Document of The World Bank FOR OFFICIAL USE ONLY Report No: 150301 IMPLEMENTATION COMPLETION AND RESULTS REPORT ON A SMALL GRANT IN THE AMOUNT OF USD1.22 MILLION TO THE INTERNATIONAL CENTRE FOR INTEGRATED MOUNTAIN DEVELOPMENT (ICIMOD) FOR HIMALAYAN UNIVERSITY CONSORTIUM GRANT (P155851) June 30, 2020 Water Global Practice South Asia Region Regional Vice President: Hartwig Schafer Country Director: Hans Timmer Regional Director: John A. Roome Practice Manager: Michael Haney Task Team Leader(s): Shyam KC ICR Main Contributor: Hiromi Yamaguchi ABBREVIATIONS AND ACRONYMS HKH The Hindu Kush Himalayan HUC Himalayan University Consortium IBKF Indus Basin Knowledge Forum ICIMOD International Centre for Integrated Mountain Development MDTF Multi-Donor Trust Fund PDO Project Development Objective SAWI South Asia Water Initiative TABLE OF CONTENTS DATA SHEET .......................................................................................................................... 1 I. PROJECT CONTEXT AND DEVELOPMENT OBJECTIVES ....................................................... 4 II. OUTCOME ...................................................................................................................... 5 III. KEY FACTORS THAT AFFECTED IMPLEMENTATION AND OUTCOME ................................ 10 IV. BANK PERFORMANCE, COMPLIANCE ISSUES, AND RISK TO DEVELOPMENT OUTCOME .. 11 V. LESSONS LEARNED AND RECOMMENDATIONS .............................................................. 13 ANNEX 1. RESULTS FRAMEWORK AND KEY OUTPUTS ........................................................... 14 ANNEX 2. PROJECT COST BY COMPONENT ........................................................................... 21 ANNEX 3. RECIPIENT, CO-FINANCIER AND OTHER PARTNER/STAKEHOLDER COMMENTS ...... 22 ANNEX 4. RECEPIENT’S COMPLETION REPORT ...................................................................... 24 The World Bank Himalayan University Consortium Grant (P155851) DATA SHEET BASIC INFORMATION Product Information Project ID Project Name P155851 Himalayan University Consortium Grant Country Financing Instrument South Asia Investment Project Financing Original EA Category Revised EA Category Not Required (C) Not Required (C) Organizations Borrower Implementing Agency ICIMOD ICIMOD Project Development Objective (PDO) Original PDO The development objective of this grant is to strengthen partnerships of research institutions in the Hindu Kush Himalayan region working on issues of significance to regional water resources management. Revised PDO The development objective of this project is to build a sustainable partnership of research institutions in the Hindu Kush Himalayan region working on issues of significance to regional water resources management. Page 1 of 24 The World Bank Himalayan University Consortium Grant (P155851) FINANCING FINANCE_TBL Original Amount (US$) Revised Amount (US$) Actual Disbursed (US$) Donor Financing TF-A4131 1,020,000 1,220,000 1,219,995 Total 1,020,000 1,220,000 1,219,995 Total Project Cost 1,020,000 1,220,000 1,219,995 KEY DATES Approval Effectiveness Original Closing Actual Closing 16-Dec-2016 23-Jan-2017 30-Jun-2017 31-Dec-2019 RESTRUCTURING AND/OR ADDITIONAL FINANCING Date(s) Amount Disbursed (US$M) Key Revisions 20-Jun-2017 0.00 Change in Loan Closing Date(s) Change in Implementation Schedule 29-Jun-2018 0.97 Change in Results Framework Change in Loan Closing Date(s) Change in Implementation Schedule 22-Aug-2018 0.97 Change in Results Framework Change in Loan Closing Date(s) Change in Implementation Schedule 29-Apr-2019 0.97 Additional Financing Change in Project Development Objectives Change in Results Framework Change in Components and Cost Change in Disbursements Arrangements KEY RATINGS Outcome Bank Performance M&E Quality Moderately Satisfactory Satisfactory Substantial Page 2 of 24 The World Bank Himalayan University Consortium Grant (P155851) RATINGS OF PROJECT PERFORMANCE IN ISRs Actual No. Date ISR Archived DO Rating IP Rating Disbursements (US$M) 01 14-Jun-2017 Moderately Satisfactory Moderately Satisfactory 0.00 02 11-Sep-2018 Moderately Satisfactory Moderately Satisfactory 0.97 ADM STAFF Role At Approval At ICR Regional Vice President: Annette Dixon Hartwig Schafer Country Director: Martin G. Rama Hans Timmer Director: Guangzhe Chen John A. Roome Practice Manager: Meike van Ginneken Michael Haney Task Team Leader(s): Christina Leb Shyam KC ICR Contributing Author: Hiromi Yamaguchi Page 3 of 24 The World Bank Himalayan University Consortium Grant (P155851) I. PROJECT CONTEXT AND DEVELOPMENT OBJECTIVES Context 1. The Hindu Kush Himalayan (HKH) 1 has one of the largest bodies of ice outside the polar ice caps, covering an area of more than 60,000 km22. Moreover, five of the eight HKH countries share twenty major rivers emanating from the Greater Himalayas providing water to 1.3 billion people. Given this transboundary interconnectedness in water resources, regional cooperation is imperative to address knowledge gaps for the correct management and development of water resources, and to contribute to regional stability and sustainable and inclusive growth. Universities and research centers play a crucial role in generating, sharing, and disseminating knowledge on water resources. Moreover, they provide evidence for effective intergovernmental and integrated water resources management, policies, and practice. The Himalayan University Consortium (HUC) was founded in 2007 with a mandate to develop an effective, sustainable network of universities in the HKH, for collaboration with academic, research and knowledge generating and exchange institutions both within and outside the region. It plays a key role in strengthening the research capacity of its members and building the network for long-term partnerships in the area of water resources management and transboundary water cooperation. This Grant was conceived in recognition of the challenges of building cooperation in such a diverse region and was intended to provide critical support to the process of network consolidation and sustainability as the HUC entered its second decade. Project Development Objectives (PDOs) 2. Original PDO: The development objective of this grant is to strengthen partnerships of research institutions in the Hindu Kush Himalayan region working on issues of significance to regional water resources management. Revised PDO: The development objective of this project is to build a sustainable partnership of research institutions in the Hindu Kush Himalayan region working on issues of significance to regional water resources management. The PDO was not changed; however, the wording of the PDO in the Portal was amended to be fully consistent with the Grant Agreement. This is the version used for the outcome section. Key Expected Outcomes and Outcome Indicators 3. The PDO indicators are as follows: (i) Number of active universities/research institutions that actively participate in the HUC network; (ii) Interactive website with searchable database, and E-digest established; and (iii) Number of visiting professors/researchers mobilized to another institution. 1The Hindu Kush-Himalayan (HKH) region encompasses an area of mountains in the eight countries of Afghanistan, Bangladesh, Bhutan, China, India, Myanmar, Nepal, and Pakistan. 2 The total population in the ten major river basins with their headwaters in the HKH is around 1.9 billion, including the 240 million in the mountain and hills of the HKH. ‘Introduction to the Hindu Kush Himalaya Assessment’ by Sharma, Molden, Rahman, Khatiwada, Zhang, Singh, Yao and Wester, 2017. https://link.springer.com/chapter/10.1007/978-3-319-92288-1_1. Page 4 of 24 The World Bank Himalayan University Consortium Grant (P155851) 4. The intermediate indicators are as follows. The intermediate indicator (x) below was added to measure progress of a new component 3 introduced with the additional financing approved on April 29, 2019: (iv) Number of study tours arranged and conducted between institutions to broaden the network and intensify interactions; (v) Number of informal consultations held with IT and librarian teams of current and future member institutions to discuss information-sharing interests; (vi) Number of staff within HUC Secretariat trained in program management; (vii) Number of international conferences on water research and management is organized in the region; (viii) Total number of researchers and professionals trained throughout 10-day field school and 2- week intensive program; (ix) Number of proposals prepared for collaborative research projects; and (x) Number of Indus Basin research partnership meetings. Components 5. The Project consists of the following components: Component 1: Strengthening the Network of Research Institutions (US$ 364,000). Broadening the network and intensifying the interactions among research institutions in the HKH Region for knowledge and information exchange, including through the establishment of a joint web-based platform and study tours between members and/or potential members within and outside the South Asia region and strengthening the capacity of the HUC Secretariat. Component 2: Building Capacity for Collaborative Research. (US$ 656 ,000). Building the capacity of researchers to engage, exchange knowledge and conduct joint research initiatives to strengthen the synergies among HUC institutions by building up collective expertise on water resources management. Component 3: Research coordination in the Indus Basin (US$200,000). Supporting the establishment and operationalization of a secretariat within ICIMOD to facilitate research coordination in the Indus Basin, responsible for, inter alia, research coordination activities, organization of annual meetings and knowledge exchange forums, and outreach activities. II. OUTCOME Assessment of Achievement of Each Objective/Outcome 6. The aim of broadening the existing HUC network was to address the need to enhance the water resource management research capacity across universities and research centers in the HKH region. Given the challenges of building cooperation in such a diverse region, the Bank was well positioned to support this initiative in line with its ongoing support in the region to strengthen water resources management knowledge by building institutional capacity and promoting multi-stakeholder dialogue. Page 5 of 24 The World Bank Himalayan University Consortium Grant (P155851) The PDO reflects the concept. The three PDO indicators and seven intermediate indicators were introduced to measure progress of each activity under the three components, which were designed to achieve the PDO. The analysis of the PDO and intermediate indicators were carried out to assess the achievement of the PDO. 7. Analysis of PDO Indicators (i) Number of active universities/research institutions that actively participate in the HUC network. This indicator was to track the strengthening of the network, i.e. number of Universities, Research Institutes or related institutions that actively participate in network activities, measured by participation in one or more activities per year organized by the network. (e.g. hosting or sending visiting professors, participating in collaborative/seed research funds, participating in workshops, speaking at annual conferences, etc.) The baseline of 33 represents the membership number at the preparation stage. The end target was 40. Sixty-two universities and research institutions became members of the HUC. This outcome exceeded the end target value. As detailed on the ICIMOD website, HUC full members include: 5 from Afghanistan, 4 from Bangladesh; 2 from Bhutan; 14 from China, 18 from India, 3 from Myanmar, 6 from Nepal and 8 from Pakistan (60); and associate members are: 1 from Australia, 2 from Austria, 1 from Mongolia, 2 from Netherlands, 2 from Norway, 1 from Switzerland, 1 from Tajikistan and Kyrgyzstan , 1 from Thailand, 2 from UK and 4 from the USA (17). One third of members which were previously inactive became active in the network, of which three took the lead in key HUC activities such as hosting a Thematic Working Group on Water. Information which indicates how actively each HUC member participates in the network is missing. (ii) Interactive website with searchable database, and E-digest established. As part of the strategy to enhance the partnership of research institutions in the HKH Region, the HUC Secretariat was supposed to establish (i) an information-sharing platform consisting of a website with a functional searchable database, and (ii) an E-digest. An information-sharing platform, HUC Online Portal (http://huc-hkh.org/), was established. A consultant company was contracted to develop an interactive website with a searchable database of HUC member profiles and a prototype of an E-Digest. An independent international domain and server facility and equipment were procured for the purpose. However, the website does not show the full functions as intended. In general, outdated information may not be useful and does not encourage users to re-visit the website. Contribution to achievement of the PDO is limited by this PDO indicator, although the end target value (yes) was achieved. (iii) Number of visiting professors/ researchers mobilized to another institution. Two researchers from participating institutions with relatively weaker institutional capacity will spend time in a university or research institute with higher capacity in the region and one of HUC current/potential associate members with the objective of fostering collaboration and developing future collaborative research projects. Page 6 of 24 The World Bank Himalayan University Consortium Grant (P155851) The HUC Secretariat reported that 14 grant applications were selected as an achievement of the end target (4)3. The indicator was intended to foster collaboration, but this was mostly used to support individual conference participation. The information provided upon each selected applicant’s activity completion report is not sufficient to evaluate whether the impact of the experiences of the 14 selected applicants was consistent with what the project was designed to deliver.4 8. Analysis of intermediate indicators (iv) Number of study tours arranged and conducted between institutions to broaden the network and intensify interactions. With the objective of broadening the network, the Secretariat was supposed to organize knowledge exchange study tours. Participants in this activity were supposed to be university executives, leading scientists and faculty members from HUC members, and those institutions interested in joining the consortium. According to ICIMOD’s completion report, 5 study tours were arranged, including 2 visits by the HUC Secretariat to Bhutan and Bangladesh5 . Study tour participants were expected to be selected from HUC members rather than the HUC Secretariat. While the number of study tours was in line with the indicator target, the impact of these study tours on broadening the network and intensifying interactions cannot be determined from the available information6. (v) Number of informal consultations held with IT and librarian teams of current and future member institutions to discuss information-sharing interests. To enhance the partnership of research institutions in the HKH Region, the HUC was intended to establish an information-sharing platform. In order to disseminate, promote and adapt the website to its users, HUC Secretariat staff was supposed to travel to HUC members to survey the platform and bring them on board. Sixty nine percent of the end target value (35) was achieved. Two workshops were conducted for a total 24 librarians and IT staff from HUC member universities in Bhutan (March 2017) and Bangladesh (May 2017). Participants were introduced to the existing HIMAL-DOC, an online free-access resource of literature on sustainable mountain development administrated by ICIMOD, and trained with data entry, E-Digest feeds, website and database upkeep and maintenance. The deficit in the achievement of the target for this indicator (24 instead of 35) was due to the lack of qualified librarians and IT staff not only of HUC members but also in higher education institutions of the project countries at large, according to ICIMOD. The remaining time after the two workshops could have been used to organize another consultation for “the lack of qualified librarians and IT staff� to improve the capacity. 3 According to the HUC Secretariat, “9 researchers/faculty members received a Conference Grant to present at international conferences; 6 received Mobility Grants; and 11 received support to attend meetings on Mountain Agriculture as parts of continued activities.� 4 ICIMOD did not provide detailed information of the outcomes of each conference, training, and other events in which the selected applicants participated (ICIMOD note of June 19, 2020 in response to the Bank team’s questions of June 5, 2020) 5 Progress report 2019. 6 Information on each of 5 study tours (number of people, titles/level of participants, where and whom they met, when and how long, outcomes of the study tours) requested by the Bank team is missing Page 7 of 24 The World Bank Himalayan University Consortium Grant (P155851) (vi) Number of staff within HUC Secretariat trained in program management. In order to strengthen the institutional sustainability of HUC and ensure a successful implementation of this project, staff members of the Secretariat will be trained in Program Management. The Secretariat’s office was equipped with essential equipment procured by grant funds. ICIMOD reported that by the end of the grant period, the HUC Secretariat was fully functioning with a high managerial and M&E competence to ensure an effective implementation of the Consortium’s activities. The HUC Secretariat reported that the HUC program associate in the secretariat and an assistant professor (HUC member) from Bhutan participated in the training. As only one HUC secretariat staff was trained, this indicator achieved 33 percent of the originally targeted value. (vii) Number of international conferences on water research and management organized in the region. With the objective of building up the capacity and collaboration among institutions, as well as for dissemination of research available in the region, a conference was supposed to be organized in conjunction with HUC annual meetings. This end target (2) was fully satisfactorily achieved. An International Conference was held between October 30- 31, 2017 in Chengdu, China, with the participation of 120 participants (65 international). The HUC Secretariat reported that participants arrived at a consensus over the need for an innovative approach in higher education, focusing on relevance and graduate competencies, shifting to inter-disciplinary and trans-disciplinary approaches in research and training, and building interest and capacity to promote integration across boundaries to address common issues and challenges in the region. The 4th Indus Basin Knowledge Forum (IBKF) was held from August 23-24, 2019 in Kathmandu and brought together around 80 participants from the riparian countries representing different government organizations, academia, civil society organizations and media. Additionally, representatives from other international organizations participated. The end target value of this indicator was changed from Yes to 2, as the new component 3 was expected to deliver one international conference, specifically the 4th IBKF. (viii) Total number of researchers and professionals trained throughout 10-day field school and 2-week intensive program. The project aimed to train professionals, researchers, professors and policy makers through two different programs, the 10-day field workshop and the 2-week intensive program. The 10-day field workshop was supposed to give 18 researchers the opportunity to interact with one another and with leading experts in the field in the world. The 2-week intensive program was to give 15 mid-career faculty members, professionals, and policy makers the opportunity to participate in a 2-week intensive program held in one of HUC associate members’ countries. Although the durations of the workshop and the program were shortened, the target value (33) was 112 percent achieved. The first HUC Academy brought together 22 young researchers and post-graduate students in Kathmandu, Nepal to participate in a 10-day training in July 2017 facilitated by experts from the HKH and beyond. The program provided opportunities for young researchers to engage in cross-disciplinary scholarship. Page 8 of 24 The World Bank Himalayan University Consortium Grant (P155851) The aim was to reach out to a new generation of transformational leaders committed to mountain research and capable of producing consequential knowledge, innovate policies, and environmentally responsible business practices to address mountain challenges from transboundary perspectives. The 12-day intensive program, Asia Pacific Water Leadership Program, co-organized by ICIMOD and ICE WaRM, Australia, April 8-19, 2018, provided a unique opportunity for 15 mid-and senior-level scholars in the HKH to learn of Australian experience in policy reform and improved use and management of water resources. The program focused on integrated river basin management and governance, through the case of Murray-Darling Basin, including various aspects such as gender, ecosystems, social inclusiveness and community engagement, public and private cooperation, and water sharing between sectors and across states. Participants fully recognized the valuable knowledge this exposure brought to them and utilized the interactive opportunity to form new networks and partnerships. Three research proposals were prepared by clusters of selected participants after the completion of the program were among indicators of its lasting impacts. According to ICIMOD, the duration was shortened because costs in Australia were higher than anticipated and exceeded the available budget. It was not reported whether there was an impact on the quality of the program due to its shortened delivery. (ix) Number of proposals prepared for collaborative research projects. The aim was to encourage collaborative research across borders. This indicator tracked the number of joint proposals prepared by HUC members. ICIMOD reported the target value (2) was 100 percent achieved. A proposal titled “Social Resilience to Climate Variability and Change in the Ganga and Brahmaputra Basins�, involving 14 institutions from the UK and HKH countries (Afghanistan, Bangladesh, Bhutan, India, and Nepal) was developed as parts of the HUC WB Seedling Grant and subsequent Thematic Working Group on Climate change. The proposal was submitted to the Global Challenges Research Fund Call in 2019 but was not accepted. The Secretariat has submitted a concept note to the Global Innovation Fund entitled “Conserving Indus Basin as a vital resource for local prosperity; and leveraging local prosperity as an incentive to preserve the vital resource�. The Secretariat will keep looking for other relevant funding opportunities and customize the joint research proposal as required for submission. (x) Number of Indus Basin research partnership meetings. The Secretariat was expected to organize the IBKF and annual meetings of relevant research institutions, members of HUC, academia, relevant government entities, policy and decision makers in the Indus Basin to enhance coordination, cooperation and cross learning. The target value (2) is 100 percent achieved. Since the amendment was countersigned on May 7, 2019, the Secretariat organized an annual working group meeting together with the 4th IBKF from August 23-24, 2019 in Kathmandu and another annual working group meeting from November 22-23, 2019 in Dubai of relevant research institutions, members of HUC, academia, relevant government entities, policy and decision makers and media from the Indus Basin to enhance coordination, cooperation and cross-learning. This indicator was introduced when Component 3 was added at a late stage of implementation (becoming effective on May 7, 2019). This component was designed to build on the HUC network and to broaden the network beyond academia to better connect science with government decision-making. The 4th IBKF together with a working group meeting, and a separate working group meeting were organized. This achievement in a shorter-than- Page 9 of 24 The World Bank Himalayan University Consortium Grant (P155851) planned period is a good indication that partnership has been built and strengthened by the Grant. The Secretariat demonstrated its improved capacity to utilize such partnership efficiently as a result of a series of events and trainings on project management supported by the Grant. Overall Outcome Rating 9. The overall outcome is rated Moderately Satisfactory. Three PDO indicators are rated as satisfactory, moderately unsatisfactory, and moderately satisfactory, respectively, based on the assessment of achievement of each outcome indicator above. 10. The definitions of some indicators in the original Project Paper dated December 23, 2016 were slightly modified by the HUC Secretariat during implementation, leading to subtle differences between Grant aims and ICIMOD deliverables under these indicators, as reflected in the Bank ratings. A number of events including conferences, workshops, trainings, study trips, field trips, learning programs, and grants, which the HUC Secretariat managed, could have contributed to establishing and strengthening partnership among the HUC members, and in this aspect the PDO is evaluated to be achieved. However, the sustainability of the partnerships built cannot be evaluated due to the lack of an agreed definition of sustainable partnership. Other Outcomes and Impacts 11. ICIMOD confirmed that gender equity and social inclusiveness were instituted in every sub-component of the Project, resulting in a total of 50 women participants and grant recipients across all events and from all levels, from early career researchers to Vice Chancellors/Rectors and 32 women participated in the 4th IBKF and Indus Forum Working Group Meetings. One of the key messages from the 4th IBKF, according to ICIMOD’s completion report, was that gender and social inclusion are shared challenges in development priority areas, particularly in the Indus Basin for making research meaningful and impactful, and that adopting inclusive approaches in planning and implementation is essential in ensuring that the voices of marginalized communities, specifically women, are included. The working group deliberated on strengthening the Gender Equality and Social Inclusion at the two-day working group meeting in Dubai on November 22-23, 2019. III. KEY FACTORS THAT AFFECTED IMPLEMENTATION AND OUTCOME 12. Planning Implementation Period: The project was designed for one year and six months implementation period. The South Asia Water Initiative (SAWI) Multi-Donor Trust Fund (MDTF) is the main Trust Fund source for this grant to the HUC. The HUC grant was also co-financed through beneficiary contributions to staff time and in kind (office space and utilities). At the time of the approval of this grant (December 16, 2016), the closing date of the SAWI MDTF was December 31, 2017 and the process of extending the MDTF for one more year was ongoing. Therefore, the nominal closing date of the HUC Grant was initially set to June 30, 2017; and the project paper indicated that the project Page 10 of 24 The World Bank Himalayan University Consortium Grant (P155851) implementation period would be extended by one-year to June 30, 2018 once the MDTF closing date was extended to December 31, 2018. The project was extended as planned in the project paper. 13. Restructurings and Additional Financing: The HUC Grant was signed on January 13, 2017 and declared effective on January 23, 2017. The first restructuring extended the closing date to June 30, 2018 from the original closing date June 30, 2017 as envisioned at the project preparation stage. After the administration agreements for the SAWI MDTF were revised and the closing date of the MDTF extended, the Grant closing date was extended. The second restructuring extended the closing date to August 31, 2018 for the following reasons: (i) to allow for the finalization of the processing of the extension of the closing date of the Trustee fund (SAWI MDTF), which is required as the Trustee would finance the implementation of a new component requested by the client to be included under this Grant; and (ii) to allow additional time to prepare the inclusion of this new component (including the Indus Basin Forum and Indus Basin working group, both considered a logical extension of existing activities) into the Grant. The third restructuring extended the closing date to December 31, 2019, to allow time for the implementation of an additional financing to add a new component to the Grant. The fourth restructuring and additional financing were to: (i) add a grant amount of US$ 200,000; (ii) add a new component; (iii) adjust disbursement estimates (associated with the additional financing); (iv) make changes to the results framework (associated with the new component); and (v) amend the PDO to reflect the Grant Agreement’s PDO. ICIMOD requested to include an additional component to the original HUC Grant focusing on collaborative research in the Indus Basin. In line with the objectives of the original Grant, the additional component was expected to facilitate the collaboration of government and non-government research institutions from the four Indus riparian countries (China, India, Pakistan, Afghanistan) to assess climate change impacts in the Indus Basin and strengthen science-to-policy knowledge exchange. IV. BANK PERFORMANCE, COMPLIANCE ISSUES, AND RISK TO DEVELOPMENT OUTCOME 14. Bank Performance: The Project preparation period was four months. It was initiated on August 11, 2016 and the project was approved on December 16, 2016. The PDO was adequate except the Results Framework did not define how to measure a “sustainable partnership�, which made that particular part of the PDO difficult to assess. The indicators were otherwise adequate, and defined properly in the project paper. 15. The Bank team monitored project implementation progress closely and maintained adequate implementation support throughout its life. As reported in the GRM of May 2017, the risk rating was increased from low at appraisal to modest because of the relatively slow implementation start-up (delayed disbursement-related readiness actions) as the HUC Secretariat was not familiar with the Bank’s operations. By way of mitigation, the Bank team increased its implementation support to ICIMOD. A supervision mission was carried out in November 22, 2017 at ICIMOD in Kathmandu, where the Bank team discussed with the Secretariat and identified support, such as financial management and procurement, the Secretariat required to accelerate the project progress. Ex-post review of Page 11 of 24 The World Bank Himalayan University Consortium Grant (P155851) procurement was carried out starting in late 2017. Bi-annual reports submitted in September 2017 and February 2018 were reviewed and revised repeatedly. The Bank team reviewed and approved the first bi-annual financial monitoring report for FY2017 on December 1, 2017 and the second bi-annual financial monitoring report for FY2017 on April 5, 2018. The Bank team provided regular advice and support to ICIMOD to ensure that they improved their performance. By the time of the first extension to June 30 2018, all planned activities had been initiated and some were nearing completion, and two PDO indicators had been met, one of the two had exceeded the end target (the number of HUC members has increased from 33 to 61), and the disbursement ratio had reached 95 percent. Moreover, the Bank team actively participated in events organized under the grant and supported the participation of additional speakers and attendees. 16. As described in the above paragraph, as soon as the Bank team had observed the HUC Secretariat’s slow start-up, it provided closer supervision support. As a result, the project progressed on track. Thus, the monitoring and evaluation is rated as Substantial. 17. The preparation of additional financing took about one year following ICIMOD’s request of April 26, 2018, mainly because it took time to clarify the incremental operating costs requested by ICIMOD and to reach an agreement between ICIMOD and the Bank. The overall Bank performance is rated satisfactory. 18. Compliance Issues: No Safeguards were triggered at the beginning and with the subsequent restructurings. 19. Financial Management. The project complied with the FM related legal covenants. The overall Financial Management performance of the Project was maintained at Moderately Satisfactory. The lack of experience of ICIMOD with the Bank-financed projects, particularly with regard to Incremental Operating Costs, impacted the Project implementation. This also resulted in delays in financial reporting. The audit reports were received with clean opinions. The lesson learnt has been that, in contrast to Government entities, as non-governmental organizations such as ICIMOD are governed by their own policies with systems set up to follow accordingly in terms of charging operating costs, it is difficult for them to charge Operating Costs as generally defined in the Grant Agreement. It is thus more practicable to follow their procedures for incorporating Operating Costs in the legal agreement. 20. Procurement Management. The project complied with the procurement procedures as outlined in the Grant Agreement. Procurement performance rating of the project throughout project implementation period was rated as “Moderately Satisfactory�. Assessment of procurement management under the Grant indicates that dedicated procurement personnel who possess good experience of the Bank’s procurement procedure and sound procurement knowledge must be deployed for smooth procurement management. 21. Risks to development outcomes: Budget and availability of funds for HUC to maintain an active network were key challenges. ICIMOD reported that currently it no longer has project/program funding. Page 12 of 24 The World Bank Himalayan University Consortium Grant (P155851) This makes the HUC Secretariat resource constrained to continue working on issues of significance to regional water resources management unless it has new relevant projects. It is essential to have a meeting at the end of every event to make fund raising plans. Established network could provide information and more collaboration opportunities. Constant communication is an important tool to maintain network activity. Occasional online events would attract members and for that, an active website with updated and useful information would play an important role. It requires good maintenance. V. LESSONS LEARNED AND RECOMMENDATIONS 22. The HUC was founded in 2007 with a mandate to develop an effective and sustainable network of universities to foster collaboration with academic, research and knowledge generating institutions both within and outside the HKH Region. ICIMOD, with over 30 years of experience as a learning and knowledge-sharing center, has made HUC its sixth Regional Program. The Grant activities benefitted from the HUC and ICIMOD’s long trusted track record. As a result of the Grant, the HUC now has 60 partner institutions, the partnership has been built and strengthened, and the Secretariat has improved project management capacity. It is beneficial for a small grant activity to build on an existing trusted organization’s record. 23. IT technology is a fundamental means to establish and maintain partnerships, particularly during the current COVID-19 pandemic circumstances. An interactive website with searchable database and E- digest can be a useful tool to foster collaboration of researchers. However, constant maintenance and update of the information of the website is a must to motivate users to stay engaged. For that, researchers could be contractually obliged to update material regularly for posting to the website and librarians and IT could be trained together to update website information and notify users. 24. Adequate supervision budget should be provided for Small Grant activities despite their relatively small financing size. Adequate supervision budget to fund the Bank’s team efforts helped . ensure project quality and sustainability. Page 13 of 24 The World Bank Himalayan University Consortium Grant (P155851) ANNEX 1. RESULTS FRAMEWORK AND KEY OUTPUTS A. RESULTS INDICATORS A.1 PDO Indicators Objective/Outcome: To build a sustainable partnership of research institutions in the Hindu Kush Himalayan region working on issues of significance to regional water resources management Unit of Formally Revised Actual Achieved at Indicator Name Baseline Original Target Measure Target Completion Number of Number 33.00 40.00 40.00 62.00 universities/research institutions that actively 28-Oct-2016 30-Jun-2017 31-Dec-2019 31-Dec-2019 participate in the HUC network Comments (achievements against targets): Unit of Formally Revised Actual Achieved at Indicator Name Baseline Original Target Measure Target Completion Interactive website with Yes/No N Y Y Y searchable database, and E- digest established 28-Oct-2016 30-Jun-2017 31-Dec-2019 31-Dec-2019 Comments (achievements against targets): Page 14 of 24 The World Bank Himalayan University Consortium Grant (P155851) Unit of Formally Revised Actual Achieved at Indicator Name Baseline Original Target Measure Target Completion Number of visiting Number 0.00 4.00 4.00 14.00 professor/researchers mobilized to another institution 28-Oct-2016 30-Jun-2017 31-Dec-2019 31-Dec-2019 Comments (achievements against targets): A.2 Intermediate Results Indicators Component: Component 1: Strengthening the Network of Research Institutions Unit of Formally Revised Actual Achieved at Indicator Name Baseline Original Target Measure Target Completion Study tours arranged and Number 0.00 2.00 2.00 5.00 conducted between institutions to broaden the 28-Oct-2016 30-Jun-2017 31-Dec-2019 31-Dec-2019 network and intensify interactions Comments (achievements against targets): Unit of Actual Achieved at Indicator Name Baseline Original Target Formally Revised Measure Completion Page 15 of 24 The World Bank Himalayan University Consortium Grant (P155851) Target Informal consultations held Number 0.00 35.00 35.00 24.00 with IT and librarian teams of current and future member 28-Oct-2016 30-Jun-2017 31-Dec-2019 31-Dec-2019 institutions to discuss information-sharing interests Comments (achievements against targets): Unit of Formally Revised Actual Achieved at Indicator Name Baseline Original Target Measure Target Completion Staff within the HUC Number 0.00 3.00 3.00 3.00 Secretariat trained in Program Management 28-Oct-2016 30-Jun-2017 31-Dec-2019 31-Dec-2019 Comments (achievements against targets): Component: Component 2: Building Capacity for Collaborative Research Unit of Formally Revised Actual Achieved at Indicator Name Baseline Original Target Measure Target Completion International Conference on Yes/No N Y 2* 2 water research and management is organized in 28-Oct-2016 30-Jun-2017 31-Dec-2019 31-Dec-2019 the region Page 16 of 24 The World Bank Himalayan University Consortium Grant (P155851) Comments (achievements against targets): Unit of Formally Revised Actual Achieved at Indicator Name Baseline Original Target Measure Target Completion Total Number of Researchers Number 0.00 33.00 33.00 32.00 and Professionals Trained through the 10-day field school 28-Oct-2016 30-Jun-2017 31-Dec-2019 31-Dec-2019 and 2-week intensive program Comments (achievements against targets): Unit of Formally Revised Actual Achieved at Indicator Name Baseline Original Target Measure Target Completion Number of proposals prepared Number 0.00 2.00 2.00 2.00 for collaborative research projects 28-Oct-2016 30-Jun-2017 31-Dec-2019 31-Dec-2019 Comments (achievements against targets): Component: Component 3: Research coordination in the Indus Basin* Unit of Formally Revised Actual Achieved at Indicator Name Baseline Original Target Measure Target Completion Number of Indus Basin Number 0.00 2.00 2.00 2.00 Page 17 of 24 The World Bank Himalayan University Consortium Grant (P155851) research partnership meetings 18-Sep-2018 31-Dec-2019 31-Dec-2019 31-Dec-2019 Comments (achievements against targets): Page 18 of 24 The World Bank Himalayan University Consortium Grant (P155851) B. ORGANIZATION OF THE ASSESSMENT OF THE PDO Objective/Outcome 1 1. Number of active universities/research institutions that actively participate in the HUC network; 2. Interactive website with searchable database, and E-digest Outcome Indicators established; and 3. Number of visiting professor/ researchers mobilized to another institution. 1. Number of study tours arranged and conducted between institutions to broaden the network and intensify interactions; 2. Number of informal consultations held with IT and librarian teams of current and future member institutions to discuss information- sharing interests; 3. Number of staff within HUC Secretariat trained in program management; Intermediate Results Indicators 4. Number of international conferences on water research and management is organized in the region; 5. Total number of researchers and professionals trained throughout 10-day field school and 2-week intensive program; 6. Number of proposals prepared for collaborative research projects; and 7. Number of Indus Basin research partnership meetings 1. 62 universities and research institutions become members of the Key Outputs by Component HUC (linked to the achievement of the Objective/Outcome 1) 2. HUC website is established 3. 14 grant application to participate conferences were selected Page 19 of 24 The World Bank Himalayan University Consortium Grant (P155851) 4. 5 study tours for both HUC secretariat and HUC members were arranged 5. 24 librarians and IT staff from HUC members were trained 6. 1 staff within HUC Secretariat was trained in program management 7. 2 international conferences on water research and management were held 8. 22 young researchers and post-graduate students in Kathmandu participated in a 10-day training and 15 mid-and senior-level scholars in the HKH participated the 12 days- program 9. 2 proposals prepared for collaborate research projects 10. 2 annual working group meetings were held Page 20 of 24 The World Bank Himalayan University Consortium Grant (P155851) . ANNEX 2. PROJECT COST BY COMPONENT Amount at Approval Actual at Project Percentage of Approval Components (US$M) Closing (US$M) (%) Strengthening the Network .36 .37 103 of Research Institutions. Building Capacity for .66 .65 98 Collaborative Research. Research coordination in the 0 .20 100 Indus Basin Total 1.02 1.22 100 Page 21 of 24 The World Bank Himalayan University Consortium Grant (P155851) ANNEX 3. RECIPIENT, CO-FINANCIER AND OTHER PARTNER/STAKEHOLDER COMMENTS 1. The HUC Grant strengthened the partnership and enhanced the collaborative research capacity among higher education and research institutions, government and civil society organizations and media in the Hindu Kush Himalayan region in the areas of water resource management and sustainable mountain development. The entire grant’s resource, i.e., USD 1, 220,000 was allocated to all planned activities. At the end of the grant duration, 30.27 percent of the total fund was spent on component-I partnership building, 53.34 percent on component-II capacity strengthening while 16.39 percent on component-III research coordination in the Indus Basin. The HUC Grant was instrumental in doubling the number of consortium members, improving the quality of membership, and intensifying the interaction among members. It provided valuable opportunities for young, mid- and senior career researchers to acquire new knowledge and skills in natural resource research and management and to networking regionally and globally. An HUC Thematic Working Group on Water (Water Group) was established, consisting of water scholars and practitioners in 8 HKH countries, and discussed its strategy and priorities of actions. An HUC Online Portal is operating http://huc-hkh.org/, containing a database of member institutions and HUC fellows, serving as a platform to promote knowledge sharing among interested scholars and assisting in members’ engagement. The HUC Grant achieved all, except one, and exceeded some important outcome indicators of the Project’s results framework and monitoring. The Indus Forum (IF) partners is using the IBKF and Indus Forum Working Group as a neutral platform for regional joint researches, knowledge and experience sharing on the impact of climate change and adaptation measures in the basin. 2. Major achievements of the Project include: i) an extended network of higher education institutions focusing on sustainable mountain development and natural resource management in eight regional member countries, doubled in number of members; ii) enhanced quality of membership and intensified interaction among members at all levels, ranging from Vice Chancellors/Rectors to senior/mid and earlier career researchers; iii) a Strategy and Plan for Actions 2018-2025 was drafted and finalized through a wide consultative process, incorporating global learnings from similar higher education consortia and institutions working on relevant issues of natural resource management; iv) enhanced capacity of senior, mid- and earlier career faculty in conducting research on water and natural resource management from inter- and trans-disciplinary perspectives; v) enhanced capacity of librarian and IT staff members of participating institutions in resource sharing through fully functioning HUC Online Platform, containing approximately 50 searchable institutional profiles and 300 individual profiles of researchers and scholars working in the fields of natural resource management and sustainable mountain development studies; vi) enhanced capacity of the HUC Secretariat and selected partners in program and project cycle management and monitoring and evaluation vii) strengthened IBKF and identified key policy areas to focus in the future, viii) strengthened the Indus Forum Working Group through its governance mechanism to support the proposed joint research program on understanding and assessing the impact of climate change in the Indus Basin and ix) Indus Forum Secretariat housed in ICIMOD to support coordination among the partners. Page 22 of 24 The World Bank Himalayan University Consortium Grant (P155851) 3. The Project successfully achieved its planned target outcomes with fine quality thanks to the management-by-result operation on the implementing organization’s part and the increased ownership on the stakeholders’ part. Key learnings are: i) ownership by beneficiaries and stakeholders, as testified in the increased responsiveness and active participation of member universities in a wide range of HUC activities as well as partners from different relevant government department/ministries, development and research organizations and media of the Indus riparian countries ; ii) partnership approach employed by ICIMOD HUC and River Basins and Cryosphere Regional Program, featuring core values of the Consortium and the Indus Forum, namely mountain focus, regional diversity, equity and shared resources and leadership; and iii) frequent, proactive communication, utilizing all possible means including social media and virtual interfaces suitable for selected demographics, while keeping face-to- face interactions core in building and sustaining quality of membership, iv) regional platform provided to the partners to discuss transboundary climate change issues effecting the water resource and communities and deliberate on adaptation measures through science, policy and practice. Page 23 of 24 The World Bank Himalayan University Consortium Grant (P155851) ANNEX 4. RECEPIENT’S COMPLETION REPORT Attached as supporting document. Page 24 of 24