UNU Work Programme and Budget Estimates for the 2018-2019 Biennium
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Council of the United Nations University
Sixty-eighth Session
4 – 5 December 2017
Tokyo, Japan
UNU Work Programme and Budget
Estimates for the 2018-2019
Biennium
Distr.: Limited
4 December 2017
Original: English
UNU Work Programme and Budget Estimates for the 2018-2019 Biennium
UNU/C/68/LP.07A
Contents
PAGE PARAGRAPH
I. OVERVIEW OF THE WORK PROGRAMME AND BUDGET FOR B2018-2019 4 1-3
PRIORITIES 2018-2019 4 4-15
II. ORGANISATION OF THE UNITED NATIONS UNIVERSITY B2018-2019 6
UNU ORGANISATIONAL CHART 6 16
GOVERNANCE 7 17-27
UNU CENTRE 8 28-32
DESCRIPTION OF UNU INSTITUTES 9 33-49
III. BUDGET OF THE UNITED NATIONS UNIVERSITY B2018-2019 13
OVERVIEW 13 50-55
EXPENDITURE ESTIMATES 15 56-80
INCOME ESTIMATES 22 81-102
BUDGET FOR MANAGING AND MAINTAINING THE UNU HEADQUARTERS BUILDING IN TOKYO 28 103-107
FOREIGN EXCHANGE EXPOSURE 30 108-110
BUDGET AUTHORISATIONS GIVEN BY THE UNU COUNCIL TO THE RECTOR 30 111
IV. WORK PROGRAMME OF THE UNITED NATIONS UNIVERSITY B2018-2019 31
UNU-BIOLAC PROGRAMME AND BUDGET 2018-2019 32
UNU-CPR PROGRAMME AND BUDGET 2018-2019 34
UNU-CRIS PROGRAMME AND BUDGET 2018-2019 36
UNU-CS PROGRAMME AND BUDGET 2018-2019 39
UNU-EGOV PROGRAMME AND BUDGET 2018-2019 42
UNU-EHS PROGRAMME AND BUDGET 2018-2019 44
UNU-FLORES PROGRAMME AND BUDGET 2018-2019 47
UNU-GCM PROGRAMME AND BUDGET 2018-2019 50
UNU-IAS PROGRAMME AND BUDGET 2018-2019 53
UNU-IIGH PROGRAMME AND BUDGET 2018-2019 56
UNU-INRA PROGRAMME AND BUDGET 2018-2019 59
UNU-INWEH PROGRAMME AND BUDGET 2018-2019 62
UNU-MERIT PROGRAMME AND BUDGET 2018-2019 64
UNU-WIDER PROGRAMME AND BUDGET 2018-2019 67
V. SUMMATIVE WORK PROGRAMME TABLES AND GRAPHS B2018-2019 70
WORK PROGRAMME B2018-2019 BY UNU INSTITUTE 70 112
RESEARCH PROGRAMME THEMES 73 113
EXPENDITURE FOR ACADEMIC ACTIVITIES BY UNU INSTITUTE 74 114
INTERNAL COLLABORATION MATRIX B2018-2019 75 115
EXTERNAL COLLABORATION MATRIX B2018-2019 76 116
EXPENDITURE B2018-2019 BY BUDGETARY FUND 78 117
ANNEXES 79
ANNEX I: SUMMARY TABLE OF THE UNU BUDGET PROPOSAL FOR B2018-2019 79
ANNEX II: SUMMARY TABLE OF THE UNU BUDGET PROPOSAL FOR B2018-2019 (BY YEAR) 80
ANNEX III: UNU STAFFING TABLE COMPARISON OF FUNDED POSTS BETWEEN INITIAL B2016-2017 AND 81
ESTIMATED B2018-2019 BY LOCATION AND LEVEL
ANNEX IV: UNU STAFFING TABLE FOR ESTIMATED B2018-2019 82
1
List of Abbreviations and Acronyms
B2008-2009 2008-2009 Biennium ILO International Labour Organization
B2010-2011 2010-2011 Biennium IMF International Monetary Fund
B2012-2013 2012-2013 Biennium IOM International Organization for Migration
B2014-2015 2014-2015 Biennium Intergovernmental Platform on
IPBES
Biodiversity and Ecosystem Services
B2016-2017 2016-2017 Biennium Intergovernmental Panel on Climate
IPCC
B2018-2019 2018-2019 Biennium Change
German Federal Ministry of Education and International Public Sector Accounting
BMBF IPSAS
Research Standards
BMZ German Federal Ministry for Cooperation ITU International Telecommunication Union
International Union for Conservation of
c/f Carried Forward IUCN
Nature
C3 UNU Campus Computing Centre IWMI International Water Management Institute
CBD Convention on Biological Diversity Ministry of Education, Culture, Sports,
MEXT
United Nations System Chief Executives Science and Technology of Japan
CEB
Board MOFA Ministry of Foreign Affairs of Japan
Conference of Directors of UNU Research
CONDIR NCDs Non-Communicable Diseases
and Training Centres / Programmes
COP Conference of the Parties NGO Non-Governmental Organization
Community of Portuguese-speaking OC UNU Office of Communications
CPLP
Countries Organisation for Economic Co-operation
OECD
United Nations Department of Field and Development
DFS
Support Office of the United Nations High
OHCHR
United Nations Economic Commission for Commissioner for Human Rights
ECLAC
Latin America and the Caribbean PAU Panafrican University
Environmental Migration, Social
EMSVA
Vulnerability and Adaptation PSS Policy Support System
Global Partnership for Digital Gender SAC Scientific Advisory Committee
EQUALS
Equality
United Nations Economic and Social SDG Sustainable Development Goal
ESCAP
Commission for Asia and the Pacific SNV Netherlands Development Organisation
United Nations Economic and Social
ESCWA SPC Specific Project Contribution
Commission for West Asia
EU European Union STI Science, Technology and Innovation
Environmental Vulnerability and Tokyo International Conference of Africa’s
EVES TICAD
Ecosystem Services Development
Food and Agriculture Organization of the TU Dresden Technische Universität Dresden
FAO
United Nations
UGent Ghent University
FAP UNU Financial Assistance Programme
UN United Nations
GEF Global Environment Facility
United Nations Action for Cooperation
Deutsche Gesellschaft für Internationale UN-ACT
Against Trafficking in Persons
GIZ Zusammenarbeit (German development
Joint United Nations Programme on
agency) UNAIDS
HIV/AIDS
GMG Global Migration Group United Nations Convention to Combat
UNCCD
GWP Global Water Partnership Desertification
United Nations Conference on Trade and
HLCP High-Level Committee on Programmes UNCTAD
Development
IADB Inter-American Development Bank United Nations Department of Economic
UN DESA
and Social Affairs
IBEI Institut Barcelona d'Estudis Internacionals
UNDP United Nations Development Program
International Conference on Theory and
ICEGOV United Nations Economic Commission for
Practice of Electronic Governance UNECE
Europe
Information and communications
ICT UNEP United Nations Environment Programme
technology
Information and Communication United Nations Educational, Scientific and
ICTD UNESCO
Technologies Division (of DFS) Cultural Organization
IDR UNIDO Industrial Development Report UNESCO-IHE IHE Delft Institute for Water Education
Institute for Global Environmental UNESCO International Hydrological
IGES UNESCO-IHP
Strategies Programme
IHA International Hydropower Association
2
UN Framework Convention on Climate UN-Water United Nations Water
UNFCCC
Change
UN-Water Decade Programme on Capacity
UNFPA United Nations Population Fund UNW-DPC
Development
United Nations Human Settlements United Nations Entity for Gender Equality
UN-HABITAT UN-Women
Programme and the Empowerment of Women
United Nations High Commissioner for UNWTO World Tourism Organization
UNHCR
Refugees
USD United States Dollar
UNIC United Nations Information Centre
Vulnerability Assessment, Risk
UNICEF United Nations Children's Fund VARMAP
Management and Adaptive Planning
United Nations Industrial Development VUB Vrije Universiteit Brussel
UNIDO
Organization
United Nations Office for Disaster Risk WB World Bank
UNISDR
Reduction WESA Water and Energy Security for Africa
United Nations Institute for Training and
UNITAR WFP World Food Programme
Research
UNOPS United Nations Office for Project Services WHO World Health Organization
UNOSD UN Office for Sustainable Development WLC Water Learning Centre
UNU United Nations University WMO World Meteorological Organization
UNU Centre United Nations University Centre WWB Water Without Borders
UNU HQ UNU Headquarters in Tokyo
UNU Biotechnology Programme for Latin
UNU-BIOLAC
America and the Caribbean
UNU-CPR UNU Centre for Policy Research
UNU Institute on Comparative Regional
UNU-CRIS
Integration Studies
UNU-CS UNU Computing and Society
Operating Unit on Policy-Driven Electronic
UNU-EGOV
Governance
UNU Institute for Environment and Human
UNU-EHS
Security
UNU Institute for Integrated Management
UNU-FLORES
of Material Fluxes and of Resources
UNU-FTP UNU Fisheries Training Programme
UNU Institute on Globalization, Culture
UNU-GCM
and Mobility
UNU Gender Equality Studies and Training
UNU-GEST
Programme
UNU-GTP UNU Geothermal Training Programme
UNU-HQ UNU Headquarters
UNU-HQ Bldg UNU Headquarters Building (in Tokyo)
UNU Institute for the Advanced Study of
UNU-IAS
Sustainability
UNU International Institute for Global
UNU-IIGH
Health
UNU Institute for Natural Resources in
UNU-INRA
Africa
UNU Institute for Water, Environment and
UNU-INWEH
Health
UNU Institute for Sustainable
UNU-IRADDA
Development
United Nations University Institute for
UNU-ISP Sustainability and Peace
(former, now UNU-IAS)
UNU Land Restoration Training
UNU-LRT
Programme
UNU Maastricht Economic and Social
UNU-MERIT Research Institute on Innovation and
Technology
UNU Office at the United Nations in New
UNU-ONY
York
UNU-ViE UNU Vice-Rectorate in Europe
UNU World Institute for Development
UNU-WIDER
Economics Research
3
I. Overview of the Work Programme and Budget for B2018-2019
1. The work programme and budget of the United Nations University (UNU) for the 2018-2019
biennium (B2018-2019) furthers the objectives laid out in UNU’s Strategic Plan 2015-2019,
adopted by the UNU Council at its 62nd session, in December 2014.
2. The budget income projections for Specific Programme Contributions (SPCs) and operating
contributions for B2018-2019 have been formulated with extreme prudence, in line with
Advisory Committee on Administrative and Budgetary Questions document AC/1760 dated 23
November 2011 (paragraph 7) and previous budgeting practice at UNU. The projections
represent the lowest estimate based on information available at the time of budgeting. UNU
expects to receive additional contributions during B2018-2019 to support existing and new
research activities, as in previous budget cycles.
3. This document is structured as follows:
- Chapter I – Overview of the Work Programme and Budget for B2018-2019, which articulates
the University’s priorities and objectives for 2018-2019.
- Chapter II – Organisation of the United Nations University B2018-2019, which contains
detailed descriptions of UNU entities.
- Chapter III – Budget of the United Nations University B2018-2019, comprising the overall
University budget.
- Chapter IV – Work Programme of the United Nations University B2018-2019, which
provides detailed programme and budget information for each UNU institute.
- Chapter V – Summative Work Programme Tables and Graphs B2018-2019, comprises a
graphic overview of information provided in the previous chapter.
Priorities 2018-2019
4. The University set out a programme of change in its Strategic Plan 2015-2019 in order to re-align
UNU activities with the University’s core mission as defined by the UNU Charter, Article 1,
paragraph 2: “The University shall devote its work to research into the pressing global problems
of human survival, development and welfare that are the concern of the United Nations and its
agencies, with due attention to the social sciences and the humanities as well as natural sciences,
pure and applied.”
5. The UNU budget for B2018-2019 seeks to build on the achievements made in the first three
years of the Strategic Plan and integrate lessons learned to deliver research excellence and
ensure ever greater policy relevance. Research conducted by the University in B2016-2017
culminated in major reports and policy briefs, which helped shape several important policy
discussions, such as the World Humanitarian Summit in February 2016, and a United Nations
Security Council debate on human trafficking and forced labour in March 2017.
6. Rigorous strategic planning allows UNU to continue its bid for greater relevance in the United
Nations system, and in academic and policymaking communities. The University is streamlining
the focus and size of programmes and projects to better serve its stakeholders. Since 2016, new
benchmarks have been put in place to ensure that UNU’s strategic priorities are being advanced.
7. The increased frequency of Council sessions has resulted in a more substantive and effective
partnership with the scientific experts that make up the Council. Oversight of UNU programmes
has strengthened owing to the Council’s improved familiarity with the UNU’s activities and goals.
8. In 2018-2019, the University’s academic programme will focus on three principal themes: peace
and governance; environment, climate and energy; and global development and inclusion. These
4themes were carefully selected to align with the key challenges and questions facing humanity.
They allow UNU to maintain a disciplined, yet comprehensive approach to its research
programming.
9. The Strategic Plan 2015-2019 calls for new, innovative research programming that aligns with
the needs of policymakers on topics of special relevance to them. The 2018-2019 academic
programme will address all 17 Sustainable Development Goals leveraging the specialised
expertise of UNU’s global system of research institutes which cover a broad range of thematic
topics.
10. UNU will continue to be a key actor in the area of migration. In 2017, UNU severed as the Chair
of the Global Migration Group (GMG)—an inter-agency group bringing together heads of United
Nations entities to promote the wider application of all relevant international and regional
instruments and norms relating to migration, and encourage the adoption of more coherent,
comprehensive and better coordinated approaches to the governance of international
migration. UNU coordinated the preparation of issue briefs for the six migration thematic
sessions mandated by New York Resolution (A/RES/71/280), which will guide policy discussions
on migration into 2018. Migration will continue to be an important area of research, with more
than one-fifth of UNU’s research programmes expected to engage in migration-related academic
activities during B2018-2019.
11. The University is increasingly called upon to provide insightful, future-oriented policy research
and advice. UNU is ensuring that its personnel are able and ready to deliver research that meets
the pressing needs of the United Nations and the United Nations Secretariat. In March 2017, the
High-Level Committee on Programmes (HLCP) of the United Nations System Chief Executives
Board for Coordination (CEB) invited UNU to provide research on frontier issues, and requested a
paper on the governance of cybersecurity.
12. The UNU Council adopted in April 2017, a new policy on gender equality, which aims to achieve
full gender parity within the University by 2021—a target that would exceed the
recommendation in the Secretary-General’s System-Wide Strategy on Gender Parity. In B2016-
2017, the University significantly improved gender balance at senior levels and extended paid
parental leave entitlements to holders of Personnel Service Agreement (PSA) contracts.
13. Going forward, the University expects at least a 10 per cent increase in new funding for specific
academic projects for B2018-2019 compared to B2016-2017 (Graph 6). Furthermore, UNU is
forecasting an increase in expenditure for academic activities in B2018-2019, thereby drawing
less on reserves and core funding.
14. On the advice of the UNU Council, the University has taken actions to improve the financial
performance of its Endowment Fund. From 2017, the Endowment Fund will be managed by a
new fund manager using a passive index management strategy. In addition, the University has
voluntarily lowered its rate of withdrawal from the Fund (from 5 percent to 4.75 percent of the
average five-year market value) in order to ensure its long-term sustainability.
15. In August 2017, UNU Rector was appointed by the Secretary-General to serve a second term as
Rector of the University. This appointment will ensure that UNU continues to deliver on its
programme of change, initiated in 2013.
5II. Organisation of the United Nations University B2018-2019
UNU Organisational Chart
16. The organisational chart below depicts the entities of UNU.
UNU Council
Academic
Management
Rector Committee &
Group
CONDIR
Research UNU
Vice-Rector Director of
Senior Vice-Rector Executive Officer Representation
Europe Institutes and Administration
at UNESCO
Programmes
UNU-BIOLAC
UNU-CPR
UNU-CS
UNU-EGOV Office of the Budget & Finance
UNU-EHS Rector Services
UNU-FLORES
UNU-GCM
UNU-IAS
UNU-IIGH
UNU-INRA
Office of Human Resources
UNU-INWEH
Communications Services
UNU-IRADDA
UNU-MERIT
UNU-WIDER
UNU Iceland
Programmes
Campus
Operations
Computing Centre
Services
(C3)
Operating Units
Conference &
Facilities
Management
6Governance
UNU Council
17. 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.
18. 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.
19. 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.
20. As of October 2017, the Council consists of 12 members, the Rector and three ex-officio
members and is gender-balanced. Following reform efforts in early 2016, the Council
membership was reduced to half, from 24 to 12 members, while the frequency of its meetings
was increased to twice per year.
Office of the Rector
21. 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 UNU
system. This includes responsibilities for the University's direction, organisation, administration,
programme and institutional development.
22. 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, 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.
23. The Office of the Rector maintains a close relationship with the main host government of Japan,
in particular the Ministry of Foreign Affairs (MOFA) and the Ministry of Education, Culture,
Sports, Science and Technology (MEXT), the Ministry of the Environment, and the Ministry of
Agriculture.
24. A representative to UNESCO, based in Paris, France, serves in a liaison capacity between UNU
and UNESCO.
Management Group
25. 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 UNU Rector and
includes the Senior Vice-Rector, the Vice-Rector, the Director of Administration, and the
Executive Officer. The Group meets on a regular basis to review developments and evaluate the
evolving needs of the University.
26. The Senior Vice-Rector, based in Tokyo, supports management initiatives UNU-wide and
maintains UNU’s scientific partnership with the University of Tokyo and oversees a number of
broader relationships in Japan, including with government ministries and the general public.
727. 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 is dedicated
to developing knowledge-based sustainable solutions for global problems and is an active
organiser of international science policy dialogues for sustainability. UNU-ViE also hosts UNU’s e-
waste research initiative, Sustainable Cycles (SCYCLE).
UNU Centre
28. The global UNU system is coordinated by UNU Centre, which is comprised of the Office of the
Rector, the Vice-Rectorate in Europe, 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
29. 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
formats, handling headquarters functions – like the production of financial statements -
managing the treasury system, and budget reporting to the UNU Council.
30. UNU Administration, located in Tokyo and its Global Business Centre, located in Kuala Lumpur,
provide multi-function transactional services to the entire UNU system.
Office of Communications
31. 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 strategies, 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
32. 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.
8Description of UNU Institutes
UNU Biotechnology Programme for Latin America and the Caribbean (UNU-BIOLAC), Caracas, Venezuela
33. In line with UNU´s goals and operational activities, UNU-BIOLAC focuses on solving priority
problems for the Latin American and Caribbean region through the application of biotechnology.
The Programme aims to build local research capacity, create knowledge, and be a biotechnology
think tank for the United Nations system. Once a year, the Programme Coordinator reviews the
scientific needs of the region with the support and advice of the Scientific Advisory Committee
(SAC) appointed by the Rector. During SAC meetings, Programme priority areas are revised to
maximise effectiveness. UNU-BIOLAC is hosted by the Venezuelan Government through the
Ministry of Higher Education, Science and Technology, at the premises of the Instituto de
Estudios Avanzados (IDEA), a major science and technology hub.
UNU Centre for Policy Research (UNU-CPR), New York, United States of America
34. The relaunched UNU-CPR in New York will generate policy research to inform major UN debates
in the areas of international peace and security, sustainable development and emerging global
governance issues. The Centre’s 2018-2019 programme of work will focus on three research
areas: (i) the nature of, and solutions to, violence and conflict; (ii) inclusion and inequality in
sustainable development and, (iii) emerging global governance issues, such as migration,
cyberspace and artificial intelligence.
35. UNU-CPR (New York) also offers strategic representational support to the UNU Rector and all
institutes within the UNU system. UNU-CPR (New York) results from the merger of the UNU
Centre for Policy Research (UNU-CPR) in Tokyo and the UNU Office at the United Nations in New
York (UNU-ONY). The consolidated Centre in New York will be better positioned to be a go-to
think tank for key United Nations actors.
UNU Institute on Comparative Regional Integration Studies (UNU-CRIS), Bruges, Belgium
36. 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 generates policy-relevant
knowledge on new forms of governance and cooperation, and builds capacity to address
challenges at the global and regional levels. UNU-CRIS acts as a resource for the United Nations
system, with strong, collaborative links to United Nations entities dealing with the provision and
management of international and regional public goods. The Institute works in partnership with
institutes and initiatives throughout the world focused on integration, governance, stability and
cooperation.
UNU Institute on Computing and Society (UNU-CS), Macau SAR, China
37. UNU-CS operates at the intersection of information and communication technologies and
international development. The Institute addresses key challenges faced by developing societies
through high-impact innovations in computing and communication technologies by: (i)
investigating and inventing human-centred information and communication technologies in the
areas of sustainability, development, governance, peace and security, human rights and human
dignity; (ii) making an impact on policymakers, within the United Nations system and beyond,
through actionable knowledge and thought-leadership; (iii) nurturing the next generation of
inter-disciplinary computing, social scientists and engineers in developing countries; and (iv)
embracing the dynamism of the city of Macau and the Pearl River Delta region.
9Operating Unit on Policy-Driven Electronic Governance (UNU-EGOV), Guimarães, Portugal
38. Hosted by the University of Minho, UNU-EGOV focuses on the intersection of governance,
technology and development. Its mission is to transform governance mechanisms and build
effective governance capabilities through the strategic application of digital technologies, to
contribute to social, economic, environmental, and peace and security dimensions of sustainable
development. UNU-EGOV pursues this mission by conducting policy-relevant research;
translating research findings into policy instruments; building capacity in localising and applying
such instruments within and across relevant governmental and intergovernmental organisations;
building and maintaining research and policy networks; and monitoring, evaluating and
disseminating the latest developments in the area.
UNU Institute for Environment and Human Security (UNU-EHS), Bonn, Germany
39. The mission of UNU-EHS is to conduct cutting edge research on risks and adaptations related to
environmental hazards and global change. The Institute’s research promotes policies and
programmes to reduce these risks while also considering the interplay between environmental
and societal factors. UNU-EHS research focuses on several areas, including: climate change
adaptation through insurance-related approaches; environmentally induced migration and social
vulnerability; ecosystem services and environmental deterioration processes; and models and
tools to analyse vulnerability and risks linked to natural hazards with a focus on urban space and
rural-urban interfaces. The Institute’s research is conducted with the underlying goal of
connecting solutions to development pathways. Beyond its research, UNU-EHS is engaged in
education. It offers a joint Master of Science degree programme, The Geography of
Environmental Risks and Human Security with the University of Bonn, and it hosts international
PhD projects and courses on the global issues of environmental risks and sustainable
development.
UNU Institute for Integrated Management of Material Fluxes and of Resources (UNU-FLORES), Dresden,
Germany
40. UNU-FLORES develops strategies to resolve pressing problems in the sustainable use and
integrated management of environmental resources (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, and the dissemination of knowledge. In all its activities, UNU-FLORES
strives to fulfil its mission of advancing the Nexus Approach, an interdisciplinary methodology on
the sustainable management of environmental resources.
UNU Institute on Globalization, Culture, and Mobility (UNU-GCM), Barcelona, Spain
41. UNU-GCM supports good governance, cultural diversity, democracy and human rights by
promoting a better understanding of the socio-cultural aspects of migration in the context of
globalization. To achieve this, it generates evidence-based knowledge to support the formulation
of migration policies at global, regional and local levels. Policy-relevant research at UNU-GCM
focuses on intercultural dialogue, statelessness, gender, and the establishment of diverse
diasporas in urban centres. Located at the World Heritage Site of Sant Pau in Barcelona, the
Institute’s focus during B2018-2019 will be on the major cultural and social phenomena of
migration; specifically the questions of inclusion, work and technology, and the role of cities in
migration governance.
10UNU Institute for the Advanced Study of Sustainability (UNU-IAS), Tokyo, Japan
42. The mission of UNU-IAS is to advance efforts to achieve a more sustainable future. The Institute
serves the international community by generating policy-oriented research and capacity
development on sustainability issues, and by informing relevant policymaking and debates
within the United Nations system. The activities of the Institute span three thematic areas:
transformations toward sustainable societies; natural capital and biodiversity; and global change
and resilience. Through its postgraduate education programmes, UNU-IAS develops international
leaders with the interdisciplinary skills needed to advance creative solutions to sustainability
problems. The Institute offers masters and doctoral degrees, postdoctoral fellowships and
innovative short courses, in close collaboration with leading universities in Japan and other
countries. Moreover, UNU-IAS maintains an operating unit in Ishikawa / Kanazawa, Japan.
UNU International Institute for Global Health (UNU-IIGH), Kuala Lumpur, Malaysia
43. The mission of UNU-IIGH is to undertake research, capacity development and the dissemination
of knowledge on key issues related to human health. The Institute helps develop and strengthen
health policies – particularly for people in developing countries – to support the implementation
of preventive approaches to human health. UNU-IIGH advances eco-social understandings of
human health, an approach that acknowledges the economic and social foundations of health.
The Institute is also actively involved in capacity building and research training, and provides
opportunities for students in partnership with institutions around the world. The Institute is
based at the Universiti Kebangsaan Malaysia (National University of Malaysia) Medical Centre.
UNU Institute for Natural Resources in Africa (UNU-INRA), Accra, Ghana
44. UNU-INRA’s vision is to become Africa’s leading research, teaching, and capacity strengthening
institution in natural resources management. Through its close collaboration with leading
national universities and research institutions in Africa, the Institute contributes to the
sustainable development of the continent’s natural resources. In doing so, it aims to preserve
the environment, mitigate the effects of climate change, and realise a better quality of life for
the people of Africa. Specifically, UNU-INRA conducts research on renewable natural resources
for efficient and sustainable use; green economy; and the facilitation of good governance and
management of non-renewable natural resources in Africa. UNU-INRA also maintains operating
units in:
- Cameroon – management of big data (in natural resources management);
- Cote d’Ivoire – environmental economics and political economy (of natural resources
management);
- Namibia – aquatic resources and aquaculture;
- Senegal – value addition and technological innovations (for natural resources management);
and
- Zambia – mineral resources value chain.
11UNU Institute for Water, Environment and Health (UNU-INWEH), Hamilton, Canada
45. UNU-INWEH’s mission is to help resolve pressing water challenges through the critical analysis
and synthesis of existing bodies of scientific discovery; targeted research to identify emerging
policy issues; the application of on-the-ground scalable science-based solutions to water issues;
and global and regional outreach. The Institute engages in water initiatives that help developing
countries reduce poverty, improve human wellbeing, ensure environmental sustainability and
growth, and foster gender equity. UNU-INWEH’s research programme covers a range of water-
related issues, including: supporting Member States in achieving water-related SDGs; assessing
the role of unconventional sources of water in the alleviation of water scarcity; addressing the
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 against them.
UNU Institute for Sustainable Development (UNU-IRADDA), Algiers, Algeria
46. UNU-IRADDA’s mission will be to help resolve pressing challenges related to sustainable
development, particularly on the African continent. Its focus is intended to be on the social,
economic and cultural dimensions of sustainable development and its governance.
UNU Maastricht Economic and Social Research Institute on Innovation and Technology, (UNU-MERIT)
Maastricht, The Netherlands
47. 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,
focusing on creation, diffusion and knowledge access. Working with its School of Governance
(MGSoG), UNU-MERIT covers all aspects of governance in domestic and global organisations,
from risk assessment to policy analysis, design and evaluation. The missions of the Institute are:
to research how countries can balance the unequal global playing field of the 21st century,
without increasing inequality and social exclusion; to analyse knowledge flows at the regional
and global levels, and their impact on local development, employment and productivity; and to
train specialists, who combine academic scholarship with leadership, to strengthen democratic
governance in domestic and international organizations.
UNU World Institute for Development Economics Research (UNU-WIDER), Helsinki, Finland
48. UNU-WIDER is a global leader in development economics research. The Institute provides
independent and interdisciplinary research and policy analysis on issues that affect the living
conditions of the developing world. UNU-WIDER aims to help resolve pressing concerns related
to human survival, peace, economic development and social welfare. The Institute's work is
presently focused on the challenges of transformation, inclusion and sustainability, and the
cross-cutting topics of Africa, gender, and development finance. The Institute runs a global
network and provides a forum for knowledge sharing, discussion, and debate between
researchers and development professionals. It also offers capacity-building and training for
researchers and decision-makers in economics and social development. UNU-WIDER’s three key
audiences are researchers, policy-makers in developing countries, and the international
development community at large.
Associated Programmes in Reykjavik, Iceland
49. Four Iceland-based training programmes on Geothermal Energy (GTP), Fisheries (FTP), Land
Restoration (LRT), and Gender Equality (GEST) also complement the University’s training efforts.
Financing for these programmes is provided entirely by the Government of Iceland and does not
transit through UNU accounts.
12III. Budget of the United Nations University B2018-2019
Overview
50. The UNU B2018-2019 budget has been formulated with extreme prudence and represents the
lowest estimate based on prevailing information at the time of the release of this document.
51. The budget proposal for B2018-2019 amounts to USD 108.5 million. The proposal underlines
thematic and strategic prioritisation, improved resource efficiency, and the streamlining of
organisational processes.
52. The estimate for B2018-2019 represents a 1.7 per cent deviation from the mean budget for the
past ten years (Actual B2008-2009 to Initial B2016-2017). This demonstrates the value the
international community attributes to UNU, as it has maintained relatively constant levels of
support.
53. The following Table 1 shows a summary of the key financial indicators.
B2018-2019 Budget Table
(in thousands of USD) Table 1
Revised B2016- Estimated
2017 over B2018-2019
Initial Revised Estimated
Cost Category Initial over Initial
B2016-20171 B2016-20172 B2018-2019
B2016-2017 % B2016-2017 %
Academic Programme 22,231 19,274 16,017 -13.3% -28.0%
Staffing Table Costs 30,443 28,585 28,615 -6.1% -6.0%
Other Personnel Costs 10,905 9,591 10,112 -12.0% -7.3%
General Expenses 19,187 18,833 19,449 -1.8% 1.4%
Total Core Budget 82,766 76,283 74,193 -7.8% -10.4%
Specific Projects (SPC-Funded) 34,807 34,807 34,268 0.0% -1.5%
GRAND TOTAL 117,573 111,090 108,461 -5.5% -7.8%
Budget Financing (Income)
Income from Endowment Fund 33,281 32,699 32,431 -1.7% -2.6%
Cumulative Surplus Carried Forward 12,841 10,060 8,455 -21.7% -34.2%
Operating Contributions 33,914 30,233 30,957 -10.9% -8.7%
Other Income 2,730 3,291 2,350 20.5% -13.9%
Total Core Income 82,766 76,283 74,193 -7.8% -10.4%
Specific Project Contributions (SPC) 34,807 34,807 34,268 0.0% -1.5%
GRAND TOTAL 117,573 111,090 108,461 -5.5% -7.8%
1 Reflects the initial budget estimates, approved by the Council at its 64th session in December 2015.
2 Refers to the B2016-2017 budget, initially approved by the Council at its 64th session and subsequent approved revisions.
1354. Of the total B2018-2019 expenditure, an estimated 64.6 per cent (USD 70.1 million) is allocated
to academic activities, including personnel. The breakdown is as follows:
(i) Academic Programme (core-funded): USD 16.0 million;
(ii) Specific Projects (SPC-funded): USD 34.3 million;
(iii) Staffing Table (academic personnel): USD 15.6 million; and
(iv) Other Personnel costs (academic personnel): USD 4.2 million.
55. The UNU budget has seen a growth of 17.6 per cent over ten years (Actual B2008-2009 to Initial
B2016-2017), with SPCs increasing by 3.3 per cent over the same period, as summarised in Graph
1. The growth is attributable to the establishment of new institutes, programmes and operating
units, such as UNU-IIGH (2007), UNU-GCM (2012), UNU-FLORES (2012), UNU-IRADDA (2014),
and UNU-EGOV (2014).
UNU Budget Over Ten Years
Graph 1
UNU Budget Over Ten Years
14Expenditure Estimates
56. Estimated expenditures are categorised as core-funded or SPC-funded expenditures. Only core
budget expenditures are approved by the UNU Council. The Rector is authorised to accept and
utilise additional funds which may be received by the University during B2018-2019 for the work
programme that has been approved by the UNU Council.
57. The B2018-2019 budget is comprised of fifteen budgetary funds. Each of these represents a
separate accounting entity with self-balancing accounts and relative managerial autonomy for
the purpose of realising their specific mandates. Table 2 shows this breakdown by budgetary
fund.
B2018-2019 Expenditure by Budgetary Fund
(in thousands of USD) Table 2
Change over
Actual Initial Estimated
Funds/Programmes Initial
B2014-2015 B2016-2017 B2018-2019
B2016-2017 %
UNU Centre3 22,966 24,024 27,129 12.9%
UNU HQ 13,911 13,119 14,153 7.9%
UNU-CPR 3,670 4,805 5,977 24.4%
UNU-EGOV 709 2,065 2,310 11.9%
UNU-ViE 4,676 4,035 4,689 16.2%
Institutes
1.UNU-BIOLAC 770 951 926 -2.6%
2.UNU-CRIS 1,198 611 1,886 208.7%
3.UNU-CS 2,513 4,741 4,744 0.1%
4.UNU-EHS 5,361 3,955 4,625 16.9%
5.UNU-FLORES 4,258 3,687 3,838 4.1%
6.UNU-GCM 1,352 1,679 1,697 1.1%
7.UNU-IAS 22,105 25,254 17,766 -29.7%
8.UNU-IIGH 3,655 4,518 4,040 -10.6%
9.UNU-INRA 2,587 3,198 1,231 -61.5%
10.UNU-INWEH 4,231 3,528 3,596 1.9%
11.UNU-IRADDA 70 4,533 984 -78.3%
12.UNU-MERIT 9,330 7,967 7,969 0.0%
13.UNU-WIDER 16,392 24,264 23,082 -4.9%
Others
UNU HQ Bldg 6,021 4,663 4,948 6.1%
FAP 40 CLOSED CLOSED -
3For comparison purposes, the B2014-2015 actuals and B2016-2017 budget of the UNU Office in New York are included under
UNU-CPR, instead of, as previously, under UNU HQ.
15Total 102,849 117,573 108,461 -7.8%
58. As the last column in Table 2 indicates, more than half of the budgetary funds for B2018-2019
record an increase over B2016-2017.
59. The fifteen budgetary funds can be grouped as follows: thirteen institutes, that constitute 70.4
per cent of the total estimated budget (USD 76.4 million) for B2018-2019; the UNU Centre,
which includes UNU HQ, UNU-CPR, UNU-EGOV and UNU-ViE constitutes 25.0 per cent of the
budget (USD 27.1 million); and the UNU headquarters building in Tokyo constitutes 4.6 per cent
of the total budget amount (USD 4.9 million). See Graph 2.
Graph 2
60. Additionally, the budget is divided into five cost categories: academic programme (core-funded),
staffing table, other personnel, general expenses, and specific academic projects (SPC-funded).
61. The cost categories for B2018-2019 are as follows: academic programme (core-funded), 14.8 per
cent; staffing table costs, 26.4 per cent; other personnel costs, 9.3 per cent; general expenses,
17.9 per cent; and, the non-core-funded, specific academic projects (SPC-funded), 31.6 per cent.
See Graph 3.
Graph 3
1662. Table 3 shows the detailed breakdown of the B2018-2019 expenditure by budgetary fund and by
cost category.
B2018-2019 Expenditure by Cost Category
(in thousands of USD) Table 3
Programme (Core -
General Expenses
Specific Projects
Other Personnel
(SPC-Funded)
Staffing Table
Fund/Programmes
Academic
Funded)
Costs
Costs
UNU Centre Total
27,129 1,999 9,989 3,489 5,346 6,306
UNU HQ 14,153 954 6,784 1,674 3,322 1,419
UNU-CPR 5,977 800 1,563 381 1,123 2,110
UNU-EGOV 2,310 243 550 914 293 310
UNU-ViE 4,689 2 1,092 520 608 2,467
UNU-BIOLAC 926 610 - 121 195 -
UNU-CRIS 1,886 836 294 - 350 406
UNU-CS 4,744 377 1,258 1,285 1,824 -
UNU-EHS 4,625 320 1,387 105 422 2,391
UNU-FLORES 3,838 340 1,947 640 504 407
UNU-GCM 1,697 93 747 423 404 30
UNU-IAS 17,766 1,052 765 239 640 15,070
UNU-IIGH 4,040 657 1,744 341 944 354
UNU-INRA 1,231 180 683 65 198 105
UNU-INWEH 3,596 508 1,208 869 703 308
UNU-IRADDA 984 230 478 - 276 -
UNU-MERIT 7,969 972 2,956 587 1,597 1,857
UNU-WIDER 23,082 7,843 4,934 1,654 1,617 7,034
UNU HQ Bldg 4,948 - 225 294 4,429 -
Total Budget 108,461 16,017 28,615 10,112 19,449 34,268
Distribution (%) 100% 14.8% 26.4% 9.3% 17.9% 31.6%
(a) Academic Programme Costs
63. Academic programme costs can be broken down into (i) defined academic programmes
(including degree programme activities) and (ii) programme development.
1764. Programme development covers all activities which do not relate to any particular project but
contribute to the accomplishment of institutes’ overall objectives.
65. The total expenditure for academic programmes in B2018-2019 is estimated at USD 50.3 million.
This represents a 11.8 per cent decrease compared to the initial B2016-2017 budget.
66. Defined academic projects and programme development comprise 96.0 per cent and 4.0 per
cent respectively of total academic programme costs. This represents a positive reconfiguration
of the ratio in favour of defined academic projects, compared to the B2016-2017 budget (93.6
per cent and 6.4 per cent respectively).
67. The details of the academic programme costs are as summarised in Table 4.
B2018-2019 Academic Programme Costs
(in thousands of USD) Table 4
Estimated B2018-2019
Academic Programme Costs
Core SPC
Change
over
Initial
Defined Academic
Defined Academic
Actual Initial B2016-
Fund/
Development
Development
Programme
Programme
B2014- B2016- 2017
Programmes
Projects
Projects
2015 2017 %
UNU Centre 4,902 5,449 8,305 1,451 548 6,306 - 52.4%
UNU HQ 1,588 1,892 2,373 754 200 1,419 - 25.4%
UNU-CPR 668 1,095 2,910 452 348 2,110 - 165.8%
UNU-EGOV 258 584 553 243 - 310 - -5.3%
UNU-ViE 2,388 1,878 2,469 2 - 2,467 - 31.5%
UNU-BIOLAC 450 618 610 610 - - - -1.3%
UNU-CRIS - - 1,242 813 23 406 - 0.0%
UNU-CS 29 278 377 377 - - - 35.6%
UNU-EHS 3,263 2,030 2,711 320 - 2,391 - 33.5%
UNU-FLORES 1,072 721 747 340 - 407 - 3.6%
UNU-GCM 227 307 123 83 10 30 - -59.9%
UNU-IAS 19,947 23,104 16,122 1,052 - 15,070 - -30.2%
UNU-IIGH 1,202 1,720 1,011 620 37 354 - -41.2%
UNU-INRA 1,268 1,672 285 180 - 105 - -83.0%
UNU-INWEH 2,474 1,040 816 440 68 308 - -21.5%
UNU-IRADDA - 1,500 230 - 230 - - -84.7%
UNU-MERIT 6,171 3,458 2,829 827 145 1,607 250 -18.2%
UNU-WIDER 9,569 15,141 14,877 7,149 694 7,034 - -1.7%
UNU HQ Bldg - - - - - - - 0.0%
Total 50,574 57,038 50,285 14,262 1,755 34,018 250 -11.8%
Distribution (%) 100% 28.4% 3.5% 67.6% 0.5%
18(b) Staffing Table Costs and Other Personnel Costs
68. The UNU Staffing Table (Annex V) includes all established posts, which are either core or SPC-
funded, regardless of the nature of work (academic and non-academic). However, established
posts that are SPC-funded are budgeted under specific project costs given that these posts are
project-based. Staffing Table costs comprise salaries of established posts (including common
staff costs) listed on the Staffing Table for the Professional, National Professional Officer and
General Service categories.
69. UNU is projecting a total of 162 funded posts, of which 151 are core-funded (USD 28.6 million)
and 11 SPC-funded (USD 3.2 million) budget.
B2018-2019 Staffing Table Costs (Core and SPC)
(in thousands of USD) Table 5
Initial B2018- Initial Estimated Change
B2016-2017 2019 Variance B2016-2017 B2018-2019 over
Number of Number of No. of Staffing Staffing Initial
Funds/Programmes
Funded Funded Posts Table Costs Table Costs B2016-
Posts Posts 2017
%
UNU Centre 50 49 -1 10,084 9,989 -0.9%
UNU HQ 34 33 -1 6,190 6,784 9.6%
UNU-CPR 9 6 -3 2,546 1,563 -38.6%
UNU-EGOV 3 3 - 671 550 -18.0%
UNU-ViE 4 7 3 677 1,092 61.3%
UNU-BIOLAC - - - - - 0.0%
UNU-CRIS 3 1 -2 530 294 -44.5%
UNU-CS 4 5 1 1,110 1,258 13.3%
UNU-EHS 7 8 1 1,530 1,387 -9.3%
UNU-FLORES 9 10 1 1,781 1,947 9.3%
UNU-GCM 2 3 1 403 747 85.4%
UNU-IAS 2 6 4 501 765 52.7%
UNU-IIGH 13 13 - 1,931 1,744 -9.7%
UNU-INRA 4 4 - 746 683 -8.4%
UNU-INWEH 6 5 -1 1,355 1,208 -10.8%
UNU-IRADDA 7 7 - 1,222 478 -60.9%
UNU-MERIT 12 12 - 3,262 2,956 -9.4%
UNU-WIDER 27 27 - 5,595 4,934 -11.8%
UNU HQ Bldg 1 1 - 393 225 -42.7%
Total (Core-Funded) 147 151 4 30,443 28,615 -6.0%
UNU-CPR - 115 0.0%
UNU- ViE - 1 1 - 176 0.0%
UNU-EHS 2 4 2 45 667 1,382.2%
UNU-IAS 5 2 -3 1,733 1,375 -20.7%
UNU-WIDER 3 4 1 890 836 -6.1%
Total (SPC-Funded) 10 11 1 2,668 3,169 18.8%
GRAND TOTAL 157 162 5 33,111 31,784 -4.0%
70. The detailed UNU Staffing Table provides the framework within which the University can
develop and execute its human resources strategy for B2018-2019; it is presented in Annexes III
and IV.
1971. The core-funded posts include: 85 Professional posts, 18 National Professional Officer posts, and
48 General Service posts. The SPC-funded posts consist of 9 Professional posts, 1 National
Professional Officer post, and 1 General Service post. In addition, 19 non-funded posts listed on
the staffing table will be filled only as voluntary contributions or specific project contributions
are secured to cover salary and related costs.
72. Out of a total of 94 Professional posts UNU-wide, 71 posts or 75.5 per cent of all Professional
posts are academic posts.
73. 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 contracts also perform academic tasks, the University’s ratio of academic to
non-academic work is presumably even higher.
Graph 4
74. Other personnel costs consist of salaries of short-term contractors engaged under a Personnel
Service Agreement. The expenditure during B2018-2019 is estimated to be USD 16.9 million,
reflecting a nominal increase of 1.6 per cent over the initial B2016-2017 budget, as summarised
in Table 6.
B2018-2019 Other Personnel Costs (Core and SPC-Funded)
(in thousands of USD) Table 6
Change over
Estimated
Actual Initial Initial
Expenditure B2018-
B2014-2015 B2016-2017 2016-2017
2019 %
Other Personnel Costs (Core-Funded) 6,678 10,905 10,112 -7.3%
Other Personnel Costs (SPC-Funded) 8,412 5,732 6,799 18.6%
Total Costs 15,090 16,637 16,911 1.6%
20(c) General Expenses
75. General expenses include: (i) travel costs; (ii) contractual services; (iii) maintenance and
operating costs of UNU Headquarters Building in Tokyo; (iv) general operating expenses, which
mainly cover communications, maintenance of equipment, supplies, and materials; and (v)
acquisition of furniture and equipment, including IT equipment.
76. The general expenses during B2018-2019 are estimated to be USD 19.4 million, an increase of
1.4 per cent from the initial B2016-2017 budget as summarised in Table 7. They include 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.
B2018-2019 General Expenses
(in thousands of USD) Table 7
Change over
Actual Initial Estimated
Initial
Expenditure B2014- B2016- B2018-
B2016-
2015 2017 2019
2017 %
Travel 2,315 3,020 2,975 -1.5%
Contractual Services 2,387 1,411 967 -31.5%
Maintenance and Operating Costs of UNU HQ Bld 5,207 3,868 4,332 12.0%
General Operating Expenses 7,315 9,411 9,637 2.4%
Furniture and Equipment 2,621 1,477 1,538 4.1%
Total 19,845 19,187 19,449 1.4%
(d) Specific Projects (SPC-Funded)
77. In addition to the core budget, the B2018-2019 budget shows an estimated USD 34.3 million
allocated to specific projects funded from SPCs, a decrease of 1.5 per cent compared to the
initial B2016-2017 budget.
78. Given that the B2018-2019 budget was formulated with extreme prudence and represents the
lowest estimate based on prevailing information at the time of the budget formulation, it is
expected that additional SPCs will be received during B2018-2019, permitting a higher level of
expenditure for specific projects.
79. SPCs comprise voluntary contributions earmarked for a specific project. This category of
voluntary contributions supports academic activities over and above planned activities financed
from the core income. Funds in this category may also be used to meet the costs associated with
the administration and general operations of an institute or programme.
80. Obligations can be incurred and payments made only after SPC funds have been received in UNU
accounts. If funds for specific projects do not materialise in the course of the budget execution,
the activities will not be initiated and no expenditure will be incurred.
21Income Estimates
81. 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 by Member States but solely from voluntary contributions. UNU does not receive
any subvention from the regular budget of the United Nations.
82. Voluntary contributions are sourced from governments, bilateral and multilateral agencies, foundations,
and other public and private sector sources. The estimated income in the amount of USD 108.5 million for
B2018-2019 can be further categorised as core income and specific project contributions.
Graph 5
83. Core income represents voluntary contributions which are not earmarked. Core income
comprises income from the UNU Endowment Fund, operating contributions, other income, and
cumulative surplus. The estimated core income amounts to USD 74.2 million (68.4 per cent of
the total estimated income), comprising USD 32.4 million in endowment fund income; USD 31.0
million in operating contributions; USD 8.5 million from the cumulative surplus which was
carried forward and USD 2.3 million from other income. Compared to the initial B2016-2017
budget, estimated core income is expected to decrease by 10.4 per cent.
84. SPCs represent voluntary contributions that are earmarked for specific academic projects and
aligned with the priorities set by the UNU Council. They are primarily intended to support
academic activities over and above activities financed from core income. Estimated SPCs amount
to USD 34.3 million (31.6 per cent of the total estimated income).
85. Both Graph 5 and Table 8 show the source of the estimated income.
B2018-2019 Income
(in thousands of USD) Table 8
Estimated Change over
Actual Initial
Income Category B2018- Initial
B2014-2015 B2016-2017
2019 B2016-2017 %
Endowment Fund 32,824 33,281 32,431 -2.6%
Cumulative Surplus 10,896 12,841 8,455 -34.2%
Operating Contributions 32,509 33,914 30,957 -8.7%
Other Income 3,966 2,730 2,350 -13.9%
Total Core Funding 80,195 82,766 74,193 -10.4%
Specific Project Contributions (SPC) 59,418 34,807 34,268 -1.5%
Total 139,613 117,573 108,461 -7.8%
2286. The estimated income for B2018-2019, composed of core income and specific project
contributions is summarised in Table 9.
B2018-2019 Income by Fund
(in thousands of USD) Table 9
Core Income SPC
Contributions
Contributions
Other Income
Total Income
Endowment
(Core+SPC)
Cumulative
Total Core
Operating
Fund/Programmes
Specific
Surplus
Income
Project
Fund
UNU Centre 27,129 20,823 15,724 1,467 3,632 - 6,306
UNU HQ 14,153 12,734 12,031 293 410 - 1,419
UNU-CPR 5,977 3,867 3,693 174 - - 2,110
UNU-EGOV 2,310 2,000 - 1,000 1,000 - 310
UNU-ViE 4,689 2,222 - - 2,222 - 2,467
UNU-BIOLAC 926 926 926 - - - -
UNU-CRIS 1,886 1,480 - - 1,480 - 406
UNU-CS 4,744 4,744 3,776 - 968 - -
UNU-EHS 4,625 2,234 234 - 2,000 - 2,391
UNU-FLORES 3,838 3,431 - - 3,431 - 407
UNU-GCM 1,697 1,667 - - 1,667 - 30
UNU-IAS 17,766 2,696 - - 2,696 - 15,070
UNU-IIGH 4,040 3,686 3,686 - - - 354
UNU-INRA 1,231 1,126 850 276 - - 105
UNU-INWEH 3,596 3,288 - 280 3,008 - 308
UNU-IRADDA 984 984 434 550 - - -
UNU-MERIT 7,969 6,112 1,978 1,520 2,614 - 1,857
UNU-WIDER 23,082 16,048 4,823 4,102 7,123 - 7,034
UNU HQ Bldg 4,948 4,948 - 260 2,338 2,350 -
Total Budget 108,461 74,193 32,431 8,455 30,957 2,350 34,268
Estimated Core Income
(a) Income from the UNU Endowment Fund
87. Capital contributions mobilised for the UNU Centre, UNU-BIOLAC, UNU-CS, UNU-EHS, UNU-IIGH,
UNU-INRA, UNU-IRADDA, UNU-MERIT, and UNU-WIDER are invested as a pool under the
fiduciary responsibility of the Secretary-General of the United Nations. Income derived from the
investment of the UNU Endowment Fund and distributed to the UNU Centre and each of the
above institutes is proportionate to the amount of capital contributions invested.
2388. The UNU Council decided at its 46 th session in December 1999 that the annual investment
income 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. The 5.00 per cent figure is used by universities in the
United States of America with similar, medium-sized endowments. 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 withdrawal limit has been lowered to 4.75 percent of the five-
year average market value.
89. Endowment fund income for B2018-2019 is estimated to be USD 32.4 million, representing a
slight decrease of 2.6 per cent compared to the initial B2016-2017 budget as summarised in
Table 10.
B2016-2017 Income from Endowment Fund
(in thousands of USD) Table 10
Change over Initial
Actual Initial Estimated
Funds/Programmes B2016-2017
B2014-2015 B2016-2017 B2018-2019
%
UNU Centre 14,212 15,240 15,724 3.2%
UNU HQ 13,231 10,630 12,031 13.2%
UNU-CPR 981 4,610 3,693 -19.9%
UNU-BIOLAC 919 951 926 -2.6%
UNU-CS 3,685 3,813 3,776 -1.0%
UNU-EHS 285 295 234 -20.7%
UNU-IIGH 3,151 4,192 3,686 -12.1%
UNU-INRA4 1,724 1,272 850 -33.2%
from HQ’s EF 1,000 500 - -100%
from INRA’s EF 724 772 850 10.1%
UNU-IRADDA - 582 434 -25.4%
UNU-MERIT 1,933 2,000 1,978 -1.1%
UNU-WIDER 4,815 4,936 4,823 -2.3%
UNU HQ Bldg. 2,100 - - 0.0%
Total 32,824 33,281 32,431 -2.6%
(b) Cumulative Surplus Carried Forward
90. These funds, resulting, from a surplus of income over expenditure from the previous biennia, are
mobilised with the approval of the UNU Council to supplement the financing of the budget.
Given the different funding schemes among institutes/programmes as well as individual project
timelines, fluctuations are to be expected.
4Endowment fund income in B2014-2015 reflects a transfer of USD 1.0 million from the UNU Centre to UNU-INRA as authorised by
the UNU Council. The transfer from UNU Centre to UNU-INRA in B2016-2017 as approved by the Council amounted to USD 0.5
million. No transfer is foreseen in B2018-2019.
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