Strengthening Systems for Promoting Science, Technology, and Innovation (KSTA MON 51123) TERMS OF REFERENCE FOR CONSULTANTS 1. The Asian Development Bank (ADB) will engage 77 person-months of consulting services (11 person-months of international, and 66 person-months of national) under two consulting firm contracts: (i) one international consulting firm contract for 11 person-months of international and 21 person-months of national consultants to conduct an in-depth study and assessment on strengthening legal and policy frameworks for science, technology, and innovation (STI); and (ii) one national consulting firm contract for 45 person-months of national consultants to develop online platform for STI. The consulting firms will be selected using the quality- and cost-based selection method (with 90:10 quality cost ratio) and simplified technical proposal. Output-based, lump-sum contracts with a provision for fixed out-of-pocket expenditures will be considered. All consultants will be engaged in accordance with ADB Procurement Policy (2017, as amended from time to time) and the associated project administration instructions/ta staff instructions. The consulting service requirements are summarized below. International Position Summary of Consulting Service Requirements Duration (personmonths) National Position Duration (personmonths) Consulting firm for strengthening legal and policy frameworks for STI STI specialist/team leader 5.0 STI specialist/deputy team leader 8.0 STI data infrastructure specialist 2.0 STI data infrastructure specialist 4.0 STI research infrastructure specialist 2.0 STI research infrastructure specialist 4.0 IPR specialist 2.0 IPR specialist 3.0 Legal specialist 2.0 Subtotal 11.0 21.0 Consulting firm for STI online platform development Information technology specialist/team 10.0 leader Database architect 5.0 Developers 15.0 Functional analysts and testers 15.0 Subtotal 0.0 45.0 Total 11.0 66.0 IPR = intellectual property rights, STI = science, technology, and innovation. Source: Asian Development Bank. A. Consulting Firm 1: Strengthening Legal and Policy Frameworks for Science, Technology, and Innovation 2. The objective of the assignment is to assist the Ministry of Education, Culture, Science and Sports (MECSS) of the Government of Mongolia in strengthening systems for promoting STI by (i) conducting in-depth study of the STI system and assessment of STI data infrastructure in Mongolia, and review of policies and programs adopted by emerging and advanced economies to promote knowledge and technology transfer and commercialization; (ii) identifying gaps to fill and areas to improve in, and drafting amendments to the legal and policy frameworks for intellectual property rights (IPR); and (iii) developing an STI investment plan. The consulting firm will organize various stakeholder and public consultation workshops in coordination with the MECSS to present findings and recommendations of the study, assessment and review, and discuss draft law amendments and investment plan. The firm is expected to work with the other consulting firm which will develop an online platform for STI, in carrying out business analysis based on the scope of the online platform to be defined through the assessment and consultations. 3. The following positions are required:
2 (a) STI specialists (international/team leader, 5 person-months, national/deputy team leader, 8 person-months). The international specialist should have a graduate degree in technology, innovation management, business administration, management, or other relevant discipline, and more than 10 years of experience in conducting research on national innovation systems, and the capacity and incentives of various institutions, organizations, and actors involved in the national innovation systems. Experience with carrying out policy-oriented research and advising governments in developing countries is required. The national specialist should have a graduate degree in technology, engineering, management, public policy or other relevant discipline; more than 8 years of experience in conducting research and development (R&D), especially in firms or in collaboration with firms; and good English speaking and writing skills. The specialists will perform the following tasks: (i) collect data and information on various institutions, organizations, and actors in Mongolia s STI system (e.g., MECSS and relevant ministries, Science and Technology Foundation, Academy of Science, research institutes, universities, Intellectual Property Agency, science parks, incubators, banks and venture capitalists, firms, etc.); (ii) review policies to incentivize firms, and other institutions and organizations to invest in R&D and commercialization in Mongolia; (iii) together with the other specialists, develop a methodology (conceptual and/or analytical framework, research questions, data collection, and analytical methods) to study the capacity (knowledge, skills, resources, performance) of various institutions, organizations, and actors in Mongolia s STI system for R&D, collaboration with other institutions, knowledge and technology transfer, and commercialization, including the capacity of firms to formulate innovation strategy, manage the commercialization process, and access complementary assets; (iv) collect and analyze data and information on the capacity of various institutions, organizations, and actors in Mongolia s STI system and prepare reports and presentation materials; (v) together with the other specialists, develop a methodology and conduct a review of policies and programs to promote knowledge and technology transfer and commercialization, roles of the government in promoting knowledge and technology transfer, and commercialization, legal frameworks for open science and IPR, different funding and business models for online repositories, databases, and marketplace platforms for STI in emerging and advanced economies, with due consideration for their relevance and applicability to Mongolia; (vi) organize workshops to present and discuss findings and recommendations of the study and review with the participation of relevant stakeholders, especially institutions, organizations, and professionals involved in R&D, knowledge and technology transfer, and commercialization (e.g., research institutes, universities, enterprises [large, small- and medium-sized], intellectual property and data professionals, and civil service organizations); (vii) identify and invite to workshops, where relevant, resource persons from national, regional, and international organizations active in the STI field; (viii) together with the other specialists and in consultation with relevant stakeholders, define the structure of, and draft an STI investment plan which (a) identifies and prioritizes investments in research infrastructure and information and communication technology (ICT) platforms, libraries, and
3 (ix) (x) (xi) information archives; (b) considers continuous upgrading and renewal of research and ICT infrastructure, operations and maintenance, and development of skilled professionals to use, operate, and maintain research and ICT infrastructure; and (c) indicates different funding sources and arrangements (public, private, public-private partnerships, and international cooperation) for developing research and ICT infrastructure for STI; organize STI stakeholder workshops to present and discuss draft STI investment plan; as the team and deputy team leaders, ensure the timely completion and submission of milestone reports (para. 4) with clearly defined inputs from the team; and ensure effective coordination among ADB, MECSS, and relevant stakeholders, and efficient preparation and organization of workshops and consultations. (b) STI data infrastructure specialists (international, 2 person-months, national, 4 person-months). The international specialist should have a graduate degree in technology, innovation management, business administration, management, or other relevant discipline, and more than 8 years of experience in conducting research on policy and legal frameworks, human resources, and data infrastructure for promoting STI, including open science, interactive and collaborative learning, and knowledge management. Knowledge of and experience with the development and management of online repositories, databases, and marketplace platforms for STI is desirable. The national specialist should have a graduate degree in technology, engineering, computer science, or other relevant discipline; at least 7 years of experience in developing and managing ICT projects; and good English speaking and writing skills. The specialists will perform the following tasks: (i) review policies, laws and regulations for the creation and usage of data, and ICT infrastructure and services in Mongolia; (ii) collect data and information on existing ICT platforms, libraries, information archives, and databases managed and used by various institutions, organizations, and actors in Mongolia s STI system, as well as the nature of knowledge available and used; (iii) together with the other specialists, develop a methodology and collect and analyze data and information with consideration for geographical dimensions (capital city and provinces, urban and rural areas) on (a) the number and status of data scientists, including relevant education and training institutions and courses, and employment; and (b) general level of ICT infrastructure and use of ICT-enabled services, data literacy, computer, and statistical skills, prepare reports and presentation materials; (iv) together with the other specialists, develop a methodology and conduct a review of different funding and business models for online repositories, databases, and marketplace platforms for STI in emerging and advanced economies with due consideration for their relevance and applicability to Mongolia; (v) organize workshops to present and discuss findings and recommendations of the assessment and review with the participation of relevant stakeholders; (vi) identify and invite to workshops, where relevant, resource persons from national, regional, and international organizations active in the field of online repositories, databases, and marketplace platforms for STI;
4 (vii) together with the other specialists and in consultation with institutions, organizations, and professionals involved in R&D, knowledge and technology transfer, and commercialization, define the scope of an online platform for STI to be developed, including functions, users, operator, funding, and business models to increase knowledge and technology transfer and commercialization; (viii) work with the consulting firm which will develop an online platform for STI, in carrying out business analysis based on the scope of the online platform; (ix) together with the other specialists and in consultation with relevant stakeholders, define the structure of, and draft an STI investment plan which (a) identifies and prioritizes investments in research infrastructure and ICT platforms, libraries, and information archives; (b) considers continuous upgrading and renewal of research and ICT infrastructure, operations and maintenance, and development of skilled professionals to use, operate, and maintain research and ICT infrastructure; and (c) indicates different funding sources and arrangements (public, private, public-private partnerships, and international cooperation) for developing research and ICT infrastructure for STI; and (x) organize STI stakeholder workshops to present and discuss draft STI investment plan. (c) STI research infrastructure specialists (international, 2 person-months, national, 4 person-months). The international specialist should have a graduate degree in technology, innovation management, business administration, management, or other relevant discipline, and more than 8 years of experience in conducting research on national innovation systems, and knowledge, skills, and resources of various institutions, organizations, and actors involved in R&D and knowledge and technology transfer. Experience with carrying out policy-oriented research and advising governments in developing countries is required. The national specialist should have a graduate degree in technology, engineering, management, public policy, or other relevant discipline; more than 8 years of experience in conducting R&D in universities, research institutes, or laboratories; and good English speaking and writing skills. The specialists will perform the following tasks: (i) together with the other specialists, develop a methodology (conceptual and/or analytical framework, research questions, data collection and analytical methods) to study the capacity of various institutions, organizations, and actors in Mongolia s STI system for R&D, collaboration with other institutions, knowledge and technology transfer, and commercialization, with a focus on research infrastructure, including innovation technologies (e.g., e-science, simulation and modeling, artificial intelligence, rapid and virtual reality photo typing), and human resources to use, operate, and maintain research infrastructure as part of institutional or organizational innovation and production systems; (ii) collect and analyze data and information on the capacity of various institutions, organizations, and actors in Mongolia s STI system with a focus on research infrastructure and human resources to use, operate, and maintain research infrastructure and with consideration for geographical dimensions, and prepare reports and presentation materials; (iii) together with the other specialists, develop a methodology and conduct a review of policies and programs to promote R&D and knowledge and technology transfer through the development, continuous upgrading and
5 (iv) (v) (vi) renewal of research infrastructure, including innovation technologies, and human resources to use, operate, and maintain research infrastructure in emerging and advanced economies, with due consideration for their relevance and applicability to Mongolia; organize workshops to present and discuss findings and recommendations of the study and review with the participation of relevant stakeholders, especially, institutions, organizations and professionals involved in R&D, knowledge and technology transfer, and commercialization; together with the other specialists and in consultation with relevant stakeholders, define the structure of, and draft an STI investment plan which (a) identifies and prioritizes investments in research infrastructure and ICT platforms, libraries, and information archives; (b) considers continuous upgrading and renewal of research and ICT infrastructure, operations and maintenance, and development of skilled professionals to use, operate, and maintain research and ICT infrastructure; and (c) indicates different funding sources and arrangements (public, private, public-private partnerships, and international cooperation) for developing research and ICT infrastructure for STI; and organize STI stakeholder workshops to present and discuss draft STI investment plan. (d) Intellectual property specialists (international, 2 person-months, national, 3 person-months). The international specialist should have a graduate degree in intellectual property management, law, technology, innovation management, or other relevant discipline, and more than 8 years of experience in conducting research on national intellectual property systems. Knowledge and experience of intellectual property valuation and patent analysis are required. The national specialist should have a graduate degree in law, intellectual property management, technology, or other relevant discipline; at least 7 years of experience in capturing and protecting intellectual property, and/or brokering between suppliers and users of IPR; and good English speaking and writing skills. The specialists will perform the following tasks: (i) review policies, laws, and regulations on intellectual property and open science in Mongolia; (ii) develop a methodology (conceptual and/or analytical framework, research questions, data collection and analytical methods) to study the functioning of IPR market and availability and competence of intellectual property professionals in Mongolia, with consideration for the appropriability of innovation for firms, and other organizations and institutions through intellectual property protection; (iii) collect and analyze data and information on the functioning of IPR market and availability and competence of intellectual property professionals in Mongolia, and prepare reports and presentation materials; (iv) together with the other specialists, develop a methodology and conduct a review of legal and policy frameworks for IPR and open science in emerging and advanced economies, with due consideration for their relevance and applicability to Mongolia; (v) organize workshops to present and discuss findings and recommendations of the study and review with the participation of relevant stakeholders, especially, institutions, organizations and professionals involved in R&D, knowledge and technology transfer, and commercialization;
6 (vi) identify and invite to workshops, where relevant, resource persons from national, regional, and international organizations active in the field of intellectual property; (vii) together with the other specialists and in consultation with institutions, organizations, and professionals involved in R&D, knowledge and technology transfer, and commercialization, identify gaps to fill and areas to improve in and draft amendments to the legal and policy frameworks for IPR with a view to increasing knowledge and technology transfer and commercialization, and promoting open science; and (viii) organize public consultation workshops to present and discuss draft amendments to the legal and policy frameworks for IPR. (e) Legal specialist (national, 2 person-months). The specialist should have a graduate degree in law and legal professional qualifications; at least 7 years of experience in practicing law, including drafting laws and regulations, and/or preparing amendments to laws and regulations, preferably in the STI system; and good English speaking and writing skills. The specialist will perform the following tasks: (i) collect and review laws, regulations, and policies relevant to STI; (ii) together with the other specialists and in consultation with institutions, organizations, and professionals involved in R&D, knowledge and technology transfer, and commercialization, identify gaps to fill and areas to improve in and draft amendments to the legal and policy frameworks for IPR with a view to increasing knowledge and technology transfer and commercialization, and promoting open science; (iii) organize public consultation workshops to present and discuss draft amendments to the legal and policy frameworks for IPR; (iv) together with the other specialists, identify gaps to fill and areas to improve in the legal and policy frameworks for STI, and ensure that findings and recommendations are incorporated in the process of developing an online platform for STI and draft STI investment plan. 4. Reporting requirements. The team leader will ensure the timely completion and submission of the following milestone reports in English and Mongolian, with clearly defined inputs from the team: (i) an inception report to be submitted by the end of 3rd month after mobilization that will include (a) annotated lists of institutions, organizations, and actors in Mongolia s STI system; (b) review of policies to incentivize firms, and other institutions and organizations to invest in R&D and commercialization; (c) methodology to study the capacity (knowledge, skills, resources, performance) of institutions, organizations, and actors in Mongolia s STI system for R&D, collaboration with other institutions, knowledge and technology transfer, and commercialization with consideration for geographical dimensions, including the capacity of firms to formulate innovation strategy, manage the commercialization process, and access complementary assets as well as research infrastructure, including innovation technologies, and human resources to use, operate, and maintain research infrastructure as part of institutional and organizational innovation and production systems; (d) methodology to conduct a review of policies and programs to promote knowledge and technology transfer and commercialization, roles of government in promoting knowledge and technology transfer, and commercialization, legal frameworks for open science and IPR, different funding and business models for online repositories, databases, and marketplace platforms for STI in emerging and advanced economies; (e) review of
7 policies, laws, and regulations for the creation and usage of data, and ICT infrastructure and services; (f) annotated lists of existing ICT platforms, libraries, information archives, and databases managed and used by institutions, organizations, and actors in Mongolia s STI system with analysis of the nature of knowledge available and used; (g) analytical report on the number and status of data scientists and general level of ICT infrastructure and use of ICT-enabled services, data literacy, computer and statistical skills with consideration for geographical dimensions; (h) presentation materials and summary of feedback from consultation workshops on the assessment of data infrastructure for STI; (i) review of policies, laws, and regulations on intellectual property and open science; and (j) methodology to study the functioning of IPR market and availability and competence of intellectual property professionals, with consideration for the appropriability of innovation for firms, and other organizations and institutions through intellectual property protection; (ii) (iii) an interim report to be submitted by the end of 6th month after mobilization that will include (a) study report of the capacity (knowledge, skills, resources, performance) of institutions, organizations, and actors in Mongolia s STI system for R&D, collaboration with other institutions, knowledge and technology transfer, and commercialization with consideration for geographical dimensions, including the capacity of firms to formulate innovation strategy, manage the commercialization process, and access complementary assets as well as research infrastructure, including innovation technologies, and human resources to use, operate, and maintain research infrastructure as part of institutional and organizational innovation and production systems; (b) study report of the functioning of IPR market and availability and competence of intellectual property professionals, with consideration for the appropriability of innovation for firms, and other organizations and institutions through intellectual property protection; (c) review report of policies and programs to promote knowledge and technology transfer and commercialization, roles of government in promoting knowledge and technology transfer, and commercialization, legal frameworks for open science and IPR, different funding and business models for online repositories, databases, and marketplace platforms for STI in emerging and advanced economies; (d) presentation materials and summary of feedback from workshops on the draft study and review reports; (e) scope of the online platform for STI to be developed, including functions, users, operator, funding, and business models to increase knowledge and technology transfer and commercialization; (f) presentation materials and summary of feedback from workshops on the scope of the online platform for STI; (g) structure of the STI investment plan; and (h) presentation materials and summary of feedback from workshops on the structure of the STI investment plan; a draft final report to be submitted by the end of 9th month after mobilization that will include (a) draft STI investment plan; (b) presentation materials and summary of feedback from STI stakeholder workshops on draft STI investment plan; (c) report on business analysis for the online platform for STI; (d) draft amendments to the legal and policy frameworks for IPR with a view to increasing knowledge and technology transfer and commercialization, and promoting open science; and (e) presentation materials and summary of feedback from public consultation workshops on draft amendments to the legal and policy frameworks for IPR; (case studies, a summary of the Labor Exchange Center s experience with the
8 standardization of public employment services, and training materials on the application of the standards); and (iv) a final report to be submitted by the end of 11th month after mobilization that will incorporate comments from the MECSS and ADB. B. Consulting Firm 2: Science, Technology, and Innovation Online Platform Development 5. The objective of the assignment is to develop an online platform for STI based on its scope defined in consultation with institutions, organizations, and professionals involved in R&D, knowledge and technology transfer, and commercialization with a view to increasing knowledge and technology transfer, and commercialization. The description of the detailed scope (functions, users, operator, funding, and business models) will be included in the request for proposal. 6. The consulting firm is expected to work with the other consulting firm engaged under the technical assistance, which will conduct study and assessment and strengthen legal and policy frameworks for STI, in conducting business analysis for the online platform. 7. To install programs to be used by the online platform operator, the consulting firm may procure desktop and laptop computers. The ownership of the online platform to be developed, including codes, and desktop and laptop computers, will be turned over to the MECSS upon completion of the TA. 8. A key expert position is required, whereas the consulting firm will determine the number of non-key expert positions in the team and propose required person-month allocation to each non-key expert in the technical proposal. 9. Key expert: information technology specialist/team leader (national, 10 personmonths, intermittent). The specialist will have a master s degree in computer science or any related field, and substantial experience in designing and coordinating development of information systems for government agencies, especially as a team leader. Proficiency in English is required. The specialist will undertake the following tasks: (a) establish work plans, and manage and coordinate the team of ICT specialists and their outputs; (b) lead a study of business processes and functional requirements, and produce system requirement specifications and a system design document; (c) lead the team of ICT specialists in developing and testing the information systems; (d) lead the preparation of user manuals; (e) design and conduct operator and user training sessions; (f) organize workshops to present the online platform for STI; and (g) produce the key deliverables. 10. Non-key expert: database architect (national, 5 person-months). The specialist will have a degree in computer science and at least 3 years of database design and development. Proficiency in English is required. The specialist will design databases to support business applications ensuring system scalability, security, performance, and reliability; create and enforce database development standards; and take part in user manual preparation and user training. 11. Non-key expert(s): developer(s) (national, 15 person-months). The specialists will have a degree in computer science and at least 3 years of coding and software development. Proficiency in English is required. The specialist will produce detailed specifications, write the program codes, and take part in user manual preparation and user training.
9 12. Non-key expert(s): functional analyst(s) and tester(s) (national, 15 person-months). The specialists will have a degree in computer science and at least 3 years of experience in business processes, functional analysis, design development, and software testing. Proficiency in English is required. The specialist will analyze business processes and define user needs; write functional files; conduct software testing (including security test, user acceptance test, and operational acceptance test); and take part in user manual preparation and user training. 13. The team leader will ensure the timely completion and submission of the following milestone reports in English and Mongolian: (i) (ii) (iii) (iv) (v) A detailed definition of functions and subsystems of the platform and a detailed work plan to develop the platform; process documentation and system design for the online platform for STI (system requirement specifications and system design document) by the end of second month after mobilization. Screenshots of functions and subsystems of the platform mockup; an updated definition of functions and subsystems of the platform; an activity report, which informs accomplished tasks to date and remaining tasks to be completed against the agreed-upon work plan as well as problems, delays, and their causes by the end of fourth month after mobilization. Screenshots of functions and subsystems of the platform developed; an updated definition of functions and subsystems of the platform; an activity report which informs accomplished tasks to date and remaining tasks to be completed against the agreed-upon work plan as well as problems, delays, and their causes by the end of seventh month after mobilization. A report of software testing, including security test, user acceptance test, and operational acceptance test; user manuals; and a report of operator and user training by the end of ninth month after mobilization. Presentation slides and information materials on the online platform for workshops by the end of 10th month after mobilization. 14. Preparation of Proposal (i) (ii) The consulting firm should prepare a detailed description of how it proposes to develop the key deliverables in a section of its proposal called Approach and Methodology. In this section, the consulting firm should be explicit in explaining how it will develop the key deliverables on time, how it anticipates and will overcome challenges to its timely delivery of the outputs, by describing its experience with similar assignments, in particular, the development of information systems and IT platforms. The consulting firm should include in a section called Personnel Schedule all key and non-key experts required in accordance with the proposed Approach and Methodology. Only one curriculum vitae must be submitted for each key and non-key expert included in the proposal. Only the curriculum vitae of the key expert will be scored as part of the evaluation of technical proposals. The curricula vitae of non-key
10 experts will not be scored. However, ADB will review and individually approve or reject each curriculum vitae for every non-key expert position in the proposal. (iii) All positions proposed for both key and non-key experts must be included and budgeted in the financial proposal, in accordance with the person-month allocation required for each as defined by the consulting firm.