RulesandProcedures

ONTHEIMPLEMENTATIONOFTHE
GREENINDUSTRYINNOVATIONPROGRAMMEROMANIA

Version1.3.
17July2014

Note:
nd
Informationnotvalidforthe2 CallforProjectProposalsismarkedwithgreycolour.

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TableofContents
1Introduction...........................................................................................................................2
2Projectsandprojectfunding..................................................................................................2
2.1Eligibleapplicants........................................................................................................................3
2.2Areaofsupportandeligibleactivities..........................................................................................3
2.3ProjectFunding............................................................................................................................4
2.3.1Definitionofprojects....................................................................................................................................4
2.3.2Minimumandmaximumgrantamountperproject.................................................................................4
2.3.3SupportfrombilateralFundonProgrammelevel.......................................................................................4

2.4Grantrateandcofinancing..........................................................................................................5
2.5ApplicationsandLanguage...........................................................................................................6

3ProjectPartnersandPartnershipAgreements.......................................................................7
3.1DonorPartnershipProjects..........................................................................................................7
3.2PartnershipAgreement................................................................................................................7

4Assessmentofapplications....................................................................................................8
4.1Assessmentcriteria......................................................................................................................9
4.2Selectionandaward..................................................................................................................11
4.3ProjectContract.........................................................................................................................11

5ExpenditureandFinancing...................................................................................................13
5.1Eligibilityofexpenditureinprojects...........................................................................................13
5.1.1GeneralPrinciplesontheeligibility............................................................................................................13
5.1.2Firstandfinaldatesforeligibilityofexpenditure......................................................................................13
5.1.3Detailedeligibilityprovisions.....................................................................................................................14
5.1.4Costoverrunsandsavingsonprojectbudgets..........................................................................................17

6Implementation...................................................................................................................17
6.1Payment....................................................................................................................................18
6.1.1Verificationofpaymentclaimsininterimprojectsreport.........................................................................19

6.2Procurementandstateaid.........................................................................................................19
6.3Reporting...................................................................................................................................21
6.4Modificationrequest.................................................................................................................22
6.5MonitoringbyInnovationNorway.............................................................................................23
6.6Publicity.....................................................................................................................................23

7Auditandfinancialcontrol...................................................................................................23
7.1Transparencyanddocumentaryevidence..................................................................................23
7.2Financialcontrol,auditandantifraudmeasures........................................................................24

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1 Introduction
In the Memorandum of Understanding on the implementation of the Norwegian Financial
Mechanism20092014,InnovationNorwaywasdesignatedastheProgrammeOperatorofthe
GreenIndustryInnovationProgrammeforRomania.

TheNorwegianFinancialMechanism20092014shallcontributetothereductionofeconomic
andsocialdisparitiesintheEuropeanEconomicArea(EEA),andtostrengtheningthebilateral
relationsbetweenNorwayandtheBeneficiaryStates.

The objective of the programme area Green Industry Innovation is to promote increased
competitivenessofgreenenterprises,includinggreeningofexistingindustries,greeninnovation
andgreenentrepreneurship.

The specific expected outcome of the Green Industry Innovation Programme Romania
(hereinafterreferredtoastheProgramme)isrealisationofbusinessopportunitiesofgreening
oftheEuropeaneconomy.

The Programme offer cofinancing of projects in Romania in the form of grants (non
reimbursablefunds).

All projects funded by this Programme shall contribute to the overall objectives of the
NorwegianFinancialMechanism(NorwayGrants)20092014,theobjectivesoftheprogramme
areaaswellastothespecificProgrammeoutcome.

Projects funded by the Programme shall focus on sustainable development through creating
and developing of innovative products, technologies and services in the green economy. The
aim is to support the reduction of environmental impacts, to prevent pollution and achieve
moreefficientandsustainableuseofresourcesthustostrengthenthecompetencesinprivate
sector in Romania, ensure Small and Medium Sized enterprises (SMEs) and entrepreneurship
development,andsupportsmartsustainableandinclusivegrowth.Allsupportedprojectsmust
beincompliancewithrelevantEU/EEAandnationallegislationandtheseRulesandProcedures.

These Rules and Procedures may be amended by decision of Innovation Norway, in

consultations with the Norwegian Ministry of Foreign Affairs (the donor) and communication
withtheRomanianNationalFocalPoint(MinistryofEuropeanFunds).InnovationNorwaywill
adopt additional amendments as necessary. Such amendments will be published on the
dedicatedProgrammewebsitewww.norwaygrantsgreeninnovation.no

The laws of the Kingdom of Norway shall govern the Project Contract between the Project
Promoter (the Applicant) and Innovation Norway. Disputes shall be brought before the Oslo
Tingrett(OsloDistrictCourt)inOslo,Norway,iftheycannotbeamicablysolved.

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2 Projectsandprojectfunding
More specific priorities for the implementation of the Programme are set out in the Call for
ProjectProposals.

2.1. Eligibleapplicants
ThefollowingentitiesareeligibleforfinancialsupportfromthisProgramme
Private enterprises legally established in Romania are eligible applicants for the Individual
ProjectSchemeandfortheFundforBilateralRelations.
MicroandSmallsizedEnterpriseslegallyestablishedinRomaniaareeligibleapplicantsforthe
SmallGrantsSchemeandtheFundforBilateralRelations.

Notvalidforthe2ndCallforProjectProposals:
Nonprofitandnongovernmentalorganisations(NGOs)waseligibleapplicantsonlyunderthe
1stCall.Anongovernmentalorganisationisdefinedasanonprofitvoluntaryorganisation
establishedasalegalentity,havinganoncommercialpurpose,independentoflocal,regional
andcentralgovernment,publicentities,politicalpartiesandcommercialorganisations.

Norwegianentities,legallyestablishedinNorway,areeligibleasdonorprojectpartnersunder
theIndividualProjectSchemeandtheSmallGrantsScheme(seearticle2.2.)

Norwegianentities,legallyestablishedinNorway,areeligibleasapplicantsundertheFundfor
BilateralRelations(seearticle2.3.3).

2.2. Areasofsupportandeligibleactivities
ThisProgrammeshallsupportprojectsthatcontributetotheexpectedoutcomeRealisationof
businessopportunitiesofgreeningoftheEuropeaneconomy.

TheProgrammemayprovidesupporttoactivitieswithinthefollowingareas:

FortheIndividualProjectScheme:
a) Implementationandinvestmentininnovativeenvironmentalfriendlytechnologies;
b) Improvementofgreenproductsandservices;
c) Materialefficiencyandwastemanagement:
d) Developmentandimplementationofgreenermanagementandproductionprocesses;

FortheSmallGrantsScheme:
e) EligibleactivitiesarethesameasfortheIndividualProjectScheme(above).

Notvalidforthe2ndCallforProjectProposals

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EcoinnovativebusinessdevelopmentinlessdevelopedareasofRomania.(Areaswhere
indicatorssuchasnumberofenterprisesper1000inhabitants,numberofemployeesper
1000inhabitantsandGDPpercapitaatregionallevel,arelowerthantheRomanian
average.)

Any funds not committed under activity e), due to a lack of quality applications, can be
transferredtoactivitiesa),b),c)ord).

Environmentalprocessesandtechnologiesrefertoprocessesandtechnologieswheretheiruse
islessenvironmentallyharmfulthanrelevantalternatives.

MoredetailswillbesetoutintheCallforProjectProposals.

2.3. Projectfunding
Applicants may submit project applications for financing of one project under the Individual
ProjectSchemeoroneprojectundertheSmallGrantScheme.Inaddition,eligibleapplicants
may apply for funding from the Fund for Bilateral Relations (see article 2.3.3.). Specific
GuidelinesfortheFundforBilateralRelationswillbeadoptedbyInnovationNorway.

2.3.1. Definitionofprojects
A project is an economically indivisible series of activities with clearly identifiable aims. An
application for a project may include one or more subprojects. Such subprojects must be
definedintheapplicationtoInnovationNorway.

2.3.2. Minimumandmaximumgrantamountperproject
The amount of financial assistance applied for shall be minimum EUR 200,000 and maximum
EUR1,500,000foranIndividualProjectandminimumEUR50,000andmaximumEUR200,000
foraSmallGrantProject.

2.3.3. SupportfromtheFundforBilateralRelations
InnovationNorwayhassetasideaBilateralFundtostrengthenthebilateralrelationsbetween
NorwayandRomania.TheFundshallbeusedto:

a) Search for partners for donor partnership projects prior to or during the preparation of a
projectapplication,thedevelopmentofsuchdonorpartnershipsandthepreparationofan
applicationforadonorpartnershipproject.

b) Facilitatenetworking,exchange,sharingandtransferofknowledge,technology,experience
and good practice between Project Promoters (successful applicants) and other national
stakeholdersandentitiesinNorwayandRomania.

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Fortheactivitiesmentionedunder2.3.3.a)RomanianandNorwegianlegalentitiesareeligible
applicantsfor:
Travel Support Scheme with a lump sum of EUR 1,200 per entity to participate in
activitiesdirectlyrelevantforestablishmentofadonorpartnershipandthepreparationofa
donorpartnershipprojectapplication.

a) Notvalidforthe2ndCallforProjectProposals.
Project Development Fund (prefeasibility studies), maximum grant amount is EUR
10,000perapplication/project.

Eligible expenses under the Fund for Bilateral Relations, referred to in article 2.3.3.a) may
include,subjecttothegrantofferfromInnovationNorway;
- travelcostsforparticipationinmeetingswithpotentialpartnersetc.;

Notvalidforthe2ndCallforProjectProposals.
f) activitiesrelatedtothepreparationofadonorpartnershipprojectapplication,suchas
feasibility studies, financial and economic analyses, and preparation of legal and
technical documentation, or similar, necessary for the application for an Individual
ProjectoraSmallGrantsProject;
g) externalconsultancyfeesandtravelcosts.

SpecificGuidelinesfortheTravelSupportScheme(andtheProjectDevelopmentFund)willbe
adoptedbyInnovationNorwayandpublishedonthededicatedprogrammewebsite.

2.4.

Grantrateandcofinancing

The financial contribution from this Programme shall be determined on a casebycase basis,
takingallrelevantfactorsintoaccount.Theapplicablerulesonpublicprocurementandonstate
aid,proceduralandsubstantive,shallbecompliedwith.

MaximumgrantratesforIndividualProjectSchemeandSmallGrantsScheme:

For enterprises and projects that undertake economic activities, i.e. offer goods and/or
servicestoamarket,thegrantratewillinlinewiththeapplicablestateaidregulations.

Notvalidforthe2ndCallforProjectProposals.
1) Fornongovernmentalorganisations,thegrantrateisupto90%.

BasedonanindividualassessmentthegrantrateforprojectsundertakenbyNGOsmayalsofall
underthestateaidregulationscategory.

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The Applicant (Project Promoter) shall secure the full financing of the project. The Project
Promoter (and/or theProjectPartner(s)) shallprovideorobtain the remaining cofinancing in
theformofcash.

Manhour contribution from the Project Promoter and Project Partner(s) is also accepted as
cashcontribution,basedonapprovedhourlyrateforsalaries.Thecalculationofthemanhour
contributionshallbebasedontherealcostsoftheemployer,butlimitedtothesalaries,social
contributionsandoverheads.

Notvalidforthe2ndCallforProjectProposals..
In case of projects implemented by NGOs, inkind contribution in the form of voluntary work
mayconstituteupto 50%ofthe cofinancingrequired bytheprogrammefortheproject.For
the calculation of the inkind contribution, the price for each hour of voluntary work shall be
1/168 part of the monthly gross average salary as established by the State Social Security
budgetlawwithrelevantsocialcontributionadded.Thispriceshallbeadjustedannuallyduring
theimplementationoftheProgrammeinordertotakeintoaccountchangestotheStateSocial
Securitybudgetlaw.

(Eligibilityofexpensesisdetailedinarticle5.1.)

MaximumgrantratesfortheFundforBilateralRelations

ThemaximumgrantratefortheTravelSupportSchemeis85%.Thetravelsupportwillbegiven
asalumpsumofEUR1,200.

Notvalidforthe2ndCallforProjectProposals.
The maximum grant rate for the Project Development Fund is 50 %. The Applicant (Project
Promoter)shallsecurethefullfinancingoftheproject.

2.5.

ApplicationsandLanguage

The Programme language is English, i.e. all applications and supporting documents, shall be
submittedtoInnovationNorwayinEnglish.

The Project Promoter shall submit their application only in electronic version, using the
Application Form published at the dedicated Programme website www.norwaygrants
greeninnovation.no
Additional documentation may be sent by email or by mail. All communications between
Innovation Norway and the Project Promoter (and Partner(s)) shall be in English. Original
documents, in Romanian, Norwegian or other languages, sent to Innovation Norway shall be

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accompaniedbytranslationsintoEnglish.TheProjectPromotershallbearthefullresponsibility
fortheauthenticityofthetranslation.
ThedeadlineforsubmissionofcompleteapplicationsissetoutintheCallforProjectProposals.
Initially only one call was foreseen. However, due to reallocation of funds from cancelled
Programmes under the Norwegian Financial Mechanism for Romania 20092014, and unused
fundsfromthe1stCalllaunchedin2013,wewillorganisea2ndCallforProjectProposalsin2014.
Eventuallysubsequentcallswillbepreparedonlyifthenumberofqualifiedprojectapplications
receiveddoesnotutilisethetotalamountavailableforprojectsinthisProgrammeorthereisa
needforredistribution(orreallocation)offunds.

3 ProjectPartnersandPartnershipAgreements
Aprojectmaybeimplementedinpartnershipwithprojectpartners.Anyentitythatisaneligible
applicantaccordingtoarticle2.1.,aswellasNorwegianlegalentities,canbeaprojectpartner.
In addition, eligible partners could be private or public entities that are performing research
activities and are registered as Romanian legal persons (e.g. R&D institutes, accredited
universities).

3.1.DonorPartnershipProjects
Partnership with a Norwegian entity (donor partnership project) is not mandatory in this
Programme,butitisstronglyencouraged.

A donor partnership project Is defined as cooperation between at least one legal entity in
Romania and at least one legal entity in Norway, implementing a joint project and where all
entities are independent of each other and perform relevant tasks in the completion of the
project. The project should be planned and implemented together and the project partners
shouldshare theresult.Longtermcooperation,beyondtheprojectlifetimeisrecommended.
The requirement regarding independence means that no direct ownership interest in other
partnersisallowed.Thepartnershipmustbeestablishedpriortoapplication.

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Donor partnership projects are encouraged for the Individual Project Scheme as well as for
theSmallGrantScheme.InordertotakeadvantageonNorwegianexperiences,technologies
and investments, this Programme will prioritise donor project partnerships and such projects
willbeawardedadditionalpointsduringprojectassessment.

3.2.PartnershipAgreement

If a project is implemented in partnership, the Project Promoter shall sign a Partnership

Agreementwithallprojectpartners.ThePartnershipAgreementshallbeinEnglishandcontain
asaminimumthefollowing:

a.

provisionsontheroles,divisionoftasksandresponsibilitiesoftheParties;

b.

provisionsonthefinancialarrangementsbetween theParties,including,butnot limited

to,whichexpendituretheProjectPartner(s)cangetreimbursedfromtheprojectbudget;

c.

currencyexchangerulesforsuchexpenditureanditsreimbursement;(seearticle6.1)

d.

provisions on the method of calculating indirect costs (overheads) and their maximum
amount;

e.

provisionsonauditsontheProjectPartner(s);

f.

detailedbudget,withitemisedcostsandunitpricesforeachpartner;

g.

all relevant regulations and conditions as stated in the Project Contract, between
InnovationNorwayandtheProjectPromoter,shallapplymutatismutandistotheProject
Partner(s)

h.

provisionsondisputeresolutionbetweenthepartners.

TheeligibilityofexpendituresincurredbyaProjectPartnerissubjecttothesamelimitationsas
wouldapplyiftheexpenditureswereincurredbytheProjectPromoter.

ThefinalPartnershipAgreementshallbesubmittedtoInnovationNorwaybeforetheconclusion
andsigningofaProjectContract(seearticle4.3.).

4 Assessmentofapplications
This article refers only to applications under the Individual Project Scheme and the Small
GrantsScheme.

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InnovationNorwaywillreviewallapplicationsreceivedwithinthedeadlinesetoutintheCallfor
Project Proposals for compliance with formal/administrative and eligibility criteria. If any
shortcomings are found concerning the formal/administrative criteria, these can be corrected
bytheApplicantuponwrittenrequestfromInnovationNorway.

Applicants whose applications are rejected at this stage shall be informed in writing and will
havetwoweekstoappealthatdecisiontoInnovationNorway.

Applications meeting the formal/administrative and eligibility criteria shall be subject to a full
assessment organised by Innovation Norway. Innovation Norway may use external experts in
theassessmentprocess.TheNationalFocalPointinRomaniawillbeinvitedtogiveitsreasoned
opinionontheprojectapplicationspriortodecisionbyInnovationNorway.

TheProjectassessmentcriteriaandmethodologyarefurtherdetailedinAnnex1totheseRules
andProcedures.

4.1. Assessmentcriteria
Projectapplicationsmustcomplywithaspecifiedsetofassessmentcriteria.Thesaidcriteriaare
basedontheobjectivesandtheoutcomethattheProgrammeseekstoachieve.Theobjectives
and principles of good governance, sustainable development and gender equality, as well as
CorporateSocialResponsibility,arecrosscuttingissuesthatshallbeconsideredaspartofthe
assessmentprocess.

Theapplicableassessmentcriteriaaredividedintothefollowingsections:

1. Formal/administrativecriteria
a) TheapplicationhasbeenfilledinaccordingtotheinstructionsgivenintheCallforProject
Proposals,RulesandProceduresandintheelectronicApplicationFormandallmandatory
documentationareattachedtotheapplication;
b) The application and mandatory supporting documents are submitted and presented in
English;
c) TheappropriateelectronicApplicationFormhasbeenused.

2. Eligibilitycriteria

a)
Applicant
i.

TheApplicantisconstitutedasalegalentityinRomania.

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ii.

The Applicant has a positive working capital and a positive equity, according to last
availablecertifiedaccounts(incertaincasesthiscouldalsoberequiredforthepartner(s));

iii.

The Applicant is not an undertaking in difficulty (according to the definition in art.2 of

Commissionregulation (EU) No.651/2014declaring certain categories ofaidcompatible
withtheinternalmarketinapplicationofArticles107and108oftheTreaty);

iv.

In the case of a partnership project, a draft Partnership Agreement defining the

partners different roles and responsibilities has been signed by all partners and
attachedtotheapplication;

v.

The Applicant (and any partner(s)) has been in operation for at least one fiscal
year, and their main activities are closely related to the activities for which the
applicationismade;

vi.

TheApplicant(andeventuallypartner(s))andthelegalrepresentativesigningthe
applicationhavecleancriminalandtaxrecords.

b)

Project
i.

The proposed project is relevant for the Programme specific expected outcome and
withintheeligibleactivitiesdefinedintheCallforProjectProposals;

ii.

Grant maximum and minimum amounts and cofinancing requirements are complied
with and the projects implementation period is no longer than the deadline for cost
eligibility;

iii.

No overlapping/double funding arises from the applications for a similar project from
EU/EEA/InternationalFinancialInstitution/bilateralorothersources;

iv.

The project is in compliance with both EU and national legislation in Romania (in
particularpublicprocurement,stateaidandenvironmentrequirements).

3.

Technicalandfinancialassessmentcriteria
i.

The entity/entities have the necessary human resources and the technical and
financialcapacitytoimplementtheprojectandsupportitscosts;

ii.

Theprojectismature,i.e.technicallyviableandfeasibleintermsoftimeschedule,
budgetandvalueformoney;

iii.

If applicable, the quality of the partnership agreement, the division of tasks and
responsibilitiesamongthepartnersisestablishedanddescribedandeachpartner
hasasignificantcontributiontotheprojectactivities;

iv.

Theprojectisadequatelysupportedbyariskmitigationplan;

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4.

v.

Thequalityoftheplannedarrangementstopublicisetheprojectanddisseminate
theresultsandimpact(PublicityPlan);

vi.

The Project Promoter and eventual partners adhere to Corporate Social

Responsibility CSR (initiatives on company level). Projects supported by this
Programmeshallincludeatleastonesmallcomponentrelatedtoestablishingan
activeCSRapproachintheenterprise;

vii.

The project meets the Programme specific expected outcome and the eligible
activities set out in the Call for Project Proposals and have a high degree of
improvement of the environmental performance of enterprises and/or
environmentalimpactduringprojectimplementation/uponprojectcompletion;

viii.

The project is in compliance with relevant crosscutting issues in the Application

Form(initiativesonprojectlevel);

ix.

Thegrantawardedhasareleasingeffectontheproject(i.e.theprojectwouldnot
beimplementedwithoutfundingfromthisProgramme);

x.

The project is in compliance with Romania national, regional and local plans or
strategies;

xi.

Theprojecthasaddedvalue,i.e.thesocioeconomicprofitability;

xii.

The project incorporates clear sustainability measures (i.e. the durability of the
projectaftertheimplementationdeadline);

xiii.

The project contributes to the overall objectives of Norway Grants 20092014

(reductionofeconomicandsocialdisparitiesintheEuropeanEconomicAreaand
tostrengthenthebilateralrelationsbetweenNorwayandRomania).

Additionalassessmentcriteriaforallprojectspromotedbyprivateenterprises:
i.

Projectprofitability;

ii.

Assessmentoffinancialreports/certifiedaccounts;

iii.

Operatingriskrating;

iv.

Creditscorerating;

v.

Businessmodel/businessplan;

vi.

Innovationlevel;

vii.

IntellectualPropertyRightsstatus;

viii.

Marketpotentialandcompetitiveness.

4.2.

Selectionandaward

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The assessment criteria above will be scored in a rating from one to six points (1 lowest, 6
highest). The scoring will constitute a basis for an assessment profile. Each of the selection
criteria may be a critical success factor, a factor than can jeopardize the whole project. The
scoringprofilewillbethebasisfortheprioritizingfortheprojectproposals.

The main principle will be that those projects with the highest scoring, as a result of the
assessmentprocess,willhavethehighestprobabilitytobeawardedagrant.

Otherelementsintheprioritizingofprojects:
Provenavailabilityoftherequiredcofinancingandfinancialcapacitytoimplementthe
project.

After the assessment of the project applications has been performed, Innovation Norway will
makethefinalgrantdecision.ApplicantsshallbenotifiedofthedecisionofInnovationNorway
tosupportorrejecttheirapplication.

Innovation Norway shall send a Project Contract/Reasoned Refusal Letter to the Project
PromoterwithacopytoeventualPartners.
TheNationalFocalPointinRomaniashallbenotifiedaboutgrantdecisionsandrefusals.

4.3.

ProjectContract

OnthebasisofapositivedecisionfromInnovationNorway,andanacceptancefromtheProject
Promoter, a Project Contract shall be concluded between Innovation Norway and the Project
Promoter.

TheProjectContractwillconsistofaletterincludingrelevantSpecialConditions,theStandard
TermsandConditionsonEEA/NorwayGrantsprogrammesoperatedbyInnovationNorway,the
agreedProjectImplementationPlan,theagreeddetailedactivitybasedBudgetandtheagreed
Disbursement Plan. These documents shall set out the terms and conditions of the grant
assistance,aswellastherolesandresponsibilitiesoftheParties.Thetermsandconditionsof
the Project Contract may diverse, derogate and/or supplement these Rules and Procedures.
Such Special Conditions set out in the Project Contract take precedence over the Rules and
Proceduresincaseofconflictbetweenthem.

TheProjectContractshallasaminimumcontainprovisionsonthefollowing:

a.

obligationsregardingreportingthatenableInnovationNorwaytocomplywithits
reportingobligationsandtoassessprojectprogressandimpact;

b.

themaximumamountoftheprojectgrantinEuroandthemaximumprojectgrantrate;

c.

theeligibilityofexpenditures;

d.

themethodofcalculatingindirectcosts(overheads)anditsmaximumamount;

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e.

thefirstandfinaldatesofeligibilityofexpenditures;

f.

modificationsoftheproject;

g.

ensuringthattheaccessrequestedinrelationtomonitoring,auditsandevaluationsis
providedwithoutdelay;

h.

ensuringthatobligationsregardingpublicityarecompliedwith;

i.

therightoftheProgrammeOperatortosuspendpaymentsandrequestreimbursement
fromtheProjectPromoter;

j.

resolutionofdisputesandjurisdiction;

k.

adetailedbudget,withitemisedcostsandunitprices,andwhichmayallowforupto5%
contingency;

l.

Whenapplicable,referencetothedonorpartnershipagreement,

m.

theProjectImplementationPlanandDisbursementPlan;

ThegrantwillbesubjecttotheacceptanceoftheStandardTermsandConditionsonNorway
GrantsprogrammesoperatedbyInnovationNorwayandtheSpecialConditionsoftheProject
Contract.

5 ExpenditureandFinancing
5.1. Eligibilityofexpenditureinprojects
5.1.1 GeneralPrinciplesontheeligibility
EligibleexpendituresofprojectsarethoseactuallyincurredbytheProjectPromoterorthe
ProjectPartner(s),andmeetthefollowingcriteria:

a.

theyareincurredbetweenthefirstandfinaldatesofeligibilityofaprojectasspecifiedin
theProjectContract;

b.

theyareconnectedwiththesubjectoftheProjectContractandtheyareindicatedinthe
estimatedoverallbudgetoftheproject;

c.

theyareproportionateandnecessaryfortheimplementationoftheproject;

d.

theymustbeusedforthesolepurposeofachievingtheobjective(s)oftheprojectandits
expected outcome and output, in a manner consistent with the principles of finance,
efficiencyandeffectiveness;

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e.

theyareidentifiableandverifiable,inparticularthroughbeingrecordedintheaccounting
records of the Project Promoter and determined according to the applicable accounting
standardsandgenerallyacceptedaccountingprinciples;and

f.

theycomplywiththerequirementsofapplicabletaxandsociallegislation.

Expendituresareconsideredtohavebeenincurredwhenthecosthasbeeninvoiced,paidand
the subject matter delivered (in case of goods) or performed (in case of services and works).
Exceptionally,costsinrespectofwhichaninvoicehasbeenissuedinthefinalthreemonthsof
eligibility are also deemed to be incurred within the dates of eligibility if the costs are paid
within 30 days of the final date of eligibility. Overheads and depreciation of equipment are
considered to have been incurred when they are recorded on the accounts of the Project
Promoter.

5.1.2 Firstandfinaldatesforeligibilityofexpenditure
Costswithinprojectsmaybeeligiblefromthedateonwhichthegrantisawardedoratalater
date set in the Project Contract. The Project Contract shall set the final date of eligibility of
costs, which shall be no later than 30 April 2016. Costs incurred after that final date are not
eligible.

5.1.3 Detailedeligibilityprovisions
1)
Theeligibledirectexpenditures
Expenditures which are identified by the Project Promoter or the Project Partner(s), in
accordance with their accounting principles and usual internal rules, as specific expenditures
directly linked to the implementation of the project and which can therefore be booked to it
directly.

The Project Promoters internal accounting and auditing procedures must permit direct
reconciliation of the expenditures and revenue declared in respect of the project with the
correspondingaccountingstatementsandsupportingdocumentsintheiroriginalform.

In particular, the following direct expenditures may be eligible provided that they satisfy the
criteriasetoutinarticle5.1.1:

a)
The cost of staff assigned to the project, comprising actual salaries plus social security
charges and other statutory costs included in the remuneration, provided that this
correspondstotheProjectPromotersandProjectPartnersusualpolicyonremuneration.

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b)

c)

d)

Travelandsubsistenceallowancesforstafftakingpartintheproject,providedthatthey
are in line with the Project Promoters and Project Partners usual practices on travel
costs.Travelsonbusinessclassarenormallynoteligible.
Only costs of new equipment will normally be eligible. Cost for second hand equipment
willonlybeeligibleiftheyaredulyjustifiedintheapplicationandexplicitlystatedinthe
ProjectContract.
Costofrealestateandland;
Thecostofpurchaseofrealestate,meaningbuildingsconstructedorunderdevelopment
andtheappropriaterightstothelandonwhichtheyarebuilt,andlandnotbuiltonmay
beeligibleunderthefollowingconditions,withoutprejudicetotheapplicationofstricter
nationalrules:
1. Thereshallbeadirectlinkbetweenthepurchaseandtheobjectivesoftheproject;
2. Purchase ofrealestateand/orland maynotrepresentmorethan10%ofthe total
eligible expenditure of the project, unless a higher percentage of up to 25% is
explicitly authorized by Innovation Norway. (Any higher percentage has to be
explicitlyauthorizedbytheNorwegianMinistryofForeignAffairs.)
3. Documentation shall be obtained prior to the purchase from an independent
qualified evaluator or duly authorized official entity confirming that the purchase
pricedoesnotexceedthemarketvalueandthatitisfreeofallobligationsinterms
of mortgage and other liabilities, particularly in respect of damage related to
pollution.Incaseofpurchaseofrealestatethecertificatemusteitherconfirmthat
thebuildinginquestionisinconformitywithnationalregulations,orspecifywhatis
notinconformitywithnationalregulationsbutwhichistoberectifiedbytheProject
Promoterundertheproject;
4. the real estate and/or the land shall be used for the purpose and for the period
specified in the decision to award the project grant. The ownership must be
transferred to the Project Promoter, or those explicitly designated by the Project
Promoterintheprojectapplicationasrecipientsoftherealestateand/ortheland,
priortothecompletionoftheproject.Therealestateand/orthelandcannotbesold
orrentedwithinfiveyearsofthecompletionoftheproject,orlongerifstipulatedin
the Project Contract. The Norwegian Ministry of Foreign Affairs may waive this
restriction if it would result in an unforeseen and unreasonable burden on the
ProjectPromoter.Therealestateand/orthelandcannotbemortgagedwithinfive
years of the completion of the project, unless explicitly agreed otherwise in the
ProjectContractorpermittedinwritingbyInnovationNorway;
5. therealestateand/orlandmayonlybeusedinconformitywiththeobjectivesofthe
project;and
6. thepurchaseofrealestateand/orlandshallbeexplicitlyapprovedbyeInnovation
Norwaypriortothepurchase,eitherintheProjectContractorbyalaterdecision.

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Therestrictionsreferredtoinparagraphd(4)applyalsotobuildingsthatareconstructed
or reconstructed through a financial contribution from the Norwegian Financial
Mechanism20092014.

Thecostofrealestateand/orlandalreadyowned,directlyorindirectly,bytheProject
Promoter,orpurchaseofrealestateand/orlandowned,directlyorindirectly,bythe
projectPartner,shallnotbeeligible.

Undernocircumstancesshallrealestateand/orlandbepurchasedforspeculative
purposes.Therealestateand/orthelandshallnothavereceivedanationalorexternal
donorgrantinthelast10yearswhichwouldgiverisetoaduplicationoffunding.

e)Costsofconsumablesandsupplies,providedthattheyareidentifiableandassignedtothe
project,andcompatiblewithstateaidregulationsrelatedtooperationalexpenses.
f)CostsentailedbyothercontractsawardedbyaProjectPromoterforthepurposesofcarrying
outtheproject,providedthattheawardingcomplieswiththeapplicablerulesonpublic
procurementandtheProjectContract;andcostsarisingdirectlyfromrequirementsimposedby
theProjectContractforeachproject(e.g.disseminationofinformation,specificevaluationof
theproject,audits,translations,reproduction),includingthecostsofanyfinancialservices.

2)
Eligibleindirectcostsinprojects(overheads)
IndirectcostsarealleligiblecoststhatcannotbeidentifiedbytheProjectPromoterorthe
Project Partner(s) as being directly attributed to the project but which can be identified
and justified by its accounting system as being incurred in direct relationship with the
eligible direct costs attributed to the project. They may not include any eligible direct
costs. Indirect costs of the project shall represent a fair apportionment of the overall
overheads of the Project Promoter or the Project Partner. They may be identified
accordingtoeitherofthefollowingmethods:

a)
basedonactualindirectcostsforthoseProjectPromotersandProjectPartner(s)thathave
ananalyticalaccountingsystemtoidentifytheirindirectcostsasindicatedabove,or
b)
a Project Promoter and Project Partner(s) may opt for a flat rate of up to 20% on the
eligible costs mentioned in Article 5.1.3.a)., excluding its direct eligible costs for
subcontracting and the cost of resources made available by third parties which are not
usedonthepremisesoftheProjectPromoter.

In the event a project contains a research component performed by a Project Partner,

being a higher education establishment, research organisation or similar, which, due to
the lack of analytical accounting, are unable to identify with certainty their real indirect

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costsfortheproject,mayoptforaflatrateofupto60%ofthesalarycostsincludedin
theprojectasdefinedinarticle5.1.3.a).
The method of the indirect costs and its maximum amount shall be determined in the
ProjectContract.
3)

Excludedcosts

Thefollowingcostsshallnotbeconsideredeligible:

a) interestondebt,debtservicechargesandlatepaymentcharges;
b) chargesforfinancialtransactionsandotherpurelyfinancialcosts,exceptcostsrelatedto
projectaccountsrequiredbyInnovationNorway;
c) provisionsforlossesorpotentialfutureliabilities;
d) currencyexchangelosses;
e) recoverableVAT;
f) coststhatarecoveredbyothersources;
g) fines,penaltiesandcostsoflitigation;
h) excessiveorrecklessexpenditure;
i) secondhandequipmentunlessexplicitlystatedintheProjectContract;
j) alreadyoweddebtsandcreditstothirdparties;
k) anyothercostsincurredbeforesigningtheProjectContract;
l) operational expenses, unless explicitly stated in the Project Contract and compatible
withthestateaidregulations.

5.1.4 Costoverrunsandsavingsonprojectbudgets
The Project Promoter shall assume full responsibility for project execution. In case the actual
project costs exceed the budgeted cost in the Project Contract, the Project Promoter shall
ensure that additional funding is made available, unless other arrangements are agreed upon
betweentheProjectPromoterandInnovationNorway.

If the final cost of the project is below the total cost stipulated in the Project Contract, the
overallsumofgrantpaidwillbereducedaccordinglyandanyundulypaidamountsreimbursed
bytheProjectPromoter.Thegrantratewill,however,remainthesame.Inthecaseofthefinal
cost of the project being below the total stipulated costing the Project Contract, the Project

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PromotercanprovideInnovationNorwaywithamodificationrequesttoincludemoreactivities
intheprojecttoutilisethefullgrant.

Interestrevenueonprojectaccounts,bothinEURandinlocalcurrency,shallbedeductedfrom
the grant amount with the final payment or the Project Promoter can provide Innovation
Norway with a modification request to include more activities in the project to utilise the
interest.

6 Implementation
The Project Promoter shall bear responsibility for the implementation and followup of the
projectaswellasreportingontheresultsandimpactinaccordancewiththeProjectContract.
The Project Promoter shall submit a yearly report on project results and impacts, including
performanceonindicators,toInnovationNorwaywithin15Januaryeveryyear.

Atemplatefortheprojectreportingwillbelaunchedatthededicatedprogrammewebsite.

The relevant provisions for the implementation of the projects are set out in these Rules and
Procedures, the Standard Terms and Conditions on Norway Grants operated by Innovation
Norway and the Special Conditions in the Project Contract, if any. In case of conflict between
them,theSpecialConditionsintheProjectContracttakeprecedenceovertheStandardTerms
and Conditions, and the Standard Terms and Conditions take precedence over the Rules and
Procedures.

6.1.

Payment

Grant assistance shall be given as reimbursements of already incurred documented costs

accordingtoanagreedDisbursementPlan.

The Project Promoter, which has been awarded a grant, shall establish two project bank
accounts, one in EUR, to which the payment from Innovation Norway will be made, and one
bank account in local currency. (Alternatively only one bank account in local currency, if the
bankacceptpaymentsfromInnovationNorwayinEURintothisaccount.) Thedepositsofthe
projectbankaccountsshallbeusedonlyforpurposesrelatedtotheproject,andallpayments
regardingtheprojectshallbemadefromthese(this)account(s).

Advancepaymentofupto10%oftheawardedgrantcanbemade,ifrequestedbytheProject
PromoterandincludedintheagreedDisbursementPlanandintheProjectContract.Ahigher
advancepaymentupto20%canbemadetoprivateenterprisesandNGOsuponrequestand
specific reasons. Advance payment to Project Partner(s) may take place according to their

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contributionintheproject.Paymentstothirdparties,includingdonorprojectpartners,require
aPowerofAttorneytoInnovationNorwayfromtheProjectPromoter.

InnovationNorwayshallpayinterimpaymentsinaccordancewithpaymentclaimscontainedin
theInterimProjectReportinlinewitharticle6.3.

PaymentclaimsshallbeaddressedtoInnovationNorway.Theyshallbeaccompaniedbyallthe
necessary documentary evidence demonstrating fulfilment of the conditions for each
disbursement. Innovation Norway shall ensure that all disbursement conditions have been
fulfilled(includingtheavailabilityofcofinancing)beforemakingapayment.

DisbursementsshallbemadetothedesignatedprojectbankaccountoftheProjectPromoter.

CommitmentsandpaymentswillbecarriedoutinEuro().
Payment claims (incl. advance payment) forwarded from the Project Promoter to Innovation
NorwayshallbeinEuro().

For Romania, the Project Promoter shall apply the rates in force on the day before the last
workingdayofthemonthprecedingthemonthduringwhichtheexpenditureswererecorded
(paid).TheseratesarepublishedatthewebsiteoftheNationalBankofRomaniawhichisthe
CentralBankofRomania,(http://www.bnr.ro/Exchangerates1224.aspx

ForcostsinNOKtheProjectPromotershallapplytheratesinforceonthedaybeforethelast
workingdayofthemonthproceedingthemonthduringwhichtheexpenditureswererecorded
(paid). The rates are quoted by the Norwegian Central Bank (Norges Bank), at:
http://www.norgesbank.no/templates/article26805.aspx

Forexternalpurchases,thecurrencyexchangerateactuallypaidbytheProjectPromotermay
alternativelybeapprovedasabasisforeligiblecosts.

6.1.1. Verificationofpaymentclaimsinprojectsreports
The Chief Financial Officer of the Project Promoter shall certify that the costs claimed are
incurred in accordance with the Project Contract and the principles of finance, effectiveness,
and efficiency. All financial statements on claimed expenses in project reports shall be
confirmedbyacertifiedauditor.

ProjectreportsandpaymentclaimsshallbeverifiedbyInnovationNorwayandpaymentsdue
shallbetransferredtotheProjectPromoterwithintwomonthsofthesubmissionoftheinterim
or final project report, provided that the report contains the necessary information in
Innovation Norways opinion. Payments to third parties,including donor projectpartners, can
be made directly based on a Power of Attorney to Innovation Norway from the Project
Promoter.

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6.2.

Procurementandstateaid

RomanianandEuropeanUnionlegislationonpublicprocurementshallbecompliedwithatany
levelintheimplementationofaproject.

AProjectPromoterthatreceives50%ormoreaspublicfundingoftheeligibleexpendituresof
theprojectshallconductitsprocurementforthatprojectincompliancewiththenationalpublic
procurementlawasthoughtheprojectpromoterwereacontractingauthority,iftheapplicable
EU public procurement thresholds are exceeded. The procedure outlined in Order
no.1120/2013ofMinisterofEuropeanFundsonapprovingtheawardprocedureapplicableto
private beneficiaries of projects financed from structural instruments, the objective
"Convergence" and projects financed from EEA and Norwegian Financial mechanisms for
awarding supply, services and works contracts shall be followed in case of project promoters
thatreceive50%ormoreaspublicfundingoftheeligibleexpendituresoftheprojectandwhere
RomanianNationalAuthorityforRegulating andMonitoringofPublicProcurement(ANRMAP)
considersthattheprocurementprocedureunderEmergencyOrdinanceno.34/2006concerning
the awarding of public contracts, public works concession contracts, and services concession
contractscannotbeapplied,providedthattheapplicablethresholdsspecifiedintherelevantEU
Directivesarenotexceeded.ThisparagraphappliesmutatismutandistoProjectPartner(s).

Incaseswherecontractsconcludedaspartoftheimplementationoftheprojectfallbelowthe
national or European Union thresholds set for direct purchase or outside the scope of the
applicable public procurement laws, theawardingof such contracts (including theprocedures
prior to the awarding) and the terms and conditions of such contracts shall comply with best
economicpractices,includingaccountability,allowafullandfaircompetitionbetweenpotential
providers, for example by way of effective price comparison, and ensure the optimal use of
resourcesfromtheNorwegianFinancialMechanism20092014.
The highest ethical standards shall be observed during the procurement and execution of
contracts.

Therulesre.procurementappliedwithinthisProgrammearereflectedinthetablebelow1:

Case
Grantrateis50%ormore
and
the value of the service/works contract
exceeds threshold set for private entities
that are not contracting authorities (EUR

Procedure
Procedure set in Governmental
Emergency Ordinance no. 34/2006 on
publicprocurementwillbeapplied.

Pleasenotethatprocedureindicatedundereachcasedescribedinthetableisconsideredtobemandatoryfortheproject,withoutrestricting
thepromoter/partnersrighttochooseahigherprocedure(e.g.proceduresetforcaseno.1couldbechosenforcase2.)

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207,000forserviceandEUR5,186,000for
works
Grantrateis50%ormore
and
the value of the service/works contract is
higher than the threshold set for direct
procurement(EUR30,000forservicesand
EUR 100,000 for works) and lower than
threshold set for private entities that are
not contracting authorities (EUR 207,000
andEUR5,186,000)
Grantrateislowerthan50%
and
the value of the service/works contract is
higher than the threshold set for direct
procurement(EUR30,000forservicesand
EUR100,000forworks)
Supplycontract

The value of the supply/service/works

contract is EUR 30,000 or less for supply
and services and EUR 100,000 or less for
works,irrespectiveofthegrantrate

Procedure set in Order no.1120/2013

willbeapplied.

Besteconomicpracticeswillbeapplied.
See Innovation Norways Procurement
Guidelines re. best economic practices
published on the Programme website
www.norwaygrantsgreeninnovation.no

Grant rate is 50% or more and

contract value is higher than EUR
30,000
ProceduresetinOrderno.1120/2013will
beapplied.
Grant rate is lower than 50% and
contract value is higher than EUR
30,000
Besteconomicpracticeswillbeapplied.
Directprocurement

Contractvalueestimation
Estimation will be based on the calculations made without VAT, in direct connection with
contract objective. Contract objective will be determined using Common Procurement
Vocabulary (CPV)2. The procurement procedure will be chosen taking into consideration
estimatedvaluesofsupply/service/workscontractswithdifferentCPVcodes.Estimatedvalues
ofsupply/services/workswiththesameCPVcodewillbecumulatedandproperprocedurewill
bechosen.

http://ec.europa.eu/internal_market/publicprocurement/rules/cpv/index_en.htm#maincontentSec2

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Theexchangerateusedforcalculationofestimatedvalueistheexchangeratesetbynational
bankforthedayofstartingtheprocurementprocedure.

IftheProjectPartner(s)consistofundertakings,i.e.entitiesdealingwitheconomicactivity,the
grantprovidedmustbeincompliancewiththerelevantstateaidlegislation.
Further, in some cases which the state aid legislation applies, grants may only be given after
prior notification and approval by the relevant EU/EEA body (the EUCommission or the EFTA
SurveillanceAuthority).Suchnotificationmaydelaythegrantduetothecasehandlingtimein
therelevantEU/EEAbody.

It is Innovation Norway who is responsible to only provide grants in accordance with the
relevant state aid legislation. However, the Project Promoter and Project Partner(s) must
cooperatewithInnovationNorwaytotheextentpossibletoclarifytheissue.Thissignifiesthat
theProject Promoter,ProjectParnter(s)andotherbeneficiariesmustprovidetheinformation
and documentation requested by Innovation Norway. Further, the applicant shall describe
whetheranyoftheentitiesinvolvedalreadyhavereceivedstateaidtothisparticularproject,
thesizeoftheaid,whichcoststhisaidcoveredetc.

Finally,theApplicantshouldinformintheapplicationwhetherand/orthesizeofdeminimisaid
providedtotheProjectPromoterandProjectPartner(s),orotherbeneficiaries,inthetwolast
fiscalyearsandtheapplicablefiscalyear.

6.3.

Reporting

The Project Promoter shall submit an interim project report to Innovation Norway every six
month,orotherintervalsagreedintheProjectContract,inconnectionwiththepaymentclaims:

Technical/physicalandfinancialprogressinaccordancewiththeProjectContract;

AnydeviationsfromtheProjectContractandpossiblerepercussionsfortheproject;

Tenderingandprocurement;ifrelevant

SpecialconditionsintheProjectContract.

Deviations shall be documented by an updated Project Implementation Plan, updated activity

basedBudgetandanupdatedDisbursementPlan.

Reportsshallalsoincludeabankstatementoftheprojectbankaccount(s)transactionsforthe
relevant period. Innovation Norway may at any time ask the Project Promoter for further
information and documentation. The reporting shall be done in accordance with the relevant
provisionsoftheProjectContract.

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The final project report (last interim report), as well as the final payment claim, shall be
submittedtoInnovationNorwaynolaterthanthreemonthsaftereligibilitydeadlinesetinthe
ProjectContract.

TheProjectPromotershallsubmittoInnovationNorwayayearlyreportonprojectresultsand
impacts,includingperformanceonindicators,within15Januaryeveryyear.

The Project Promoter shall also submit a Project Completion Report to Innovation Norway, in
accordancewithprovisionsintheProjectContract.

All reports shall be according to the requirements in templates that will be launched on the
dedicatedprogrammewebsite.

6.4.

Modificationrequest

Projectmodificationsduringtheprojectimplementationareruledbythefollowing:
1.

With the exceptions stipulated in paragraph 3 of this article, any modifications of the
project shall be subject to Innovation Norways prior written approval. Before the
proposed modifications are implemented, Innovation Norway shall approve them in
writing.

2.

Anysuchmodificationsmayrequireanewassessmentpriortobeingacceptedorrejected.

3.

ModificationsoftheprojectdonotneedanapprovalbyInnovationNorwayiftheydonot
affectthescope,objectives,outcome,oroutputsoftheProject,andthefinancialimpactis
limitedto:
a.

4.

Changesinanyofthereportingperiodsfortheinterimprojectreportsscheduledin
theProjectImplementationPlan;
b. A transfer between budget headings involving a variation of 10% or less of the
amounts in the latest approved Project Implementation Plan under each relevant
heading;or,
c. A transfer between project activities involving a variation of 10% or less of the
amountsinthelatestapprovedProjectImplementationPlanforsuchactivity.

Notwithstanding paragraph 3, modifications that result in an increase of management

costs will always require a prior written approval by Innovation Norway.

6.5. MonitoringbyInnovationNorway
Innovation Norway shall monitor projects in order to ensure that the Project Contracts are
fulfilled.Forthispurpose,itmayalsodrawupontheservicesofexternalexperts.
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The monitoring exercise shall be done in accordance with Guidelines on reporting and
monitoring which will be adopted by Innovation Norway and launched at the dedicated
programmewebsite.

6.6.

Publicity

The Project Promoter shall ensure that information on approved projects is communicated in
the most efficient way to users and the public at large and that the contribution of the
Programmeisgivenadequatepublicity.

PublicityGuidelinesforprojectpromoterswillbeadoptedbyInnovationNorwayandlaunched
atthededicatedprogrammewebsite.

Project summaries of approved projects will be uploaded at the website of the EEA and
NorwegianFinancialMechanisms,www.eeagrants.organdonthededicatedprogrammeweb
sitewww.norwaygrantsgreeninnovation.no

7 Auditsandfinancialcontrol
7.1 Transparencyanddocumentaryevidence
The Project Promoter shall provide records for projects cofinanced by the Programme that
permit:

reconciliationofthesummaryamountsspecifiedinthepaymentclaimswiththeindividual
expenditure records and supporting documents held at the various administrative levels
andbyfinalbeneficiariesincluding,wherethelatterarenotthefinalrecipientsoffunding,
thebodiesorfirmscarryingoutoperationsand

verificationoftheallocationandtransferoftheavailablegrantsundertheProgramme.

TheProjectPromotershallensurethatalloriginaldocumentsremainavailableforinspectionfor
at least 5 years after the project has been completed, or longer if required in the Project
ContractorunderthenationallawofRomania.

TheaccessofInnovationNorwaytoaccountinganddocumentsoftheProjectPartner(s)willbe
definedintheProjectContract.

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7.2 Financialcontrol,auditandantifraudmeasures
InnovationNorwayshallberesponsibleforthefinancialcontrolandauditofapprovedprojects.
The Project Promoter shall be accountable to Innovation Norway, the Norwegian Ministry of
ForeignAffairs/FinancialMechanismOffice(FMO)andtheOfficeoftheNorwegianAuditor

Generalforthemanagementoffundsandforallmattersrelatedtofinancialcontrol,auditand
fraud.

Innovation Norway will adopt Guidelines on auditing, as well as a procedure for reporting on
irregularities.Moreinformationwillbelaunchedatthededicatedprogrammewebsite.

ProjectsunderthisProgrammemayatanytimebeauditedbytheOfficeoftheAuditorGeneral
ofNorwayand/oranauditorappointedbyInnovationNorway.

RulesandProceduresGreenIndustryInnovationProgrammeRomaniav.1.2.30042014