f financing in str umen ts with f ocus on coun tries otr ac ted c risis
SOURCE OF FINANCING
TYPE OF FINANCING
USED BY / INSTRUMENT ACCESSIBLE TO
PURPOSE / USED FOR
USED WHERE?
DECISION- MAKING STRUCTURE
REQUISITES FOR ESTABLISH- MENT
INDICATIVE
AMOUNT (in 2
015)ADVANTAGESDIS- ADVANTAGES
Ass ess ed gr an ts (t otal UN-wide, glo bal r evenu e o f US$ 1 4.5 b illion in 2 0 15)
ough an assessed Grants; partly ODA23 UN entities (mainly UN Secretariat and UN specialised agencies)For the mandate of UN entity concerned. This can be humani- tarian, sustaining peace/transition, development and/or human rights. Used as well to finance normative work through standard setting instruments at global and regional level.
Globally / All regions / All countries Governing body of the UN organisation concerned approves the budget based on proposal of UN entity concerned Treaty document, Convention or other basic instrument of a UN entity US$ 5.4 billion in revenue in 2015 for 23 UN entities - CEB data 2015
1. Important source for UN entity’s normative, policy and capacity build- ing work at country level; 2. Speed and flexibility: in principle high; 3. Risk management: high, depending also on UN entity’s risk management system
Normally not only source of financing for country level interventions and hence dependent on availability of other financing. ough an assessed Grants; largely non-ODADPKO, DFS. De- pending on budget and mandate, funding can also be accessed to some extent by other UN entities
Peacekeeping, peace consolidationPeacekeeping missions in 16 countries
Security Council + Under- Secretary-General for DPKO and DFS General Assembly through the 5th committee oversees and approves the budget Political decision: Security Council Financial decision: General Assembly (Fifth committee)
US$ 8.5 billion in revenue in 2015 -CEB data 2015
1. This instrument can be combined and sequenced with financing from PBF and country based transition funds 2. Risk man- agement: very high; instrument normally used in situations of very high contextual risk.
Limited flexibility for reallocating among programmatic interventions Annex & Endnotes
FINANCING INSSHORT TRUMENTDESCRIPTION SOURCE OF FINANCING
TYPE OF FINANCING
USED BY / INSTRUMENT ACCESSIBLE TO
PURPOSE / USED FOR
USED WHERE?
DECISION- MAKING STRUCTURE
REQUISITES FOR ESTABLISH- MENT
INDICATIVE
AMOUNT (in 2
015)ADVANTAGESDIS- ADVANTAGES 3. Assessed contributions for UN Political Affairs
Covers contri- butions based on approved budget for field based missions, special envoys and sanc- tions panels and monitoring groups and DPA’s regular budget Member States through an assessed scale
Grants; largely non-ODADPAPrevention, mediation, elections, anti-terrorism 12 field based missions, 11 Special representatives and 9 sanctions panels and monitoring groups Security Council + Under- Secretary-General for DPA General Assembly through the 5th committee oversees and approves the budget Political decision: Security Council Financial decision: General Assembly (Fifth committee) US$ 0.6 billion in requirements and appropriations for 2015 -A/70/348 & A/70/67
1. This instrument can be combined and sequenced with financing from the Peace- building Fund and country based transition funds 2. Risk manage- ment: very high; instrument normally used in situations of very high contextual risk.
Limited flexibility for reallocating among program- matic interventions
V olun tar y cor e (t otal UN-wide, glo bal r evenu e o f US$ 4.6 b illion in 2 0 15)
4. Voluntary core contribu- tionsVoluntary, non–earmarked grant contribu- tions left to the discretion of each contributor In most cases Member States through voluntary annual or multi- year pledges Grants; ODA16 UN entities (mainly UN Funds and Programmes)
For the core man- date of UN entity concerned. This can be humani- tarian, sustaining peace/transition, development and/ or human rights. Used as well to finance normative work and standard setting at global and regional level.
Globally / All regions / All countries
Governing body of the UN organisation concerned approves the budget based on proposal of UN entity. Often part of Integrated Results and Resources Frame- work of UN entity concerned.
Treaty document, Convention or other international legal instrument of a UN Organisation US$ 4.6 billion in revenue for 16 UN entities -CEB data 2015
1. Important source for UN entity’s normative, policy and capacity building work at country, regional or global levels; 2. Speed and flex- ibility: in principle very high; 3. Risk manage- ment: very high, depending also on UN entity risk management system Only one of the sources of financing for UN interventions and hence very dependent on availability of other financing as per UN entity financing strategy.
Annex & Endnotes
SOURCE OF FINANCING
TYPE OF FINANCING
USED BY / INSTRUMENT ACCESSIBLE TO
PURPOSE / USED FOR
USED WHERE?
DECISION- MAKING STRUCTURE
REQUISITES FOR ESTABLISH- MENT
INDICATIVE
AMOUNT (in 2
015)ADVANTAGESDIS- ADVANTAGES
ed f unding (t otal UN-wide, glo bal r evenu e o f US$ 2 5.4 b illion in 2 0 15)
y grants ulti-lateral s, developing y govern- private ibutions etc.Grants; ODA and non-ODAUN entities, NGOs, govern- ments and multi- lateral development banks
For programmatic scope of pooled fund concerned. This can be humanitarian, sustaining peace/ transition, development and/or human rights. Can be used to finance normative work at global and regional level.
All countries, multiple countries simultaneously
Steering com- mittee (normally consisting of multiple stake- holders) chaired or co-chaired by the UN UN takes a lead role in making fund allocation decisions.
Legal agreements and TOR Minimum of US$ 5 million per year for Fund (1 million per agency for joint programmes); Ideally at least 10 – 15 % of total UN intervention.
US$ 0.8 billion in transfers from all global inter-agency pooled funds -UN Inter Agency Pooled Fund Data Base 2015
1. Strong added value in promoting UN coherence, 2. Normally combined and sequenced with other financing instruments 3. Speed and flexibility: high 4. Risk management: high, depending also on risk profile of pooled fund
Only one of sources of financing for interventions and hence very dependent on availability of funding through other financing instruments. y grants ulti-lateral s, developing y govern- private ibutions etc.
Grants; ODA and non-ODAUN entities, NGOs, govern- ments and multi- lateral development banks
For programmatic scope of pooled fund concerned. This can be humanitarian, sustaining peace/transition, development and/or human rights Any given countrySteering commit- tee (consisting of multiple stake- holders) chaired or co-chaired by UN and government UN takes a lead role in making fund allocation decisions Legal documents and TOR; Minimum of US$ 5 million per year for Fund (1 million per agency for joint programmes); Ideally at least 10 – 15 % of total UN intervention.
US$ 0.9 billion in transfers from all country-level in- ter-agency pooled funds -UN Inter Agency Pooled Fund Data Base 2015
1. Strong added value in promoting UN coherence, 2. Normally combined and sequenced with other financing instruments 3. Speed and flexibility: high 4. Risk management: high, depending also on risk profile of pooled fund
Normally not only source of financing for country level interventions and hence very dependent on availability of other financing instruments. y grants ulti-lateral s, developing y govern- private ibutions etc.
Grants; ODA and non-ODA UN entity and through that entity other implement- ing partners (NGOs, governments etc)
Within mandate of UN entity and for programmatic scope of thematic fund concerned. Can be humani- tarian, sustaining peace/transition, development and/or human rights related. Can be used to finance normative work at global and regional level.
All countries, multiple countries simultaneously Outlined in TOR and legal documents; UN agency takes the lead role in making fund allocation decisions Legal documents and TOR Cost structure depends on UN entity cost recovery policy US$ 0.5 billion in revenue in 2015 for single-agency thematic funds. -CEB Data 2015 Increased flexible funding for UN entity compared to single project / programme specific contributions
For most UN entities share of single-agency the- matic funds is low compared to level of single project / programme specific funding. Annex & Endnotes
FINANCING INSSHORT TRUMENTDESCRIPTION SOURCE OF FINANCING
TYPE OF FINANCING
USED BY / INSTRUMENT ACCESSIBLE TO
PURPOSE / USED FOR
USED WHERE?
DECISION- MAKING STRUCTURE
REQUISITES FOR ESTABLISH- MENT
INDICATIVE
AMOUNT (in 2
015)ADVANTAGESDIS- ADVANTAGES
(con tinu e) Earmark ed f unding (t otal UN-wide, glo bal r evenu e o f US$ 2 5.4 b illion in 2 0 15)
8. Revenues from Global Vertical fundsFunds focused ‘vertically’ on specific themes, but are not directly administered by a UN entity and do not have a UN lead role in the fund allocation process. Main UN role is as fund implementer.
Vertical funds, including GAVI, GPE, GEF, GFATM, and Montreal Protocol Grants; ODA and non-ODA
UN organisations accredited to the specific vertical funds Funding received is earmarked to specific projects Global Public GoodsGAVI: 54 eligible countries GEF: Global, LDCs GPE: 61 countries GFATM: Over 100 countries MP: 147 countries GAVI: Board GEF: the Assembly GPE: Board of Directors GFATM: Board (implementers and donors) MP: Executive Committee Different depending on Global Vertical Fund concerned
US$ 1.4 billion in revenue from vertical funds in 2015 -CEB Data 2015 Can be combined and sequenced with other UN financing instruments Scope for risk management at the Fund level.
Highly earmarked, project specific contributions may reduce incentives for UN coherence. 9. Local resourcesGrants from programme countries financed from government resources or through loans / credits for use in their own national development frameworks
Governments, IFI loans and credits GrantsUN entities Earmarked to specific programmes and projects Humanitarian, sustaining peace/ transition and/or develop- ment interventions, which are within the UN’s mandate and included in national plans.
Used eg by UNDP in 32 countries Specific to each agreement and UN entity UN entity specificTotal US$ 1.4 billion in revenue from local resources in 2015. -CEB data 2015.
1. Increases speed and flexibility of interventions on behalf of national governments. 2. Normally accompanied by interventions to build national capacities. 10. Project / programme
specific con
tributions
Grants earmarked by the contributor(s) to a specific programme or project of a specific UN entity Voluntary grants from bilateral and multi-lateral donors, developing country governments, private contributions etc.
Grants, ODAUN entities Earmarked to specific programmes and projects Humanitarian, sustaining peace/ transition, develop- ment and/or human rights. Can also be used to finance normative work and peacekeeping.
All countriesUN Entity specific programmatic document and contribution agreement Cost structure depends on UN entity cost recovery policy UN entity specificEstimated at US$ 20.4 billion in 2015Direct link between funding provided and specific results to be provided in terms of time, scope and budget.
High share of project specific contributions is indicative of high level of fragmen- tation. Reduces incentives for UN coherence and scope for risk management at the portfolio level.
Annex & Endnotes
SOURCE OF FINANCING
TYPE OF FINANCING
USED BY / INSTRUMENT ACCESSIBLE TO
PURPOSE / USED FOR
USED WHERE?
DECISION- MAKING STRUCTURE
REQUISITES FOR ESTABLISH- MENT
INDICATIVE
AMOUNT (in 2