IIASA Institutional Review Coherence & integration across themes, programs and initiatives: How we do it in practice ? Professor Dr. Pavel Kabat IIASA Director General and Chief Executive Officer IIASA Institutional Review 8 May 2017

SUMMARY 1 IIASA Strategic Plan 2011-2020 To create a more focused research agenda To increase collaboration and integration across IIASA research programs To maintain its worldwide leadership in applied systems analysis. To achieve a clear identity and higher visibility To demonstrate its value to the current and future member organizations To attract research funding and talent to resource the strategic plan.

SUMMARY 2 Mechanisms and Incentives Retreats and discussions at researcher and research management level within IIASA, and with external stakeholders including NMOs and SAC to develop substantive concepts for more integrative research activities New integrative research projects (cross-cutting, futures initiatives, and large-scale integrated projects) Systems Analysis Forum facilitates and catalyzes methodological advances needed for innovating the interdisciplinary and integrated perspectives lying at the core of the IIASA research agenda. Allocation of funds to programs via indirect allocations specifically for projects that stimulate institutional collaboration and innovative research. In 2015, IIASA invested approximately 20% of the Institute’s internal funds to these projects, with this projected to increase to approximately 40% over the next five years.

OVERVIEW & TIMELINE IIASA Strategic Plan 2011-2020 2012 2013 2014 2015 2016 2017 2018 2019 2020 IIASA Strategic Plan 2011-2020 To create a more focused research agenda To increase collaboration and integration across IIASA research programs To maintain its worldwide leadership in applied systems analysis.

OVERVIEW & TIMELINE IIASA Research Plan 2011-2015 2012 2013 2014 2015 2016 2017 2018 2019 2020 IIASA Research Plan 2011-2015 Introduced a new research framework Reporting and evaluations made within framework 2011 to 2015 IIASA HIGHLIGHTS 2011-2015

OVERVIEW & TIMELINE Cross-cutting research projects (1st generation) 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 Cross-cutting research projects (1st generation) Jan 2013: Call for proposals (both applied and methodology-focused, cutting-edge research, institutional collaboration, internal core funding, maximum 3+2 year duration dependent on evaluation of progress Nov 2013: Four projects selected and budget allocated: Equitable governance of common goods Socio-economic heterogeneity Systemic risk & network dynamics Unconventional and shale gas Regularly reviewed by SAC, and a final rigorous external evaluation

A world leader in applied systems analysis: Systems Analysis Forum Regular conferences to attract world leaders in systems-analysis methodology to discuss challenges and opportunities in the context of IIASA research First conference: Systems Analysis 2015 Internally funded calls for proposals for exploratory, methodologically oriented, small-scale projects (~50KEuro, max. 1 year duration) 2016 Call: Eight projects funded 2013 Call: Five projects funded Presentations and research stays at IIASA by leading experts and methodological innovators from around the world Workshops and schools on systems-analysis methods, models, and tools Partnership with the Complexity Science Hub Vienna

OVERVIEW & TIMELINE Systems Analysis Forum projects (1st generation) 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 Systems Analysis Forum projects (1st generation) 2013: Call for proposals, 13 proposals submitted and 5 funded: Development of robust rescaling methods for integrated water, food, energy security management under uncertainty A maximum likelihood analysis of a stochastic agent-based model of the global energy system Reconsidering models of catastrophic risk Analysis of close-to-optimal zones in LP decision-support models Systematic misperceptions of systemic risk Reviewed by SAC

OVERVIEW & TIMELINE IIASA Futures Initiatives 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 IIASA Futures Initiatives 2014: Established following scoping discussions internally, with NMOs and external stakeholders, maximizing value and relevance for multiple IIASA member countries in a geo-politically/geo-economically sensitive/important region and/or topic, where system analytical and integrated (IIASA) approach is needed “seeding internal money” type of projects, max. duration 3 years, may/should lead to externally funded “Large Scale Integrated Projects) Arctic Futures Initiative Eurasian Economic Integration Tropical Futures Initiative Water Futures and Solutions Initiative Regularly reported on by Annual Report and DG report to Council Future expansion depends on ability to attract significant external support (funding and political)

OVERVIEW & TIMELINE IIASA Research Plan 2016-2020 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 IIASA Research Plan 2016-2020 New research framework to take an even more holistic systems analytic approach and focus on interlinkages between complex diverse systems in order to identify systems solutions for sustainability transformations.

OVERVIEW & TIMELINE Systems Analysis Forum projects (2nd generation) 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 Systems Analysis Forum projects (2nd generation) 2016: Call for proposals, 28 proposals submitted and 8 funded: Economic Migration, Capital Flows, and Welfare FRED - Freedom, Emergence and Dimensions Navigating the Pareto front: Understanding economic environmental tradeoffs under value diversity among stakeholders A big-data approach to systemic risk in very large financial networks Simulation Games as New Methods for Understanding Stakeholder Interaction and Decision-Making in Complex Systems Accounting for behavioral spillovers in the global adoption of sustainable technologies and lifestyles: toward next-generation scenario modeling Systems thinking for transformation– A scoping and prototyping project To be reviewed by SAC (June 2017)

Large-Scale Integrated Projects supporting global transformations OVERVIEW & TIMELINE 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 Large-Scale Integrated Projects supporting global transformations 2016: Established following scoping discussions internally, with SAC and external stakeholders TWI2050 (attracted over 60 institutions) IS-WEL (external funding: €4.6 million)

OVERVIEW & TIMELINE Cross-cutting research projects (2nd generation) 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 Cross-cutting research projects (2nd generation) 2016 projects: Nexus ++ New Generation of Dynamic Vegetation Models Regularly reviewed by SAC, and a final rigorous external evaluation

How IIASA activities fit together Core Research Administration, Infrastructure & Services

How IIASA activities fit together Core Research Administration, Infrastructure & Services New Methodologies in Systems Approaches

How IIASA activities fit together Core Research Administration, Infrastructure & Services New Methodologies in Systems Approaches Exploratory Futures Initiatives

How IIASA activities fit together Core Research Cross-cutting Administration, Infrastructure & Services New Methodologies in Systems Approaches Exploratory Futures Initiatives

How IIASA activities fit together Core Research Cross-cutting Capacity Development and Training Administration, Infrastructure & Services New Methodologies in Systems Approaches Exploratory Futures Initiatives

How IIASA activities fit together Core Research Cross-cutting Capacity Development and Training Science to Policy Administration, Infrastructure & Services New Methodologies in Systems Approaches Exploratory Futures Initiatives

How IIASA activities fit together Core Research Cross-cutting Capacity Development and Training Science to Policy Administration, Infrastructure & Services Community Services New Methodologies in Systems Approaches Exploratory Futures Initiatives

How IIASA activities fit together Core Research Cross-cutting Capacity Development and Training Science to Policy Administration, Infrastructure & Services Community Services Science Diplomacy New Methodologies in Systems Approaches Exploratory Futures Initiatives

How IIASA activities fit together Core Research Cross-cutting Capacity Development and Training Science to Policy Administration, Infrastructure & Services Community Services Science Diplomacy New Methodologies in Systems Approaches Exploratory Futures Initiatives Large-scale Integrated Projects Supporting Major Global Transformations

How IIASA activities fit together Core Research Cross-cutting Capacity Development and Training Science to Policy Administration, Infrastructure & Services Community Services Science Diplomacy New Methodologies in Systems Approaches Exploratory Futures Initiatives Large-scale Integrated Projects Supporting Major Global Transformations Governance

IIASA Core Funding (from member countries/NMOs Membership contributions have increased significantly over recent years (4.4 million Euro more in 2017 as compared to 2011) Year 2011 2012 2013 2014 2015 2016* 2017** Membership Contributions € 8.8m € 9.0m € 9.5m € 11.3m € 11.8m € 12.4m € 13.2m *2016 figures may still be subject to change pending the outcome of the ongoing financial audit **2017 figures are budgeted

New mechanism and new management stimuli: increased core funding and revised internal funding allocations to facilitate “horizontal”, systems/integrated research, while maintaining and stimulating academic excellence and societal relevance Program 2011 2012 2013 2014 2015 2016* % change 2011-2016 TNT Direct (1) € 190k € 212k € 278k € 246k € 264k € 289k 52% Indirect (2) € 66k € 158k € 145k € 220k € 194k € 318k 382% Sum € 256k € 370k € 423k € 466k € 458k € 607k 137% AIR (formerly MAG) Direct € 348k € 386k € 601k € 533k € 555k € 584k 68% Indirect € 51k € 4k € 67k € 308k € 229k € 192k 276% € 399k € 390k € 668k € 841k € 784k € 776k 94% ENE € 218k € 328k € 347k € 352k 61% € 112k € 169k € 222k € 274k € 239k € 444k 264% € 330k € 415k € 592k € 602k € 586k € 796k 141% POP € 251k € 271k € 367k € 325k € 359k € 360k 43% € 115k € 130k € 106k € 209k € 131k € 184k 60% € 366k € 401k € 473k € 534k € 490k € 544k 49% ESM € 604k € 724k € 642k € 774k € 949k 56% € 177k € 358k € 161k € 307k € 287k € 408k 131% € 962k € 885k € 1,061k € 1,357k 73%

Internal Funding Allocations Program 2011 2012 2013 2014 2015 2016* % change 2011-2016 RISK (formerly RPV) Direct € 297k € 288k € 305k € 270k € 318k € 348k 17% Indirect € 90k € 43k € 125k € 257k € 179k € 277k 208% Sum € 387k € 331k € 430k € 527k € 497k € 625k 61% EEP € 214k € 200k € 253k € 224k € 250k € 275k 29% € 68k € 122k € 67k € 226k € 180k € 233k 243% € 282k € 322k € 320k € 450k € 508k 80% WAT n.a. € 300k € 228k € 290k 45% € 7k € 9k € 46k € 31k € 130k 1,757% € 207k € 309k € 246k € 259k € 420k 103% ASA € 328k € 368k € 293k € 274k € 295k -10% € 99k € 109k € 196k € 517k € 381k € 458k 363% € 427k € 477k € 810k € 655k € 753k 76%

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