Contracting Authority: The European Union

Aid to Uprooted People Programme in Myanmar

Guidelines for grant applicants Budget lines: 19 10 01

Restricted Call for Proposals

Reference: EuropeAid/132-894/L/ACT/MM

Deadline for submission of proposals

9 July 2012 Hand delivery to the EU Delegation to Thailand by 17:30 hrs, Local time or hand delivery to the ECHO Office in Myanmar by 17:00 hrs, Local Time Postal delivery: as evidenced by the date of dispatch, postmark, deposit slip Electronic submission: 17:30 hrs, Bangkok, Thailand, Local Time (Files should be in PDF format and shall not exceed 1 MB of size)

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Notice This is a restricted Call for Proposals. In the first instance, only Concept Notes must be submitted for evaluation. Thereafter, applicants whose Concept Notes have been pre-selected will be invited to submit a Full Application Form through a negotiated procedure. An eligibility check will be performed for those preselected applications which are provisionally selected after the Concept Note stage. This check will be undertaken on the basis of the supporting documents requested by the Contracting Authority.

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Table of contents



1.1 Background........................................................................................................................................... 4 1.2 Objectives of the programme and priority issues ................................................................................. 4 1.3 Financial allocation provided by the contracting authority .................................................................. 5 2. RULES FOR THIS CALL FOR PROPOSALS 5

2.1 Eligibility criteria.................................................................................................................................. 5 2.1.1 Eligibility of applicants: who may apply? .................................................................................... 5 2.1.2 Partnerships and eligibility of partners ......................................................................................... 6 2.1.3 Eligible actions: actions for which an application may be made .................................................. 7 2.1.4 Eligibility of costs: costs which may be taken into consideration for the grant............................ 9 2.2 how to apply and the procedures to follow......................................................................................... 10 2.2.1 Concept Note content.................................................................................................................. 10 2.2.2 Where and how to send Concept Notes ...................................................................................... 11 2.2.3 Deadline for submission of the Concept Notes........................................................................... 12 2.2.4 Further information for Concept Note ........................................................................................ 12 2.3 Evaluation and selection of applications ............................................................................................ 13 2.4 Submission of supporting documents for provisionally selected applications ................................... 16 2.5 Notification of the Contracting Authority’s decision ......................................................................... 17 2.5.1 Content of the decision................................................................................................................. 17 2.6 Conditions applicable to implementation of the action following the Contracting Authority's decision to award a grant .................................................................................................................................. 17 2.7 Early warning system and central exclusion database........................................................................ 18 3. LIST OF ANNEXES 19

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1.1 BACKGROUND The Aid to Uprooted People (AUP) programme is based on the (DCI) Regulation No. 1905/2006 of 18 December 2006 of the European Parliament and of the Council establishing a financing instrument for development co-operation1. Several countries in Asia including Afghanistan, Bangladesh, Indonesia, Myanmar, Nepal, Pakistan, the Philippines, Sri Lanka and Thailand, have benefited from the Programme over the last few years. The aims of the programme for Asia as a whole are to (1) ensure the link between Relief, Rehabilitation and Development in crises involving uprooted people; (2) find durable solutions; (3) promote Peace-Building and Reconciliation; (4) protect of uprooted people; and (5) address the needs of demobilised former combatants and child soldiers. In the context of the Programme the term "Uprooted People" covers: (i) refugees, as defined in the Convention on the Status of Refugees concluded in Geneva on 28 July 1951 and the New York Protocol of 31 January 1967; (ii) displaced persons who have been forced to seek refuge outside their region of origin owing to conflict situation but who do not enjoy refugee status; (iii) former refugees or former displaced persons who have returned to their country or region of origin (returnees). The Programme also aims at providing assistance to the communities hosting the above target groups. The Aid to Uprooted People Programme has been active in Myanmar for nearly ten years. In the past, actions supported under the programme were selected through open Call for Proposals. However, in the present circumstances, there is the need to respond as flexibly and effectively as possible to provide necessary assistance to the following areas of Myanmar: Chin, Kachin, Kayah, Kayin, Mon, Shan and Tanintharyi Division. This is why it has been decided to identify projects to be funded in 2012 through direct negotiation with potential implementing partners. However, given the importance of developing a comprehensive mapping of possible actions to be funded under the Programme, the European Union is launching this Restricted Call which aims at preselecting some Concept Notes for projects to be implemented in the aforementioned geographical areas. The pre-selected Concept Notes will be further developed with applying organisations through direct negotiation. Methodology and procedures which will be implemented during these negotiations and in the following phases which will finally lead to the identification of the projects to be supported under the Programeme are also described in the present guidelines. 1.2 Objectives of the programme and priority issues

The global objective of the AUP Myanmar Programme is to improve the status of uprooted persons in Myanmar, with a specific focus on the most marginalised and vulnerable groups. The specific objectives of this Call for Proposals are:

- to link relief, rehabilitation and development and to support coordinated assistance to uprooted people; - to improve livelihoods and living conditions for IDPs and returnees, including food security, water and
sanitation, access to basic health and education services;

- to provide a degree of protection from forced repatriation or relocation and from other human rights
abuses, as well as support reintegration of displaced population and assistance to those forcibly relocated;

- to promote reconciliation and conflict resolution through community participation and constructive

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The overarching objective of this Call for Proposals is therefore to map potential actions in the above States and Divisions. This identification/mapping exercise will be followed by negotiation with various potential pre-selected partners to better analyse the content of their proposals, develop them, and explore possible synergy with other actors in view of the final identification of the actions. 1.3 FINANCIAL ALLOCATION PROVIDED BY THE CONTRACTING AUTHORITY

The available budget under this call for proposals will be financed by budget line 19 10 01 "Aid to Uprooted People in Myanmar' (AUP Myanmar). The overall indicative amount made available under this Call for Proposals is 7 000 000 EUR.

Size of grants Minimum size of the grant2 is 500 000 EUR The maximum size of the grant is 7 000 000 EUR Any grant requested under this Call for Proposals must fall between the following minimum and maximum percentages of total eligible costs of the action: Minimum percentage = 50% of the total eligible costs of action (see also Section 2.1.4). Maximum percentage = 95% of the total eligible costs of the action

The balance (i.e. the difference between the total cost of the action and the amount requested from the Contracting Authority) must be financed from the applicant's or partners' own resources, or from sources other than the European Union budget or the European Development Fund3. The grant may cover the entire eligible costs of the action if this is deemed essential to carry it out. If that is the case, the applicant must justify the request for full financing during submission of full application. 2. RULES FOR THIS CALL FOR PROPOSALS

These guidelines set out the rules for the submission, selection and implementation of actions financed under this Call, in conformity with the provisions of the Practical Guide to contract procedures for EU external actions, which is applicable to the present call (available on the Internet at this address: 2.1 ELIGIBILITY CRITERIA • applicant(s) which may request a grant (2.1.1), and their partners (2.1.2); • actions for which a grant may be awarded (2.1.3); • types of cost which may be taken into account in setting the amount of the grant (2.1.4). 2.1.1 Eligibility of applicants: who may apply?

There are three sets of eligibility criteria, relating to:

(1) In order to be eligible for a grant, applicants must: • be legal persons and

2 By Size of grant it is intended the share of the requested EU contribution for the action

3 Where a grant is financed by the European Development Fund, any mention of European Union financing must be understood as referring to European Development Fund financing.
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• be non profit making and • be specific types of organisations such as: non-governmental organisations, civil society, , international (inter-governmental) organisations as defined by Article 43 of the Implementing Rules to the EC Financial Regulation4 and • be nationals5 of a Member State of the European Union and other eligible countries as stipulated in the Regulation (EC) No 1905/2006 of the European Parliament and of the Council of 18 December 2006 establishing a financing instrument for development cooperation (DCI Regulation)6. This obligation does not apply to international organisations and • be directly responsible for the preparation and management of the action with their partners, not acting as an intermediary (2) Potential applicants may not participate in calls for proposals or be awarded grants if they are in any of the situations which are listed in Section 2.3.3 of the Practical Guide to contract procedures for EU external actions (available from the following Internet address:; Under the section II the grant application form (“Declaration by the applicant”), applicants must declare that they do not fall into any of these situations.


Partnerships and eligibility of partners

Applicants may act individually or with partner organisations. Participation by local organisations and /or consortium of local and international actors is encouraged. Partners Applicants' partners participate in designing and implementing the action, and the costs they incur are eligible in the same way as those incurred by the grant beneficiary. They must therefore satisfy the eligibility criteria as applicable on the grant beneficiary himself. The following are not partners and do not have to sign the “partnership statement”: • Associates

Other organisations may be involved in the action. Such associates play a real role in the action but may not receive funding from the grant with the exception of per diem or travel costs. Associates do not have to meet the eligibility criteria referred to in section 2.1.1. The associates have to be mentioned in the Application Form section IV “Associates of the Applicant participating in the Action” of the Grant.

4 International organisations are international public-sector organisations set up by intergovernmental agreements as well as specialised agencies set up by them; the International Committee of the Red Cross (ICRC) and the International Federation of National Red Cross and Red Crescent Societies, European Investment Bank (EIB) and European Investment Fund (EIF) are also recognized as international organisations. 5 Such nationality being determined on the basis of the organisation's statutes which should demonstrate that it has been established by an instrument governed by the national law of the country concerned. In this respect, any legal entity whose statutes have been established in another country cannot be considered an eligible local organisation, even if the statutes are registered locally or a “Memorandum of Understanding” has been concluded. 6 Regulation (EC) No 1905/2006 of the European Parliament and of the Council of 18 December 2006 establishing a financing instrument for development cooperation ( DCI Regulation) see in particular the Article 31 of the Regulation and related annexes. Please consult as well the relevant sections of the summary table "General Annex A2b Eligibility of programmes 2007-2013" available under the following link :

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The grant beneficiaries have the possibility to award contracts. Contractors are neither partners nor associates, and are subject to the procurement rules set out in Annex IV to the standard grant contract. • Sub-grantees

The grant beneficiaries may award financial support (sub-grants) to third entities (the sub-grantees). Subgrantees are neither partners nor associates nor contractors. Sub-grantees are subject to the nationality and origin rules set out in Annex IV to the standard grant contract. The applicant will act as the lead organisation and, if selected, as the contracting party (the "Beneficiary"). 2.1.3 Eligible actions: actions for which an application may be made

Definition: An action (or project) is composed of a set of activities. Duration The planned duration of an action may not be lower than 24 nor exceed 48 months. Location Geographical focus of the action: the action must take place in one or several of the following areas : Chin, Kachin, Kayah, Kayin, Mon, Shan states and Tanintharyi Division. Cross border actions will not be supported7. Type of Action(s)/sector(s) and activities Coherently with the global and specific objectives described in these guidelines, initiatives to be supported under the AUP Myanmar should include the provision of assistance to uprooted people in a wide range of sectors including protection, health, education, livelihoods and water and sanitation. Actions aiming at the construction or rehabilitation of infrastructure can be funded under the AUP. Projects promoting community mobilisation, reconciliation, conflict prevention or resolution can also be supported. Expected results The expected results of the programme include: - assistance to uprooted people is well-structured and synergised - livelihoods and food security of the target groups improved - nutrition and health status, including rates of access to health services, maintained or improved - equitable access to pre-school and basic education of uprooted people improved - access to water and basic sanitation facilities improved - levels of protection of and assistance to uprooted groups improved - voluntary repatriation assisted - reconciliation efforts and constructive engagement enhanced - community participation and ownership strengthened Main activities (indicative) In terms of sectors of intervention, actions all possible sectors can be proposed as far as they address the needs of the target groups, contribute to the specific objectives of the Programme and the expected results.


For the purpose of this call a "cross border" action is one which is managed from a country neighbouring Myanmar (without the NGO having its headquarter or a branch in Myanmar) while activities either take place within Myanmar, necessitating border crossings by project personnel and/or project beneficiaries/participants or in a neighbouring country, requiring informal border crossings by beneficiaries/participants or activities taking place in the areas which do not allow an acceptable level of monitoring visits.

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This means that actions can be implemented in the following sectors (not exclusive): health, education, water and sanitation, infrastructure, livelihoods protection.

- studies, workshops and seminars in support of coordinated initiatives aiming to improve assistance to

- capacity building of target communities and local authorities through training in agriculture and livestock
production, farming techniques, and advocating for access to land; improved knowledge and marketing, training on income generation and promotion of off farm income generation;

- provision of primary health care, nutrition and reproductive health services (including family planning),
prevention, diagnosis and treatment of malaria and tuberculosis, through local service delivery points and community based services; training of service providers; provision of essential drugs, commodities, and equipment;

- construction and maintenance of water supply systems and latrines; provision of related supplies and
materials; hygiene education;

- support to early childhood and primary education, non-formal education, and, where appropriate, mine
risk education, through trainings and provision of supplies and materials;

- awareness raising of local and national authorities and hosting communities on protection of IDPs and
returnees from human rights abuses;

- coordination meetings and networking aimed at strengthening cohesion and mutual understanding
between displaced groups and hosting communities. Particular attention should be paid to cross-cutting issues contributing to (i) increasing the participation of women in view of improving gender equality, (ii) fostering environmental sustainability particularly in the context of income generation projects and water and sanitation projects, (iii) promoting basic rights especially of the most vulnerable groups including children and people with disabilities, (iv) promoting of good governance, and(v) HIV/AIDs prevention and awareness raising activities. All actions should promote ownership by the beneficiary population and participatory approach in the management of projects. Actions implemented in partnership with local organisations should demonstrate how the partners will be empowered so as to contribute effectively to the implementation of the action, and also provide the adequate technical and financial resources. Sub-granting In order to support the achievement of the objectives of the action, and in particular where the implementation of the action proposed by the applicant requires financial support to be given to third parties, the applicant may propose awarding sub-grants. However, sub-granting may not be the main purpose of the action and it must be duly justified. In case where the applicant foresees to award sub-grants, it has to specify in its application the total amount of the grant which may be used for awarding sub-grants as well as the minimum and maximum amount per sub-grant a list with the types of activity which may be eligible for sub-grants must be included in the application, together with the criteria for the selection of the beneficiaries of these sub-grants. The maximum amount of a sub-grant is limited to EUR 10.000 per third party while the total amount which can be awarded as sub-grants to third parties is limited to EUR 100.000. Visibility Note that the applicant must comply with the objectives and priorities and guarantee the visibility of the EUfinancing (see the Communication and Visibility Manual for EU external actions laid down and published by the European Commission at (see

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Ineligible actions The following types of action are ineligible: • • • • • actions concerning only or mainly individual sponsorships for participation in workshops, seminars, conferences, congresses; actions concerning only or mainly individual scholarships for studies or training courses; cross border actions; actions targeting any other geographic area than those indicated in this Call for Proposals; direct food assistance

Number of applications and grants per applicant An applicant may submit more than 1 application but not more than 2 applications under this Call for Proposals provided that the proposed actions are different in nature from each other. An applicant may not be awarded more than 2 grants under this Call for Proposals. An applicant may at the same time be partner in another application but not more than in 2 applications under this Call for Proposals provided that the proposed actions are different in nature from each other. Partners may take part in more than one application but not more than in 2 applications under this Call for Proposals provided that the proposed actions are different in nature from each other. Should one entity sign more than two "Declaration by Applicant" and/or more than two "Partnership Statement", all applications bearing the organisation's name will be automatically rejected (i.e. applications as lead applicant and as partner).


Eligibility of costs: costs which may be taken into consideration for the grant

Only "eligible costs" can be taken into account for a grant. The categories of costs considered as eligible and non-eligible are indicated below. The budget is both a cost estimate and a ceiling for "eligible costs". Note that the eligible costs must be based on real costs based on supporting documents (except for subsistence costs and indirect costs where flat-rate funding applies). Recommendations to award a grant are always subject to the condition that the checking process which precedes the signing of the contract does not reveal problems requiring changes to the budget (for instance arithmetical errors, inaccuracies or unrealistic costs and other ineligible costs). The checks may give rise to requests for clarification and may lead the Contracting Authority to impose modifications or reductions to address such mistakes or inaccuracies. The amount of the grant and the percentage of the EU co-financing as a result of these corrections may not be increased. It is therefore in the applicant's interest to provide a realistic and cost-effective budget. Eligible direct costs To be eligible under the Call for Proposals, costs must comply with the provisions of Article 14 of the General Conditions to the Standard Grant Contract (see Annex G of the Guidelines). Note that taxes, including VAT will only be accepted as eligible costs when the Beneficiary (or, where applicable, its partners) can show it cannot reclaim them. Taxes shall in such case be included in the Budget of the Action under each heading Information on taxes can be found in Annex J to these Guidelines.

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The decision8 on the eligibility of taxes will be taken by the Contracting Authority either at the time of the award decision or at the latest at contracting stage for those proposals awarded. The evaluation committee will assess the potential eligibility of the taxes on a case by case basis. Contingency reserve A contingency reserve not exceeding 5% of the estimated direct eligible costs may be included in the Budget of the Action. It can only be used with the prior written authorisation of the Contracting Authority. Eligible indirect costs (overheads) The indirect costs incurred in carrying out the action may be eligible for flat-rate funding fixed at not more than 7% of the estimated total eligible direct costs. Indirect costs are eligible provided that they do not include costs assigned to another heading of the budget of the standard grant contract. The applicant may be asked to justify the requested percentage before contracting. However, once the flat-rate has been fixed in the special conditions of the standard grant contract, no supporting documents need to be provided. If the applicant is in receipt of an operating grant financed from the EU, no indirect costs may be claimed within the proposed budget for the action. Contributions in kind Contributions in kind are not considered actual expenditure and are not eligible costs. The contributions in kind may not be treated as co-financing by the Beneficiary. Notwithstanding the above, if the description of the action as proposed by the Beneficiary foresees the contributions in kind, such contributions have to be provided. Ineligible costs The following costs are not eligible: – debts and debt service charges – provisions for losses or potential future liabilities; – interest owed; – costs declared by the beneficiary and covered by another action or work programme; – purchases of land or buildings, except where necessary for the direct implementation of the action, in which case ownership must be transferred to the final beneficiaries and/or local partners, at the latest by the end of the action; – currency exchange losses; – credit to third parties. 2.2

Registration in PADOR is obligatory for all applicants and all their partners by the deadline of the submission of the Concept Notes. PADOR is an on-line database in which organisations register themselves and update regularly their data, through the Europeaid website: Before starting the registration of your organisation in PADOR, please read the "Quick guide" available on the website. It explains the registration process. Applicants have to indicate on the paper version of the proposal the EuropeAid ID (EID). To get this identification, your organisation must register, save and "sign" (committing your responsibility) in PADOR obligatory data (on each screen the fields written in orange) and the related documents (see section 2.4).


The Contracting authority will analyse the tax legal framework within the country where the action is to be implemented to sustain its decision on the eligibility of taxes.

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Notwithstanding the above, if the organisation is in a situation where it is impossible to register in PADOR, it shall submit a justification proving that such impossibility is of a general nature and goes beyond the control of the applicant and or its partner(s). In this case, the applicant and/or the partners concerned shall complete the "PADOR off-line form"9 in annex of these Guidelines and send it by the submission deadline along with the application to the address indicated in sections 2.2.2. Subsequently, the registration in PADOR will be initiated by the European Commission. If, at a later stage, the organisation wishes to update itself its data, an access request will have to be sent to the PADOR helpdesk. All questions related to the registration in PADOR should be addressed to the PADOR helpdesk at:


Concept Note content

Applications must be submitted in accordance with the instructions on the Concept Note included in the Grant Application Form annexed to these Guidelines (Annex A). • Applicants must apply in English. • In the Concept Note, the applicants must only provide an estimate of the amount of contribution requested from the Contracting Authority. The applicant is free to adapt the percentage of co-financing, if any, as laid down in the present Guidelines under section 1.3. • Only the applicants invited to submit a full application in the second phase will be required to present a detailed budget. • Any error or major discrepancy related to the points listed in the instructions on the Concept Note may lead to the rejection of the Concept Note. • Clarifications will only be requested when information provided is unclear, thus preventing the Contracting Authority from conducting an objective assessment. • Hand-written Concept Notes will not be accepted. • Please note that only the Concept Note form will be evaluated. It is therefore of utmost importance that this document contain ALL relevant information concerning the action. No additional annexes should be sent. 2.2.2 Where and how to send Concept Notes

Concept Note submission by regular post, hand delivery, and private courier service The Concept Note together with the Checklist for the Concept Note (Part A section 2 of the grant application form) and the Declaration by the applicant for the Concept Note (Part A section 3 of the grant application form) must be submitted in one original and three (3) copies in A4 size, each bound. Concept Notes must be submitted as well in electronic format (CD-Rom). The electronic format must contain exactly the same application as the paper version enclosed. Where an applicant sends several different Concept Notes (if allowed to do so by the Guidelines of the Call), each one must be sent separately. The outer envelope must bear the EuropeAid/132894/L/ACT/MM:Aid to Uprooted People Programme in Myanmar, together with the full name and address of the applicant, and the words "Not to be opened ่ ํ before the opening session" and "ห้ามเปิ ดซองก่อนถึงเวลาทีกาหนด". Concept Notes must be submitted in a sealed envelope by registered mail, private courier service or by handdelivery (a signed and dated certificate of receipt will be given to the deliverer) at the address below: Addresses for regular post, hand delivery, and private courier service (THAILAND) (deadline: 9 July 2012 by 17:30 hrs, Local Time, Bangkok, Thailand)


Which corresponds to Sections 3 and 4 of Part B of the application form.
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The Delegation of the European Union to Thailand Kian Gwan House II, 19th Floor 140/1 Wireless Road Bangkok 10330, Thailand Tel. + 66 2 3052600 Or Address for hand delivery (MYANMAR) (deadline: ONLY on 9 July 2012, from 9:00 to 12:00 hrs and from 13:00 to 17:00 hrs, Local Time, Yangon, Myanmar) ECHO Office in Myanmar 51 Shwe Tauang Gyar Street, Golden Valley Ward (2), Bahan Township Yangon, Myanmar Tel: 95.1.510 422/ 532 485

Concept Note submission via e-mail Concept Notes may as well be submitted via e-mail. In case of electronic submission, the e-mail address to use must be the following: email : Any electronic submission to any other e-mail address will be rejected. The application will be submitted in PDF format and through one e-mail message only. Application must not exceeding 1 MB of size. The subject field of the e-mail must bear the reference of the Call for Proposals (i.e. EuropeAid/132894/L/ACT/MM) and the name of the applicant organisation, (e.g. EuropeAid/132894/L/ACT/MM from NGO XXX). The applicant will receive an automatic acknowledgement of receipt following the submission of a Concept Note. Please note that if several Concept Notes are sent from the same e-mail address on the same day, only one acknowledgement of the receipt will be generated. This mail box can only be used to submit Concept Notes (see section 2.2.4 for email address to be used for sending questions). Additional requirements for the submission of Concept Note Concept Notes sent by any other means (e.g. by fax) or delivered to other addresses will be rejected. Applicants must verify that their Concept Note is complete using the Checklist for Concept Note (section V of the grant application form). Incomplete Concept Notes may be rejected.


Deadline for submission of the Concept Notes

The deadline for the submission of Concept Notes is 9 July 2012 as evidenced by the date of dispatch, the postmark, or the date of the deposit slip. In the case of hand-deliveries, the deadline for receipt is by 17.00 hours Myanmar local time as evidenced by the signed and dated receipt or is by 17.30 hours Thailand local time as evidenced by the signed and dated receipt. If electronic submission, the deadline for receipt is 9 July 2012 at 17.30 hrs Thailand Local Time as evidenced by the electronic acknowledgement (delivery receipt). Any Concept Note submitted after the deadline will automatically be rejected.

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However, for reasons of administrative efficiency, the Contracting Authority may reject any Concept Note received after the effective date of approval of the Concept Note evaluation . 2.2.4 Further information for Concept Note

It is foreseen that an information session on this Call for Proposals will tentatively be organised on 28 May 2012 in Yangon, Myanmar. Additional information of specified dates and venue of these information sessions will be published at the EuropeAid web site and the Delegation websites: Questions may be sent by e-mail or by fax no later than 21 days (18 June 2012) before the deadline for the submission of Concept Notes to the below address(es), indicating clearly the reference of the Call for Proposals: E-mail address: Fax: (+66) 2 255 9110 The Contracting Authority has no obligation to provide further clarifications after this date. Replies will be given no later than 11 days (28 June 2012) before the deadline for the submission of Concept Notes. In the interest of equal treatment of applicants, the Contracting Authority cannot give a prior opinion on the eligibility of an applicant, a partner, an action or specific activities. Questions that may be relevant to other applicants, together with the answers as well as other important notices to applicants during the course of the evaluation procedure, may be published on the internet at the EuropeAid web site and the Delegation websites: It is therefore highly recommended to regularly consult the abovementioned website in order to be informed of the questions and answers published. All questions related to PADOR registration should be addressed to the PADOR help desk: 2.3 Evaluation and selection of Applications

Applications will be examined and evaluated by the Contracting Authority10 with the possible assistance of external assessors. All actions submitted by applicants will be assessed according to the following steps and criteria. If the examination of the application reveals that the proposed action does not meet the eligibility criteria stated in paragraph 2.1.3, the application shall be rejected on this sole basis. STEP 1: OPENING & ADMINISTRATIVE CHECKS AND CONCEPT NOTE EVALUATION The following will be assessed: • The submission deadline has been respected. If the deadline has not been respected the application will automatically be rejected.

10 The Contracting Authority will appoint an independent Committee ad-hoc to carry out the evaluation. On specific

topics, the Evaluation Committee may be supported, if requested and when necessary by one or several appointed assessors (sectoral experts).

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The Concept Note satisfies all the criteria specified in points 1-5 of the Checklist, part II: Section V of the grant application form. If any of the requested information is missing or is incorrect, the application may be rejected on that sole basis and the application will not be evaluated further.

Only those Concept Notes which have passed the first administrative will be evaluated. The Concept Note will be given an overall score out of 40 points in accordance with the breakdown provided in the Evaluation Grid below. The evaluation shall also verify the compliance with instructions provided in the guidance for Concept Note.

Scoring: The evaluation criteria are divided into sections and subsections. Each subsection will be given a score between 1 and 5 in accordance with the following guidelines: 1 = very poor; 2 = poor; 3 = adequate; 4 = good; 5 = very good. Evaluation Grid Section 1. Relevance of the action 1.1 Relevance of the action to the priorities and objectives of the Aid to Uprooted People Programme in Myanmar. 1.2 Clear identification of target groups and relevance of these target groups to the Aid to Uprooted People Programme in Myanmar. 1.3. Relevance of the action to the needs and constraints of the region and to those of the target groups and final beneficiaries in particular. 2. Sustainability of the action 2.1 Assessment of the identification of the main assumptions and risks, before the start up and throughout the implementation period of the action. 2.2 Assessment of the identification of sustainable impact of the action on the target groups and final beneficiaries. 3. Operational and technical capacities of the applicant and (if applicable) partners 3.1 Level of familiarity with the geographic areas targeted by the project and assessment of the previous experiences of project management in these areas. Maximum Score 15 5



10 5




3.2 Level of technical expertise and knowledge of the issues to be addressed. 3.2 Level of operational capacity to implement the proposed actions (including staff, equipment and presence in the target areas. Total scores

5 5 40

Once all Concept Notes have been assessed, a list will be established with the proposed actions ranked according to their total score.

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Only those Concept Notes which will be both scored a minimum of 20 points in total and a minimum of 50% of the available points under the three sections of the evaluation grid will be retained for further assessment and subsequently ranked. The Contracting Authority will further reduce the preselected applicants to those Concept Notes whose sum of requested contribution amounts to approximately 3 times the available budget for this Call for Proposals. Depending on the quality and the number of Concept Notes preselected, the Contracting Authority might further screen Concept Notes and consequently reduce the number of those which will qualify to the next step. Following the Concept Note evaluation, the Contracting Authority will send a letter to all applicants, indicating whether their Concept Notes were submitted prior to the deadline, informing them of the reference number they have been allocated and whether the Concept Notes were evaluated and the results of that evaluation. STEP 2 – SUBMISSION OF THE FULL PROPOSALS THROUGH A NEGOTIATED PROCEDURE Negotiations will be carried out by a Negotiation Team11 duly appointed by the Contracting authority. The pre-selected Concept Notes applicants will be invited to attend a first round of individual meetings for the purpose of presenting and discussing in depth their Concept Note(s) and possibly negotiate further their content with the Negotiation Team. Following these meetings with preselected applicants, the Negotiation Team will start a second round of consultations. It will aim at identifying actions to be further elaborated and, transformed into full proposals on the basis of the preselected Concept Notes. The Negotiation Team will consider the opportunity to organise workshop(s) in order to assess possibilities to cluster and combine different Concept Notes based on sectors and/or geographical coverage. As a result of the above, the Contracting Authority will send a letter to all applicants informing them of the results of the negotiations above. Some preselected applicants (or groups of applicants) will be invited to draft full proposals (in some cases even jointly). Instructions will be provided to those preselected applicants together with the template forms to use and the timeline for submission of the full proposal. STEP 3 : VERIFICATION OF THE ELIGIBILITY OF THE APPLICANTS AND PARTNERS The eligibility verification, based on the supporting documents requested by the Contracting Authority (see Section 2.4 below) will only be performed for those applicants invited to submit a full proposal. • The Declaration by the applicant will be cross-checked with the supporting documents provided by the applicant. Any missing supporting document or any incoherence between the Declaration by the applicant and the supporting documents may lead to the rejection of the application on that sole basis. The eligibility of the applicant, the partners, and the action will be verified according to the criteria set out in Sections 2.1.1, 2.1.2 and 2.1.3.

Following the above analysis and if necessary, any rejected application may be replaced by the next best placed application in the reserve list that falls within the available financial envelope, which will then be examined for the eligibility of its applicant and the partners.

11 The Contracting Authority will appoint a Negotiation Team ad-hoc whose mandate will be limited to carry-out

negotiations with the prospective grant beneficiaries.

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STEP 4: EVALUATION OF THE FULL PROPOSALS AND NEGOTIATED PROCEDURE An evaluation of the quality of the applications, including the proposed budget, will be subsequently carried out in accordance with the 5 evaluation criteria set out in the Evaluation Grid included below. 1. Methodology Synergy and clear division of responsibilities between applicant and partners, and identification and involvement of other stakeholders including the Myanmar authorities. Existence of Objectively Verifiable Indicators to assess the impact of the proposed project. Elements of innovation, multiplier effects, integration of crosscutting issues (such as gender balance, child rights, environmental concerns, etc.). 2. Cost effectiveness Capacity of the organisations to deliver services in a cost-effective way. 3. Feasibility Sustainability of the action in the political and security situation of the moment. Consideration of the most suitable timing for the start up of the action. 4. Coherence with the other Programmes Priority under the Aid to Uprooted People Programme will be given to all those actions which could not be supported (or could hardly be supported) under other Programmes or Trust-Funds because of their nature or any other restriction or limitation. 5. Financial stability of the applicant The Contracting Authority cannot award grants to organisations which do not have sufficient financial stability. Beneficiary of grants must proof the necessary capacity to ensure sound financial management.

There will be no scoring at this step. However, only the Full proposals complying with satisfactorily fulfilment of criteria set in the evaluation grid above will be further considered. As part of the negotiation process, the Negotiation Team may request for further revision of the full proposals. Following the negotiation process, the Contracting Authority will establish a table listing the applications by order of priority taking into consideration the available financial envelope for the call for proposals. The order of priority will be set by the Contracting Authority taking into account any concerns relating to the evolutions of the political, economic and social context in Myanmar which provided ground for the use of these procedures. It will establish as well as a reserve list following the same criteria. Organisations whose proposals will be put on the reserve list will be informed in writing.

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STEP 5 : VERIFICATION OF THE FINANCIAL CAPACITY OF THE APPLICANTS AND PARTNERS The verification of the financial capacity to manage the requested grant, will be based on the supporting documents requested by the Contracting Authority (see Section 2.4 below) and will only be performed for those preselected applicants and partners preselected in view of award. 2.4 SUBMISSION OF SUPPORTING DOCUMENTS FOR PROVISIONALLY SELECTED APPLICATIONS

Applicants whose Concept Notes have been provisionally pre-selected will be informed in writing by the Contracting Authority. They will be requested to supply the following documents in order to allow the Contracting Authority to verify the eligibility of the applicants and their partners: Supporting documents may/must be provided through PADOR, see Section 2.2 1. The statutes or articles of association of the applicant organisation and of each partner organisation. Where the Contracting Authority has recognized the applicant’s eligibility for another call for proposals under the same budget line within 2 years before the deadline for receipt of applications, the applicant may submit, instead of its statutes, copy of the document proving the eligibility of the applicant in a former Call (e.g.: copy of the special conditions of a grant contract received during the reference period), unless a change in its legal status has occurred in the meantime. This obligation does not apply to international organisations which have signed a framework agreement with the European Commission. A list of the relevant framework agreements is available at the following address: organisations/index_en.htm 2. Where the grant requested exceeds EUR 500 000, an external audit report produced by an approved auditor, certifying the applicant's accounts for the last financial year available. This obligation does not apply to international organisations. 3. Copy of the applicant’s latest accounts (the profit and loss account and the balance sheet for the previous financial year for which the accounts have been closed)12. 4. Legal entity sheet (see annex D of these Guidelines) duly completed and signed by the applicant, accompanied by the justifying documents which are requested therein. If the applicant has already signed a contract with the Contracting Authority, instead of the legal entity sheet and its supporting documents the legal entity number may be provided, unless a change in its legal status occurred in the meantime. 5. A financial identification form conforming to the model attached at Annex E of these Guidelines, certified by the bank to which the payments will be made. This bank must be located in the country where the applicant is registered. If the applicant has already signed a contract with the European Commission or where the European Commission has been in charge of the payments of a contract, a copy of the previous financial identification form may be provided instead, unless a change in its bank account occurred in the meantime. This bank account must yield interest or equivalent benefits. If the costs for opening and/or maintaining such an account equals or exceeds the expected interest, applicants may be exempted from this obligation by submitting a declaration of honour of this fact. 6. Any evidence showing that the applicant will be able to start implementation of the action in Myanmar at the contract signature without delay Where the requested supporting documents are not uploaded in PADOR they must be supplied in the form of originals, photocopies or scanned versions (i.e. showing legible stamps, signatures and dates) of the said
12 This obligation does not apply to natural persons who have received a scholarship, nor to public bodies nor to international organisations. It does not apply either when the accounts are in practice the same documents as the external audit report already provided pursuant to Section 2.4.2.
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originals. However, the Legal entity sheet and the financial identification form must always be submitted in original. Where such documents are not in one of the official languages of the European Union, a translation into English of the relevant parts of these documents, proving the applicant’s eligibility, must be attached and will prevail for the purpose of analysing the application. Where these documents are in an official language of the European Union other than English , it is strongly recommended, in order to facilitate the evaluation, to provide a translation of the relevant parts of the documents, proving the applicant’s eligibility, into English. If the abovementioned supporting documents are not provided before the deadline indicated in the request for supporting documents sent to the applicant by the Contracting Authority, the application may be rejected. Based on the verification of the supporting documents by the Evaluation Committee it will make a final recommendation to the Contracting Authority which will decide on the award of grants. 2.5 NOTIFICATION OF THE CONTRACTING AUTHORITY’S DECISION

Applicants will be informed in writing of the Contracting Authority’s decision concerning their application and, in case of rejections, the reasons for the negative decision. Applicants believing that they have been harmed by an error or irregularity during the award process may file a complaint. See further Section 2.4.15 of the Practical Guide. 2.6 CONDITIONS APPLICABLE TO IMPLEMENTATION OF THE ACTION FOLLOWING THE CONTRACTING AUTHORITY'S DECISION TO AWARD A GRANT

Following the decision to award a grant, the Beneficiary will be offered a contract based on the Contracting Authority's standard grant contract (see Annex G of these Guidelines). By signing the Application form (Annex A of these Guidelines), the applicant declares accepting, in case where it is awarded a grant, the Contractual conditions as laid down in the standard grant contract. If the successful applicant is an international organisation, the model Contribution Agreement with an international organisation or any other contract template agreed between the international organisation concerned and the Contracting Authority will be used instead of the standard grant contract provided that the international organisation in question offers the guarantees provided for in the applicable Financial Regulation, as described in Chapter 6 of the Practical Guide to contract procedures for EU external actions. Implementation contracts Where implementation of the action requires the Beneficiary to award procurement contracts, it must award the contract to the tenderer offering the best value for money, that is to say, the best price-quality ratio, in compliance with the principles of transparency and equal treatment for potential contractors, care being taken to avoid any conflict of interests. To this end, the Beneficiary must follow the procedures set out in Annex IV to the standard grant contract. 2.7 EARLY WARNING SYSTEM AND CENTRAL EXCLUSION DATABASE

The applicants and, if they are legal entities, persons who have powers of representation, decision-making or control over them, are informed that, should they be in one of the situations mentioned in: - the Commission Decision of 16.12.2008 on the Early Warning System (EWS) for the use of authorising officers of the Commission and the executive agencies (OJ, L 344, 20.12.2008, p.125) or -the Commission Regulation of 17.12.2008 on the Central Exclusion Database (CED) (OJ L344, 20.12.2008, p.12), their personal details (name, given name if natural person, address, legal form and name and given name of the persons with powers of representation, decision-making or control, if legal person) may be registered in the EWS only or both in the EWS and CED, and communicated to the persons and entities listed in the above-mentioned Decision and Regulation, in relation to the award or the execution of a grant agreement or decision.
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