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: 1 | ARCHIVED on 29-Jan-2021 | ISR45303 | Implementing Agencies: Ministry of Innovative Development, Republic of Uzbekistan Key Dates Key Project Dates Bank Approval Date: 28-Oct-2020 Effectiveness Date: -- Planned Mid Term Review Date: -- 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 Overall Implementation Progress (IP) -- Moderately Satisfactory Overall Risk Rating -- Moderate Implementation Status and Key Decisions The project was approved by the World Bank Board on October 28, 2020. The Government is completing internal procedures to sign the Financing Agreement in February 2021. 1/29/2021 Page 1 of 8 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 Macroeconomic Moderate -- Moderate Sector Strategies and Policies Moderate -- Moderate Technical Design of Project or Program Moderate -- Moderate Institutional Capacity for Implementation and Moderate -- Moderate Sustainability Fiduciary Moderate -- Moderate Environment and Social Moderate -- Moderate Stakeholders Moderate -- Moderate Other Moderate -- Moderate Overall Moderate -- Moderate Results PDO Indicators by Objectives / Outcomes Market-oriented national innovation system in Uzbekistan IN00947764 ►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 50.00 Date 01-Jun-2020 -- 14-Jan-2021 01-Sep-2025 Number of citable documents that are funded by the Research Excellence Program of the project. Scimago Journal defines citable documents as exclusively articles, reviews and conference papers Comments: (usually called country’s scientific output) that are published during the selected year by a journal. Other equivalent definitions from equivalent or similar organizations can be considered. IN00947765 ►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 24,000,000.00 Date 01-Jun-2020 -- 14-Jan-2021 01-Sep-2025 The total amount of funds dedicated to research commercialization and innovation that are mobilized by Comments: the Research Commercialization Programs (RCP) and Business Investments in R&D Program (BIRD) of the project. Research commercialization includes the value of funds allocated for proof of concept, 1/29/2021 Page 2 of 8 The World Bank Implementation Status & Results Report Modernizing Uzbekistan National Innovation System Project (P170206) prototyping, initial batch of products for testing, and market patenting amongst others, including pure start- up funding. IN00947841 ►SMEs with internationally recognized certification funded by the project (Number, Custom) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 -- 0.00 90.00 Date 01-Jun-2020 -- 14-Jan-2021 01-Dec-2025 Number of SMEs – firms with less than 100 employees – with internationally recognized quality certification, including ISO 9000 or 14000, or HACCP. Internationally recognized quality certification refers exclusively to internationally recognized certifications: ISO (International Organization for Standardization) Comments: for manufacturing and services, HACCP (Hazard Analysis and Critical Control Point) for food (especially, but not exclusively, for seafood and juices), and AATCC (American Association of Textiles Chemists and Colorists) for textiles. Certificates granted only nationally and not recognized in international markets are excluded. Certifications provided by the multinational companies are also included for the purpose. IN00947842 ►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 Yes Date 01-Jun-2020 -- 14-Jan-2021 01-Sep-2025 The indicator captures the adoption of regulations by MID that establish the guiding principles and rules of the allocation of competitive grants to support resesarchers and firms in line with the best international practices for allocation of competitive funds. Best practices require the following attirbutes: (1) meritocracy - the minimum international peer review and autonomy of decision-making body; (2) transparency - the Comments: clarity on the selection criteria and the predictability (advance notice) of proposal calls and procedures on the calls; (3) accountability - a clear responsibility attributed to decision-makers and decision-making process is well documented and the documentation is publicly available to the extent possible on the process and accountability outlining the responsibilities of the parties involved. Intermediate Results Indicators by Components Component 1: Improving research excellence and commercialization IN00947844 ►R&D projects implemented with support of the project (Number, Custom) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 -- 0.00 50.00 Date 01-Jun-2020 -- 14-Jan-2021 01-Sep-2025 Total number of implemented R&D projects financed by Research Excellence Program (REP – US$ 10 Comments: million) of the project. IN00947847 ►Papers submitted for publication in peer-reviewed journals (Number, Custom) Baseline Actual (Previous) Actual (Current) End Target 1/29/2021 Page 3 of 8 The World Bank Implementation Status & Results Report Modernizing Uzbekistan National Innovation System Project (P170206) Value 0.00 -- 0.00 70.00 Date 01-Jun-2020 -- 14-Jan-2021 01-Sep-2025 Number of papers that are submitted for publication in peer-reviewed journals. Submissions do not Comments: necessarily mean publication selection. IN00947851 of which co-authored with international authors (Number, Custom Breakdown) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 -- 0.00 20.00 Date 01-Jun-2020 -- 14-Jan-2021 01-Sep-2025 IN00947853 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 20.00 Date 01-Jun-2020 -- 14-Jan-2021 01-Sep-2025 IN00947854 ►Institutional modernization plans completed (IMP) (Number, Custom) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 -- 0.00 3.00 Date 01-Jun-2020 -- 14-Jan-2021 01-Sep-2025 Number of institutional modernization plans that have been completed with the support of Public Research Comments: Institutes Modernization (PRIM -- US$ 6 million). IN00947856 ►Value of investment in research infrastructure (Amount(USD), Custom) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 -- 0.00 4,500,000.00 Date 01-Jun-2020 -- 14-Jan-2021 01-Sep-2025 Number of research infrastructure projects supported through Public Research Institutes Modernization Comments: (PRIM, US$ 6 million). IN00947858 ►Research commercialization proposals implemented with support of the project (Number, Custom) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 -- 0.00 20.00 Date 01-Jun-2020 -- 14-Jan-2021 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 Comments: allocated for proof of concept, prototyping, initial batch of products for testing, and market patenting amongst others, including pure start-up funding. 1/29/2021 Page 4 of 8 The World Bank Implementation Status & Results Report Modernizing Uzbekistan National Innovation System Project (P170206) IN00947860 of which implemented by female beneficiaries (Number, Custom Breakdown) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 -- 0.00 7.00 Date 01-Jul-2020 -- 14-Jan-2021 01-Sep-2025 Component 2: Promoting innovation in the private sector IN00947845 ►Enterprise R&D projects funded (Number, Custom) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 -- 0.00 30.00 Date 01-Jun-2020 -- 14-Jan-2021 01-Sep-2025 Number of enterprise R&D projects that are funded by the Business Investments in R&D Program (BIRD Comments: program -- US$ 10 Million) of the project. IN00947848 ►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 4,000,000.00 Date 01-Jun-2020 -- 14-Jan-2021 01-Sep-2025 Knowledge-based start-up is a company as defined by international organizations (e.g. UNIDO, OECD) Comments: whose purpose is to bring technology products or services to market. These companies deliver new technology products or services or deliver existing technology products or services in new ways. IN00947850 ►Enterprise-industry research contracts concluded (Number, Custom) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 -- 0.00 15.00 Date 01-Jun-2020 -- 14-Jan-2021 01-Sep-2025 Comments: Number of contractual research agreements concluded between enterprises and industries. IN00947852 ►SMEs that introduced a new product/service (Number, Custom) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 -- 0.00 500.00 Date 01-Jun-2020 -- 14-Jan-2021 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. Comments: Significant improvements include new or significantly improved capabilities or other functions; technical specifications; components and materials; incorporated software; user friendliness. This does not include: 1/29/2021 Page 5 of 8 The World Bank Implementation Status & Results Report Modernizing Uzbekistan National Innovation System Project (P170206) 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 IN00947855 ►Co-sponsor of the Supplier Development Initiative selected by MID (Yes/No, Custom) Baseline Actual (Previous) Actual (Current) End Target Value No -- No Yes Date 01-Jun-2020 -- 14-Jan-2021 01-Sep-2025 The indicator aims to capture MID’s selection of the co-sponsor of the Supplier Development Initiative Comments: (SDI) financed by the Innovation Capabilities Program (ICP, US$10 Million) of the project. IN00947857 ►Grievance mechanism for all grants programs is established and implemented (Yes/No, Custom) Baseline Actual (Previous) Actual (Current) End Target Value No -- No Yes Date 01-Jul-2020 -- 14-Jan-2021 01-Sep-2025 A grievance redress mechanism will be established for each grant program to allow for appeals, Comments: complaints and feedback and ensure that the programs remain transparent, meritocratic and responsive to their targeted beneficiaries. IN00947859 ►Satisfaction rate of grant applicants on the application process (reflecting transparency and meritocracy) (Percentage, Custom) Baseline Actual (Previous) Actual (Current) End Target Value 0.00 -- 0.00 75.00 Date 01-Jul-2020 -- 14-Jan-2021 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 Comments: 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 the subsequent calls for proposals. Component 3 – Supporting STI policy-making and reforms IN00947843 ►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 Yes Date 01-Jun-2020 -- 14-Jan-2021 01-Sep-2025 The indicator aims to capture the agreed between MID and the core NIS stakeholders workplan on the Comments: establishment of the organizations managing research and innovation funding, such as National Science Foundation and Innovation Agency. IN00947846 ►Regulations for the management of research and innovation funding reflecting international best practices agreed between MID and NIS stakeholders (Yes/No, Custom) 1/29/2021 Page 6 of 8 The World Bank Implementation Status & Results Report Modernizing Uzbekistan National Innovation System Project (P170206) Baseline Actual (Previous) Actual (Current) End Target Value No -- No Yes Date 01-Jun-2020 -- 14-Jan-2021 01-Sep-2025 The indicator aims to capture the agreement between MID and NIS stakeholders on the regulations for the Comments: management of research and innovation funding reflecting international best practices. The criteria of best practices are defined under PDO indicators. IN00947849 ►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 -- No Yes Date 01-Jun-2020 -- 14-Jan-2021 01-Sep-2025 The indicator aims to capture the establishment of the TTU; provision of trainings to staff; and the Comments: adoption by MID of knowledge and strategy for research commercialization (as defined in PDO indicators) and policies Performance-Based Conditions Data on Financial Performance Disbursements (by loan) Project Loan/Credit/TF Status Currency Original Revised Cancelled Disbursed Undisbursed % Disbursed Not P170206 IDA-67840 USD 50.00 50.00 0.00 0.00 50.00 0% Effective Key Dates (by loan) Project Loan/Credit/TF Status Approval Date Signing Date Effectiveness Date Orig. Closing Date Rev. Closing Date Not P170206 IDA-67840 28-Oct-2020 -- -- 30-Mar-2026 30-Mar-2026 Effective Cumulative Disbursements 1/29/2021 Page 7 of 8 The World Bank Implementation Status & Results Report Modernizing Uzbekistan National Innovation System Project (P170206) PBC Disbursement Achievement Disbursed amount in Disbursement % PBC ID PBC Type Description Coc PBC Amount Status Coc for PBC Restructuring History There has been no restructuring to date. Related Project(s) There are no related projects. 1/29/2021 Page 8 of 8