uia transfer mechanism application...

URBACTIIIOPERATIONALPROGRAMME2014-2020

TermsofReference

UIATRANSFERMECHANISMAPPLICATIONPROCEDURE

Deadline1stFebruary2021(15:00CET)

December2020

TABLEOFCONTENT

SECTION1–BACKGROUNDANDOBJECTIVES......................................................................................31.1. StrategicObjectives..................................................................................................31.2. SpecificObjectives....................................................................................................31.3. TheUIAexperience...................................................................................................31.4. LessonsfromtheURBACTTransferandImplementationNetworks........................4a) URBACTTransferNetworks......................................................................................4b) URBACTImplementationNetworks..........................................................................4c) WhatdidwelearnfromtheseNetworksandwhyisitrelevantfortheUIATransferMechanism?..........................................................................................................................4

SECTION2–UNDERSTANDINGTHEUIATRANSFERMECHANISM...........................................62.1 WhyshouldmycityapplyforaUIATransferMechanismPilotNetwork?...............62.2 Scope,scaleandtargeting........................................................................................62.3UIATransferMechanismPilotNetworkoutputs............................................................72.4 TheUIATransferMechanismExpertSupport...........................................................82.5 TheUIATransferMechanismBudget.......................................................................92.6 TheUIATransferMechanismSchedule....................................................................9

SECTION3–PARTNERSHIPFORUIATRANSFERNETWORKS..................................................10

SECTION4–UIATRANSFERMECHANISMPILOTNETWORKAPPLICATIONPROCEDURE..................................................................................................................................................................................114.1 UIATransferMechanismApplicationProcedure....................................................114.2 EligibilitycheckofUIATransferMechanismPilotNetworkapplications................114.3 AssessmentofUIATransferMechanismPilotNetworkapplications.....................124.4 ApprovalofUIAPilotTransferMechanismPilotNetworks....................................14

SECTION5–UIATRANSFERMECHANISMPILOTNETWORKAPPLICATIONPACKAGE155.1 UIATransferMechanismPilotNetworkapplicationpackage.................................155.2 Procedureforthesubmissionofapplications........................................................15

SECTION6–COMPLAINTSPROCEDURE..............................................................................................16SECTION7–CONTENTOFUIATRANSFERMECHANISMPILOTNETWORKAPPLICATIONFORM.......................................................................................................................................17

SECTION8–IMPORTANTDATESFORAPPLICANTS......................................................................18SECTION9–USEFULRESOURCES...........................................................................................................19

ANNEX1–MAINCOMPONENTSOFTHEAPPLICATIONFORM.................................................20ANNEX2–TEMPLATELETTEROFCOMMITMENTFORLEADPARTNER.............................22

ANNEX3–TEMPLATELETTEROFCOMMITMENTFORPROJECTPARTNER.....................23

SECTION1–BACKGROUNDANDOBJECTIVESURBACTandUrbanInnovativeActions(UIA)havedevelopedapilottransfermechanismforcompletedUIAprojects.ThiswillsupporttwelveEuropeancitiestoadapttheUIAinnovationsandtodevelopinvestmentplanstofundtheirimplementation.ThepilotmechanismbuildsonthesuccessoftheURBACTTransferNetworksmodel.Thepilotwillsupportfournetworks,eachofthreetransferpartners(plustheUIAcity)andwillrunfromMarch2021toSeptember2022.

1.1. StrategicObjectivesBydesigningthistooltheURBACTprogrammeaimstodevelopandoptimizesynergiesbetweenUIAandURBACTwithaparticularfocusontestingthistoolasawaytoimprovethesesynergiesinthe2021-2027programmeperiod.TheUIATransferMechanismusestheexperienceoftheURBACTTransferandImplementationnetworkstomakeahybridmodelfocusingonthetransferofinnovationfromonecitytoothers.ThistoolwillprovideEUcitieswiththeskillsnecessarytohavebetteraccessand/oruseofmainstreamandETCprogrammeswhichisalsoastrategicgoalforthefutureprogrammingperiod.

1.2. SpecificObjectivesTheUIATransferMechanismpilotactionhasthefollowingobjectives:

• TestandevaluateamechanismtotransferinnovationsfromCall1UIAcitieswhichwillprovideinsightintoanypotentialfutureactionsofthiskindinthenextprogrammingperiod.

• IdentifywaysinwhichtheURBACTTransferNetworklessonscansupporttheUIAaspirationstotransferandcascadelearningfromcompletedprojectstothewidercommunityofurbanstakeholders

• EnhancecapacityoftransfercitiesrelatingtoinnovationandabilitytousefundingfromwidermainstreamandETCprogrammes

• SupporttheUIAcitytoconsolidatethelearningfromtheirexperimentationandraisetheirprofileataEuropeanlevelinthethemeconcerned.

1.3. TheUIAexperienceUIAisEurope’sInnovationLaboratoryforcities.Startingin2015,ithaslaunchedfivecallslinkedtoEurope’surbanpolicypriorities.Successfulapplicantsareawardedupto€5milliontoimplementtheirproposals.Todatetheinitiativehasapproved86projectswithatotalinvestmentbudgetof€372million.UIAnowseekstotestawaytotransfertheinnovationlessonsofitscompletedprojectstoothercitiesacrossEurope.SeventeencitiesweresupportedintheUIARound1callrelatingtothefollowingpolicythemes:

• UrbanPoverty• EnergyTransitions• JobsandSkillsinthelocaleconomy• Integrationofmigrantsandrefugees

TheprojectsfromthefirstcallforproposalswillbeeligibletoproposepilotUIAtransferprojects.

1.4. LessonsfromtheURBACTTransferandImplementationNetworks

a) URBACTTransferNetworksAfterasuccessfulpilot,in2018URBACTlauncheditsGoodPracticeTransferNetworks.Thisinvolvedatwo-stageprocess:firstanopencall,leadingtotheapprovalof97goodpracticesfromacrossEurope;secondaclosedcallforthosegoodpracticecitiestoleadaTransferNetwork,leadingtotheapprovalof23newnetworks.TheTransferNetworksaremodelledaroundthreesteps:

• Understand:thepilotunderlinedtheimportanceofdevelopingadetailed,sharedunderstandingofthedifferentfacetsoftheGoodPracticewhichwascleartoalltransfercities

• Adapt:Transferisnotacopyandpasteprocess.Inmostcases,citieshaveredesignedelementsofthegoodpracticetofittheirownneedsandenvironment

• Reuse:TransfercitiesimplementtheiradaptedversionoftheURBACTgoodpractice.TheURBACTTransferNetworksrunovera30-monthperiod,withthefinalsixmonthsdedicatedtosharingtheresultsandcascadingthelessonstoothercities.Eachnetworkcomprisesupto8cities,includingtheGoodPracticecityasLeadPartner.Aseverwiththeprogramme,theyhaveageographicalbalancetoreflectEurope’sdiversity.EachnetworkhasthesupportofaLeadExpert,whoseresponsibilitiesincludeproducingtheTransferabilityStudy,determiningthenetworkmethodologyandsupportingpartneractivity.

b) URBACTImplementationNetworksIn2017URBACTlaunched4ImplementationNetworkswith36citypartnersintotal.Thesenetworksweredesignedtofocusondifferentchallengeslinkedtodeliveringintegratedandsustainablestrategiesforurbandevelopment.Themomentcitiesstarttoimplementaprojectorstrategyisakeymilestone,itmarksthepointwherethetheoreticalbecomesreality.Implementationistheprocessofundertakingaseriesofactionstodelivertheobjectivesandgoalswithinastrategy.ManycitiesstruggletoseparatetheWHAT,andtheHOW.ByfocusingonHOWcitiesareabletolearnaboutmovingfromastrategicplanningdocumenttoarealimplementablesetofactivities.Theycanforeseetherisksandchallengesaheadandlearnhowtoovercomethesechallenges.TheImplementationNetworksfocusonfourmainchallengeswhichwerecommontoallthe36cities:

• ImplementingactionsinanINTEGRATEDway• ImplementingactionsinaPARTICIPATORYway• MEASURINGPERFORMANCEinimplementation• PUBLICPROCUREMENTchallengesinimplementation

c) WhatdidwelearnfromtheseNetworksandwhyisitrelevantfortheUIATransferMechanism?

TheworkcarriedoutinthesenetworksandthelessonslearntwillbeusedaspartofthemethodologywhichwillbespecificallydesignedfortheUIATransferMechanism.Thelessonsfromthesetwotypesofnetworkarelistedbelowandallarerelevantforfuturenetworksofthiskind:

• TherolesoftheLeadPartneriscrucialinatransferprocessastheyaretheexperienced

partyholdingtheknowledgeoftherealjourney.Creatingadeepunderstandingofthegoodpracticeisvital:TheprogrammerequiredGoodPracticecitiestoclearlyexplaintheircasesinanumberofsettings–througharticles,withineventsandintheapplicationprocess.

• TheroleoftheLeadExpertasacriticalfriend,facilitatorofexchangeandlearningand

advisoronhowtodeconstructandexplainthepracticeiskey.Theexpertisnotnecessarilyathematicexpertinthisfieldbutisabletosupportpartnersintheprocessoftransferandisadeptinusingdifferenttoolsandmethodsforthiswork.

• Amodularapproachtotransferishelpfulwithcomplexgoodpractices:Wherethegoodpracticeisstrategic,complexandwell-established,breakingitintocomponentsaidsthetransferprocess.Inmostcasesthismeansamixofcompulsoryandoptionalmodules,allowingcitiestoselectthosemostappropriatefortheirsituation.ThisisparticularlyrelevantforthisUIATransferMechanismtool.

• Focusingon‘how’ratherthan‘what’isakeysuccessfactorinthedesignofimplementation

plans.ThislessonwillbeparticularlyrelevantfortheUIATransferMechanismforwhichthemainoutputwillbeaninvestmentplan.

• Trustremainsavitalnetworkasset:TrustedrelationshipsbetweencitiesareattherootofallsuccessfulURBACTnetworks.Thesenetworksshowthevalueoftoolswhichbuildrelationshipswhilstcreatingasafeplaceforactionlearning.

• Two-waybenefits:Effectivetransfernetworksarecharacterisedbyreciprocallearning.Thismeansthatnotonlytransferpartnersbenefitfromtheexperience.Throughexposuretopeercities,theLeadPartnershouldhaveopportunitiestoidentifywaystoimprovetheirownproject.ThisshouldalsobeamotivatingfactorintheUIApilots.

AlltheselessonsandthevastexperiencegainedatprogrammelevelwillhelpcitiestoadapttheUIAinnovationtoaddresstheirownprioritychallenges.

SECTION2–UNDERSTANDINGTHEUIATRANSFERMECHANISMFromMarch2021,URBACTandUIAwillcollaborateontestingatransfermodelappliedtoasampleofcompletedUIAprojects.ThiswilladaptandapplythekeylessonslearnedfromtheURBACTtransfernetworkexperience.

2.1 WhyshouldmycityapplyforaUIATransferMechanismPilotNetwork?ForUIAcities,theinvolvementinaTransferMechanismPilotNetworkwouldbebeneficialintermsof:

• PositioningthecityandreinforcingitsvisibilityatEUlevelasfrontrunneronnewpolicydevelopmentsandapproaches

• KeepingamomentumatlocallevelwithlocalstakeholdersinvolvedintheUIAtestingwhileofferingthemhighervisibilityatEUlevel.Thiscouldprovideasignificantaddedvalueintermsoflongtermsustainabilityforthepracticetestedandfurthercredibilitytojustifyitswiderspreadlocallyandabroad

• ReflectingontheUIAexperiencewhilegainingconstructivefeedbackfromothercitiesandexpertsleadingtoafurtherimprovementand/oradjustmentofthepracticetested

• ContributingtoinspireothercitiesinEuropeindealingwithcomplexurbanchallengeswhilefosteringinnovation

ForTransfercities,takingpartinaTransferMechanismPilotNetworkwouldimply:

• Gettingdirectaccesstosomeofthemostinnovativepracticetodealwithcomplexurbanchallenges

• GettingdirectaccesstosomeofthekeylocalstakeholdersproactivelyinvolvedintheUIAexperimentalprocess

• Generatingamomentumatlocallevel(aswellaspoliticalandcitizenacceptance)todealwithcomplexchallengesthroughnewboldapproaches

• Benefitingfromanalreadywidelytestedandstructuredtransfermethodology• Benefitingfromthesupportandadviceofexperiencedexpertswhowouldplayakeyrolein

facilitatingtheprocessofunderstandingtheUIApracticebutalsoinadaptingitintoaninvestmentplantailor-madeforyourcity

• Understandingtheinnovativepracticenotonlyfromapolicyperspectivebutalsointermsofoperationalimplementation(challenges,obstacles,operationalsolutions)

• ReinforcingtheirexpertiseinthepolicyfieldandbuildingthefirstelementsofaprojectpipelinethatcouldbefinancedbyEUresourcesintheframeworkofnewCohesionPolicyprogrammingperiod2021-2027

Thecommitment(politicalandpersonal)ofbothleadpartnerandprojectpartnerisessentialtothesuccessofthenetwork.

2.2 Scope,scaleandtargetingBetweenMarch2021andSeptember2022URBACTwillfundfourUIATransferMechanismPilotnetworks.TheopportunitytoleadoneofthesenetworkswillbeopentocitieswhichhavecompletedtheirUIAcontractaspartofthefirstroundofUIAprojects.Eachofthese17citieswillbeinvitedtosubmitaproposalintheareaoftheirUIAprojectthroughacallforproposalsthatwillbelaunchedinDecember2020.

ThemainobjectiveofthepilotwillbefortransfercitiestoadapttheUIAinnovationtoaddresstheirownprioritychallenges.Eachtransfercitywillproduceaninvestmentplantosupporttheminseekingfundingfromcohesionfundsorothersources.Thiswilladdressanotherexplicitobjectiveofthepilot–tostrengthensynergiesbetweenURBACT,UIAandCohesionPolicystructures.EachUIATransferMechanismPilotNetworkwillcomprisefourpartners:theLeadPartnerandthreetransferpartners.AlloftransferpartnersmustbeEuropeancities.

2.3UIATransferMechanismPilotNetworkoutputsThesenetworkswillproducetwoprincipleoutputs.ThefirstwillbeaTransferabilityPlan,whichwillbeproducedbytheLeadExpertearlyinthenetworkjourney.ThisTransferabilityPlanwillinclude:

• AdetailedanalysisoftheUIAproject(Includingthecity’shandlingoftheUIAinnovationimplementationchallenges1)

• Anassessmentoftheproject’stransferpotential• Aproposedadaptationandtransferprocess–includingthenetworkmethodology• Ananalysisofeachpartners’motivationandthepotentialintheircitytoadaptandtransfer

theUIApracticeThesecondoutputwillbeanInvestmentPlan,producedbyeachtransferpartnercitywithsupportfromtheLeadExpert.TheaimoftheinvestmentplanwillbetomakethefundingcaseforatransferandimplementationprocessbasedontheUIAinnovationpractice.TransferpartnersmaybeArticle7/9citiesorpotentialbeneficiariesofCohesionpolicyfundsmorewidely,sotheplanshouldtakethisintoconsiderationandaddressthepotentialforfundingfromanymainstreamorETCprogrammeforwhichtheycouldbeeligibleintheircountry.ThecorecomponentsoftheInvestmentPlansarelikelytoinclude:

• Needsanalysissettingouttherationalefortheproposal• DescriptionoftheUIApractice,includingresults,evidenceofimpactandpertinencerelating

tothelocalcontext• DetailedoutlineoftheadaptedtransfercityversionoftheUIApractice• Operationalworkplanincludingplannedactions,riskanalysisetc• Thepartnershipdeliverymodel–includingrolesandresponsibilities• Scheduledactivities,outputsandoutcomes• Budgetandidentifiedsourcesoffunding• Monitoringandevaluation

AnadditionaloutputwillbetheestablishmentofURBACTLocalGroups(ULGs)ineachtransferpartnercity.URBACTexperiencehasdemonstratedthevalueofamulti-stakeholderplatformtosupportprojectdevelopment.InthecaseoftheseUIATransferMechanismPilotNetworks,aswellasthematicstakeholders,transfercitieswillseektoinvolvemanagingauthoritiesofrelevantprogrammes(inparticularfromArt.7/9SUDs,inordertoopenadialogueandbuildtherelationshipandtointegratethefeasibilityconstraints(eligibility,timing,budgetavailabilities)forafinancialsupporttotheroll-outoftheinvestmentplan.

1Leadership;PublicProcurement;Cross-departmentalworking;Participativeapproaches;MonitoringandEvaluation;Communications;Upscaling

TosuccessfullyproducethesekeyoutputssupportwillbeprovidedbytheURBACTProgrammeintheformofcapacitybuilding.Guidance,webinars,peerreviewsanddedicatedtrainingsessionswillallhelpallthepartnercitiestoproducehighqualityinvestmentplans.Astrongcommitmentandactiveengagementfromallpartners(includingtheleadpartner)andtheleadexpertiscrucialtothesuccessofthenetworkandlinksdirectlytothequalityoftheoutputsproduced.PartnersinUIATransferMechanismprojectsareexpectedtoactivelyparticipateandinvesttimeinthenetworkactivities–observerpartnersarenotpossibleinthesenetworks.

2.4 TheUIATransferMechanismExpertSupportEachUIATransferMechanismNetworkwillhavethesupportofadedicatedLeadExpert.TheroleoftheleadexpertisoutlinedindetailintheGuidetoUIATransferMechanismNetworks.InadditiontotheLEfunctionnetworkswillbeabletoappointadhocexpertswithspecialistskillsand/orknowledgetosupporttheirwork.ThecostoftheLeadExpertiscoveredbytheURBACTprogramme100%.Atotalof146dayswillbeavailableforexpertisesupportduringthenetworklifetime.Amaximumof80%ofthisamountisdedicatedtotheLeadExpertrole.LeadandadhocexpertsmustbeselectedfromtheURBACTPoolofExpertsandbevalidatedeitherasleadoradhocexpert.Notabene:Theavailablebudgetshallcoverdaysofexpertiseonly.TravelandaccommodationcostsforURBACTvalidatedExpertsfundedunderthisenvelopeshallbecoveredbythenetworkbudget.LeadExpertscannotbeappointedtosupportmorethanoneUIATransferMechanismNetwork.TheLeadPartnerisresponsibleformanagingtheexpertiseresourcesandmonitoringdeliveryoftheexperts’workprogramme.EventhoughtheexpertsupportismanagedbytheLeadPartner,itisaresourceforthewholepartnership.ThefollowingmaintasksshouldbefulfilledbythenetworkExperts:

• Supportingthecoordinationofnetworkingactivities–planningmeetingcontent,preparingamid-termreflectionprocess

• Attendingthenetworksessions–planningthecontent,identifyingtools,facilitatingthemeetings

• Productionofoutputs-transferabilityplan,articles,reportsfrommeetings,lessonslearntetc

• Supporttothepartnersinthedesignandco-creationoftheiroutputs–investmentplans,UIApracticeevaluation/sustainabilityreview

• ProductionofthefinalnetworkoutputTheUIApracticehasworkedwithanexpertduringtheprojectimplementationandthisexpertmaybeusedforspecificsupporttasksrelatingtounderstandingtheUIApractice.ThisshallbefinancedthroughtheUIAtechnicalassistancebudgetandshallbedeterminedonacasebycasebasisforeachnetwork.Moredetailsonexpertisetasks,skillsrequirementsandapplicationprocedurescanbefoundintheGuideforUIATransferMechanismPilotNetworks.

2.5 TheUIATransferMechanismBudgetTheglobalbudgetfortheentireUIATransferMechanismPilotNetworkwillbe€550,000,basedonanERDFco-financingrateof70%.Eligibleexpenditureitemswillinclude:

• Staffcosts(+overheadsata3%fixedrate)• TravelandAccommodation• ExpertiseandService• CommunicationandDissemination• Equipment

URBACTwillnotfinancephysicalinvestments,thepurposeoftransferinvestmentplansbeingpreciselytoidentifyexternalsourcesavailableforthat.However,somesmallscaletestingcantakeplacewithinthenetworkactivitylinkedtoparticipatoryandintegratedworkingmethodsforexampleifappropriate.Thisshouldbeexplainedintheapplicationform.

2.6 TheUIATransferMechanismScheduleThe four UIA Transfer Mechanism Pilot Networks will kick off in March 2021 and complete inSeptember 2022. It is envisaged that the entire process will start with a meeting involving allparticipantcities.Ideally,thiswillbeaphysicalevent,takingplaceovertwodays.Althoughthismayhavetotakeplaceonline,afacetofacesessionwouldbethebestwaytobuildnetworkrelationshipsandtocommunicatekeymessages.The network kick-off meeting will underline the rationale and working methods as well as theexpectations in terms of objectives and outputs for these pilot networks. It will emphasise theexperimentalnatureofthemodel,andtheimportanceofsharinglearningexperiences.AfinaleventwillbescheduledforSeptember2022,whichwillbeusedtodrawoutthemainfindingsandresultsofthepilot.The18monthscheduleassumesfourmeetingsforeachnetwork,eachhostedbyoneofthepartners.Regular ‘check-in’ sessionsshouldbearrangedonline inbetweenthephysicalmeetings.The initialnetworkmeetingshouldtakeplaceintheUIAcity,providingadeep-diveintotheUIApracticeaswellasanimmersivebondingexperienceforpartners.TheURBACTprogrammehasestablishedareputationasafront-runnerinonlineurbancollaboration.AswellasrunningthefirstURBACTe-Universityinautumn2020,ithasdevelopedasuiteofsupporttoolsaroundonlineworking.ThisincludesaHintsandTipsresourceandasuiteofvisualoutputsprovidingguidanceandsupport.TheprogrammealsohasanewdigitalToolboxtosupportnetworkactivity.AlloftheseresourceswillbeavailabletotheUIATransferMechanismPilotNetworkcities.Inaddition,URBACThasdevelopedaneffectivetransfernetworkwebinarformat.Themainbenefitshave been to share good practices and learning in real time between the networks, as well asbuildingasenseofcommunity.Tosupportthesepilots,URBACTwilldeliveroneonlinewebinarperquarterduringthepilotperiod,targetingpartnercities.

SECTION3–PARTNERSHIPFORUIATRANSFERNETWORKSThe partnership must be composed of 4 partners including the Lead Partner. A country can berepresented only once per network meaning there cannot be two partners from the sameMember/PartnerStateineachUIATransferMechanismPilotNetwork.ThepartnershiptobepresentedintheApplicationcanincludeonlycitypartners.IntheframeworkofthiscallforUIATransferMechanismPilotNetworkslocalagenciesareconsideredascitypartners.Noncity-partners including,provincial, regionalandnationalauthoritiesaswellasuniversitiesandresearchcentersarenotconsideredaseligiblepartners2.

Inbrief,inordertobeeligible,theUIATransferMechanismPilotNetworkpartnership:

• Shall comprise 4 partners (eligible beneficiaries defined above) including the UIA PracticeCityasLeadPartner;

• MustbecomposedofpartnersallcomingfromdifferentMember/PartnerStates;• Mustincludeatleast2partnersfromLessDevelopedregions;

Detailed information on eligible beneficiaries is provided in Fact Sheet 1 TheURBACT Programmeand on the role and responsibilities of partners are provided in Fact Sheet 2E of the URBACTProgrammeManual.

2TheseorganisationscanbeinvolvedinUIATransferMechanismPilotNetworksasmembersoftheURBACTLocalGroup(ULG)thateachpartnerofanetworkwillhavetobuild.

SECTION4–UIATRANSFERMECHANISMPILOTNETWORKAPPLICATIONPROCEDURE

4.1 UIATransferMechanismApplicationProcedureNetworks shall be required to follow a structured application procedure. Each project shall besubmittedtotheURBACTIIIMonitoringCommitteeforapprovalintheformofanon-lineapplicationform.DecisionsbytheMonitoringCommitteeshallbefinal.Thedifferentstagesoftheapplicationprocedureareoutlinedindetailasfollows:

0.CallforUIATransferMechanismPilotNetworks

1.APPLICATIONPROCEDURE

Stage1 LeadPartnercompletesandsubmitsanApplicationandallrequesteddocumentsinEnglishtotheURBACTJointSecretariatby1stFebruary2021

Stage2 URBACTJointSecretariatperformseligibilitycheck.

Stage3 IndependentAssessmentPanelcarriesoutassessmentofeligibleprojectproposalsandissuesrecommendations.

Stage4 URBACTManagingAuthority submits proposal for the approval of up to 4UIA Pilot TransferNetworks to theMonitoringCommittee.MonitoringCommitteeapprovesprojects.ApprovedUIA TransferMechanismPilotNetworks shall receive a subsidy contract thatmarks the finalstageofapprovaloftheproject.

APPROVEDUIATRANSFERMECHANISMPILOTNETWORKS(March2021–September2022)

Theindependentassessmentpanelwillbemadeupof:

• URBACTProgrammeExperts• JSstafffromURBACTandUIA

4.2 EligibilitycheckofUIATransferMechanismPilotNetworkapplicationsThe URBACT Joint Secretariat will check all received applications against the eligibility criteria.Eligibilitycriteriaareminimumrequirements,allofwhichmustbe fulfilledbeforeaprojectcanbedeclaredeligible.Theycoverorganisationalandadministrative requirements.OnlyeligibleprojectscanbesubmittedbytheManagingAuthoritytotheMonitoringCommitteeforapproval.The proposals submitted to the URBACT Joint Secretariat within the deadline and respecting theprocedureoutlinedinthecallwillbecheckedforcompliancewiththeeligibilitycriterialistedbelow:

UIATransferMechanismPilotNetwork-EligibilityCriteria

o The application package is submitted in English, respecting the procedure outlined in theTermsofReferenceandwithinthenotifieddeadline.

o TheapplicationpackageiscompleteincludingtherequireddocumentssetoutintheTermsofReference.

o The proposal is complete in terms of information and data required in the documents(ApplicationFormand lettersofcommitmenthavebeenproperly filled inandsignedusingtheofficialtemplatesandaccordingtotheinstructions).

o Theproposalfulfillsthepartnershiprequirementsbringingtogether4candidatecitiesfromdifferentMember/PartnerStatesincludingtheUIACityasLeadPartner.

o The proposed partnership includes partners all coming from different Member/PartnerStates

o Theproposedpartnershipincludesatleast2partnersfromLessDevelopedregions.

o Thecandidatepartnersarenotinvolvedinmorethan1projectproposal.

o TheUIACityisnotinvolvedinmorethan1projectproposal.

o AllcandidatepartnersareeligibleaccordingtotheURBACTProgrammerules.

o Themaximumbudget(EUR550.000totaleligiblebudget)hasbeenrespected.

o Themaximuminterventionrateof70%hasbeenappliedforallpartners

4.3 AssessmentofUIATransferMechanismPilotNetworkapplicationsThe independentassessmentpanelmadeupofURBACTProgrammeExpertsandURBACTandUIAJoint Secretariat staff shall proceed to the assessment of eligible applications. The assessmentcriteriafortheUIATransferMechanismPilotNetworksareoutlinedbelow:

UIATransferMechanismPilotNetworks-AssessmentCriteria

CriterionA–RelevanceoftheUIApracticeandQualityofPartnership(15%)Forthiscriterion,assessorsshouldconsiderthefollowingdimensions:1) TheUIAPracticehasbeenwelldescribedanditspolicyrelevancehasbeenconfirmed.(Q2.1)2) TheproposedpartnershipcoversanappropriatemixofEUMemberStates,incaseswherethe

geographicalcoverageislimited,thisisclearlyjustified.(Q1.3andQ3.1)3) TheidentifiedneedsoftheTransferCitiesarerelevanttotheUIAPracticeanditisclearthatthe

UIAPracticecouldhaveapositiveimpactonrelevantpolicyinthetransfercities.(Q3.3)CriterionB-Transferpotential(45%)Forthiscriterion,assessorsshouldconsiderthefollowingdimensions:1) Thetransferpotentialhasbeenwelldescribedanddevelopsconcreteideasforrealtransfer.

(Q2.1.1)

2) Therisksandchallengeslinkedtotransferofthepracticeareclearlyexplainedandarecomprehensiveandrealistic(Q2.1.2)

3) Theexpectedtransferresultsareclearlydefinedandwellpresented.Transfercitypartnershaveclearlyidentifiedsourcesoffundingfortheimplementationoftheirinvestmentplans.(Q3.1and

4) TheTransferCitypartnershaveappropriateresourcesinplacetofacilitatethetransferoftheUIAPractice(e.g.havingappropriateknowledgeandskills,financialresourcesfortheirparticipationinthenetwork,politicalsupportandmotivation).(Q3.2)

5) TheleadpartnerdemonstratesaclearmotivationtotransfertheUIAPracticeandlearnfromthisprocessusingthetoolsproposedbyURBACT.(Q3.4)

CriterionC-QualityofthePlannedActivityandOutputs(20%)Forthiscriterion,assessorsshouldconsiderthefollowingdimensions:1) Theworkplanisclearlypresentedwithadetaileddescriptionoftheplannedactivitiesand

expectedoutputs.(Section4and5)

2) TheproposalshowsaclearunderstandingofwhatisexpectedintermsofactivitiesandoutputsfromUIATransferMechanismPilotNetworksinallworkpackages.(Section4and5)

3) TheactivitiesarelogicallyinterlinkedbetweenthetransnationalandlocallevelandareinlinewiththeobjectivesforUIATransferMechanismPilotNetworks(appropriatenumberoftransnationalmeetings,thoughtsaboutnetworkinterimandfinaloutputsetc)(Section4and5)

4) Theoutputsarewelldescribedwithdetailsabouthowtheywillbedevelopedandusedduringtheprojectlifetime.(Section4and5)

CriterionD–QualityofproposedNetworkManagementandBudget(20%)Forthiscriterion,assessorsshouldconsiderthefollowingdimensions:1) TheLeadPartnerdemonstratescompetencytodeliverhighqualitynetworkmanagement.

(Section6,7and8)

2) ThenamedpersontoactfortheLeadPartnerasprojectcoordinatorhasrelevantexperiencewithEUprojectsand/ortheUIApractice.(Section6,7and8)

3) TheprojectcoordinationattheLeadPartneriswellorganisedandclearlypresented.SufficientresourcesareindicatedfortheleadPartnertasks.(Section6,7and8)

4) Theproposedapproachofusingexternalexpertise(LeadExpert,Ad-hocExpertsandUIAexpert)isclearlyexplainedandappropriatetotheneedsofthepartnercities.(Section6,7and8)

5) ThedesignatedURBACTLeadExperthasrelevantexperienceinsupportingtransnationalexchangeandlearningactivitiesaswellastransferofpractice.(Section6,7and8)

6) Theprojectbudgetisproportionatetotheproposedworkplanandthemainoutputsandresultsproposed.(Section6,7and8)

7) Theprojectbudgetiswellexplained,justified,clearandrealistic.(Section6,7and8)

4.4 ApprovalofUIAPilotTransferMechanismPilotNetworksBased on the final assessment, the URBACT Managing Authority shall submit to the MonitoringCommitteeaproposed listofprojects tobeapproved.TheMonitoringCommittee shall decideontheapprovalofprojects.DecisionsbytheMonitoringCommitteeshallbefinal.Allprojectsshallreceiveane-mailnotificationoftheoutcomeoftheassessmentandthedecisionoftheMonitoringCommittee.LeadPartnersofapprovedprojects shall receiveaSubsidyContractwhichmarks the final stageofapprovaloftheproject.

SECTION5–UIATRANSFERMECHANISMPILOTNETWORKAPPLICATIONPACKAGE

Respectoftheprocedureoutlined inthissection ispartoftheeligibilitycriteria.Shouldanyoftheelementsofthisprocedurenotberespected,includingdeadlines,theapplicationwillbeconsideredineligible–pleasereadcarefully.

5.1 UIATransferMechanismPilotNetworkapplicationpackageTosubmittheapplicationapplicantsshallcompleteandsubmitanapplicationpackagecomposedof:

• ThesignedPDFoftheApplicationFormcompletedandsubmittedthroughSynergie-CTE;• The signed Letters of Commitment for the Lead Partner and ALL partners involved in the

partnership,usingthetemplatesprovidedbytheURBACTJointSecretariat(annexes2and3).LettersofCommitmentshallnormallybesignedbyanelectedrepresentativeofthepartner’sinstitution;

• TheCVoftheProjectCoordinatoroftheLeadPartner• TheCVoftheproposedURBACTLeadExpert

Nota Bene: All documents as listed above are compulsory elements of the application package.Shouldanyofthelisteddocumentsbemissing,theapplicationwillbeconsideredineligible.

5.2 ProcedureforthesubmissionofapplicationsTosubmittheapplicationapplicantsshallcompletethefollowingtwosteps:

1) SubmittheirApplicationFormthroughSynergie-CTE.OnlyapplicationssubmittedinEnglishthroughSynergie-CTEwillbeaccepted.

Thedeadlinefortheonlinesubmissionoftheapplicationsis1stFebruary2021,15:00CET.

Afterthisdeadline,theSynergie-CTEsystemwillbeclosed

2) Sendbye-mailtouiatm@urbact.euthewholeapplicationpackageasdescribedabove.

Thee-mailshallbereceivedbytheURBACTJointSecretariatnolaterthan2ndFebruary2021,15:00CET.

Nota Bene: In order to avoid technical problems related to the size of the e-mail and attacheddocuments, it is strongly recommended that the size of the e-mail shall not exceed 5Mo.ApplicantsareadvisedtoscanalldocumentsinPDF(notJPEG).

SECTION6–COMPLAINTSPROCEDURELead partners of rejected project proposals are informed in writing about the reasons why anapplication was not eligible or not approved. Questions in relation to the assessment will beexaminedandansweredbytheManagingAuthority/JointSecretariat.EligibleprojectsthathavenotbeenselectedforfundinghavetherighttofileaformalcomplaintonthedecisionoftheMonitoringCommittee.Inprinciple,complaintscanonlybelodgedagainstthefollowingcriteria:(1)theassessmentdoesnottake intoconsideration informationsupplied in theapplicationand (2) theprojectassessmentandselection process failed to comply with the specific procedures laid down in the call publicationwhichasaconsequencemayhaveaffectedthedecision.Onlytheproject’sleadpartnercanfileacomplaint.Potentialpartnercomplaintshavetobepassedthrough the lead partner. Complaints should be submitted electronically to the Joint Secretariatwithin 3 weeks after the official notification of the non-selection of the project by theManagingAuthority. This deadline shall not prejudice the start of the other projects approved by theMonitoringCommittee.The complaints will be examined and answered by a complaint panel involving the chair of theURBACTMonitoringCommittee, theURBACTManagingAuthority/JointSecretariatandtheoriginalassessorsinanadvisorycapacity.Ifdeemednecessary,thecomplaintpanelmaydecidetosubmitacomplainttotheMonitoringCommitteeoftheprogrammeforreview.

SECTION7–CONTENTOFUIATRANSFERMECHANISMPILOTNETWORKAPPLICATIONFORMAllapplicationsshallbecompletedinEnglish.InAnnex1applicantswill findtheoutlinestructureandquestionsfortheUIATransferMechanismPilotNetworkApplicationForm.Forthepreparationoftheapplication,applicantsarerequestedtoreferto:

• “GuideforUIATransferMechanismPilotNetworks”fordetailedinformationconcerningthemainactivitiestobeimplemented;

• “Synergie-CTEGuide forUIA TransferMechanismPilotNetwork applications” for practicalinstructionsonhowtocompleteandsubmitproposalsthroughSynergie-CTE;

• The present Terms of Reference for information concerning the procedure (includingdeadlines)forsubmissionofapplications.

SECTION8–IMPORTANTDATESFORAPPLICANTSApplicantsareinvitedtotakenoteofthefollowingmilestones:

• SubmissionofUIATransferMechanismPilotNetworkApplicationForm

TheApplicationFormshallbesubmittedintheSynergie-CTEsystemby1February2021,15:00CETlatest3,followingtheprocedureoutlinedabove.

• E-mailsubmissionofapplicationpackage

Theapplicationpackageshallbesubmittedbye-mail(uiatm@urbact.eu)by2ndFebruary2021,15:00CETlatest,followingtheprocedureoutlinedaboveinsections3and4.

• ProjectApproval

Eligible project proposalswill be submitted to theMonitoring Committee for approval of funding.TheMonitoringCommitteemeetingisscheduledon9thMarch2021.

• TrainingsessionatthebeginningofUIATransferMechanismPilotNetwork

LeadPartnersandLeadExpertsofapprovedprojectswillberequestedtoattendthetrainingsessionorganisedinParison23rdMarch2021.PLEASESAVETHEDATEATTENDANCEISCOMPULSORY.NOTABENE:LeadPartnersshallinformtheirLeadExpertofthisdate.

3 TheonlineplatformforsubmittingProposals,Synergie-CTE,willcloseat15.00CETon1February2021.After this timeyouwillnotbeabletosubmityourproposalandyourprojectwillnotbeassessed.

SECTION9–USEFULRESOURCES

• URBACTJointSecretariat

Applicants may contact members of the URBACT Joint Secretariat for clarification related to thesubmissionofapplications.Forallquestionsconcerning theapplication forUIATransferNetworks,applicants are invited to contact theURBACT Joint Secretariat at the following dedicated address:(uiatm@urbact.eu).

• UsefulDocuments

InpreparingtheirApplication,applicantsareinvitedtorefertothefollowingdocuments:• URBACTIIIOperationalProgramme• URBACTIIIProgrammeManual• GuideforUIATransferMechanismPilotNetworks• Synergie-CTE Practical Guide to the creation and submission of UIA Transfer

MechanismPilotNetworks

Keydocumentsareavailableonthewebpagededicatedtothecall.

• DatabaseofURBACTIIIvalidatedexperts

http://urbact.eu/experts-list

• PartnerSearchDatabase

https://urbact.eu/marketplace

20TermsofReferenceUIATransferMechanism2021

ANNEX1–MAINCOMPONENTSOFTHEAPPLICATIONFORM

APPLICATIONFORMCHAPTERS

1. PROJECTSYNTHESIS

1.1.Projectidentity(incl.titleandduration)

1.2. SummarizeddescriptionofGoodPracticetobetransferred1.3.Proposedpartnership1.4. Thematicobjective

1.5. Totalbudget

2. PRESENTATIONOFPROJECTPROPOSAL

2.1. PresentationoftheUIAPracticeincludingoutlineoftheoriginalpolicychallenge

2.1.1. ExplanationoftheTransferPotentialoftheUIApractice

2.1.2. ExplaintherisksandchallengeslinkedtotransferoftheUIApractice

2.2. ShalltheproposalcontributetotheURBACTSpecificObjective3(relatedtotransfernetworks)?

3. RATIONALEOFTHEPROPOSEDPARTNERSHIP

3.1Pleaseexplaintherationaleusedforselectingproposedpartnersandexplaintherelevanceforeachpartnerindividually.ThissectionshouldincludereferencetoCohesionPolicyinstrumentsaccessibletothenetworkpartner.3.2PleaseexplaintheresourcesinplacefortheTransferCitiestosuccessfullyparticipateinthenetwork(competences,financialresources,politicalsupportetc)

3.3Pleaseexplaintheexpectedresultsineachpartnercity

3.4PleaseexplainthemotivationandexpectationsfortheUIAcitytotransfertheirexperience.

4. ACTIVITIESANDEXPECTEDOUTPUTS

4.1. DescriptionofWorkPackage1-Networkmanagement

4.1.1. Organisationoftheprojectcoordination

4.1.2. ActivitiestobeimplementedunderWP1

4.1.3. PartnersinvolvementinrelationtoWP1activities

4.1.4. ExpectedOutputsunderWP1

4.2. DescriptionofWorkPackage2–TransnationalExchangeandLearningActivity

4.2.1. GeneralstructureforTransnationalExchangeandLearningActivities

4.2.2. ActivitiestobeimplementedunderWP2

4.2.3. PartnersinvolvementinrelationtoWP2activities

4.2.4. ExpectedoutputsunderWP2

4.3. DescriptionofWorkPackage3–TheLocalDimension

4.3.1. GeneralFrameworkforlocalactivities(governanceatlocallevel,URBACTlocalgroup)

4.3.2. ShortdescriptionofthemethodologyproposedtolinktransnationalactivitiesunderWP2andlocaltransferactivitiesunderWP3

4.4. DescriptionofWorkPackage4–CommunicationandDissemination

4.4.1. GeneralframeworkforCommunicationandDisseminationActivities

4.4.2. CommunicationStrategy(objectives,targetaudiences,keymessages,toolsforcommunicationanddissemination

4.4.3PartnersinvolvementintherelationtoWP4activities

5. PROJECTWORKPLAN

6. NETWORKMANAGEMENTANDLEADERSHIP

6.1. LeadPartnerexperience(highlightsofcity’sexperienceinEUprojects)

6.2. LeadPartnermanagementteam(decisionmakers,projectcoordinator,UIAPracticeleader,communicationandfinancialofficers)

6.3. Experienceofproposedprojectcoordinator

7. USEOFEXPERTISE

7.1. ProposeduseofexpertiseresourcesallocatedbytheProgramme

7.1.1. ProposedLeadExpert

7.1.2. Proposedadhocexpertiseandidentifiedexpertsifapplicable

7.1.3ProposeduseofUIAexpertaspartofthisprojectifapplicable

8. BUDGETARYPROPOSAL

8.1. Financialcontributionbypartnerandsource(incl.ERDFandlocalcontribution)8.2. ERDFperyear8.3. Expenditureperpartner,peryearandbudgetsubcategory8.4. Expenditureperyearandbudgetcategory8.5. Projectcostperbudgetline8.6. Projectcostsperbudgetcategory–Justification/Explanation

9. SIGNATURE

SignatureoftheLeadPartner/projectcoordinator

ANNEX2–TEMPLATELETTEROFCOMMITMENTFORLEADPARTNERThetextshallbeinsertedintheLeadPartner’sheadedpaperwiththerelevantprojectdata.URBACTIIIManagingAuthority20,AvenuedeSégurTSA1071775334ParisCedex07FranceDearMadam,Sir,The city of [… name of the institution…] confirms its commitment to be the Lead Partner in theactivitiesoftheURBACTUIATransferMechanismPilotNetworkproposalentitled[…projecttitle…].TheUIAPracticetobetransferredinthisNetworkis[…briefdescriptionoftheUIAPractice………].Iftheproposal isapprovedwithintheframeworkoftheURBACTIIIProgramme,wewillensuretheoverallcoordinationofthenetwork,takeonrolesandimplementactivitiesasindicatedintheworkplan.Moreespeciallywecommittoorganisetransnationalmeetingsandtocoordinatetheworkattransnational levelwithourprojectpartners. Inadditionwecommittoexploringthe improvement/sustainabilityoptionsproposedbyURBACTforourpractice.Tothisendwealsoformallycommittoengagingthefundsneededtoco-financeERDF.Thedetailsofthiscontributionareoutlinedwithintheapplicationform.Yourssincerely4_________________________________Nameincapitalletters:_________________________________

Function

4ThesigningpersonhastobeanelectedrepresentativewithauthoritytosignfortheLeadPartner.IncasetheLeadPartnerinstitutionhasno elected representatives, the signing personmust be in the position of committing the institution’s resources to be engaged in theproject(staff,budget,etc.).

Officialstamp

ANNEX3–TEMPLATELETTEROFCOMMITMENTFORPROJECTPARTNERThetextshallbeinsertedinthePartner’sheadedpaperwiththerelevantprojectdata.

URBACTIIIManagingAuthority20,AvenuedeSégurTSA1071775334ParisCedex07FranceDearMadam,Sir,The cityof […nameof the institution…] confirms its commitment tobe theProjectPartner in theactivitiesoftheURBACTUIATransferMechanismPilotNetworkproposalentitled[…projecttitle…].TheUIAPracticetobesharedinthisNetworkis[…briefdescriptionofthepractice…………].We are convinced that byworking through thisURBACT network,wewill be able to improve theimplementation of our policy challenge. In this context, if the proposal is approved within theframeworkoftheURBACTIIIProgramme,wewillactivelyparticipateinthenetworkactivities,takeon roles and undertake activities as indicated in the work plan. More especially, we commit toparticipate inthetransnationalmeetingsplannedandtoworkwithkeystakeholders inanURBACTLocal Group to co-produce an investment plan. We commit to explore options for funding theinvestmentplanusingCohesionPolicyinstrumentsorotherfundingsources.

Tothisendwealsoformallycommittoengagingthefundsneededtoco-financeERDF.Thedetailsofthiscontributionareoutlinedwithintheapplicationform.Yourssincerely5_________________________________Nameincapitalletters:_________________________________

Function

5The signing person has to be an elected representative with authority to sign for the Project Partner. In case the Project Partnerinstitution has no elected representatives, the signing personmust be in the position of committing the institution’s resources to beengagedintheproject(staff,budget,etc.).

Officialstamp

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