3.2 Selection process

After the closure of the Call each Application Form submitted during the eligible time period is subject to a selection process organised along the following 3 steps: Eligibility Check, Strategic Assessment and Operational Assessment.

3.2.1 Eligibility check

Upon closure of a Call for Proposals, the Permanent Secretariat carries out an eligibility check on all submitted project applications before the Call deadline. The purpose of the eligibility check is to verify the compliance of the received Application Forms and their annexes with the formal eligibility criteria; avoid further assessment of ineligible applications; and ensure equal treatment of all proposals to be selected for funding.

The EUI-IA eligibility criteria are the following:

  1. The Application Form has been submitted electronically via the EEP before the deadline indicated in the Terms of Reference of the Call for Proposals.
  2. The Application Form is completely filled in.
  3. The applicant is a single urban authority of a Local Administrative Unit defined according to the degree of urbanisation as city, town or suburb (corresponding to DEGURBA code 1 or DEGURBA code 2 of Eurostat) and comprising at least 50 000 inhabitants.

OR

The applicant is an association or grouping of urban authorities with legal status of organised agglomeration composed by Local Administrative Units, where the majority (at least 51%) of inhabitants lives in Local Administrative Units defined according to the degree of urbanisation (DEGURBA) of Eurostat as cities, towns or suburbs (corresponding to DEGURBA code 1 or DEGURBA code 2) and where the total combined population is at least 50 000 inhabitants.

OR

The applicant is an association or grouping of urban authorities without legal status of organised agglomerations where all the urban authorities involved (MUA and AUA) are Local Administrative Units defined according to the degree of urbanisation (DEGURBA) of Eurostat as cities, towns or suburbs (corresponding to DEGURBA code 1 or DEGURBA code 2) and where the total combined population (MUA and AUA) is at least 50 000 inhabitants.

  1. The eligibility period is respected: the end date of the project respects the Call and the Initiative requirements.
  2. The maximum budget requirements (maximum EUR 5 million ERDF) and the co-financing principle (minimum 20% of contribution secured by the Partnership) are respected.
  3. All Partners involved (MUA, AUA and Delivery Partners) are from EU Member States.
  4. In case of an association or grouping of urban authorities without a legal status of organised agglomeration, a MUA and the AUA are presented in the Application Form.
  5. Applying urban authorities (MUA and/or AUA) are involved in only one project proposal in the framework of the same Call for Proposals.
  6. Applying urban authorities (MUA and/or AUA) have not been selected and funded on the same topic from a previous EUI-IA Call for Proposals.
  7. An unmodified Confirmation Sheet duly signed by the MUA’s legal representative is uploaded in the EEP, in the Application Form Confirmation Sheet Section.

If not all requirements set out above are complied with, the application is deemed ineligible and no further assessment is undertaken. Please note there may be specific eligibility criteria related to a specific Call. These will be outlined in the Terms of Reference related for that Call.

3.2.2 Strategic assessment

Applications that are declared eligible and admissible will be subject to a Strategic Assessment carried out by a Panel of External Experts. The Strategic Assessment accounts for 70% of the weighting given to the overall project assessment. For each Call for Proposals, a Panel of External Experts is set up through a Call for Applicants to cover the specific topics relevant for the Call.

The Panel of External Experts is composed of independent experts with an in-depth knowledge of the urban topics of relevance for each Call; a good understanding of the urban dimension of EU policies and in particular of the Cohesion policy; as well as a proven track record in assessing applications of urban projects including applying scoring systems and making recommendations for selection. As far as possible, the Panel is geographically, and gender balanced and ensures that the territorial diversity of the EU’s urban areas is taken into account.

The following elements are under evaluation during the Strategic Assessment:

Criteria

Weighting

Sub-criteria

1. Urban innovativeness and relevance

To what extent is the applicant able to demonstrate that the project proposal is a new solution that has added value in relation to the topic of the Call? To what extent is the solution relevant to the local context and to Cohesion Policy objectives?

30%

1.1

The project is in line and relevant to the topic of the Call for Proposals, as presented in the relevant Terms of Reference. The project demonstrates the potential of the new solution to add value in relation to the topic of the Call.

1.2

Urban authority(ies) demonstrate a clear ownership of the project (towards city-led innovation), the proposed solution is relevant for the urban authority(ies) as public institution(s).

Urban authority(ies) will be actively involved in the experimentation and/or will play a central role in the Project Partnership.

1.3

The proposed innovation is relevant for the selected urban area (place-based approach[1]). Data and other evidence allow to analyse the breadth and depth of the challenge at the local level. 

1.4

The project demonstrates that the proposed solution(s) has not been previously tested and implemented on the ground (i.e. in the urban area concerned or elsewhere in the EU).

1.5

The project makes use of and builds on existing practices. The project provides evidence of research, based on existing practices, data and/or scientific literature.

1.6

The project demonstrates a clear contribution to policy and specific objectives of the 2021-2027 EU Cohesion Policy targeted by the relevant Call for Proposals. Concrete contribution elements, referring to priorities from Cohesion Policy programmes, initiatives or projects at the regional or national level are mentioned.

1.7

The project builds on an integrated approach[2] to urban development, taking into account all relevant areas of urban policy (e.g. spatial, social, economic, environmental) to answer the identified urban challenge.

1.8

The project makes a clear contribution to the green (e.g. it includes ‘zero carbon’ or greener services) and digital (e.g. it includes digital components) transitions, by demonstrating how its implementation makes the most from the transition to the digital economy and contributes to tackling environmental and climate challenges, and transition towards climate-neutrality.

2. Partnership and co-creation

To what extent is the Partnership relevant and solid to implement the proposed solution and achieve expected results. To what extent the proposal allows meaningful participation and co-creation from stakeholders, target groups and citizens?

12%

2.1

The Partnership is relevant to address the identified urban challenges and to implement the proposed solutions. It includes relevant thematic expertise and experience.

2.2

The composition of the Partnership is balanced with regards to the relevant governance levels and sectors (vertical and horizontal multi-level and multi-stakeholder cooperation). Ideally, the quadruple helix[3] is represented in the Partnership.

2.3

All Partners have a clear and defined role in the Partnership, matching competences to fulfil their tasks. They complement each other. At least the MUA or one Delivery Partner demonstrates experience in international transfer/networking activities.

2.4

The wider group of stakeholders has been identified and is involved in the design and implementation of the proposed innovative action.

2.5

Participation and co-creation: The project demonstrates that participation and co-creation process with the target groups, citizens, social and economic stakeholders is planned throughout the whole project implementation.

3. Measurability of results and impact

To what extent are expected results specific and realistic, and reflecting project expected impact on the local context, as well as beneficiaries/end users?

12%

3.1

Project’s objectives are properly described (specific) and realistic (achievable during implementation timeframe). They are in line with the relevant Call for Proposals.

3.2

Project’s expected results reflect the change in the local situation that the project will generate if the project is successful. They are properly described (specific) and realistic (achievable during implementation timeframe) and are relevant and of sufficient scale to answer the identified challenge.

3.3

Project expected results are measurable and properly quantified through proposed indicators. Result indicators targeted by the Call for Proposals have been considered when relevant. A robust methodology for data collection and measurement of results is proposed.

3.4

Target groups, end users and/or citizens benefiting from the project outputs and results have been properly identified and quantified. They are relevant and of sufficient scale to contribute to the project’s objectives and expected results.

4. Sustainability and up scaling:

To what extent will the project provide a durable contribution to address the identified challenge? To what extent the proposed solution will be self-sustainable beyond its end date and has the potential to be up scaled if proven successful?

8%

4.1

The project demonstrates that the proposed solution will provide a significant and durable contribution to solving the challenges targeted in the identified local context.

4.2

The project demonstrates that the solution can be self-sufficient after the project end. The project addresses the questions of ownership and potential funding sources[4] for the solution to be continued beyond the project’s end-date.

4.3

The project demonstrates how its main outputs and investment elements (if applicable) will be durable beyond the project end-date. The project has identified by whom and how outputs could be used after its end.

4.4

The proposed solution demonstrates to be directly linked to relevant local/regional/national strategies and policies, ensuring the use and sustainability of projects outputs and results beyond project’s end.

4.5

The proposal demonstrates the potential of the solution to be scaled up if proven successful. Sufficient and concrete information has been provided on how this can be done.

4.6

The proposal has identified possible funding sources for the scale up of the proposed solution (if proven successful) beyond project end, possibly from Cohesion Policy, other public/private investors or the urban authority(ies) itself/themselves.

5. Transferability:

To what extent will the project have the potential to be transferable to other urban areas across Europe?

8%

5.1

The proposal has identified other European urban areas that could benefit from replicating the proposed solution in view of the favourable conditions for transfer (similar contexts, characteristics) or of increasing their innovation potential. The proposal elaborates on how the most suitable Transfer Partners will be identified. If Transfer Partners have already been identified, the proposal specifies these together with the underlying motivations and rationale.

5.2

The proposal identifies which main outputs/elements of the proposed solution(s) can be transferred or replicated in further urban areas across EU and which are the basic conditions (e.g. regulatory, technical) and resources (human, financial) that the other urban authorities should ensure in order to adapt and/or replicate, in full or in part the innovative solution in other EU contexts.

 

As a result of the Strategic Assessment, the Panel of External Experts elaborates an assessment of the applications and ranks them based on their Strategic Assessment scoring. In agreement with the European Commission, short listed applications in the overall ranking move forward to the Operational Assessment. Applicants are notified at the end of the Strategic Assessment process of the decision regarding their application (going forward or not).



[1]  For more information on the concept of place-based approach to urban development, applicants can consult the New Leipzig Charter (https://ec.europa.eu/regional_policy/sources/docgener/brochure/new_leipzig_charter/new_leipzig_charter_en.pdf) where the following definition can be found: “Places should be regarded as reference points for an integrated horizontal and vertical approach. Urban strategies and urban funding instruments should be based on sound analysis of the specific local situation, especially potential benefits and risks, stakeholders and restrictions, while following place-based development. This will enable endogenous urban transformation and reduce local socioeconomic inequalities. Appropriate formal and informal instruments should cover all spatial levels, from neighbourhoods to local authorities and wider functional areas including the metropolitan level.”

[2] For more information on the concept of integrated approach to urban development, applicants can consult the New Leipzig Charter (https://ec.europa.eu/regional_policy/sources/docgener/brochure/new_leipzig_charter/new_leipzig_charter_en.pdf) where the following definition can be found: “All areas of urban policy have to be coordinated in a spatial, sectoral and temporal manner. The integrated approach relies on simultaneous and fair consideration of all concerns and interests relevant to urban development. Therefore, it should pool and balance different, partly conflicting, interests as well as the mutual effects of different interventions. Cities need to establish integrated and sustainable urban development strategies and assure their implementation for the city as a whole, from its functional areas to its neighbourhoods.”

[3] Quadruple Helix refers to representatives from all members of society: i.e. public authorities, industry, academia and civil society.

[4] E.g. It generates revenues, make use of revolving funds, or of other innovative financing techniques.

3.2.3 Operational assessment

The Operational Assessment is carried out by the Permanent Secretariat and accounts for 30% of the weighting given to the overall project assessment.

The main objective of the Operational Assessment is to assess the robustness of the proposal i.e.: is it justified, realistic, consistent and coherent, complete, ready to be managed effectively and implemented swiftly and if it demonstrates value for money.

The following elements are under evaluation during the Operational Assessment:

Criteria

Weighting

Sub-criteria

6. Project Design and Logic
To what extent are Work Plan elements (activities, deliverables, outputs, indicators) complete, realistic, consistent and coherent? To what extent will the proposed project design lead to the achievement of objectives and expected results?

 

12%

6.1

Work Packages, activities, deliverables and outputs are coherent. The Work Plan is sufficiently detailed and clearly structured. Proposed activities, deliverables and outputs are relevant and allow to reach project’s objectives.

6.2

Project’s outputs under Thematic Work Packages are relevant and of sufficient scale to achieve expected results and benefit identified target groups.

6.3

Where a project has investment elements, the need for the investments is justified, and they are relevant to reach project objectives.

6.4

The distribution of tasks among Project Partners is detailed in the Work Plan and in line with role of the Partners in the project. The involvement of the wider group of stakeholders is reflected in the Work Plan.

6.5

The project proposes relevant monitoring and evaluation activities for analysing and assessing the progress towards achieving the planned outputs and results. Output indicators targeted by the Call for Proposals have been considered when relevant.

6.6

The proposal demonstrates to have integrated the transfer element in the Work Plan. The preliminary description of the Work Package Transfer is relevant to EUI expectations in terms of transferring.

7. Project feasibility and operational readiness

To what extent the proposal demonstrates to be feasible (to be implemented within the given time-frame) and operationally ready?

8%

7.1

Work Packages, activities, deliverables and outputs are structured in a logical time-sequence. The time plan is realistic and there is a contingency period. Sufficient time is foreseen for the implementation of planned activities (and investment elements), including for data collection and evaluation of the innovative solution (if successful or not) and for the reporting of result indicators at project closure.

7.2

Main project risks (incl. investment risks) were identified, and appropriate mitigation measures defined.

7.3

There is no evidence of risks that could jeopardize the project from the very start.

7.4

Where a project has investment elements, technical, legal and administrative requirements are clearly identified and sufficiently detailed. The investment(s) comply(ies) with these requirements.

8. Organisational arrangements and operational capacity

To what extent are management and communication activities appropriate and supporting the overall implementation of the project?

5%

8.1

The management structures and procedures are well defined and appropriate considering the size and needs of the project.

8.2

Partners demonstrate to have allocated sufficient resources (human, technical, policy) to ensure project implementation.

8.3

Communication and capitalisation activities demonstrate to support the overall implementation of the project and contribute to the achievement of expected project’s results. Communication and capitalisation objectives are in line with project objectives.

8.4

Communication and capitalisation activities are relevant and appropriate to reach the defined target groups.

9. Budget

To what extent is the budget coherent and proportionate?

 

5%

9.1

Sufficient and reasonable resources are planned to ensure the project implementation.

9.2

Sufficient and reasonable resources are planned for the implementation of the investment (if applicable).

9.3

The budget descriptions are sufficiently detailed.

9.4

The Partner budget is in line with the involvement of the Partner in the different Work Packages/activities.

9.5

There is no evidence of ineligible costs, nor potential State aid risk.

3.2.4 Assessment scoring system

A scoring system is used to help in the decision-making process.

A score of 1 to 10 is attributed to each weighted criterion; it results in an average score per project. The following scoring scale is used:

            9 – 10           excellent

            7 – 8           good

            5 – 6           adequate

            3 – 4           poor

            1 – 2           very poor

Please note that if a project scores less than or equal to 4 under any assessment criterion, it is automatically rejected and will not be further processed.

The scoring system is applied taking into account not only the specific merits of each project proposal but also in the spirit of a competitive process considering comparatively the other project proposals submitted in the framework of the same Call for Proposals. For this reason, applicants of project proposals not shortlisted for the Operational Assessment or not finally approved are not provided with their respective scores but with detailed comments for all criteria assessed.

Project applicants should note that being a selected project at the outcome of the selection process does not entitle them automatically to receive the corresponding EU grant. Should the conditions defined during the project Initiation Phase not be met (considering the project is not ready enough to be operationalised), the Entrusted Entity reserves itself the right to terminate the project and remove it from the list of the EUI-IA approved projects (for more details, see Chapter 4 “Initiation Phase and Contracting”).

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