MERIT has signed an agreement with the WFP to provide long-term monitoring, evaluation, analysis and policy guidance in support of WFP’s work with refugee and vulnerable communities in Kenya. The project will involve monitoring and evaluating the effects of WFP’s various long-term aid programmes on refugees in Kenya, including those related to electronic food vouchers and unconditional cash transfers via bank accounts.
60 UNU 2020-2021 Biennium
Research Programmes Programme Name Theme(s) Personnel USD (thousands) Economics of Innovation and Social Change and Economic 2 personnel 85 New Technologies Development This programme addresses the drivers, impacts and measurement of innovation. The impacts of innovation are broad, affecting a firm’s productivity as well as employment, wages, and income inequality among other things. These effects lead to the need for a policy response. This programme identifies appropriate innovation policies to create appropriate incentives for innovation whilst achieving social objectives.
Performance Measure(s) • Production of high quality and high impact research on issues related to the economics of innovation and new technologies. • Continued engagement with national governments, international organizations, and the European Commission (and its Innovation Scoreboard) on the measurement and impact of innovation and innovation policies. • Continued engagement with other United Nations agencies, particularly in the context of the Forum on STI for the SDGs. • 15 peer reviewed articles on issues related to the economics of innovation. Structural Change and Economic Social Change and Economic 1 personnel 210 Development Development This programme addresses the causes and consequences of structural change. The drivers of structural change are diverse, with new technologies being prominent. These technologies have the potential to raise growth but pose risks for workers and for inequality. This programme identifies the impacts of structural change; it also suggests policies to mitigate the negative consequences of structural change.
Performance Measure(s) • Publication of high impact research on issues related to structural change, including one book. • 15 peer reviewed journal articles plus one edited volume on structural change. • Sustained engagement with international organizations and other United Nations agencies, most notably UNIDO, on issues related to structural change.
Economic Complexity and Social Change and Economic 2 personnel 60 Innovation Development This programme considers innovation as the outcome of interlinked processes of knowledge creation, with economic agents adapting to their ever-changing environment. This approach seeks to understand the process of innovation by considering the entire system in which innovation takes place rather than by analyzing the behaviour of individual agents, and thus provides broader and more integrated policy recommendations.
Performance Measure(s) • Produce 10 peer-reviewed articles. • Sustained engagement with the United Nations and other international organizations on issues related to environment and energy. • Collaborate on two projects that contribute to the work of the Inter-Agency Task Force on STI for SDGs.
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Social Change and Economic Governance and Institutions 2 personnel 173 Development This programme addresses the issue whether public policies and programmes work for development, and whether factors that facilitate the successful implementation of policies can be identified. In terms of facilitating factors, the programme considers whether informal institutions can substitute for formal ones, and what role there is for networks and social norms in encouraging behavioural change.
Performance Measure(s) • Publication of high-quality research on issues related to governance institutions and post-conflict societies. • 15 peer reviewed journal articles on governance and institutions. • Sustained engagement with the United Nations and other international organizations on issues of governance and institutions.
Innovation and Environment, Climate and Entrepreneurship for 1 personnel 3 Energy Sustainability Transactions
This programme considers the role of STI and engagement in addressing societal challenges, such as those related to achieving a low carbon economy, a circular economy and inclusive development. The programme develops insights, indicators, tools, educational programs and services relevant for businesses, governments, social sector actors, researchers and citizens in this domain.
Performance Measure(s) • Publication of high-quality research on issues related to innovation, entrepreneurship and sustainability. • 15 peer reviewed journal articles on innovation, entrepreneurship and transitions. • Develop, expand and integrate the Site4Society initiative. • Organize at least two events through the Site4Society initiative. • Sustained engagement with the United Nations and other international organizations on issues of innovation, entrepreneurship and transitions.
Social Change and Economic Social Protection 1 personnel 816 Development This programme examines the theoretical and empirical links between social protection, institutions and economic and human development in both developed and developing countries, including contexts of fragility and protracted crises. In this context social protection includes policies related to labour market participation, health, education and inclusion aimed at improving the lives of the poor and the realization of equal opportunities.
Performance Measure(s) • Publication of high-quality research on issues related to social protection. • 15 peer reviewed journal articles plus on social protection. • Sustained engagement with the United Nations and other international organizations on social protection, most notably UNICEF and WFP. • Successful implementation of the long-term project with WFP.
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Education and Training 1961
Education and training (i.e. capacity building) involves a number of activities at UNU-MERIT, including a Master of Science in Public Policy, two doctoral programmes, and capacity building programmes on innovation, migration and evidence-based policy making.
Performance Measure(s) • Continued and enhanced success of capacity building projects, such as the Design and Evaluation of Innovation Policies (DEIP) programme that has been recently delivered in India and Panama, and the innovation training programme run in collaboration with other United Nations agencies. • At least two DEIP events. • At least two events organized through the inter-agency task team on STI for the SDGs.
Innovation and Programme Development Fund 321
Training, Teaching and Capacity Development Activities UNU-MERIT cooperates with Maastricht University in running a Master of Science programme in Public Policy and Human Development that attracts around 130 students per year. In addition, UNU-MERIT runs both a full- time and a part-time PhD programme. Both programmes have an intake of 10-15 students per year, with the part-time programme attracting many applicants from the United Nations system. In addition to these academic programmes, UNU-MERIT is involved in capacity building efforts in the field of innovation, running its own DEIP programme and being heavily involved in capacity building efforts in this area through the Forum on STI for the SDGs. UNU-MERIT further runs capacity building programmes on Evidence Based Policy Research Methods and migration management (the Migration Management Diploma). Collaboration Highlights Researchers from UNU-MERIT worked with the ADB to provide inputs into Indonesia's medium-term economic plan. The subsequent report was released in February 2019 and proposed a comprehensive industrial policy for Indonesia to upgrade and diversify its economy. The report received wide media coverage and has been noted by other development agencies, such as the Central American Bank for Economic Integration. Following the success of this collaboration between the ADB and UNU-MERIT, the ADB has engaged UNU-MERIT on a related project considering the regional economic integration of the Greater Mekong Subregion countries.
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UNU-WIDER Programme and Budget 2020-2021
The UNU World Institute for Development Economics Research (UNU-WIDER) is a unique blend of think thank and research institute within the United Nations system, operating as a leading platform for development economics where knowledge is created through a forward-looking research programme and strengthened through capacity building initiatives; and where researchers, decision-makers, and practitioners interact to help resolve critical social and economic challenges on the basis of high quality research.
Income Category (in thousands USD) Fundraising 20000 17500 15000 Fundraising B2020-2021 Domestic (Estimated) 12500 10000 7500 5000 B2018-2019 Fundraising 2500 (Revised) International 0
0 5000 10000 15000 20000 25000
Endowment Funding Cumulative Surplus Institutional Funding
(Actual) (Actual) (Actual)
(Actual)
(Revised)
(Estimated)
B2012-2013 B2014-2015 B2016-2017 B2018-2019 B2020-2021 Other Income Project Funding B2010-2011
Funded Personnel ALLOCATION OF RESOURCES
350 100% Consultants Research Degree programmes Capacity development 300 80% 250 Communications Administration Other 60% 200 PSA 150 40% B2018-2019 100 51% 1% 11% 18% 19% 10% 20% 50 UN Staff 0 0%
B2020-2021 58% 9% 11% 22% (estimated)
Personnel
(Actual) (Actual) (Actual) (Actual)
(Revised) cost as % of
(Estimated)
B2016-2017 B2012-2013 B2014-2015 B2018-2019 B2020-2021 B2010-2011 total budget
Targeted Sustainable Development Goals and Major Policy Processes During the 2020-2021 biennium, UNU-WIDER’s research will focus on the interlinked development challenges of transforming economies, states, and societies. These transformations are central to the achievement of the 2030 Agenda for Sustainable Development. The Institute will apply the following research-into-use processes to contribute in particular to the achievements of SDG 5 (Gender equality), SDG 8 (Decent work and economic growth), SDG 10 (Reduced inequalities), and SDG 16 (Peace, justice and strong institutions): (i) Informing decision-making and policy processes with the most up‐to‐date rigorous research; (ii) Linking up stakeholders across research and policy communities; (iii) Exchanging knowledge between national and international researchers, policy analysts in governments and development partners; (iv) Co‐creating analysis as ‘thought partner’ to government stakeholders to help navigate complex policy problems and contextualize approaches for local settings; and, (v) Co‐developing and supporting national researchers and policy analysts to apply their analytical capacities. The Institute engages with a series of developing countries, for example in Ghana, Mozambique, Myanmar, Tanzania, South Africa, as well as with the governments of its core donor countries (Finland, Sweden, and the United Kingdom). Building strategic institutional partnerships in these countries has had, and continues to achieve, considerable policy impact. There is direct collaboration with several United Nations entities in UNU- WIDER’s projects and activities. When the Institute’s research findings intersect with United Nations policy and processes, UNU-WIDER disseminates its findings to United Nations contacts and at United Nations headquarters.
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Research Programmes17 Programme Name Theme(s) Personnel USD (thousands) Social Change and Economic Transforming Economics 10 personnel 5759 Development This programme looks at the continuing need for large-scale changes in the structure of economic activity and employment opportunities, which must take place if absolute poverty is to be reduced while addressing economic and social inequalities. Projects under this programme include work on informality, productive job creation and the opportunities but also challenges inherent in today’s global economy. Social Change and Economic Transforming States 13 personnel 5771 Development Capable and effective states are needed to work with the private sector to achieve higher and more environmentally sustainable rates of economic growth via transformation of the economy’s structure. This programme looks at questions of public expenditure, tax incidence, market failures and ways to correct or compensate for them and in the management of natural resource wealth.
Social Change and Economic Transforming Societies 5 personnel 895 Development Societal transformation is an outcome of strategy and policy choices. The characteristics of societies also frame and impact on socioeconomic development. Increasing the capacities, resources, and confidence of individuals and their communities is a means to reduce poverty, as well as gender and broader social inequalities. Specific topics covered under this programme include empowerment, the role of social capital, and migration.
Performance Measure(s) (apply to each of the three programmes mentioned above) • Changes in conceptual understanding, problem‐recognition and discourse around socially inclusive growth and development as well as changes in national/international stakeholders’ experience and credibility for thought-leadership around transforming economies, states, and societies to support inclusive growth. • Outcome stories (case studies with key stakeholder endorsements highlighting progress and contribution towards these changes). • A body of high quality, policy relevant research and analysis in development economics, freely available. • Percentage of peer-review articles published in journals ranked in top quartile within their field. • Number of research outputs achieving 10 citations or more (i10 index). • Strengthened capacity of researchers and technical government officers in low income countries and middle-income countries to undertake research and policy analysis. • Several indicators to measure participation in capacity strengthening (e.g., number of participants; percentage of developing country nationals and women) and quality perceptions of these capacity strengthening initiatives (through exit and follow-up feedback).
17 Success is measured at UNU-WIDER based on a Monitoring, Evaluation, and Learning (MEL) framework and connected theory of change established for the Institute’s 2019-2023 work programme. The set of indicators presented here is a sample of measures directly emanating from the MEL framework.
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Social Change and Economic Knowledge Mobilization Development 8 personnel 2244
This programme concentrates on moving knowledge created by UNU-WIDER and its global network of researchers to the right person at the right time in the right form as well as contributing to strengthening knowledge through targeted long-term capacity building initiatives.
Performance Measure(s) • Changes in use of skills, systems, and an expanded 'toolbox' of policy models and data systems for analyzing policies for socially inclusive development and changes in network-led strategic initiatives to deepen the analysis and range of policy models available to national governments and development partners. • Outcome stories (case studies with key stakeholder endorsements highlighting progress and contribution towards these changes). • Tailored knowledge products for diverse groups, communicated through the right channels, plus strengthened partnerships and knowledge networks to connect research and policy for action at multiple scales. • Several indicators to measure the availability and uptake of knowledge products (audio-visual and written, as well as policy events and presentations to policy audiences). • Indicators to measure the perception of the UNU-WIDER network. Innovation and Programme Development Fund 200
Training, Teaching and Capacity Development Activities One of UNU-WIDER’s main mission during the 2020-2021 biennium is to strengthen the capacity of developing country researchers and technical government analysts to undertake policy research and analysis in their own settings, in terms of skills, data, methods and models. The Institute will implement a wide range of capacity building initiatives and capacity development activities as an integral part of both the thematic research projects and country engagements. They will take the form of specific short-term trainings as well as longer individual engagements through the Institute's Visiting PhD Fellowship and Visiting Scholar programme. UNU-WIDER has launched a yearly summer school programme, implemented in collaboration with a selected partner institution, that provides early-career scholars in the Global South with an understanding of the theories, methods and data availability for conducting high-quality analysis of applied labour economics and has taken the first steps towards offering massive open online courses in relation to the Institute's research projects.
Collaboration Highlights UNU-WIDER has initiated an institutional engagement with UN ESCAP within the context of the Institute's work on 'Transforming economies'. The partnership began with the joint organization of the WIDER Development Conference 'Transforming economies - for better jobs' at UN ESCAP in Bangkok in September 2019 and expands to include work under the UNU-WIDER project 'Varieties of structural transformation', which is co-led by UN ESCAP. Another notable collaboration is the Institute's engagement in the project ‘Southern Africa - Towards Inclusive Economic Development’’. That effort includes enhanced professional interaction and engagement between UNU-WIDER, the National Treasury of South Africa and other governmental institutions, South African researchers, as well as researchers in the Southern Africa region; considerably enhanced data access; and a deepening of the policy research capacity of Southern African researchers.
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UNU Centre/Office of the Rector Programme and Budget 2020-2021
The Office of the Rector supports the Rector in his capacity as the chief academic and administrative officer of UNU and assists in executive management and coordination of the University system. The Office provides an overall supporting role for governance and policy development within the global UNU system and manages the legal affairs of the University. Counting 10 personnel, the Office draws on consultants for expert input as needed. The Office of the Rector also includes the following academic programmes, public outreach activities, and capacity development initiatives.
Programme Name Theme(s) USD (thousands)
The UN and Its Discontents Peace and Security 100
The purpose of this programme is to explore the dynamics among, and behaviour of, United Nations Member States and United Nations staff that constrain the organization rendering it resistant to meaningful reform and vulnerable to achieving sub-optimal results.
Performance Measure(s) • A book on this topic published by Oxford University Press. • Dissemination events for the book.
The Oxford Handbook of Higher Social Change and Economic Development 250 Education in Asia and the Pacific
The purpose of this project is to explore the role, growth, quality, and dynamics of higher education in Asia in order to better understand Asia's higher education achievements, failings, potential and structural limitations. Highly renowned expert authors will contribute to the volume, which will be edited by the Rector of UNU, Devesh Kapur, and Lily Kong.
Performance Measure(s) • A book on this topic published by Oxford University Press. Peace and Security Public Outreach Social Change and Economic Development 370 Environment, Climate and Energy
The Rectorate conducts a number of outreach activities to foster engagement with the wider public, United Nations partners, local research institutes and university students in Japan, and public sector entities.
The UNU Conversation Series is a public platform where influential experts, world leaders, respected scholars and authors are given the opportunity to share personal insights on contemporary global affairs, politics, and media. These Conversations are held at UNU Headquarters in Tokyo and are usually moderated by the Rector.
The Rector also regularly visits Japanese universities outside of Tokyo for lectures, keynote speeches, or workshops about the United Nations. These visits are primarily addressed at young students.
The Rectorate further engages officials from MOFA in regular briefing sessions. These sessions are presented by UNU researchers and scholars on a range of topics of interest to the Ministry.
Through its representative to UNESCO, based in Paris, France, the UNU Rectorate liaises with and co-organizes conferences with UNESCO to draw attention to important or emerging international topics in the sphere of culture, international collaboration, or research.
Performance Measure(s) • Increase the profile of UNU and the United Nations amongst university students and the general public, particularly in Tokyo and in Japan. • Information-sharing with officials from MOFA on topics that are central to the United Nations system. • One international conference/workshop jointly organized by UNU and UNESCO per year.
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Social Change and Economic Development Capacity Development 300 Environment, Climate and Energy In 2017, the UNU Office of the Rector established the “Rector’s Scholarship” to support students from developing countries enrolled in UNU-IAS postgraduate degree programmes. It provides recipients with a monthly allowance that covers living, research activity, and travel-related costs for the minimum period of study required for graduation.
Performance Measure(s) • Three recipients selected each year are expected to complete their master’s or doctorate degree programme in sustainability science. • Students are expected to produce policy-relevant research. Social Change and Economic Development SDG Corporate Strategy Forum 100 Environment, Climate and Energy
This forum, organized by the Senior Vice-Rector of UNU, disseminates information about the SDGs to Japanese companies, provides a platform for the companies to discuss and exchange ideas on the SDGs, and engages the Japanese private sector as a key player for sustainable development. Through knowledge transfer and exchange, the project aims to help companies more effectively contribute to building a sustainable society.
Performance Measure(s) • Number of Japanese companies with Forum membership • Number of events organized; number of event participants; media coverage.
Cross-Cutting Projects Environment, Climate and Energy 3650 at UNU-ViE These cross-cutting projects are focussing on urban transitions towards zero carbon development in Latin America and on impacts of environmental change in mountainous areas. Cross-cutting projects cooperate systematically with other research programmes, particularly of UNU-EHS.
The cross-cutting projects also include the Pan-African Cooperation and Educational Technologies programme (PACET), which aims to strengthen research, educational and institutional capacities, and foster cooperation between UNU and African institutions in higher education, research, policy and practice to address challenges, particularly in the frame of Agenda 2063 of the African Union and the SDGs.
Performance Measure(s) • The cross-cutting projects aim at publishing academic articles, policy-oriented reports and briefing papers. • PACET: Strengthen the research profile with regard to the water, energy, and food nexus within the context of climate change and establishing “Digital Transformation in Africa” as a new working area within PACET.
Sustainable Cycles (SCYCLE) Environment, Climate and Energy 1134
SCYCLE’s mandate is the promotion of sustainable societies. The activities are focused on the development of sustainable production, consumption and disposal patterns for electrical and electronic equipment, as well as for other ubiquitous goods. Consequentially, SCYCLE leads the global e-waste discussion and advances sustainable e-waste management strategies based on lifecycle thinking.
Performance Measure(s) • Continuing to inform and lead the global e-waste discussion.
Innovation and Programme Development Fund 522
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Targeted Sustainable Development Goals and Major Policy Processes The UN and Its Discontents project will examine some aspects of the negotiations and decision-making processes which led to the adoption of the SDGs (Goal 13). This project should also generate knowledge on the key challenges which need to be addressed by all Member States of the United Nations, including developing countries, in order to enhance the performance of the United Nations as an organization. The Oxford Handbook of Higher Education in Asia and the Pacific will contribute to SDG 4 (Quality education). The research for this handbook will document trends in the quality, reputation, and government policy on higher education across a number of developing countries in the Asia-Pacific region. Through its work in the SDG Corporate Strategy Forum, UNU seeks to guide Japanese companies to support those SDGs that may be relevant to a company's particular context by incorporating elements of the 2030 Sustainable Development Agenda into their long-term visions and strategies. Capacity Development and Degree Programme Activities The Rector’s Scholarship provides financial support to students from developing countries enrolled in the UNU- IAS postgraduate programmes. Three scholarships are offered each year. Since its inception in 2017, scholarships have been offered to eight master’s and one doctoral candidate. Recipients have come from Brazil, Colombia, Ghana, India, Indonesia, the Philippines, Viet Nam, and Zimbabwe. Collaboration Highlights (B2020-2021) The Oxford Handbook on Higher Education in Asia and the Pacific is a close collaboration between the UNU Rector and the co-editors, Devesh Kapur, the Starr Foundation South Asia Studies Professor and Director of Asia Programs at the Paul H. Nitze School of Advanced International Studies at Johns Hopkins University and Lily Kong, President and Lee Kong Chian Chair Professor of Social Sciences at the Singapore Management University.
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V. Summative Work Programme Tables and Graphs B2020-2021
Work Programme B2020-2021 by UNU Institute
Research Programmes Table UNU Entity (All figures in thousands Innovation and 17 1 2 3 4 5 6 7 Programme of USD) Development Fund UNU-Centre/Office of The UN and Its The Oxford Public Outreach Capacity Cross-Cutting Sustainable Centre/RO IPDF: the Rector Discontents Handbook of Higher Development SDG Corporate Projects at UNU-ViE Cycles (SCYCLE) Education in Asia Strategy Forum and the Pacific
Total: 6426 Total: 100 Total: 250 Total: 370 Total: 300 Total: 100 Total: 3650 Total: 1134 Total: 522 UNU-MERIT Economics of Structural Change Economic Governance and Innovation and Social Protection Education and UNU-MERIT UNU Maastricht Innovation and New and Economic Complexity and Institutions Entrepreneurship Training IPDF: Economic and Social Technologies Development Innovation for Sustainability Research Institute on Transactions
7 Programmes Innovation and Technology
Total: 3629 Total: 85 Total: 210 Total: 60 Total: 173 Total: 3 Total: 816 Total: 1961 Total: 321
UNU-IAS Transform to Natural Capital and Global Change and Operating Unit Postgraduate Communication,
UNU Institute for the Sustainable Society Biodiversity Resilience Ishikawa/ Degrees and Dissemination and Advanced Study of Kanazawa Training Outreach Sustainability
6 Programmes Total: 12361 Total: 4516 Total: 3943 Total: 20 Total: 985 Total: 2323 Total: 574
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Research Programmes Table UNU Entity (All figures in thousands Innovation and 17 1 2 3 4 5 6 7 Programme of USD) Development Fund UNU-CS Gender and Migration and Data and Frontier Strengthening UNU-CS IPDF: UNU Institute on Technology Technology Sustainable Technologies with Policy Impact with Computing and Society Development Young ICTD Senior Visiting Fellows Research Fellows
Total: 420 Total: 28 Total: 28 Total: 32 Total: 22 Total: 260 Total: 50
Programmes UNU-IIGH Translation of Generation of Policy Strengthening Capacity Postgraduate UNU-IIGH IPDF:
5 UNU International Evidence to Policy Relevant Analysis Capacity for Local Development Training Institute for Global Decision-Making Health
Total: 729 Total: 200 Total: 200 Total: 120 Total: 80 Total: 30 Total: 99 UNU-INRA Transition Towards Producing Promoting a Blue Technical UNU-INRA IPDF: UNU Institute for Land-based Knowledge for Economy and Water Innovation Systems Natural Resources in Ecosystems Natural Resource Resource – Shifting Focus to Africa Management Governance Management Clean Energy and
(AFOLU) Green Economy
Total: 742 Total: 30 Total: 20 Total: 20 Total: 612 Total: 60
UNU-FLORES Climate Change Circulate Economy Resource Nexus Energy Futures UNU-FLORES UNU Institute for Adaptation in a Sustainable IPDF:
Integrated Management Society
of Material Fluxes and of
Resources
4 Programmes
Total: 768 Total: 80 Total: 167 Total: 412 Total: 19 Total: 86 UNU-CRIS The Role of Regions The UN and Patterns of Regional Academic Capacity UNU-CRIS IPDF: UNU Institute on in Global Regional Public and Global Building and Comparative Regional Governance Goods Governance: Training Activities Integration Studies
Total: 1568 Total: 656 Total: 142 Total: 128 Total: 497 Total: 144
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Research Programmes Table UNU Entity (All figures in thousands Innovation and 17 1 2 3 4 5 6 7 Programme of USD) Development Fund UNU-EHS Environmental Vulnerability Environmental Migration and UNU-EHS IPDF: UNU Institute for Migration, Social Assessment, Risk Vulnerability and Environment Environment and Vulnerability and Management and Ecosystem Services Programme Human Security Adaptation Adaptive Planning (EVES) (EMSVA) / Munich (VARMAP)
Climate Insurance Initiative (MCII)
Total: 3910 Total: 1514 Total: 514 Total: 1005 Total: 259 Total: 618 UNU-WIDER Transforming Transforming States Transforming Knowledge UNU-WIDER UNU World Institute for Economies Societies Mobilization IPDF: Development
Economics Research
Total: 14859 Total: 5759 Total: 5771 Total: 895 Total: 2244 Total: 200 UNU-CPR Preventing Violent Digital Technology Fighting Modern Future of UNU-CPR IPDF: UNU Centre for Policy Conflict and Global Order Slavery and Human Multilateralism Research Trafficking
Total: 2932 Total: 1297 Total: Total: 1135 Total: Total: 500
UNU-EGOV Digital Community UNU Operating Unit on Transformation for Building and Policy-Driven Electronic better Governance Institutional Governance and Sustainable Development
Development
2 Programmes Total: 440 Total: 140 Total: 300 UNU-INWEH Water, Environment UNU-INWEH UNU Institute for Water, and Health IPDF: Environment and Health
Total: 430 Total: 230 Total: 200 UNU-BIOLAC Biotechnology UNU Biotechnology Programme Programme for Latin
1 Programme America and the Caribbean
Total: 606 Total: 606
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Research Programme Themes 112. Graph 6 illustrates UNU’s estimated expenditure by theme. The UNU Strategic Plan 2020-2024 sets out three principal themes for UNU’s programme of work: peace and security; social change and economic development; and, environment, climate and energy.
Graph 6 $25,000,000.00
$20,000,000.00
$15,000,000.00
48.9%
$10,000,000.00 42.3%
$5,000,000.00
8.8%
$- Peace and Security Social Change and Economic Development Environment, Climate and Energy
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Share of Expenditure for Academic Activities by UNU Institute B2020-2021
Graph 7 Graph 7
UNU-HQ 10.3%
UNU-WIDER UNU-CPR 24.7% 5.4%
UNU-EGOV 2.3%
UNU-ViE 7.7%
UNU-MERIT UNU-BIOLAC 7.7% 1.0%
UNU-CRIS 2.5% UNU-CS UNU-IRADDA 2.7% 0.5%
UNU-INWEH UNU-EHS 2.2% 7.2%
UNU-INRA UNU-IIGH 1.5% 3.0% UNU-FLORES 3.3% UNU-IAS 18.1%
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Internal Collaboration Matrix B2020-2021 113. The following matrix maps internal collaboration amongst UNU research entities.
UNU UNU UNU UNU UNU UNU UNU UNU UNU UNU UNU UNU UNU
------
BIOLAC CPR CRIS CS EGOV EHS FLORES IAS IIGH INRA INWEH MERIT WIDER
UNU Internal
Collaboration
Matrix
UNU-BIOLAC X
UNU-CPR X X X
UNU-CRIS X X X
UNU-CS X X X X X
UNU-EGOV X X X X
UNU-EHS X X X X X X X X X X
UNU-FLORES X X X X X X X X
UNU-IAS X X X X
UNU-IIGH X X X X X
UNU-INRA X X X X X
UNU-INWEH X X X X X X X X
UNU-MERIT X X X X X X X
UNU-WIDER X X X
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External Collaboration Matrix B2020-2021 114. The following table illustrates collaboration between UNU entities and United Nations bodies, programmes, commissions, and agencies, as well as other select international organizations.
BIOLAC CPR CRIS UNU-CS EGOV EHS FLORES IAS IIGH INRA INWEH MERIT WIDER
ADB X AfDB X X AERC X CBD X X X EU X X FAO X X X X X X GEF X X GWP X X X IADB X IFAD X X ICARDA X IGES X X IHA X X ILO X X X X IMF X IOM X X X X IPBES X IPCC X X X X ITU X X X IUCN X X X IWMI X X X OECD X OHCHR X OSCE X
76 UNU 2020-2021 Biennium
BIOLAC CPR CRIS UNU-CS EGOV EHS FLORES IAS IIGH INRA INWEH MERIT WIDER
UNCCD X X X UNCTAD X X UN DESA X X X X X UNDP X X X X X X X X X X UN DPPA X UN DPO X UN ECA X
UN ECE X
UN ECLAC X X UN EOSG X UN ESCAP X X X X X X X UN ESCWA X X UNEP X X X X X X UNESCO X X X X X X X UNFCCC X X X UNFPA X X X UN-HABITAT X X X X UNHCR X X X UNICEF X X X X X X UNIDO X X X X UNISDR X X X UN OCHA X UN-SPIDER X X UN-Water X X X UNW-DPC X UN Women X X X X X
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BIOLAC CPR CRIS UNU-CS EGOV EHS FLORES IAS IIGH INRA INWEH MERIT WIDER
World Bank X X X X X X X WFP X X X WHO X X X X WIPO X WMO X X X WTO X
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Expenditure Share by Budgetary Fund 115. Graph 8 illustrates UNU’s total budgetary expenditure (USD 112.5 million) by budgetary fund share for B2020-2021.
Graph 8 UNU-WIDER, 20.7%
UNU HQ Bldg, 4.6%
UNU HQ, 13.1% UNU-MERIT, 8.0%
UNU-IRADDA, 0.5% UNU Centre UNU-INWEH, 2.9% UNU-CENTRE, 27.4%
UNU-INRA, 1.4% UNU-CPR, 5.3%
UNU-IIGH, 3.6%
UNU-EGOV, 2.7%
UNU-ViE, 6.3%
UNU-IAS, 13.5% UNU-BIOLAC, 0.8%
UNU-CRIS, 2.6% UNU-FLORES , 3.7% UNU-CS, 4.4% UNU-EHS, 5.8%
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Annexes
Annex I: Summary Table of the UNU Budget Proposal for B2020-2021
TOTAL CENTRE Institutes TOTAL Cost Category UNU Centre HQ CPR EGOV ViE BIOLAC CRIS CS EHS FLORES IAS IIGH INRA INWEH IRADDA MERIT WIDER HQ Building
Academic Programme 13,679 2,032 1,032 500 420 80 606 1,118 406 240 162 1,445 729 140 330 100 1,331 5,040 - Staffing Table costs 30,873 11,444 8,050 1,531 630 1,233 - 447 1,575 1,306 2,143 1,379 2,032 460 1,343 419 3,206 4,864 255 Other personnel costs 11,621 4,138 1,828 398 1,572 340 201 55 1,198 277 844 807 547 169 839 - 569 1,539 438 General expenses 18,897 4,830 2,739 1,091 378 622 132 834 1,812 462 414 678 673 176 661 45 1,606 2,049 4,525 Total core fund 75,070 22,444 13,649 3,520 3,000 2,275 939 2,454 4,991 2,285 3,563 4,309 3,981 945 3,173 564 6,712 13,492 5,218 Specific Projects 37,416 8,319 1,082 2,432 20 4,785 - 450 - 4,268 602 10,897 50 602 100 - 2,299 9,829 - GRAND TOTAL 112,486 30,763 14,731 5,952 3,020 7,060 939 2,904 4,991 6,553 4,165 15,206 4,031 1,547 3,273 564 9,011 23,321 5,218
TOTAL CENTRE Institutes TOTAL Cost Category UNU Centre HQ CPR EGOV ViE BIOLAC CRIS CS EHS FLORES IAS IIGH INRA INWEH IRADDA MERIT WIDER HQ Building Income from Endowment Fund 33,444 15,956 12,576 3,380 - - 939 - 3,831 237 - 452 3,741 945 - 441 2,006 4,896 - Cumulative surplus carried forward 4,931 1,812 672 140 1,000 ------240 - - 123 1,766 990 - Institutional Fundraising 33,567 4,676 401 - 2,000 2,275 - 2,454 1,160 2,048 3,563 3,857 - - 3,173 - 2,790 7,575 2,271 Other income 3,128 ------150 31 2,947 Total core fund 75,070 22,444 13,649 3,520 3,000 2,275 939 2,454 4,991 2,285 3,563 4,309 3,981 945 3,173 564 6,712 13,492 5,218 Total Project Fundraising 37,416 8,319 1,082 2,432 20 4,785 - 450 - 4,268 602 10,897 50 602 100 - 2,299 9,829 - GRAND TOTAL 112,486 30,763 14,731 5,952 3,020 7,060 939 2,904 4,991 6,553 4,165 15,206 4,031 1,547 3,273 564 9,011 23,321 5,218
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Annex II: Summary Table of the UNU Budget Proposal for B2020-2021 (by year) With the implementation of the International Public Sector Accounting Standards (IPSAS), UNU is required to prepare annual financial statements on the full accrual basis which are audited and reported upon by the Board of Auditors. This does not affect the budget cycle, and the budgets will continue to be prepared and reported on the same modified cash basis. However, the explanation of material variance will be required on an annual basis. The table below shows the distribution of resources between the first and second years of the biennium. This will form the basis of the presentation of the Statement of Comparison of Budget and Actual Amounts in the IPSAS compliant financial statements, whereby variances of 10 per cent or more between the annual budget and actual amounts (expenditures) require explanations by way of notes of disclosure.
B2020-2021 Summary Expenditure by Cost Category (in thousands of USD) Annex II Change over Cost Category Estimates B2018-2019 Estimates 2020* Estimates 2021* Estimates B2020-2021 Estimates B2018- 2019 %
Academic Programmes 50,285 30,891 20,204 51,095 1.6% Staffing Table Costs 28,615 15,304 15,569 30,873 7.9% Other Personnel Costs 11,187 5,894 5,727 11,621 3.9% General Expenses 18,374 9,770 9,127 18,897 2.8% Total Budget 108,461 61,859 50,627 112,486 3.7% * Notional distribution of the biennium budget between the years 2020 and 2021
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Annex III: UNU Staffing Table Comparison of Funded Posts Between Initial B2018-2019 and Estimated B2020-2021 By Location and Level18
18 For comparison purposes, the B2018-2019 of UNU-GCM is included in the table. UNU-GCM closed on 31 December 2018.
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Annex IV: UNU Staffing Table for Estimated B2020-2021 */ Posts not funded in the budget. To be filled only when additional Core Funding or Project Fundraising, have been mobilized to cover the salary and related cost. **/ Posts funded by Project Fundraising
Number Sources of funding of Posts Core SPC ** Total Not * Funded Funded UNU CENTRE USG Rector 1 1 1
UNU Headquarters Office of the Rector ASG Senior Vice-Rector 1 1 1 D-2 Vice-Rector 1 1 1 D-1 Executive Officer 1 1 1 P-4 Chief of Staff 1 1 1 P-4 Senior Legal Officer 1 1 1 P-3 Programme Officer 1 1 P-2 Programme Officer 1 1 NO-B Administrative Officer 1 1 1 GS-4 Assistant 1 1 GS-3 Driver 1 1
UNU Council NO-B Council and Admin Officer 1 1 1
Office of Communications
P-5 Head of Communications 1 1 1 P-2 Principal Communications Specialist 1 1 1 GS-6 Communications Project Coordinator 1 1 1
Campus Computing Centre (C3) D-1 Chief of ICT and Director 1 1 1 P-4 ICT Manager 1 1 1 GS-5 Senior Systems and Operations Engineer 1 1 1
Administration D-1 Director of Administration 1 1 1 Operations Services (Tokyo) NO-B Operation Services Manager 1 1 1 GS-4 Operation Assistant 2 2 2
Global Business Services Finance and Operations Deputy Director of Administration and NO-D Chief Financial Officer 1 1 1 NO-C Senior Finance Manager 1 1 1 NO-B Treasurer 1 1 1 NO-B Senior Accountant 1 1 1 NO-A Accountant 1 1 1 NO-A Operations Officer 1 1 1 GS-6 Finance Associate 3 3 3 GS-5 Finance Assistant 1 1 1
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UNU 2020-2021 Biennium
Annex IV: UNU Staffing Table for Estimated B2020-2021 (continued) */ Posts not funded in the budget. To be filled only when additional Core Funding or Project Fundraising, have been mobilized to cover the salary and related cost. **/ Posts funded by Project Fundraising
Number Sources of funding of Posts Core SPC ** Total Not * Funded Funded Human Resources P-4 Chief, Human Resources 1 1 1 NO-A Human Resources Officer 1 1 1 GS-6 Human Resources Associate 1 1 1 GS-5 Human Resources Assistant 2 2 2
UNU-Centre Total 37 33 0 33 4
UNU Centre for Policy Research (UNU-CPR) D-1 Director 1 1 1 P-5 Senior Policy Adviser 1 1 1 P-4 Policy Adviser 1 1 1 P-3 Operations Specialist 1 1 1 P-2 Research Officer 1 1 1 UNU-CPR Total 5 5 0 5 0
UNU Operating Unit on Policy-Driven Electronic Governance (UNU-EGOV) P-5 Head of UNU-EGov 1 1 1 P-4 Academic Officer 1 1 1 Programme and Administrative Services P-3 Officer 1 1 1 GS-4 Communications/Admin Officer 2 2 2 UNU-EGOV Total 5 5 5 Vice Rectorate in Europe (UNU-VIE) Information and Communications P-3 Officer 1 1 1 P-3 Academic Officer (GLOMOS) 2 2 2 P-3 Academic Officer (TUC) 1 1 P-2 Finance and Administrative Officer 1 1 1 P-2 Associate Academic Officer 3 1 1 2 GS-7 Senior Systems Administrator 1 1 1 GS-6 Finance Associate 1 1 1 Human Resources & Operations GS-6 Assistant 1 1 1 GS-6 Programme Associate 1 1 1 GS-6 Communications Associate 1 1 1 GS-5 Systems Administrator 1 1 1 UNU-ViE Total 14 6 5 11 3
UNU Programme on Comparative Regional Integration Studies (UNU-CRIS) D-1 Director 1 1 1 UNU-CRIS Total 1 1 0 1 0
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Annex IV: UNU Staffing Table for Estimated B2020-2021 (continued) */ Posts not funded in the budget. To be filled only when additional Core Funding or Project Fundraising, have been mobilized to cover the salary and related cost. **/ Posts funded by Project Fundraising
Number of Sources of funding Posts Core SPC ** Total Not * Funded Funded UNU Computing and Society (UNU-CS) D-1 Director 1 1 1 P-4 Head of Research 1 1 1 P-3 Senior Research Officer 2 2 2 NO-A Administrative Officer 1 1 1 GS-5 Finance Assistant 1 1 1 UNU-CS Total 6 6 0 6 0
UNU Environment and Human Security (UNU-EHS) D-1 Director 1 1 1 P-3 Associate Academic Officer VARMAP 1 1 1 P-3 Associate Academic Officer (EVES) 1 1 1 Associate Academic Officer (Section P-3 Head - Migration & Env) 1 1 1 Associate Academic Officer (Section P-3 Head- MCII) 1 1 1 P-2 Associate Academic Officer 10 3 3 7 P-2 Programme Analyst 1 1 1 GS-6 Programme Associate 2 2 2 GS-6 Research Associate 1 1 1 GS-6 Education Associate 1 1 1 UNU-EHS Total 20 7 6 13 7
UNU Institute for Integrated Management of Material Fluxes and of Resources (UNU- FLORES) D-1 Director 1 1 1 P-3 Academic Officer 5 5 5 P-2 Partnerships & Liaison Officer 1 1 1 NO-A Finance and Administrative Officer 1 1 1 GS-6 Communications and Advocacy Officer 1 1 1 GS-6 Security and ICT Associate 1 1 1 UNU-FLORES Total 10 10 0 10 0
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Annex IV: UNU Staffing Table for Estimated B2020-2021 (continued) */ Posts not funded in the budget. To be filled only when additional Core Funding or Project Fundraising, have been mobilized to cover the salary and related cost. **/ Posts funded by Project Fundraising
Number Sources of funding of Posts Core SPC ** Total Not * Funded Funded UNU Institute for the Advanced Study of Sustainability (UNU-IAS) D-1 Director 1 1 1 P-4 Academic Programme Officer 2 2 2 P-3 Academic Programme Officer 1 1 1 P-2 Programme Officer 1 1 1 NO-B Project Advisor 1 1 1 NO-A Programme and Administrative Officer 1 1 1 Capacity Development Programme GS-4 Assistant 1 1 1 GS-4 Liaison Coordinator 1 1 1 UNU-IAS Total 9 8 1 9 0
UNU International Institute for Global Health (UNU-IIGH) D-1 Director 1 1 1 P-5 Chief Programme Officer 1 1 1 P-4 Research Specialist 2 2 2 P-3 Research Fellow 1 1 1 NO-A Research Associate 1 1 1 NO-A Programme Officer 1 1 1 GS-7 Finance Associate 1 1 1 GS-5 Executive Assistant 1 1 1 GS-5 Programme Assistant 1 1 1 GS-5 Administrative Assistant 1 1 1 GS-5 Finance Assistant 1 1 1 GS-4 Programme Assistant 1 1 1 GS-4 Receptionist cum Office Assistant 1 1 1 GS-3 Driver cum General Services Assistant 1 1 1 UNU-IIGH Total 15 15 0 15 0
UNU Institute for Natural Resources in Africa (UNU-INRA) D-2 Director 1 1 1 NO-C Finance & Administrative Officer 1 1 1 GS-4 Liaison Clerk 1 1 1 UNU-INRA Total 3 3 0 3 0
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Annex IV: UNU Staffing Table for Estimated B2020-2021 (continued) */ Posts not funded in the budget. To be filled only when additional Core Funding or Project Fundraising, have been mobilized to cover the salary and related cost. **/ Posts funded by Project Fundraising
Number Sources of funding of Posts Core SPC ** Total Not * Funded Funded UNU International Network on Water, Environment and Health (UNU-INWEH) D-1 Director 1 1 1 P-5 Assistant Director 1 1 1 P-4 Project Officer 1 1 1 NO- B Finance Officer 1 1 1 Secretary and Human Resources GS-6 Assistant 1 1 1 UNU-INWEH Total 5 5 0 5 0
UNU Institute for Sustainable Development (UNU-IRADDA) D-1 Director 1 1 1 UNU-IRADDA Total 1 1 0 1 0
UNU Maastricht Economic and Social Research and Training Centre on Innovation and Technology (UNU-MERIT) D-1 Director 1 1 1 P-5 Deputy Director 1 1 1 P-5 Senior Research Fellow 1 1 1 P-4 Research Fellow 3 3 3 P-3 Research Fellow 1 1 1 Chief, Administrative & Programme P-3 Services 1 1 1 P-3 Head Communications 1 1 1 UNU-MERIT Total 9 9 0 9 0
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UNU 2020-2021 Biennium
Annex IV: UNU Staffing Table for Estimated B2020-2021 (continued) */ Posts not funded in the budget. To be filled only when additional Core Funding or Project Fundraising, have been mobilized to cover the salary and related cost. **/ Posts funded by Project Fundraising
Number Sources of funding of Posts Core SPC ** Total Not * Funded Funded UNU World Institute for Development Economics Research (UNU-WIDER) D-2 Director 1 1 1 Deputy Director/Principal Research D-1 Fellow 1 1 1 P-5 Senior Research Fellow 2 2 2 Chief Administrative and P-5 Programme Services 1 1 1 P-4 Research Fellow 4 2 2 4 P-3 Research Fellow 3 1 2 3 P-3 Programme Officer 1 1 1 P-2 Research Fellow 1 1 1 P-2 Associate Communication Officer 1 1 1 P-2 Associate Programme Officer 2 2 2 Team Lead- Information Systems GS-7 Associate 1 1 1 Computer Information Systems GS-7 Associate 1 1 1 GS-7 Editorial and Publishing Associate 1 1 1 Administrative and Procurement GS-7 Associate 1 1 1 GS-7 Executive Associate 1 1 1 GS-6 Publications Associate 1 1 1 GS-6 Contracts Associate 1 1 1 GS-6 Design Associate and Webmaster 1 1 1 GS-6 Finance Associate 1 1 1 GS-6 Project Associate 1 1 1 GS-6 Library and Information Associate 1 1 1 GS-6 Web Development Associate 1 1 1 GS-6 Human Resources Associate 1 1 1 GS-5 Finance Assistant 1 1 1 GS-5 Team Assistant 1 1 1 UNU-WIDER Total 32 25 7 32 0
UNU Headquarters Building NO-B Conference and Facilities Manager 1 1 1 UNU Headquarters Building Total 1 1 0 1 0
UNU Total 173 140 19 159 14
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UNU 2020-2021 Biennium
Annex V: Travel analysis Travel expenditure on official business, comprising primarily air tickets, daily subsistence allowances (DSAs) and terminal expenses, is estimated at USD 7.9 million for B2020–2021 (7 per cent of total budget). A significant portion of travel (70 per cent) will be undertaken as part of programme and project delivery work, while the remainder relates to non-programme. The travel budget has declined progressively from B2016–2017 to B2020– 2021, in line with the increased use of modern ICT tools such as teleconferencing and videoconferencing for meetings.
UNU travel budget trend by nature of spending (USD '000) B2016-2017 B2018-2019 B2020-2021 Non programme (General Expense) 3,020 2,975 2,258 % total budget 4.7% 2.7% 2.0% Programme 6,027 5,993 5,687 % total budget 9.4% 5.5% 5.0% Total travel 9,047 8,968 7,945 % total budget 14.2% 8.3% 7.0% % change from previous biennium -0.9% -11.4%
Lump sum option (self-ticketing) The UNU Travel policy provides for a lump-sum option, which authorizes staff to purchase their own flight ticket. The payment is computed using the official airfare quotation from the designated travel management company, based on the most economical fare and applicable standard of air travel. Utilization of the lump-sum option is relatively low at 13 per cent and is mainly adopted at the UNU-Centre. Through this option, UNU realizes efficiency gains from reduced administrative workload for the Travel Unit at an estimated USD 35,000 per annum. Early booking of travel UNU’s current practice is to encourage travelers to book tickets in advance as early as possible, normally 16 calendar days in advance. Based on the statistics in 2018, approximately 14 per cent of air tickets were booked at least 16 calendar days in advance. As the majority of travelers are non-staff – particularly participants at meetings, workshops and conferences organized by the UNU – advance booking has been a challenge due to late confirmations. To benefit from potential cost savings through advance travel planning, UNU will incorporate the rule for early travel booking of 16 calendar days in advance in its new travel policy.
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