ФТИ буйича Миллий сиёсат 2022-2030

2.1. Progress towards SDGs Uzbekistan adopted 16 national SDGs and 125 corresponding targets in 2018. The implementation of the SDGs coincided with the National Action Strategy for 2017-2021 which have been confirmed as a pathway to achieving the SDGs. On 21 February 2022, the Act No.83 of the Cabinet of Ministers of the Republic of Uzbekistan \"On additional measures to accelerate the implementation of national goals and objectives in the field of sustainable development for period until 2030\" was adopted. The document approved: − the national sustainable development goals and objectives for the period until 2030; − the action plan for the effective realisation of the national sustainable development goals and objectives for the period 2022-2026; − the composition of the coordinating council for the achievement of the national sustainable development goals and objectives until 2030; and − the updated team of experts for the implementation of the SDGs using intersectoral and integrated approaches. In particular, the following objectives are set: − halving the level of poverty in the country by 2030; − increasing the targeted nature and effectiveness of the social protection system, the quality of social services, as well as achieving full coverage of all those in need of social protection; − strengthening food security, improving food rations and promoting sustainable agricultural development; − ensuring a healthy lifestyle and promoting the well-being of people of all ages; − ensuring universal and equitable quality education and access for all to lifelong learning; − accessibility and reasonable use of water resources and sanitation. Uzbekistan’s human development index (HDI) value for 2019 was 0.720 (increased from 0.599 in 2000) which put the country in the high human development category positioning it at 106 out of 189 countries and territories. Its 2019 HDI is below the average of 0.753 for countries in the high human development group and the average of 0.791 for countries in Europe and Central Asia (ECA). In the ECA region, Uzbekistan is compared with Kyrgyzstan and Tajikistan, which have HDIs ranked 120 and 125, respectively. 21 In 2018, 11.4 per cent of the population in Uzbekistan lived below the national poverty line, and the proportion of employed population below $1.90 purchasing power parity a day in 2019 was 19.7 per cent.22 It is estimated that COVID-19 increased poverty levels in 2020. With regards to the Gender Inequality Index (GII), which reflects gender-based inequalities in reproductive health, empowerment, and economic activity, Uzbekistan ranked 62 out of 162 21 https://sustainabledevelopment.un.org/memberstates/uzbekistan 22 https://www.adb.org/countries/uzbekistan/poverty 100

countries in the 2019 index with a GII value of 0.288.23 In spite of the progress made in gender equality, challenges exist in the distribution of gender roles and the segregation of women in the labour market, and asymmetry in higher segments of decision making and managerial positions.24 The Government has prioritized strengthening the role and protecting the rights of women by adopting laws on gender equality, doubling the proportion of women in parliament in 2020 (up to 32 per cent),25 and promoting women to leadership positions at all levels of state and local authorities.26 According to the Chairman of the Senate of Uzbekistan, the share of women in leadership positions in the country has increased to 27 per cent, that of in political parties to 44 per cent, in higher education to 40 per cent and in entrepreneurship to 35 per cent. Furthermore, six women were appointed as the heads of local administrations (“khokims”), and one as an ambassador.27 With these efforts in place, the Strategy for Achieving Gender Equality in Uzbekistan until 2030 was approved. Uzbekistan prioritises mitigation and adaptation to climate change.28 The government established the Republican Commission on Energy Efficiency and the Development of Renewable Energy Sources in 2015, and created a department for improving energy efficiency within the Ministry of the Economy to work with the commission. After signing the Paris Agreement in June 2019, the Uzbek Government approved its Strategy for the Transition to a Green Economy. Specific targets include raising the share of alternative energy generation to 19.7 per cent by 2025, building 25 solar power plants by 2030, and attracting about USD1 billion in private investment to finance the development of green energy sources. Several investment plans were made and actions were taken in solar and wind energy in collaboration with international organisations, notably the World Bank and the Asian Development Bank29 as well as through bilateral cooperation. The efforts for investing in renewable energy have been strengthened with the adoption of the Resolution \"On measures for the development of renewable and hydrogen energy in the Republic of Uzbekistan\"30 in April 2021 which approved the creation of the National Research Institute for Renewable Energy Sources under the Ministry of Energy, and the Interdepartmental Commission for the Development of Renewable and Hydrogen Energy. 2.2. Current status of STI in Uzbekistan STI plays a significant role in the reform process, and there is a strong political will and high- level commitment to achieve innovation-driven development in Uzbekistan. The government announced 2018 as \"The Year of support for Active Entrepreneurship, innovative ideas and 23 http://hdr.undp.org/sites/default/files/Country-Profiles/UZB.pdf 24 https://www.adb.org/sites/default/files/linked-documents/04_UZB%20CPS_LD_ISGA.pdf 25 “According to the results of the parliamentary elections at the end of 2019, [women] accounted for 32 per cent of deputies of the Legislative Chamber of the Oliy Majlis, 25 per cent in the Senate. According to this indicator, Uzbekistan entered the top 50 countries (out of 190), ahead of almost all post-Soviet countries.” (https://parliament.gov.uz/ru/events/opinion/33984/ 26 https://sustainabledevelopment.un.org/memberstates/uzbekistan 27 https://www.gazeta.uz/ru/2021/05/29/gender-equality 28 ibid. 29 UNESCO (2021) UNESCO Science Report: the Race against Time for Smarter Development. (forthcoming) 30 https://cis-legislation.com/document.fwx?rgn=132238 101

technologies\" and 2020 as \"The Year of Development in Science, Education and the Digital Economy\". Over the past five years, President Sh.M. Mirziyoyev has held more than ten meetings with scientists, and five government meetings were devoted to the challenges and prospects of the development of STI in the country. In 2020, it was decided to lay the foundation for new “Renaissance Epoch in Uzbekistan: The Third Renaissance”31 (after the First Renaissance in IX-XII centuries and the Second Renaissance in XIV-XV centuries). The focus of the government policies was identified as radical reform of the healthcare system as well as virtual education under the impact of the COVID-19. Other areas of focus were defined as further investment in increasing the number of doctoral students in universities and research institutes; continued structural reforms to create a competitive environment in the commodity and financial markets; privatisation of state-owned enterprises and entering new export markets, among others.32 The short-term effect of new policies on R&D performance is not yet visible although progress in innovation performance is reflected on the Global Innovation Index in 2020. The gross domestic expenditure on research and development (GERD) as a percentage of GDP was low at 0.1 per cent in 2018 after it stood at 0.2 per cent between 2008 and 2017, according to the UNESCO Institute of Statistics (UIS).33 The business sector and the government each account for around 40 per cent of the GERD. There was also a decrease in the number of researchers (full-time equivalents (FTE) per million habitants) from 572.98 in 2009 to 476.18 in 2018. The share of women in total researchers has also decreased in the same period from 40.69 per cent to 38.27 per cent. In September 2018, the Strategy of Innovative Development of the Republic of Uzbekistan for 2019-2021 was approved with a Presidential Decree.34 The document sets out ambitious goals of placing the country among the top 50 economies in the GII by 2030. To achieve this target, it is aimed to improve scientific excellence; strengthen the links between education, science and industry, and place Uzbek universities among the top 1,000 in the international rankings (notably, QS World University Rankings, Times Нigher Education and the Academic Ranking of World Universities). In 2021, for the first time in the history of independent Uzbekistan, four universities entered the QS World University Rankings in developing countries of Europe and Central Asia. These include the Tashkent Institute of Irrigation and Agricultural Mechanization Engineers (251-300); National University of Uzbekistan named after Mirzo Ulugbek (351- 400); Samarkand State University (351-400) and Tashkent State Technical University (351- 400).35 Most recently, the country has developed two national strategic documents aimed at furthering the development of STI: the “Concept for the Development of Science of the Republic of Uzbekistan until 2030” and the “Strategy of innovative Development of the Republic of Uzbekistan until 2030”. The first document, approved by the Decree of the President of the 31 https://uza.uz/ru/posts/vystuplenie-prezidenta-respubliki-uzbekistan-shavkata-mirziye-30-09-2020 32 http://www.indiplomacy.com/tag/oliy-majlis/ 33 http://uis.unesco.org/en/country/uz?theme=science-technology-and-innovation 34 htps://lex.uz/docs/3913186 35 https://www.topuniversities.com/ 102

Republic of Uzbekistan No. 6097 dated 29 October 2020, outlines a step-by-step development plan in the areas such as: − increasing funds allocated to R&D in GDP with balanced participation of the public and private sectors; − bringing the average age of scientists down to 39 with greater involvement of young specialists in science; − increasing the publication and patent activities of domestic scientists in the country and abroad; − functioning national scientific laboratories; − structural transformations in favour of producing science-intensive and high-tech products with high added value; − promoting scientific achievements in the real sector of the economy. The Strategy of Innovative Development of the Republic of Uzbekistan, covering the period 2022–2030, aims at the development of a continuous (cyclical) ecosystem \"innovation–capital– innovation\" in the process of forming a creative economy, which includes all key stages from the creation of new jobs to the creation of economic value. The document is a continuation of already implemented reforms that aims at Uzbekistan's entry into the world’s 50 leading countries in the GII, and focuses on the following dimensions: − further development of human capital in innovation management; − developing support for start-up initiatives through necessary infrastructure; − stimulating innovative needs of the economy; − increasing the share of innovative enterprises; − increasing innovative activities of regions; − organising innovative clusters; − forming a system to redirect capital to innovation. In line with these developments, the Government of Uzbekistan is actively implementing measures for strengthening the National Innovation System (NIS) and introducing policy instruments aimed at developing human capital for research, supporting the transfer of science and technology, improving innovation financing systems, developing scientific and IT infrastructure, enhancing the education system, promoting competition and reducing administrative barriers. As a result of these efforts, in 2020, Uzbekistan, for the first time after a long period, entered in the Global Innovation Index (GII) ranking at 93rd position among 131 countries and 4th place among Central and Southern Asian countries.36 The country’s highest ranks are in the Innovation Input Sub-Index (81st), in pillars Human Capital and Research (77th), Infrastructure (72nd), and Market Sophistication (27th). The relative strengths for Uzbekistan were identified as Graduates in Science &Engineering (7th), Ease of Starting a Business (8th), and Gross Capital Formation (8th). 36 https://www.wipo.int/edocs/pubdocs/en/wipo_pub_gii_2020.pdf 103

With increased commitment in STI-based development, the Ministry of Innovative Development (MoID) was created in November 2017 for strategy implementation, and the Republican Council on Science and Technology was established in November 2019 for policy formulation and coordination. Furthermore, steps have been taken to reinforce research through the enhancement of the infrastructure and improvement of working conditions in the Academy of Sciences, and the advancement of the status of researchers. In order to improve the national system for STI information and data collection and analysis, and to initiate the practice of evidence-based STI policy-making in Uzbekistan, the Scientific and Technical Information Center was established under the MoID in December 2019. Following its creation, the MoID designed and implemented several STI support programmes. The first measures included the ‘Fund for Support of Innovative Development and Innovative Ideas’, the ‘Presidential Fund for the Commercialisation of the Results of Scientific and Scientific-Technical Activities’ and the “Fund for the Support of Talented Youth of the Youth Academy. With the Presidential Decree No. PD-6198 dated 1 April 2021, these three funds were merged into one which is called the “Fund for Science Financing and Innovation Support”. In recent years, the Government has been increasing the resources allocated to STI, strengthening the legislative framework, increasing human resources, introducing new infrastructure facilities, expanding international cooperation in research and innovation, and introducing mechanisms for co-financing projects with the private sector. In order to improve the regulatory framework for scientific and innovative activities, more than 75 regulatory legal acts have been endorsed which fall under the following categories: − Laws of the Republic of Uzbekistan (2); − Decrees of the President of the Republic of Uzbekistan (5); − Acts of the President of the Republic of Uzbekistan (26); − Acts of the Cabinet of Ministers of the Republic of Uzbekistan (35); − Orders of the Cabinet of Ministers of the Republic of Uzbekistan (7). Within this framework, an important step has been the adoption of legislative acts on the development of science and innovation, notably the Law \"On Science and Scientific Activity\"37 and the Law \"On Innovation Activity\".38 In addition, to support the start-up creation efforts in Uzbekistan, the draft law \"On Start-ups\" has been prepared in order to establish the basis for the formation of a start-up ecosystem in the country. Through the efforts of the MoID in recent years, the government spending on science and innovation has increased significantly. A total of 1,488.3 billion soums were allocated from the state budget since 2018 for the implementation of STI programmes and projects.39 Furthermore, there is a growing interest in the profession of a scientist among younger generation. Since July 37ЗаконРеспубликиУзбекистан №ЗРУ-576 «Онаукеинаучнойдеятельности» от 29.10.2019 г. // https://lex.uz/ru/docs/4571492 38ЗаконРеспубликиУзбекистан №ЗРУ-630 «Обинновационнойдеятельности» от 24.07.2020 г. // https://lex.uz/ru/docs/4910448 39 The annual budget allocation for the last four years has been the following: 198 billion soums in 2018, 347.7 billion soums in 2019, 428.6 billion soums in 2020, 514 billion soums in 2021. 104

2017, the country has introduced a two-level system of postgraduate education for the preparation of Doctor of Philosophy (PhD) and Doctor of Science (DSc). In addition, the number of allocated quotas for the training of scientific and scientific-pedagogical personnel is steadily increasing since 2017. The PhD and DSc quotas has risen from 1,028 and 927 in 2017 to 4,100 and 3,314 in 2022, respectively. Similarly, the quotas allocated for intern researcher increased from 300 in 2020 to 500 in 2022. The scientific and innovative activities in Uzbekistan are conducted by 38 research institutes of the Academy of Sciences, 77 specialised scientific organizations under ministries and departments, as well as 135 higher educational institutions. The Scientific and Technical Councils have been established under the Ministry of Innovative Development, uniting more than 400 academicians, professors and Doctor of Sciences in 18 priority areas of science and technology development, the composition of which are periodically updated. During the last three years, more than 1,000 scientists have been involved in the activities of Scientific and Technical Councils. In addition, under the leadership of the President, steps have been taken to strengthen STI in the regions, including giving regional administrations the authority to promote science and innovation. Together with the Ministry of Innovative Development, regional administrations (“khokimiyats”) started to organise competitions for financing scientific and innovative projects based on the needs of the society and economy in the regions. The list of districts to be transformed into innovation zones has been approved (13 districts have been identified in total) and regional innovation development departments have been established in the structure of the MoID in all regions and the Republic of Karakalpakstan. Moreover, all ministries and departments, local executive authorities, business associations, large organisations with a state share of at least 50 per cent in the authorised fund were called on to assign one of the acting deputy heads as officials responsible for innovation activities (“Chief Innovation Officers”). In line with the international practices, in order to stimulate the development of STI by the private sector and increase the STI investment in this industry, Uzbekistan has started to co- finance research projects of the private sector and industry organizations. The National Venture Fund \"UzVC\" has been created with the objective of creating an infrastructure to support innovative ideas and a start-up ecosystem. Indirect measures are also being implemented, mainly in the form of tax incentives offered in technoparks and other innovative infrastructures. As of March 2022, 15 innovation infrastructures are operating in the country, including technology parks, business incubators, business accelerators and innovation centres. In order to accelerate the implementation of innovative start-up projects and commercialisation of scientific developments, the first scientific start-up accelerator in Uzbekistan, C.A.T. Science Accelerator, was created in 2018 at the Center for Advanced Technologies under the MoID. The accelerator provides training to young scientists on developing business skills, with a focus on the commercialisation of their projects, and offers assistance in creating business models and attracting investments by 105

establishing favourable conditions for the first 2-3 years of company development and providing laboratories for start-ups. Furthermore, the Youth Academy has been established under the MoID with the aim of supporting the initiatives of gifted youth, strengthening the potential of existing scientific schools, as well as developing their innovative potential. The number of members of the Youth Academy has reached 2,800 in 2022. Also, an international internship program launched three years ago for young researchers. As of March 2022, 783 young researchers have completed two-month scientific internships abroad with the support of the Ministry. Notable progress was also achieved in the commercialisation of scientific developments and innovative ideas. Between 2018 and 2021, more than 372 research and innovation results with a total value of 228.8 billion soums were commercialized, and high-tech products valuing 235.3 billion soums of were produced. At the same time, the transfer of advanced foreign technologies was promoted with the investment projects amounting to USD 3.3 million. With the aim of strengthening efforts in these areas, the National Office for Innovation and Technology Transfer (NOVITT) was established in April 2021. Considering the importance of integrating the Uzbekistan with the global innovation ecosystem, partnerships with international organisations have been formed and developed. To date, cooperation has been established with UNESCO, the Islamic Development Bank (IsDB), the World Bank (IBRD), United Nations Development Programme (UNDP) and the German Society for International Cooperation (GIZ). The Government has also strengthened the cooperation with the World Intellectual Property Organization (WIPO) to learn from international experience in improving positions in global rankings. Together with the World Bank, the MoID implements two projects, namely \"The Project of Modernization of the National Innovation System of Uzbekistan\" and \"The Project of Development of Rural Entrepreneurship in the Fergana Valley\". The main goal is to develop effective cooperation between the state, scientific organisations and the private sector in the field of R&D and commercialisation of scientific and innovative products and services, as well as strengthening regional innovation ecosystems. In collaboration with the GIZ a technical assistance project \"Modern Innovation Centers – 2022\" has been launched, as the first innovation focused project of GIZ in Uzbekistan. The project aims at providing advanced training to employees of innovation centres and the main stakeholders of the innovation system, developing a concept for managing innovation centres based on international best practices and raising public awareness about innovation. The MoID also took steps regarding the fight against COVID-19. When World Health Organisation (WHO) announced the pandemic, the Ministry started to collaborate with Zhifei Longcom Biopharmaceutical Co., Ltd. and the Institute of Microbiology of the Chinese Academy of Sciences for clinical trials of the vaccine developed by them. As a result of the direct participation of the Center for Advanced Technologies of the Ministry in drug trials, Uzbekistan was recognised as a co-author of the vaccine. The clinical trials in the country were conducted in accordance with legal and ethical standards, as well as international ‘Good Clinical Practice’. On 1 March 2021, the Uzbek-Chinese vaccine ZF-UZ-VAC 2001 was 106

officially registered in Uzbekistan for use in medical practice under the registration number DV/X 08646/03/21. Soon after, on 15 March, this vaccine was registered in China. In accordance with the national goals, and as a result of the reforms implemented in the country, a holistic management system for science and innovation has been created in Uzbekistan, which includes the following stakeholders: 1) Cabinet of Ministers; 2) Ministry of Innovative Development; 3) Deputy heads of ministries and departments for science and innovation; 4) Territorial departments of innovative development; 5) Vice-Rectors of universities for Science and Innovation; 6) Deputy Directors of the Research Institute for Science and Innovation. To sum up, as of 2022, Uzbekistan has the major institutions that make up the country's innovation system. The roles and responsibilities of the stakeholders that make up of the NIS have been identified, and measures have been taken to promote STI activities. Effective and transparent mechanisms have been introduced based on the international experience to increase innovation performance and to finance projects at the national and regional levels. Simultaneously, the regulatory framework has been updated. The status of scientists in society as well as their working conditions and benefits were improved, and active participation of young people in innovation activities has been ensured. Over the next 10 years, large-scale work will be undertaken to further improve the innovation system and its functioning, to stimulate economically and socially significant and relevant research and innovation, to achieve best practices in increasing interest in science and investment in innovation by the private sector, and to eliminate regional imbalances in innovation performance. 107

3. STI Policy statement of the Republic of Uzbekistan 3.1. STI vision By 2030, the Republic of Uzbekistan will become a country that has achieved its development objectives and the SDGs through socially, economically and environmentally relevant research and innovation. 3.2. STI Policy principles The principles shaping the STI Policy of the Republic of Uzbekistan are the following: 1. The STI Policy is one of the main instruments for Uzbekistan to achieve its objective of becoming a high middle-income country by 2030 by doubling per capita income and reducing poverty and inequality. It is also a key tool to realise the SDGs by strategically investing in research excellence and innovation at national and regional level and creating a vibrant research and innovation ecosystem facilitating the development and dissemination of technological solutions and innovations that eradicate poverty and support sustainable development trajectories. 2. The STI Policy is in alignment with the national sustainable development goals and objective of Uzbekistan for 2030. It also supports and is in line with the Addis Ababa Action Agenda40 which has identified concrete STI policies and actions as key for meeting the SDGs, as well as the Paris Agreement41 which addresses STI issues proposing a framework for enhanced action on technology development and transfer for avoiding dangerous climate change by limiting global warming to well below 2°C and pursuing efforts to limit it to 1.5°C. 3. It is recognised that the implementation of the WHO’s ‘Prescriptions for a healthy, green recovery’ from the COVID-19 crises42 is only possible with the deployment of STI. Therefore, the STI Policy aims at achieving rapid and sustainable recovery from the COVID-19 pandemic while at the same building resilience for future crises and shocks. It seeks to create the conditions to find and scale tools, mechanisms, technologies and innovations that boost economic activity, create jobs and reduce inequalities. 4. The STI Policy focusses on the well-being of citizens and environmental protection in meeting the needs of today while at the same time safeguarding the capacity of future generations to meet theirs. It recognizes the fact that economic, environmental, and social sustainability are interlinked, and if any one of them is weak, the system as a whole is not sustainable. 40 https://sustainabledevelopment.un.org/index.php?page=view&type=400&nr=2051&menu=35 41 https://unfccc.int/process-and-meetings/the-paris-agreement/the-paris-agreement 42 https://www.who.int/news-room/feature-stories/detail/who-manifesto-for-a-healthy-recovery-from-covid-19 108

5. The Policy takes a broad view of innovation, with a clear and specific focus on social and inclusive innovation to address the needs and challenges facing disadvantaged groups (social inclusiveness), laggard firms (industrial inclusiveness) and regions (territorial inclusiveness) to enable all segments of society and economy to participate in and benefit from innovation.43 6. The Policy seeks to engage the stakeholders in the policy implementation process and develop deep partnerships with the research community, private sector firms of all sizes, and the society as a source of innovation. 7. The Policy establishes the framework to benefit from the Fourth Industrial Revolution (Industry 4.0) and the transformative potential of frontier technologies while taking necessary measures to eliminate their potential negative impacts on jobs and address ethical issues. 8. The Policy ensures the establishment and maintenance of a balanced policy mix for greater and sustainable impact. It requires all public entities and STI service providers to work together, avoid duplications, overlaps and inefficiencies in the design and implementation of STI policy instruments. 9. The policy instruments address all stakeholders in the national research and innovation ecosystem. As such, they will not be confined to research performers or technology- based enterprises, but will also target micro, small and medium-sized enterprises from all sectors as well as grass-roots innovators. The policy instruments will include inclusiveness and environment related indicators and targets. 10. The Policy strives to secure long-term, regular and predictable funding for STI with better targeting financial resources to the economic, social and environmental priorities, with a specific focus on poverty eradication, productivity increase, introducing green technologies, job creation, and youth and women’s empowerment. 11. The Policy seeks regional, inter-regional and global cooperation and partnerships that encompasses all types of stakeholders, not only the institutions but also individuals including the diaspora. Building effective international partnerships and successful collaboration with multilateral organisations (notably UNESCO, UNDP, EC, EBRD, World Bank, IsDB and ADB) for the implementation of the Policy and integration into the global STI ecosystem is a prerequisite for the achievement of the STI Policy vision. 3.3. STI Policy targets The STI Policy is an integral part of overall national development policy of the Republic of Uzbekistan. 43 https://en.unesco.org/inclusivepolicylab/learning/inclusive-innovation-policy 109

The main targets to be reached by 2030 include the following:44 − Achieve a ranking among the top 50 countries in the Global Innovation Index. − Achieve a ranking among the top 50 countries in the Human Development Index. − Increase the R&D intensity to 1 per cent (from 0.1 per cent in 2018). − Increase the share of business sector in GERD to 50 per cent (from 40 per cent in 2018). − Increase the number of FTE researchers per million population to 1,000 (from 476.18 in 2018). − Achieve gender parity in research (the share of female researchers was 38.6 per cent in 2019). − Increase the number of scientific and technical journal articles to 1,000 (from 353.91 in 2018). − Double the patent applications (residents) from 374 in 2019. 3.4. Policy pillars and priorities The STI Policy of Uzbekistan is built on three main pillars: − Strengthening STI system and governance. − Implementing a fully-fledged STI policy mix. − Achieving evidence-based policy implementation. Each of these pillars are equally important for the attainment of the STI Policy vision by 2030. The policy priorities under these pillars are indicated in the following table and explained the below. Table 1. STI Policy pillars and priorities of the Republic of Uzbekistan Policy Pillar 1: Policy Pillar 2: Policy Pillar 3: Strengthening STI system Implementing a fully-fledged Achieving evidence-based and governance STI policy mix policy implementation Creating a national science Increasing the economic, Building capacities and agency social and environmental developing skills in STI policy relevance of research and Transforming research innovation, and forming a making and implementation institutes into high-performing creative economy Establishing performance organisations Stimulating innovation in the benchmarking and ranking private sector with a focus on system for research institutes the development of disruptive and universities innovations 44 Baseline data are from the UIS and World Bank. 110

Strengthening STI Developing human capital for Implementing needs intermediaries and service research and innovation and assessment, foresight, active involvement of youth in technology scanning providers STI Producing internationally Supporting regional smart compatible statistics specialisation strategies Building high-quality STI infrastructure Establishing performance benchmarking system for Enhancing the coordination of Encouraging grassroots and regional innovation centres inclusive innovation regions Building resilient open science Encouraging research Systematic monitoring and system excellence and innovation evaluation of policies and through awards and policy instruments competitions A. STI Policy Pillar 1: Strengthening STI system and governance Improving the national STI performance and obtaining the expected social, economic and environmental results depend on the quality and maturity of the STI system and governance. Uzbekistan has been taking steps to create key institutions of the national STI system for the last four years. Within the period to be covered by the STI Policy, actions will be taken to ensure that the system functions fully and effectively with all necessary institutions and mechanisms in place, and becomes the engine of innovation-driven development. The policy priorities to achieve this objective are the following: i. Creating a National Science Agency (NSA): In line with the successful models in developed and developing countries with well-functioning national STI systems and high STI performances, a multi-disciplinary programme implementation institutions (a National Science Agency (NSA)) will be created and made operational. The NSA will have a focus and specialisation in the development and management of policy instruments for scientific research. It will be designed, staffed and operated following the successful models in the world, and will work under the supervision of the MoID. It will strongly be connected with the international institutions and experts to benefit from the knowledge, experience and funding available at international level to contribute to the rapid and sustainable development of Uzbekistan. Considering the fact that the impact of policy instruments depends heavily on the quality of implementation as well as the trust in government action, projects applied to the NSA will be evaluated by independent international experts. The NSA will be allocated with sufficient amount of funds to implement result-oriented policy instruments and will not depend on the annual state budget. It will be equipped with specific skills and strategic capabilities to become specialized in research and innovation programme design and implementation. 111

ii. Transforming research institutes into high-performing organisations: The reform process for the research institutes of the Academy of Sciences will be accelerated and completed to ensure that institutes strive for research excellence and increase their local relevance by conducting economically, socially and environmentally relevant research and commercialisation activities as well as extension services. The transformation process will, inter alia, include further improvement of their research infrastructures, reorientation of research agendas and activities according to the needs of economy, society and environment, development of capacities and skills of managers and researchers for successful management of R&D, innovation, knowledge and technology transfer, and development of a new generation of researchers and research institute leaders. Within this framework, the main focus will also be on supporting leading scientists and research teams, as well as scientific and scientific-pedagogical schools capable of providing an advanced level of education and research, and stimulating scientific and technical creativity of young people. iii. Strengthening STI intermediaries and service providers: In order to facilitate the creation, diffusion and use of knowledge, technology and innovation in Uzbekistan, research and innovation intermediaries and service providers will be strengthened both at national and reginal levels. Specific attention will be paid to promote the establishment of sectoral and thematic NGOs, cluster coordination units and private companies specialized in research and innovation management to assist stakeholders in the national and regional ecosystems and to bridge the gap between them. Recent studies indicate that in the era of Fourth Industrial Revolution, STI intermediaries play a significant role in facilitating co-creation of complex technological solutions by connecting a wide range of stakeholders on the demand and supply side, and hence generate both social and economic value.45 To this end, the intermediaries in technologically advanced regions in Uzbekistan will be equipped with required capabilities to play an essential role in the development and diffusion of solutions through open innovation and digital transformation. One of the most important components of the STI intermediary system will the knowledge and technology transfer structures. For this purpose, a National Knowledge and Technology Transfer Office (NKTTO) will be established by the MoID in order to facilitate the commercialization of research results and the transfer of knowledge from the research institutes and universities to the economy and society. In parallel, a network of regional knowledge and technology transfer units (RKTTUs) will be created and linked with the NKTTO, after piloting the RKTTU scheme in selected regions. The RKTTUs will be equipped with the competencies and tools required to identify the needs of the society, private companies and the public sector in their regions that should be solved through STI, and will work as an interface between the supply and demand 45 https://stip.oecd.org/assets/TKKT/CaseStudies/49.pdf 112

sides. The NKTTO will create and maintain an inventory and portal of research results, innovations, services and competencies of the research institutes, universities, start-ups and established companies that can create economic and social value, and will match the supply with demand. iv. Supporting regional smart specialisation strategies: In order to reduce the regional disparities in Uzbekistan and to address region-specific challenges while at the same time accelerating economic growth and technological development, local and regional innovation ecosystems will be developed and strengthened. For this purpose, smart specialisation strategies (S3) that take into account the potential and strengths of individual regions will be developed and implemented. The process will require the partnership between the public and private sector entities, research and education institutes, civil society organisations as well as the general public. The international experience will be used as a model in S3.46 v. Enhancing the coordination of regional innovation centres: In order to improve the coordination of regional innovation centres in Uzbekistan, the Agency for Innovative Development of Regions (AIDR) will be created under the MoID. The AIDR will act as the government agency which designs and implements technology and innovation development programmes to support projects in the regions in line with their smart specialization strategies. The main goal of the AIDR will be to increase the effectiveness of regional STI performance in order to contribute to the development of regions, allowing them to focus on their strengths and potential in partnership between business, government agencies, research and educational institutions, and civil society organisations. In the meantime, regional innovation development departments will be provided with the competencies and tools necessary to identify the needs of society, public sector organisations and private companies in their regions, which should be met with the help of STI. To reduce regional gaps in the field of STI, the AIDR will develop and strengthen regional innovation ecosystems. Additionally, a mechanism for identifying and monitoring intellectual property (IP) will be introduced in the regions considering the fact that despite the existence of intellectual property legislation in Uzbekistan at international standards, the IP protection is still weak, which undermines the effectiveness of the entire legislative system in this area. This reduces the interest of both local and foreign companies in investing in research and development, as well as the willingness of foreign companies to use technologies jointly with Uzbek companies. This, in turn, will require strengthening the work of the judicial system (including the training of patent attorneys, judges and lawyers) as well as a significant increase in the system's capacity in this area. vi. Building resilient open science system: The importance of open science has been better understood during the COVID-19 crisis by the policy-makers. To create its open science 46 https://s3platform.jrc.ec.europa.eu/what-is-smart-specialisation- 113

system, Uzbekistan will actively be involved in and follow the UNESCO Recommendation on Open Science.47 Moreover, lessons learnt from the pandemic will be used to build an inclusive and resilient system.48 To this end, − a data governance model to allow for open research data by default, while preserving individual privacy will be developed; − regulatory framework that would enable interoperability within the networks of large electronic health records providers, patient mediated exchanges, and peer- to-peer direct exchanges will be provided; − governance system and collaboration between different actors will be established; − incentive and reward framework for researchers will be revised to enable immediate disclosure of data, software and protocols for publication; − required infrastructure (including data and software repositories, computational infrastructure, and digital collaboration platforms) will be established to allow for recurrent occurrences of emergency situations; − adequate human capital and institutional capabilities will be put in place to manage, create, curate and reuse research data, and − access to sensitive research data across borders will be enabled on a more restricted basis in secure environments. B. STI Policy Pillar 2: Implementing a fully-fledged STI policy mix Currently, Uzbekistan implements policy instruments that concentrate on research performers and start-ups, with the primary focus being research commercialization, primarily through start- up projects. Reinforced policy measures are planned under the World Bank funded ‘Modernizing Uzbekistan National Innovation System Project’. Within the period covered by the STI Policy, the priority will be given to create a balanced policy mix addressing the needs of different target groups and regions. In this framework, the policy instruments will not only address research performers or technology-based start-ups, but also target the private sector (in particular SMEs) and grass-roots innovators. Building sustainable STI infrastructure and investing in human capital will be the backbone of the policy mix. To facilitate the implementation of policy instruments and to make sure that they create desired impact, necessary legislative, regulatory and administrative improvements will be implemented. The policy priorities to achieve these objectives are the following: i. Increasing the economic, social and environmental relevance of research and innovation, and forming a creative economy: Mission-oriented policy measures will be designed and implemented in order to ensure that STI activities address societal, economic and environmental challenges. These measures will primarily aim to develop innovative solutions for climate change and environmental degradation; sustainable 47 https://en.unesco.org/science-sustainable-future/open-science/recommendation 48 http://www.oecd.org/coronavirus/policy-responses/why-open-science-is-critical-to-combatting-covid-19-cd6ab2f9/ 114

agriculture and food supply, green energy and water; public health and human wellbeing; inclusive and innovative education, and sustainable rural areas and cities. More intense and targeted support will be provided for the policy instruments focusing on these areas, and they will be implemented under the auspices of the MoID and direct coordination of the Cabinet of Ministers. The main goal during the process of forming a creative economy is to develop a continuous (cyclical) ecosystem \"innovation–capital–innovation\", which will yield all essential results from creating new and decent jobs to generating high economic and social value. Supported research and innovation projects will have a cross-disciplinary aim with wide and large impact, and be implemented in a well-defined time frame. The projects to be supported under these instruments will target multi-stakeholder participation and collaboration between the researcher and innovation performers in Uzbekistan as well as between Uzbek organisations and international partners, including the diaspora. Public procurement for innovation will also be used as a leverage in this process. ii. Stimulating innovation in the private sector with a focus on the development of disruptive innovations: Taking into account the need for economic transformation and development of a competitive and vibrant private sector, innovation activities of the businesses, notable SMEs, will be incentivised, and their innovation skills and performances will be increased. The private sector innovation support programmes will target enterprises from all sectors and sizes, including start-ups, and will use different instruments (such as grants and soft loans) depending on the needs and profile of the target beneficiaries. Tax incentives will be used cautiously taking into consideration that “they are insufficient as a means to guide innovation to broader societal needs, and represent suboptimal instruments to encourage investment in knowledge at the interface between basic research and actual product or process development”, according to the OECD.49 Development of private modes of finance will be stimulated by creating the necessary framework conditions and developing a fund of funds mechanism, establishing seed and venture funds as well as crowdfunding mechanisms, and setting up national and regional angel investors networks. Particular attention will be paid to the development of disruptive innovations resulting in new products and services with characteristics radically different from those already exist and can create new markets. In most cases, such innovations require large investments, but have the potential to create a high number of new and decent jobs as well as broader socio- economic value. 49 https://doi.org/10.1787/25186167 115

In line with the international practices, efforts will also be directed at the development of public-private partnership (PPP) in the field of STI. For this purpose, several measures will be undertaken, notably creating a favourable economic and regulatory environment that facilitates effective interaction between the state, business, science and society; eliminating the asymmetries between the interests of the state and private business; attracting SMEs to targeted programmes and innovative projects; developing antitrust measures to promote competition in knowledge-intensive industries. In order to create an effective system of training and retraining of the necessary personnel in the field of PPP, close cooperation will be established among scientific organisations, employees of PPP structures and leading universities of the country. iii. Developing human capital for research and innovation and active involvement of youth in STI: Human capital, which is shaped by the knowledge, skills and capabilities of individuals, is the most important asset of a country and is the driving force for research, technological development and innovation. Uzbekistan will increase the investments, with a sense of urgency, in building its human capital, especially the young population, with the skills and competencies required to achieve sustainable development. The education system will focus on equipping children with 21st century skills of creativity, critical and innovative thinking, problem solving, entrepreneurship, ICT and digital literacy, communication and collaboration. Educational goals will also include to achieve English proficiency during compulsory education. School managers and teachers will be trained and provided with the required resources to deliver high-quality education, and innovation in education will be given the priority. The education reforms will cover all levels of the education system including the modernization of the TVET system in line with the international good practices. Taking into account the state's plans to bring the coverage of the population with higher education to 50% by 2030, great efforts will be directed at generating high-tech, high- paying decent jobs for university graduates by creating innovation-driven companies and enabling technology transfer from research institutes and universities, as well as attracting investments from world’s leading technology companies. Additionally, measures will be taken to massively involve final-year students studying in STI fields in practical application of science and bringing innovations to life. This will be achieved by including them in the implementation of research projects funded by state grants, as well as offering widespread support for their startup initiatives and projects. In line with international practices, a diaspora programme called \"1000 Talents\" will also be developed to attract compatriots, who have studied and are working abroad, to transfer their rich international experience and extensive contacts to Uzbekistan. It will also contribute to the attraction of research and innovation funds to the country. To be able to initiate this programme, it is important to create appealing living and working conditions in Uzbekistan by establishing innovation hotspots in the country (e.g. 116

Ulugbek Science-Innovation Town) similar to Silicon Valley in the USA, Daedeok Science Town in South Korea and Zhongguancun in China. Specific education and training programmes for the young population, including the young people not in education, employment or training (NEET), will be designed and implemented with a focus on digital skills and entrepreneurship. Selected university departments will be given the task of building human resources with competencies required to develop and introduce modifications to new technologies associated with Industry 4.0. The promotion of STEM education and encouraging young people to take up careers in STI and entrepreneurship will continue to be an area of focus for the government and the education community. Specific attention will be paid to attract girls to STEM subjects and to increase the participation of women in higher education, research and STI-driven entrepreneurship. Researcher development will be an equally important area of focus within the period covered by the STI Policy. A robust framework will be put in place for generating researchers and research institutes’ leaders of the future through education, training and career development support. The number and quality of doctoral and post-doctoral programmes will be increased to create a critical mass of researchers in key STI areas. Nation-wide training programmes will be implemented continuously to increase English proficiency levels of researchers and the management teams of institutes. Researchers’ national and international mobility will be promoted and supported to strengthen the skills, knowledge and competencies to achieve research excellence and effectively address development challenges of Uzbekistan. The managers of the research institutes will participate in short-term exchange programmes and study visits to enhance their management skills. The institutes will be encouraged to participate in international grants schemes and the researchers will be provided with necessary guidance, training and technical assistance for this purpose. Capacity development programmes will also be implemented for management teams, employees and researchers in the private sector to provide them with skills and competencies in innovation and R&D management. These programmes will not only include the formal training, technical assistance and mentorship schemes but also measures to exchange knowledge and experience between research institutes and businesses. iv. Building high-quality STI infrastructure: Uzbekistan will continue to invest in upgrading existing research, innovation, education and knowledge infrastructure, and creating new infrastructure needed for sustainable transformation. This process will use a multi-dimensional framework to ensure the sustainability and utility of the infrastructure that goes beyond physical and technological aspects, and that takes into account usefulness, viability, openness, efficiency, stability, financial sustainability, 117

integrity, governance, transparency, resilience, as well as environmental, social and governance dimensions, and relation to the SDGs.50 Attention will be paid to the regional distribution of the STI infrastructures based on the smart specialisation strategies to be developed. Adequate investment will be made in broadband infrastructure. Access to affordable Internet and other ICT infrastructure by all will be a priority. Key digital technologies, including the emerging technologies such as AI, machine learning, IoT and blockchain, will be used as tools to obtain efficiency gains. Following the international good practices,51 a national roadmap for research infrastructures in Uzbekistan will be developed. The roadmap will serve as a blueprint for the government to set national priorities and to allocate necessary funds. It will also be linked to the regional smart specialisation strategies. The performance, efficiency and effectiveness of existing innovation infrastructures, such as technology parks, innovation centres and business incubators will be assessed and improved for increased impact. The new infrastructures will be created based on robust assessment of the needs and the potential for each type of infrastructure. A mechanism enabling collective access to scientific and innovative infrastructure facilities will be established. The upgrading of the national quality infrastructure will be given the priority for economic diversification and exports facilitation. Required actions will be taken to create laboratory facilities and acquire equipment for metrology, calibration and testing according to the international standards. Furthermore, measures will be taken to create innovation clusters to bring together micro, small, medium and large firms, innovative start-ups, research organisations and public entities operating in regions and sectors in order to stimulate innovative activity and technology transfer through intensive interactions, sharing of infrastructure, exchanging of expertise and knowledge, and attracting talent and highly skilled human capital. v. Encouraging grassroots and inclusive innovation: STI policy instruments will be designed and implemented in order to expand the access to essential goods and services by the rural population as well as the population with low-income level (particularly those living below the national poverty line) and to improve the quality of life of the disadvantaged groups. Grassroots and inclusive innovation schemes will target academics, civil society organisations, social entrepreneurs and citizens who can initiate and implement projects aiming to develop innovative products and services for these target groups. These schemes will identify women and youth as the primary beneficiaries and will also empower them to drive their own future. 50 http://www.oecd.org/finance/Sustainable-Infrastructure-Policy-Initiative.pdf 51 https://www.esfri.eu/national-roadmaps 118

vi. Encouraging research excellence and innovation through awards and competitions: Excellence in the research and innovation will be encouraged and promoted by organising prestigious annual national awards and competitions. The categories will be inclusive and diverse to embrace different segments of target population (such as young researchers, SMEs, large companies, grassroot innovators, young entrepreneurs and women innovators). In order to stimulate the regions to actively engage in the STI-based development process, all awards and competitions will have a regional dimension, and the winners of the regional awards and competitions will compete at the national level. Both regional and national awards and competitions will be highly visible and attractive, and will receive the highest-level support from the government. The researchers and innovators in Uzbekistan will also be encouraged to participate in and/or nominated for international awards, such as the L'Oréal-UNESCO For Women in Science International Awards. C. STI Policy Pillar 3: Achieving evidence-based policy implementation In order to optimise STI policy implementation, ensure accountability and promote continuous improvement, evidence and feedback mechanisms and systems will be put in place. Within this framework, priority will be given to producing internationally compatible R&D and innovation statistics, as well as the other data required for the international ranking systems, such as the GII. The studies under this policy pillar will be initiated by developing capabilities and competencies of the management level staff of the organisations responsible for policies and policy instruments. In this process, active collaboration will be maintained with UNESCO, including the UIS, UNESCO Network of Chairs, Centres and United Nations Inter-Agency Task Team on STI for the SDGs to benefit from the knowledge, experience and tools of the Organisation and to access complementary competencies and resources within the UN Development System. The policy priorities to achieve these objectives are the following: i. Building capacities and developing skills in STI policy-making and implementation: The success of the STI Policy implementation will depend on capabilities and competencies of the management and staff of the organisations responsible for policies and policy instruments. Capacity building activities will be implemented on a continuous basis on policy, project and programme design and implementation at the ministries and other stakeholders of the national and regional innovation ecosystems. These activities will include not only training and technical assistance but also international and national staff exchange and mobility schemes. These efforts will be strengthened by creating an academic programme that offers short- and long-term courses on STI policy and programme design, implementation, monitoring and evaluation. 119

ii. Establishing performance benchmarking and ranking system for research institutes and universities: In order to stimulate continuous improvement and promote research and education excellence, two benchmarking and ranking systems will be developed: one for the research institutes and another one for the universities. The criteria and indicators will not only cover those that measure institutional performance, social, economic and environmental impact, but also knowledge alliances, collaboration and multidisciplinary and interdisciplinary research and teaching. iii. Implementing needs assessment, foresight, technology scanning: Strategic foresight studies will be caried out for the analysis of future trends and signals to anticipate developments, new opportunities and emerging challenges. This will provide the policy- makers with a better understanding of societal needs and priorities for STI policy instruments. Regular technology scanning activities will be conducted to identify cutting-edge developments in STI, technological breakthroughs, emerging innovations and high-potential inventions. The findings of these studies will also inform the private sector, entrepreneurs and research performers. Furthermore, periodic needs assessment studies will be undertaken among direct and indirect beneficiaries of STI policy instruments in order to collect data and information about changing needs, and feed them into the policy actions. iv. Producing internationally compatible statistics: The government, in collaboration with the UNESCO Institute of Statistics will create systems and mechanisms to collect and publish required statistics. Regular data will be collected on R&D and innovation as well as other STI areas such as digital transformation, intellectual property, and those covered by the Global Innovation Index. Moreover, an abstract base of scientific journals will be formed at the national level to promote scientific results and strengthen regional collaboration. v. Establishing performance benchmarking system for regions: In order to assess the STI performances of the regions and promote continuous improvement, a regional benchmarking system will be created and implemented after the development of smart specialisation strategies and initiating systematic regional STI data collection process. The European experience in assessing regional innovation performances will be investigated while developing the benchmarking framework.52 vi. Systematic monitoring and evaluation of policies and policy instruments: To move towards more evidence-based policy-making, improve practice and performance, and to ensure accountability, credible and systematic monitoring and evaluation (M&E) will become an integral part of policy and programme design and implementation in Uzbekistan. The M&E systems will follow international good practices (i.e. ex-ante, interim and ex-post evaluations conducted independently and regularly), and will be used as a key tool in decision-making process to improve, reorient or discontinue a policy or a programme. 52 https://ec.europa.eu/growth/industry/policy/innovation/regional_en 120

4. Policy implementation, M&E and revision The STI Policy of the Republic of Uzbekistan will be implemented by the Ministry of Innovative Development under the auspices of the Cabinet of Ministers. Monitoring will be carried out throughout the implementation of the policy by systematic collection of data. Evaluation will examine the inputs, activities, outputs, outcomes and impacts regarding the STI Policy implementation. It will be conducted independently at regular intervals (preferably every three years). Evaluation will aim, inter alia, to understand how the policy was implemented; identify differences between planned and actual implementation as well as the reasons behind them; determine barriers to and facilitators of implementation; demonstrate the outcomes and impacts, and inform future policies. The STI Policy will be revised by the Ministry of Innovative Development in consultation with the national and regional stakeholders and based on the evidence to be collected. The revisions will take place every five years taking into account the developments at national and global level, using different evidence sources as explained under STI Policy Pillar 3. 121

References ADB, Country Partnership Strategy: Uzbekistan, 2019–2023, https://www.adb.org/sites/default/files/linked-documents/04_UZB%20CPS_LD_ISGA.pdf Cornell University, INSEAD, and WIPO (2020). The Global Innovation Index 2020: Who Will Finance Innovation? Ithaca, Fontainebleau, and Geneva, https://www.wipo.int/edocs/pubdocs/en/wipo_pub_gii_2020.pdf EBRD, Regional Economic Prospects, https://www.ebrd.com/what-we-do/economic-research-and- data/rep.html ILO (2021) ILO Monitor: COVID-19 and the world of work. Seventh edition, 25 January 2021, https://www.ilo.org/wcmsp5/groups/public/@dgreports/@dcomm/documents/briefingnote/wcms_7 67028.pdf) NASA, The Effects of Climate Change, https://climate.nasa.gov/effects/ OECD (2021), OECD Science, Technology and Innovation Outlook 2021: Times of Crisis and Opportunity, OECD Publishing, Paris, https://doi.org/10.1787/75f79015-en OECD, Sustainable Infrastructure Initiative, http://www.oecd.org/finance/Sustainable-Infrastructure- Policy-Initiative.pdf Rossi, F., Caloffi, A., Colovic, A., Russo, M. (2020),”Public innovation intermediaries and digital co- creation. Research contribution to the OECD TIP Co-creation project”. Accessible online [as of 9/12/2020]: https://stip.oecd.org/stip/knowledge-transfer/case- studies UNESCO (2020). Mapping Research and Innovation in the Republic of Uzbekistan. S.Elci. GO-SPIN Country Profiles in Science, Technology and Innovation Policy, vol. 10. United Nations Educational, Scientific and Cultural Organization: Paris. https://unesdoc.unesco.org/ark:/48223/pf0000374566 UN, COVID-19 Response, https://www.un.org/en/coronavirus UN, Goal 13: Take urgent action to combat climate change and its impacts, https://www.un.org/sustainabledevelopment/climate-change/ UNCTAD (2019, Structural transformation, Industry 4.0 and inequality: Science, technology and innovation policy challenges, https://unctad.org/system/files/official-document/ciid43_en.pdf UN/DESA Policy Brief #81: Impact of COVID-19 on SDG progress: a statistical perspective, https://www.un.org/development/desa/dpad/publication/un-desa-policy-brief-81-impact-of-covid- 19-on-sdg-progress-a-statistical-perspective/ UNDP, Human Development Report 2020; The Next Frontier:Human Development and the Anthropocene, Uzbekistan, http://hdr.undp.org/sites/default/files/Country-Profiles/UZB.pdf UNESCO (2021) UNESCO Science Report: the Race against Time for Smarter Development. (forthcoming) WHO Manifesto for a healthy recovery from COVID-19: Prescriptions for a healthy and green recovery from COVID-19, https://www.who.int/news-room/feature-stories/detail/who-manifesto- for-a-healthy-recovery-from-covid-19 122

Definitions of key concepts Evaluation The systematic and objective assessment of an ongoing or completed project, programme or policy, its design, implementation and results. The aim is to determine the relevance and fulfilment of objectives, development efficiency, effectiveness, impact and sustainability. An evaluation should provide information that is credible and useful, enabling the incorporation of lessons learned into the decision-making process of both recipients and donors. ‘Evaluation’ also refers to the process of determining the worth or significance of an activity, policy or programme. (OECD definition) Ex-ante evaluation An evaluation that is performed before implementation of a development intervention. (OECD definition) Ex-post evaluation Evaluation of a development intervention after it has been completed. It may be undertaken directly after or long after completion. The intention is to identify the factors of success or failure, to assess the sustainability of results and impacts, and to draw conclusions that may inform other interventions. (OECD definition) External evaluation The evaluation of a development intervention conducted by entities and/or individuals outside the donor and implementing organizations. (OECD definition) Gender parity Purely a numerical concept; for R&D statistics, gender parity is reached when women represent between 45 per cent and 55 per cent of the total number of researchers. Reaching gender parity in education implies that the same proportion of boys and girls – relative to their respective age groups – would enter the education system and participate in its different cycles. Gross domestic product The sum of gross value added by all resident producers in the economy, including distributive trades and transport, plus any product taxes and minus any subsidies not included in the value of the products. Inclusive innovation Any innovation that helps expand affordable access to quality products and services that create and increase livelihood opportunities for excluded populations. (World Bank definition) Innovation Deriving the benefits from a new or significantly improved product (good or service), or process (such as a new marketing method), or a new organizational method (such as in business practices, workplace organization or external relations). 123

A key point to differentiate innovation from improvement is that innovation derives significantly (as opposed to incrementally) more impact (economic, social and environmental) from existing products, processes and services, or from a combination of proven and new science and technology, to develop new products, processes or services. Innovation should be understood as something new to a local context. It may also include adapting imported technologies to local conditions. Social innovation can similarly be defined with the addition that it simultaneously meets social needs while creating new social relationships or collaborations. In other words, they are innovations that change society and enhance its capacity to act. An important type of innovation that predominantly concerns the least developed and STI lagging countries is inclusive innovation. It refers to any innovation that helps expand affordable access to quality products and services that create and increase livelihood opportunities for excluded populations – on a sustainable basis and with significant outreach. This type of innovation seeks to expand access to essential goods and services, thereby improving quality of life and enhancing economic empowerment through knowledge creation, acquisition, adaption, absorption, and deployment efforts targeted directly at the needs of excluded populations, primarily at the ‘base of the pyramid’ – those earning less than two dollars a day.53 Innovation policy A set of policy instruments and appropriate institutions that assist in the local adoption of technologies and the introduction of new products and services to the market. This may include adapting imported technologies to local conditions. Innovation policy can be characterized in various ways, such as by distinguishing between ‘supply-side’ and ‘demand-side’ policy, or between ‘mission-oriented’ and ‘diffusion oriented’ policy. Policy instruments include financial instruments (e.g. R&D tax credits, export incentives, soft loans, etc.) and regulatory instruments such as laws and binding regulations (e.g. the use of safety equipment for children in cars). Innovation policy encompasses many types of innovation. Innovation may be characterized inter alia by: the type of innovation – technological (product and process) or non-technological (organizational and marketing); the mode of innovation – novel innovator (strategic and intermittent), technology modifier and technology adopters; and the socio-economic impact – incremental, disruptive or radical. Intellectual property (IP) Refers to creations of the mind: inventions, literary and artistic works, symbols, names, images and designs used in commerce. IP is divided into two categories: industrial property, which includes patents, utility models, trademarks, industrial designs and geographical indications of source; and copyright, which includes literary and artistic works such as novels, poems and plays, films, musical works, artistic works such as drawings, paintings, photographs, sculptures and architectural designs. Rights related to copyright include those of performing artists in their 53 World Bank (2013) 124

performances, producers of phonograms in their recordings and those of broadcasters in their radio and television programmes. Mid-term evaluation Evaluation performed towards the middle of the period of implementation of the intervention (OECD definition) Monitoring A continuing function that uses systematic collection of data on specified indicators to provide management and the main stakeholders of an ongoing development intervention with indications of the extent of progress and achievement of objectives and progress in the use of allocated funds (OECD definition) National Innovation Systems Refers to the complex and interactive web of knowledge flows and relationships between industry, government and academia and making them work systematically to sustain innovation and science and technology development efforts. The innovative performance of a country depends to a large extent on how these NIS actors relate to each other as elements of collective system of knowledge creation and use, as well as the technologies they use. (OECD definition) Patent A set of exclusive rights granted by law to applicants for inventions that are new, non- obvious and commercially applicable. It is valid for a limited period of time (generally 20 years), during which patent holders can commercially exploit their inventions on an exclusive basis. In return, applicants are obliged to disclose their inventions to the public in a manner that enables others, skilled in the art, to replicate the invention. The patent system is designed to encourage innovation by providing innovators with time-limited exclusive legal rights, thus enabling innovators to appropriate a return on their innovative activity. Policy mix Refers to the combination of direct and indirect programmes through which financial and non- financial support is provided to target groups. Programme, policy instrument and policy measure The terms used interchangeably to describe an intervention, which is multi-annual and has a pre-defined budget, specific target group and objectives, implementation rules and regulations, as well as a monitoring and evaluation framework. Research and experimental development (R&D) Covers basic research, applied research and experimental development, both formal R&D in R&D units and informal or occasional R&D Researchers Professionals engaged in the conception or creation of new knowledge, products, processes, methods and systems, as well as in the management of the projects concerned 125

Science The systematic study of the physical or material world (natural science) and of society (social science) that generates, or creates, knowledge from which data and information is drawn Science policy Relates to those policies needed to: promote scientific research, determine and select scientific objectives and goals consistent with national plans or strategies, exercise judgment in fixing norms to govern the ways and means by which science is developed, transferred and applied; gather, organize and deploy resources required to pursue the selective objectives and; monitor and evaluate the results obtained from applying the policy. STI An integrated life cycle where science leads to new technologies from which innovations develop. Innovative ways of doing things can change and influence the development of science and how and what technologies are brought forth which, in turn, also influence the innovation process. STI Pplicy cycle Refers to the process through which STI policy-makers define the challenges and needs, identify policy alternatives, select the policy options that yields the greatest impact, implement selected policy options, and monitor and evaluate the results and impacts. Technology The application of scientific knowledge to develop techniques to produce a product and/or deliver a service or as the application of scientific knowledge for practical ends Technology policy The fundamental premise of technological policies is that it is possible for governments to implement public policies to improve social welfare by influencing the rate and direction of technological change. 126

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