The World Bank Implementation Status & Results Report Modernizing Uzbekistan National Innovation System Project (P170206) Modernizing Uzbekistan National Innovation System Project (P170206) EUROPE AND CENTRAL ASIA | Uzbekistan | Finance, Competitiveness and Innovation Global Practice | IBRD/IDA | Investment Project Financing | FY 2021 | Seq No: 3 | ARCHIVED on 25-Feb-2022 | ISR50354 | Implementing Agencies: Ministry of Innovative Development, Republic of Uzbekistan Key Dates Key Project Dates Bank Approval Date: 28-Oct-2020 Effectiveness Date: 11-Jun-2021 Planned Mid Term Review Date: 30-Mar-2023 Actual Mid-Term Review Date: Original Closing Date: 30-Mar-2026 Revised Closing Date: 30-Mar-2026 pdoTable Project Development Objectives Project Development Objective (from Project Appraisal Document) The PDO is to enable the development of a market-oriented National Innovation System in Uzbekistan. Has the Project Development Objective been changed since Board Approval of the Project Objective? No Components Table Name Improving research excellence and commercialization:(Cost $20.00 M) Promoting innovation in the private sector:(Cost $20.00 M) Supporting STI policy-making and reforms:(Cost $5.00 M) Project management and monitoring and evaluation:(Cost $5.00 M) Overall Ratings Name Previous Rating Current Rating Progress towards achievement of PDO Satisfactory Satisfactory Overall Implementation Progress (IP) Moderately Satisfactory Moderately Satisfactory Overall Risk Rating Moderate Moderate Implementation Status and Key Decisions The MUNIS project was officially launched on November 3, 2021 and the first selection round of the Research Excellence Program was announced. Overall 109 research applications were received and the evaluation process is currently ongoing with the support of European Science Foundation and the International Expert Board. The second selection round was announced on January 25, 2022 with the March 5, 2022 application deadline. The MID is preparing an international tender to attract an international entity to support design and implementation of the Research Commercialization Program and the Business Investments in Research and Development Program. The tender is planned to be announced in March 2022. 2/25/2022 Page 1 of 9 The World Bank Implementation Status & Results Report Modernizing Uzbekistan National Innovation System Project (P170206) Risks Systematic Operations Risk-rating Tool Risk Category Rating at Approval Previous Rating Current Rating Political and Governance Moderate Moderate Moderate Macroeconomic Moderate Moderate Moderate Sector Strategies and Policies Moderate Moderate Moderate Technical Design of Project or Program Moderate Moderate Moderate Institutional Capacity for Implementation and Moderate Substantial Substantial Sustainability Fiduciary Moderate Moderate Moderate Environment and Social Moderate Moderate Moderate Stakeholders Moderate Moderate Moderate Other Moderate Moderate Moderate Overall Moderate Moderate Moderate Results PDO Indicators by Objectives / Outcomes Market-oriented national innovation system in Uzbekistan IN01106879 ►Papers published in internationally peer-reviewed journals, based on research funded by the project (Number, Custom) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 0.00 0.00 50.00 Date 01-Jun-2020 14-Jan-2021 17-Feb-2022 01-Sep-2025 The progress toward achievement of this indicator will be monitored by PMU on annual basis through interviews with stakeholders and technical reports to be submitted by research teams. The task team expects achievement of this indicator starting from the second year of an R&D subproject's life since Comments: publications are usually made after extensive laboratory research followed by lengthy editorial review by scientific magazines. IN01106880 ►Investment in research commercialization and innovation mobilized by the project (Amount(USD), Custom) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 0.00 0.00 24,000,000.00 2/25/2022 Page 2 of 9 The World Bank Implementation Status & Results Report Modernizing Uzbekistan National Innovation System Project (P170206) Date 01-Jun-2020 14-Jan-2021 17-Feb-2022 01-Sep-2025 The progress toward achievement of this indicator will be monitored semi-annually by PMU through technical reports to be submitted by beneficiaries and interviews with stakeholders. The task team expects Comments: gradual achievement of this indicator from the date of start of the RCP and BIRD programs. Preparation for both programs is ongoing. IN01106881 ►SMEs with internationally recognized certification funded by the project (Number, Custom) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 0.00 0.00 90.00 Date 01-Jun-2020 14-Jan-2021 17-Feb-2022 01-Dec-2025 The progress toward achievement of this indicator will be monitored by PMU on semi-annual basis through interviews with stakeholders, technical reports to be submitted by the consulting company that will be hired to assist the program. The task team expects achievement of this indicator starting from the third Comments: year of the Project life as the project activity is new to the country (hiring of the consultant and selection of beneficiary SMEs may take several months each) as well as in view of time needed for SMEs to meet international certification requirements. IN01106882 ►Regulations disciplining the allocation of competitive funds for research and innovation reflecting the best practices adopted by MID (Yes/No, Custom) Baseline Actual (Previous) Actual (Current) End Target Value No No No Yes Date 01-Jun-2020 14-Jan-2021 17-Feb-2022 01-Sep-2025 The progress toward achievement of this indicator will be monitored by PMU on semi-annual basis through collection of evidence on respective changes in legislation/regulations of MID that replicate Project's best practices. The task team expects achievement of this indicator starting from the third year of Comments: the Project life as the project activities are new to the country as well as in view of time needed for successful demonstration effect to take place. Intermediate Results Indicators by Components Component 1: Improving research excellence and commercialization IN01106884 ►R&D projects implemented with support of the project (Number, Custom) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 0.00 0.00 50.00 Date 01-Jun-2020 14-Jul-2021 17-Feb-2022 01-Sep-2025 Total number of implemented R&D projects financed by Research Excellence Program (REP – US$ 10 million) of the project. REP will have several rounds of calls for proposals, thus total number of financed Comments: projects will be identified closer to the fourth year of the project. As the first REP Call for proposals was announced in fall 2021, the first batch of selected projects will be available in the next ISR sequence. IN01106887 2/25/2022 Page 3 of 9 The World Bank Implementation Status & Results Report Modernizing Uzbekistan National Innovation System Project (P170206) ►Papers submitted for publication in peer-reviewed journals (Number, Custom) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 0.00 0.00 70.00 Date 01-Jun-2020 14-Jul-2021 17-Feb-2022 01-Sep-2025 Number of papers that are submitted for publication in peer-reviewed journals. Submissions do not necessarily mean publication selection. The task team expects achievement of this indicator starting from Comments: the second year of an R&D subproject's life since publications are usually made after extensive laboratory research followed by lengthy editorial review by scientific magazines. IN01106891 of which co-authored with international authors (Number, Custom Breakdown) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 0.00 0.00 20.00 Date 01-Jun-2020 14-Jul-2021 17-Feb-2022 01-Sep-2025 IN01106893 of which co-authored with or authored by young researchers (Number, Custom Breakdown) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 0.00 0.00 20.00 Date 01-Jun-2020 14-Jul-2021 17-Feb-2022 01-Sep-2025 IN01106894 ►Institutional modernization plans completed (IMP) (Number, Custom) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 0.00 0.00 3.00 Date 01-Jun-2020 14-Jul-2021 17-Feb-2022 01-Sep-2025 Number of institutional modernization plans that have been completed with the support of Public Research Institutes Modernization (PRIM -- US$ 6 million). Call for Proposals for PRIM is expected to be launched Comments: in 2022, with the awards and consecutive implementation of grants for institutional modernization to take place throughout the year. Thus the team anticipates the indicator to be captured in 2023. IN01106896 ►Value of investment in research infrastructure (Amount(USD), Custom) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 0.00 0.00 4,500,000.00 Date 01-Jun-2020 14-Jul-2021 17-Feb-2022 01-Sep-2025 Number of research infrastructure projects supported through Public Research Institutes Modernization (PRIM, US$ 6 million). Call for Proposals for PRIM is expected to be launched in 2022, with the awards Comments: and consecutive implementation of grants for institutional modernization to take place throughout the year. Thus the team anticipates the indicator to be captured in 2023. IN01106898 2/25/2022 Page 4 of 9 The World Bank Implementation Status & Results Report Modernizing Uzbekistan National Innovation System Project (P170206) ►Research commercialization proposals implemented with support of the project (Number, Custom) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 0.00 0.00 20.00 Date 01-Jun-2020 14-Jul-2021 17-Feb-2022 01-Sep-2025 Number of research commercialization proposals that are funded by Research Commercialization Program (RCP – US$ 4 Million) of the project. Research commercialization includes the value of funds allocated for proof of concept, prototyping, initial batch of products for testing, and market patenting Comments: amongst others, including pure start-up funding. The gradual achievement of the indicator will start from the expected RCP program launch in second half of 2022 and continue throughout the project cycle. Preparation for the RCP is ongoing. IN01106900 of which implemented by female beneficiaries (Number, Custom Breakdown) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 0.00 0.00 7.00 Date 01-Jul-2020 14-Jul-2021 17-Feb-2022 01-Sep-2025 Component 2: Promoting innovation in the private sector IN01106885 ►Enterprise R&D projects funded (Number, Custom) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 0.00 0.00 30.00 Date 01-Jun-2020 14-Jul-2021 17-Feb-2022 01-Sep-2025 Number of enterprise R&D projects that are funded by the Business Investments in R&D Program (BIRD program -- US$ 10 Million) of the project. PIU is currently working on the ToR for consultant to design and Comments: implement the BIRD program. IN01106888 ►Investments in knowledge-based start-ups mobilized by the project (Amount(USD), Custom) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 0.00 0.00 4,000,000.00 Date 01-Jun-2020 14-Jul-2021 17-Feb-2022 01-Sep-2025 Knowledge-based start-up is a company as defined by international organizations (e.g. UNIDO, OECD) whose purpose is to bring technology products or services to market. These companies deliver new Comments: technology products or services or deliver existing technology products or services in new ways. The indicator depends on the implementation of the Component 2 of the project, which is yet to launch. IN01106890 ►Enterprise-industry research contracts concluded (Number, Custom) Baseline Actual (Previous) Actual (Current) End Target 2/25/2022 Page 5 of 9 The World Bank Implementation Status & Results Report Modernizing Uzbekistan National Innovation System Project (P170206) Value 0.00 0.00 0.00 15.00 Date 01-Jun-2020 14-Jul-2021 17-Feb-2022 01-Sep-2025 Number of contractual research agreements concluded between enterprises and industries. The indicator depends on the implementation of the project Component 2 BIRD and ICP programs, which are yet to be Comments: launched. IN01106892 ►SMEs that introduced a new product/service (Number, Custom) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 0.00 0.00 500.00 Date 01-Jun-2020 14-Jul-2021 17-Feb-2022 01-Sep-2025 Number of firms that introduced (a) products or services that are new to the market and (b) products or services that have significant improvements in capabilities, user friendliness, components or sub-systems. Significant improvements include new or significantly improved capabilities or other functions; technical specifications; components and materials; incorporated software; user friendliness. This does not include: Comments: i) minor changes; ii) regular seasonal changes; iii) routine upgrades, iv) purely aesthetic design changes that do not affect functionality; v) the resale of a good purchased from other enterprises. Gradual achievement of this indicator will start with the launch of BIRD and ICP programs. PIU is working on preparation of ToR for consultant to design and administer the BIRD program. IN01106895 ►Co-sponsor of the Supplier Development Initiative selected by MID (Yes/No, Custom) Baseline Actual (Previous) Actual (Current) End Target Value No No No Yes Date 01-Jun-2020 14-Jul-2021 17-Feb-2022 01-Sep-2025 The indicator aims to capture MID’s selection of the co-sponsor of the Supplier Development Initiative (SDI) financed by the Innovation Capabilities Program (ICP, US$10 Million) of the project. MID is to Comments: engage a consultant to put together a ToR for the ICP and SDI design. Search and identification of suitable co-sponsor will take place after the ICP is launched. IN01106897 ►Grievance mechanism for all grants programs is established and implemented (Yes/No, Custom) Baseline Actual (Previous) Actual (Current) End Target Value No No Yes Yes Date 01-Jul-2020 14-Jul-2021 17-Feb-2022 01-Sep-2025 A grievance redress mechanism will be established for each grant program to allow for appeals, complaints and feedback and ensure that the programs remain transparent, meritocratic and responsive Comments: to their targeted beneficiaries. The PIU is already equipped with staff to establish and maintain the GRM. The launch of the mechanism came together with the launch of the first project activity, the REP. IN01106899 ►Satisfaction rate of grant applicants on the application process (reflecting transparency and meritocracy) (Percentage, Custom) Baseline Actual (Previous) Actual (Current) End Target 2/25/2022 Page 6 of 9 The World Bank Implementation Status & Results Report Modernizing Uzbekistan National Innovation System Project (P170206) Value 0.00 0.00 0.00 75.00 Date 01-Jul-2020 14-Jul-2021 17-Feb-2022 01-Sep-2025 The PMU will be responsible for administering an online survey after each call for proposals for the grants programs, aimed at the targeted beneficiaries (including those who had successful applications, rejected applications, or who did not apply) to receive feedback on their perceptions of the meritocracy and transparency of the process. The feedback will be reviewed by the grant administrating body to improve Comments: the subsequent calls for proposals. The PMU already has M&E specialist and the social specialist to follow the procedure. Collecting the feedback with start with the launch of the first activity - the REP in fall 2021. Once this round of the proposals submission is over in May 2022, the feedback collection among all participants will start. Component 3 – Supporting STI policy-making and reforms IN01106883 ►Workplan for the establishment of the organizations managing research and innovation funding agreed between MID and core NIS stakeholders (Yes/No, Custom) Baseline Actual (Previous) Actual (Current) End Target Value No No No Yes Date 01-Jun-2020 14-Jul-2021 17-Feb-2022 01-Sep-2025 The indicator aims to capture the agreed between MID and the core NIS stakeholders workplan on the establishment of the organizations managing research and innovation funding, such as National Science Comments: Foundation and Innovation Agency. The work on the NIS stakeholders consolidation is yet to launch. IN01106886 ►Regulations for the management of research and innovation funding reflecting international best practices agreed between MID and NIS stakeholders (Yes/No, Custom) Baseline Actual (Previous) Actual (Current) End Target Value No No No Yes Date 01-Jun-2020 14-Jul-2021 17-Feb-2022 01-Sep-2025 The indicator aims to capture the agreement between MID and NIS stakeholders on the regulations for the management of research and innovation funding reflecting international best practices. The criteria of best Comments: practices are defined under PDO indicators. This work is yet to start. IN01106889 ►Technology Transfer Unit (TTU) created; staff trained and knowledge and strategy for research commercialization and policies adopted by MID (Yes/No, Custom) Baseline Actual (Previous) Actual (Current) End Target Value No Yes Yes Yes Date 01-Jun-2020 14-Jul-2021 17-Feb-2022 01-Sep-2025 The indicator aims to capture the establishment of the TTU; provision of trainings to staff; and the adoption by MID of knowledge and strategy for research commercialization (as defined in PDO indicators) and policies. The TTU, namely the National Office for Innovation Implementation and Technology Transfer Comments: under the Ministry of Innovative Development, was established on April 1, 2021. the work on capacity building and strategy for research commercialization is ongoing. 2/25/2022 Page 7 of 9 The World Bank Implementation Status & Results Report Modernizing Uzbekistan National Innovation System Project (P170206) Performance-Based Conditions Data on Financial Performance Disbursements (by loan) Project Loan/Credit/TF Status Currency Original Revised Cancelled Disbursed Undisbursed % Disbursed P170206 IDA-67840 Effective USD 50.00 50.00 0.00 1.65 48.35 3.3% Key Dates (by loan) Project Loan/Credit/TF Status Approval Date Signing Date Effectiveness Date Orig. Closing Date Rev. Closing Date P170206 IDA-67840 Effective 28-Oct-2020 17-May-2021 11-Jun-2021 30-Mar-2026 30-Mar-2026 Cumulative Disbursements PBC Disbursement Achievement Disbursed amount in Disbursement % PBC ID PBC Type Description Coc PBC Amount Status Coc for PBC 2/25/2022 Page 8 of 9 The World Bank Implementation Status & Results Report Modernizing Uzbekistan National Innovation System Project (P170206) Restructuring History There has been no restructuring to date. Related Project(s) There are no related projects. 2/25/2022 Page 9 of 9