Synergies between Interreg Europe and smart specialisation : a methodological proposal to enhance policy learning.
Date: 2018-11-05
Institutions: Joint Research Centre
Subjects: European Regional Development Fund, cross-border cooperation, innovation, regional development, research and development, research report

Synergies between Interreg Europe 

and Smart Specialisation 

A methodological proposal 

to enhance policy 
learning 

 Cortijo Arellano Marta, Esparza Masana 

Ricard, Fernández Sirera Tatiana, 
Marinelli Elisabetta, Arregui Pabollet 
Eskarne. 

2018  

EUR 29390 EN  
EN 

 
 
 
 
This publication is a Technical report by the Joint Research Centre (JRC), the European Commission’s science 

and knowledge service. It aims to provide evidence-based scientific support to the European policymaking 
process. The scientific output expressed does not imply a policy position of the European Commission. 
Neither the European Commission nor any person acting on behalf of the Commission is responsible for 
the use that might be made of this publication. 

Contact information  
Name: Elisabetta Marinelli 
Address: C/ Inca Garcilaso 3, E-41092 SEVILLA 
Email: Elisabetta.Marinelli@ec.europa.eu 
Tel.: +34-95-4488323 

EU Science Hub 
https://ec.europa.eu/jrc 

JRC113414 

EUR 29390 EN  

PDF 

ISBN 978-92-79-96382-7 

ISSN 1831-9424 

doi:10.2760/572859 

Luxembourg: Publications Office of the European Union, 2018 

© European Union, 2018 

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All content © European Union 2018 

How to cite this report: Cortijo Arellano M., Esparza Masana R., Fernández Sirera T., Marinelli E., Arregui 
Pabollet E, Synergies between Interreg Europe and Smart Specialisation 
A methodological proposal to enhance policy learning, EUR 29390 EN, Luxembourg: Publications Office of 
the European Union, 2018, ISBN 978-92-79-96382-7, doi:10.2760/572859, JRC113414 

Contents 

Acknowledgements ................................................................................................ 2 

Abstract ............................................................................................................... 3 

1  Introduction ...................................................................................................... 4 

2  Knowledge-based development and policy learning: Synergies between INTERREG 

Europe and Smart Specialisation ....................................................................... 5 

3  Reinforcing Interreg Europe and S3 in Catalonia - a methodology ............................ 6 

3.1  Preparatory analysis: mapping Interreg-Europe projects and defining the objectives of 
data collection ................................................................................................... 6 

3.2  Workshop with IE project – Creating a community of practice through an exploratory 

data collection ................................................................................................... 7 

3.3  Survey – Rigorous data collection ........................................................................ 7 

4  Results: Exploring synergies between IE Europe and Smart Specialisation in Catalonia8 

4.1  Preliminary mapping .......................................................................................... 8 

4.2  Synergies between IE and S3 – easier to identify than to implement ........................ 9 

4.3  Methodological reflections ................................................................................. 10 

5  Conclusions and policy implications .................................................................... 11 

References ......................................................................................................... 13 

List of abbreviations and definitions ....................................................................... 14 

Annex 1. Key characteristics of IE projects with Catalan partners ................................ 14 

i 

Acknowledgements 

We would like to thank all the representatives of IE project that participated to the 

initiative described in this report. Without their time, effort and commitment, we 
would know much less about how to enhance shared policy learning through 
monitoring. 

Authors 

Marta Cortijo Arellano, Directorate-General for Economic Promotion, Competition and 
Regulation, Spain. 

Ricard Esparza Masana, Autonomous University of Barcelona.   

Tatiana Fernández Sirera, Directorate-General for Economic Promotion, Competition and 
Regulation, Spain 

Elisabetta Marinelli, JRC (Territorial Development Unit), Spain 

Eskarne Arregui, JRC (Territorial Development Unit), Spain 

2 

 
Abstract 

The  Interreg  Europe  (IE)  programme  supports  projects  in  which  interregional  consortia 
develop  a  set  of  peer-learning  activities,  followed  by  action-plans,  aimed  at  improving 
given  policy  interventions.  The  programme  gives  priority  to  projects  focussed  on 
instruments in ERDF Operational Programmes that have a direct link to S3. Despite this 
potential,  little  attention  has  so  far  been  paid  on  exploring  systematically  the 
complementarities between Interreg and S3 to maximise policy learning. This paper aims 
at bridging this gap by framing the relationship between IE and S3 in the broader debate 
about  synergies  between  different  EU  funds  and  stressing  the  importance  of  monitoring 
such  complementarities.  The  present  work  argues  that  the  Interreg  Europe  programme 
can provide a space for experimentation, learning and generation of good practices in S3 
that  can  serve  broader  purposes.  This  argument  is  put  forward  by  describing  and 
analysing  an  exercise  conducted  by  the  Catalan  government,  which  targeted  synergies 
between IE and S3. 

3 

 
1  Introduction 

Europe  2020,  the  strategy  for  smart,  sustainable  and  inclusive  growth,  sets  out  the 
targets  that  the  European  Union  should  meet  by  2020  in  the  fields  of  research  and 
innovation  (R&I),  climate  change  and  energy,  employment,  education  and  combating 
the  European 
poverty.  Regarding 
Commission  established  that  the  Operational  Programmes  (OP)  for  the  European 
Regional  Development  Fund  (ERDF)  should  support  actions  in  the  research  and 
innovation strategies for smart specialisation (S3). S3s support economic and knowledge 
specialisations that best match the resources and capabilities in a particular territory and, 
therefore, it's potential for innovation.  

the  European  budgetary  period  2014-2020, 

According to the Joint Research Centre (2012), these strategies are organised through an 
inclusive  and  interactive  bottom-up  process  (known  as  ‘entrepreneurial  discovery 
process’)  in  which  public  administrations,  research  and  innovation  stakeholders, 
companies  and  civil  society  co-decide  the  priorities  for  the  strategy.  The  idea  of  shared 
learning is de facto implicit in the concept of Smart Specialisation. 

The  European  Commission  also  promotes  the  coordination  and  complementarity  of 
programmes  co-financed  by  European  funds  in  order  to  maximise  the  impact  of  these 
funds towards the Europe 2020 objectives. 

In  parallel,  the  European  Commission  has  fostered  the  territorial  cooperation  of  the  EU 
member  states  and  their  regions,  developing  programmes  (commonly  known  as 
Interreg) to  foster transregional collaboration to design and implement better and more 
efficient  public  policies.  Several  Interreg  programmes  exist  under  three  main  blocks: 
cross-border  (member  state  border  regions),  trans-national  (tackling  main  EU  macro-
regions),  and  interregional  (for  all  EU  regions  to  participate).  Each  EU  region  can 
participate  in  a  number  of  them,  according  to  its  geographic  position.  The  Interreg 
Europe  (IE)  programme,  the  main  interregional  programme,  supports  projects  in  which 
interregional consortia develop a set of peer-learning activities, followed by action-plans, 
aimed at improving given policy interventions.  The programme gives priority to projects 
focussed  on  instruments  in  ERDF  OPs  that  have  a  direct  link  to  S3.  The  programme  is 
designed  to  open  a  space  for  shared  reflection  between  stakeholders  and  the  public 
sector.  

Despite  a  clear  potential,  little  attention  has  so  far  been  paid  on  the  complementarities 
between  Interreg  and  S3.  This  paper  aims  at  bridging  this  gap  by  framing  the 
relationship between IE and S3 in the broader debates about synergies between EU funds 
and about monitoring. The present work argues that the Interreg Europe programme can 
provide a space for experimentation, learning and generation of good practices in S3 that 
can serve broader purposes. To exploit this potential a systematic approach is required: a 
methodologically  rigorous  exchange  has  to  be  opened  between  S3  and  IE  projects,  as 
part  of  the  broader  S3  monitoring  process.  Such  exchange  needs  to  enable  policy 
learning by providing stakeholders and the public sector with (a) the opportunity to build 
a common understanding of the issues at stake, (b) a clear picture of the policy situation 
and (c) opportunities to generate feedback for future policy decisions. At the same time, 
this very policy learning process is instrumental to building capacities to exploit synergies 
between S3 and other EU funds, including Horizon 2020, the EU research and innovation 
framework  programme.  This  argument  is  put  forward  through  an  exercise  aimed  at 
identifying  and  exploiting  synergies  between  IE  and  S3,  recently  conducted  by  the 
Catalan government. Reflecting on this experience is particularly timely, as now  regions 
and  member  states  are  evaluating  the  first  few  years  of  S3  and  preparing  for  the 
forthcoming  programming  period  2021-2027,  in  which  S3  is  confirmed  to  be  an 
important element of cohesion policy. 

4 

 
2  Knowledge-based development and policy learning: 
Synergies between INTERREG Europe and Smart 
Specialisation 

As pointed out by McCann and Ortega Argilés (2012), the smart specialisation concept is 
essentially  a  way  of  thinking  about  systems  for  local  knowledge  and  learning 
enhancement. A key element of S3 is stakeholders’ interaction and collaboration both to 
identify  areas  for  investment  in  research,  development  and  innovation  (RDI)  and  to 
implement  projects  in  such  areas  (the  so  called  entrepreneurial  discovery  process). 
According  to  the  OECD  (2014),  stakeholders’  participation,  combined  with  early  stage 
monitoring  and  clear  opportunities  for  feedback  into  decision  making  is  essential  to 
develop an iterative process of policy-learning.  

The  aforementioned  Interreg  Europe  (IE)  programme  supports  interregional  consortia 
providing  opportunities  for  peer  exchange  and  learning.  One  of  the  requirements  of  the 
Interreg  Europe  programme  is  that  projects  should  focus  on  improving  regional  public 
interventions,  preferably  co-financed  by  the  ERDF  and  related  to  S3,  in  the  following 
thematic  fields:  research  and  innovation;  SME  competitiveness;  low-carbon  economy; 
environment and energy efficiency. The IE projects must have partners in at least three 
different  member  states  that  work  together  on  specific  regional  public  interventions 
(mostly policy instruments or strategic tools).The projects are developed in two phases:  

 

 

the  first  (with  a  duration  of  up  to  three  years)  focuses  on  interregional  learning 
and  the  preparation  of  regional  action  plans  that  include  the  lessons  learned 
during the peer-exchange activities;  
the  second  (two  years  in  the  calls  for  proposals  in  2015,  2016,  2017,  and  one 
year in the 2018 one) is devoted to implementing and monitoring the action plan 
which  specifies  what  will  be  done  in  each  partner-region  to  ensure  that  the 
lessons learnt from the IE cooperation have a local impact. 

Looking  at  the  links  between  IE  and  S3  provides  some  insights  into  policy  learning 
processes as well as mechanisms to support synergies between different EU policies. The 
latter is a topic of high interest to policy makers and policy beneficiaries, hence different 
initiatives have been developed to address it.1 These have identified the main obstacles 
in exploiting synergies in:  

  difficulties to access/form international networks,  
  weak collaboration with other EU countries, 
 
 

lack of experience in EU project consortiums management, as well as  
lack of long-term strategic planning of R&I policies (Ozbolat and Harrap, 2018).  

In  particular,  the  "Horizon  for  RIS3"2  working  group  (promoted  by  the  JRC)  has 
underlined  the  importance  of  promoting  more  informal  learning  platforms  and  networks 
for regions to exchange and discuss about synergies experiences. We argue in this paper, 

1 For instance, the Joint Research Centre of the European Commission has been working on building capacities 
for  synergies  in  regions  to  increase  the  impact  of  R&I  funding,  especially  between  ESIF  and  those  centrally 
managed. The efforts have been particularly focused on synergies between S3 and Horizon 2020, as the latter 
is  the  largest  RDTI  funding  programme  at  European  (see  http://s3platform.jrc.ec.europa.eu/stairway-to-
excellence). In  addition  the Interact  programme,  that  supports Interreg  programmes  activities,  has  promoted 
the identification of EU regions and countries that have identified under their ERDF operational programmes the 
use  of  the  current  Article  96.3  of  the  Common  provision  regulations  for  interregional  collaborations  to  enable 
further synergies.  
http://www.interact-eu.net/library 
2 The "H2020 for RIS3" working group has been set up by the JRC Stairway to Excellence project with the aim 
of to co-designing activities that better adapt to the needs of public authorities to build capacities and be a test-
bed for implementing capacity building activities to improve excellence of their local R&I systems. 
http://s3platform.jrc.ec.europa.eu/-/working-group-h2020-for-ris3-on-optismising-the-use-of-h2020-in-
implementing-smart-specialisation?inheritRedirect=true 

5 

 
                                           
that  the  process  of  integration  of  IE  project  in  S3  –  as  implemented  in  Catalonia- is  an 
example  of  such  platforms  and  provides  opportunities  to  address  the  challenges  that 
hinder the exploitation of synergies at a more general level.3 

3  Reinforcing Interreg Europe and S3 in Catalonia - a 

methodology 

The  exploration  of  synergies  between  IE  and  RIS3CAT  (the  Catalan  S3)  is  part  of  the 
broader  S3  monitoring  system  of  Catalonia,  one  which  embeds  policy  learning  by 
engaging stakeholders and providing avenues for feedback and discussion. The exercise, 
as  we  will  argue,  provides  a  blueprint  to  understand  how  to  make  the  most  of 
experiences occurred within the region or elsewhere. It must be stressed that the current 
exercise  focusses  on  IE  projects  that  are  already  approved  and  ongoing  (i.e.  not  on 
project proposals). 4 

The exercise methodology is based around 3 steps: 

1) 

2) 
3) 

A  preparatory  analysis  mapping  of  the  Interreg  Europe  projects  with  Catalan 
partners 
A workshop with local stakeholders involved in IE Projects in the region.  
A  qualitative  survey  on  such  projects,  exploring  synergies  with  S3  and 
opportunities for policy learning at three moments of the project life-cycle: 

i.  The design of the project; 
ii.  The current phase of action-plan definition/implementation  
iii.  The future of the project 

Each of the three elements is described below.  

3.1  Preparatory analysis: mapping Interreg-Europe projects and 

defining the objectives of data collection 

The  preparatory  analysis  included  an  overview  of  the  Interregional  Cooperation 
programmes  in  Europe  and  a  mapping  exercise  of  each  IE  project  and  its  links  to  the 
Catalan S3. In other words, the exercise was framed against the regional and EU policy 
landscape.  With  the  aim  of  understanding  and  exploiting  synergies  between  IE  and  S3, 
the preliminary mapping distinguished between: 

 

 

 

IE projects relevant to specific RIS3CAT instruments versus IE projects relevant 
to RIS3CAT Priorities. 
IE projects with a direct relationship with regional or local public interventions and 
IE projects without such relationship.  
IE projects related to public interventions co-funded by ERDF or not. 

3 Needless to say, one of the challenges in exploiting synergies between S3 and other EU programmes, such as 
H2020,  lies  in  the  different  regulatory  framework.  Whilst  such  problem does  not  arise in  the  case  of Interreg 
Europe, the pursuit of synergies across EU policies and funding streams poses other common challenges.  
4 In a previous stage, when the project were being submitted to the IE secretariat, the managing authority for 
the  ERDF  Regional  Operational  programme  and  the body responsible for RIS3CAT  have  ensured  that  projects 
were  framed  within  S3  priorities.  Meetings  were  held  between  regional  government  representatives  and 
potential  stakeholders  with  IE  proposals  with  the  aim  of  understanding  the  scope  of  their  projects  and  the 
overlap  with  S3  priority  areas.  A  letter  of  intent  between  the  public  administration  and  the  IE  project-
responsible was signed when a good match was identified. 

6 

 
 
                                           
3.2  Workshop with IE project – Creating a community of practice 

through an exploratory data collection 

A  meeting  with  Catalan  partners  of  IE  projects  (projects  granted  under  the  first  and 
second calls for proposals of the 2014-2020 periods, which were the ongoing projects at 
the  date)  was  organised  on  the  11th  of  January  2018,  in  the  premises  of  the  Catalan 
government.  The  meeting  revolved  around  three  focus  groups  which aimed,  on  the  one 
hand,  at  getting  participants  to  know  each  other  and,  on  the  other,  at  starting  a 
discussion  on  the  synergies/complementarities  between  each  IE  project  and  RIS3CAT. 
The debate was articulated following the tripartite survey described in the session below, 
covering  the  synergies  between  IE  projects  and  S3  at  the  time  of  the  design  of  the 
project, the definition/implementation of the action plan and the future. The focus groups 
provided  the  opportunity  for  project  representatives  to  exchange  their  views  and  to 
understand the objectives of the public administration for S3 and the exercise itself.  The 
meeting  was  framed  against  the  broader  process  of  S3  monitoring  and  highlighted  the 
need  to  understand  the  RIS3CAT  as  a  strategy  encompassing  multiple  instruments  and 
not limited to the ERDF Operational Programme.  

3.3  Survey – Rigorous data collection 

The  data  collection  exercise  revolved  around  a  questionnaire  exploring  synergies  and 
complementarities  between  Interreg-Europe  and  RIS3CAT  at  different  points  of  the  IE 
project  life,  namely  the  design,  the  implementation  and  the  future  of  the  project.  The 
first  part  of  the  questionnaire  identifies  the  links  between  IE  and  S3  –both  in  terms  of 
instruments and priorities- as envisaged in the design phase of each project. The second 
part of the survey covers the implementation phase, as defined in the Action Plans of the 
IE  projects,  and  explores  specific  mechanisms/obstacles  that  may  favour/hinder 
synergies  between  those  and  the  RIS3CAT.  The  third  and  final  part  looks  at  the 
opportunities  to  embed  monitoring  results  into  policy  actions,  by  exploring  avenues  to 
improve  synergies  between  IE  projects  and  RIS3CAT  in  the  future.  The  three 
questionnaires are reported in the table below. 

7 

 
Table 1 Work session questionnaire 

1.  Project previous or design stage 

1.1. Did you consider complementarity with RIS3CAT or the ERDF OP at the initial stage 

of designing your project? 

1.2. Did  you  consider  complementarity  any  particular  RIS3CAT  instrument?  And  any 

particular sector? 

1.3. Was it easy to find this complementarity? (Specify in terms of both  conceptual level 

and actual articulation). 

1.4. Did you consider complementarity as a bureaucratic issue (as a condition of the call 

for proposals) or as a strategic matter (of interest to the project)? 

2.  Current or action plan design and implementation stage 

2.1. Does  the  action  plan  include  learning  generated  by  exchanges  of  experiences  with 

other partners?  

2.2. Is  the  action  plan  designed  to  influence  RIS3CAT  instruments  or  specific  public 

policies? Through what mechanisms? 

2.3. During the implementation of the action plan, did the way that complementarity was 

considered evolve (for example, from bureaucratic to strategic, or vice versa)? 

2.4. Are  there  any  experiences  from  other  project  regions  worth  highlighting  (cases  of 

good practices regarding complementarities and synergies with RIS3)? 

2.5. What value-added can your action plan can bring to RIS3CAT or public policies? 
2.6. What obstacles do you expect when it comes to influencing RIS3CAT instruments or 

specific public policies? 

3.  Stage after 2020 (future considerations) 

3.1. From  your  experience,  can  you  can  think  of  possible  ideas  (mechanisms,  design  of 
calls  for  proposals,  etc.)  to  enhance  the  complementarities  and  synergies  between 
Interreg  projects  and  regional  public  policies,  that  is,  to  increase  the  impact  of 
Interreg Europe projects on regional policies? 

3.2. From  the  point  of  view  of  the  Interreg  Europe  programme  or  call  for  proposals 

(project design, requirements, objectives, etc.). 

3.3. From  the  point  of  view  of  RIS3.  Based  on  your  experience,  how  could  greater  or 

stronger complementarity have been achieved from the beginning? 

Source:  Generalitat  de  Catalunya  Directorate-General  for  Economic  Promotion,  Competition  and 

Regulation. 

4  Results: Exploring synergies between IE Europe and Smart 

Specialisation in Catalonia 

4.1  Preliminary mapping 

Out of the 20 IE projects with partners in Catalonia (emerged from the first and second 
calls for proposals only), fourteen (described in Annex 1) participated to the second and 
third  steps  of  the  exercise  under  examination.  The  IE  projects  in  which  Catalan 
stakeholders participate have an average duration of 4-5 years, an average budget of 1.2 
million euros and an average of 7 partner regions.   

As  indicated  in  the  graph  below,  of  the  14  projects,  5  are  directly  related  to  RIS3CAT 
instruments,  10  are  related  to  areas  of  smart  specialisation  established  in  RIS3CAT,  2 
have no direct relation with regional or local public interventions, and 12 focus on public 
interventions  currently  not  co-financed  by  the  ERDF  OP.  Projects  related  to  a  particular 

8 

 
sector do not usually focus on any one specific public intervention; rather, they take into 
account the various instruments and policies that may affect the sector.  

Figure 1. Results of the questionnaire on the relation between the Interreg Europe 14 projects 

and RIS3CAT 

4.2  Synergies between IE and S3 – easier to identify than to 

implement 

The  fieldwork  in  Catalonia  highlighted  that  it  was  relatively  easy  to  identify 
complementarities and synergies between IE and S3 at the project-design stage. In most 
cases  the  identification  of  synergies,  which  was  an  administrative  requirement  for  IE 
project-proposals, responded to true strategic needs. However, in a minority of projects 
this  was  not  the  case:  the  identification  of  complementarities  and  synergies  had  been 
considered more a bureaucratic issue, performed to comply with the requirements of the 
call for proposals. 

If  at  the  theoretical  level  it  has  been  relatively  easy  to  identify  synergies  and 
complementarities,  it  proved  a  lot  more  difficult  to  work  on  them  throughout  the 
subsequent  phases  of  the  projects,  i.e.  the  exchange  of  good  practice,  the  definition  of 
the action plan and its implementation.  

9 

 
 
 
 
The exchange of good practices with peer regions and with stakeholders is one of the key 
features  of  Interreg  Europe.  Whilst  it  is  perceived  as  useful  by  virtually  all  projects 
examined,  it  appears  difficult  for  IE  project-representatives  to  translate  its  outcomes  in 
policy  lessons  relevant  for  S3.  The  value  of  the  good-practice  exchange  appears  largely 
dependent  on  the  components  and  design  of  the  project  consortia.  The  most  successful 
exchanges  emerged  where  project  partners  could  identify  from  the  start,  a  common 
challenge/opportunity/need  for  which  they  wanted  to  develop  and  implement  an 
innovative  response  and  for  which  they  had  the  capability  or  competence  to  exercise 
influence.  In  these  cases  the  exchanges  of  good  practice  produced  a  higher  level  of 
satisfaction as the learning generated could be directly applied to public policies.  

Whilst  the  direct  outputs  of  the  IE  exchange  of  good-practice  projects  are  difficult  to 
translate  into  policy  learning  for  the  S3,  there  are  other  project  outcomes,  for  which 
synergies  are  more  obvious.  In  particular,  IE  projects  often  require  the  mobilisation  of 
the  quadruple  helix  stakeholders.  Several  of  the  Catalan  projects  explicitly  promote  the 
articulation  and  enhancement  of  cooperation  networks  among  these  stakeholders  in 
order to formulate innovative responses to societal challenges and to generate evidence 
that  can  serve  as  the  basis  for  improving  the  effectiveness  of  public policies.    It  follows 
that Interreg Europe projects could make a major contribution to articulating stakeholder 
participation  and  entrepreneurial  discovery  processes  driven  by  S3  (an  aspect  emerged 
crucial to exploit synergies also with other EU programmes).  

At  the  time  the  exercise  was  carried  out,  IE  projects  were  still  defining  the  action  plan. 
Hence,  whilst  it  was  not  possible  to  assess  whether  and  how  IE-S3  synergies  and 
complementarities  had  been  implemented,  it  was  feasible  to  discuss  how  to  prepare  to 
enhance them. In particular, it is essential that, from the onset, a true strategic objective 
aligning  the  IE  project  and  RIS3CAT  is  identified.  The  importance  of  such  first  step 
cannot be overstated.  Secondly, partner organisations in IE projects must also have the 
capacity (and will) to actually apply the outcomes of the IE learning process, identifying 
and  implementing  the  emerged  good-practice.  This  may  be  difficult  for  those  partners 
which  do  not  directly  manage  the  instrument  they  tackle  in  the  project.  In  such  cases 
they  must  collaborate  as  early  as  possible  with  the  relevant  institution  to  ensure  the 
implementation  of  the  initiatives  defined  in  the  action  plans.  In  those  same  cases,  it 
could  be  useful  to  support  with  dedicated  resources  the  design  and  implementation  of 
small pilot projects that adapt and test the local effectiveness of good-practices emerged 
in  other  contexts.  However,  at  this  stage,  the  IE  regulations  do  not  foresee  support  for 
such actions. Thirdly, good communication is essential between the  IE project managers 
and the relevant government units throughout the project life-cycle. Last but not least, to 
maximise  the  impact  of  Interreg  Europe  projects  on  public  policies  and  the  territory,  a 
communication strategy is necessary at regional scale to inform about projects’ progress 
and learning outcomes. 

4.3  Methodological reflections 

The  afore-mentioned  exercise  is  relevant  also  for  its  methodological  implications.  The 
exercise  is  part  of  the  broader  monitoring  process  of  the  RIS3CAT  and  represents  an 
interesting example of qualitative data collection.  

There are four methodological strengths that are worth noticing: 

1)  The preparatory work conducted to specify the remit of the exercise  
2)  The homogeneous selection of stakeholders  
3)  The targeted questionnaire used to elicit qualitative data  
4)  The appropriate timing of the exercise 

The  preparatory  technical  analysis  allowed  a  clear  mapping  of  the  IE  presence  in  the 
region,  with  a  first  assessment  of  their  relevance  for  the  RIS3CAT.  It  also  enabled  to 
define more clearly the scope of the fieldwork.  

10 

 
 
The workshop with stakeholders, combined with the qualitative survey, allowed exploring 
critically the synergies and complementarities between S3 and IE.  

The  survey  is  a  good  example  of  qualitative  data  collection  for  S3  monitoring.  Such 
method  is  appropriate  when  the  number  of  stakeholders  targeted  is  limited,  and  when 
the focus is more on process than on results or output of policies, such as in the case at 
stake.  Furthermore, the survey (and the preparatory analysis) well reflects the S3 logic 
of intervention, linking IE projects to S3 instruments and priority areas, allowing a clear 
and pertinent use of the information gathered. 

A critical aspects of monitoring and policy learning exercises, is timing. The survey on IE 
and  RIS3CAT  synergies  was  indeed  strategically  launched  in  January  2018,  at  a  time 
when  most  IE  projects  where  involved  in  the  design  or  early  implementation  of  their 
Action Plan. The data highlighted that better communication channels needed to be open 
between the government and IE stakeholders, and that a much deeper understanding of 
RIS3CAT was needed if IE were to have an impact.  Given the appropriate timing of the 
exercise it was possible to act upon these findings, to the benefit of both RIS3CAT and IE 
projects   

5  Conclusions and policy implications 

The  paper  reports  what  is,  to  the  best  of  our  knowledge,  the  first  exercise  aimed  at 
mapping  and  exploiting  synergies  between  Interreg  Europe  projects  and  Smart 
Specialisation Strategies. The  results of the paper, based  on a case study conducted by 
the Catalan government, are three-fold:  

1) 

2) 

3) 

At the practical level, the paper provides a methodology for authorities to map 
and  monitor  the  synergies  and  complementarities  between  S3  and  IE, 
engaging stakeholders in the policy process.  
At  the  conceptual  level,  the  exercise  allows  reflecting  on  the  policy-learning 
opportunities  provided  by  such  process  and  highlights  how  the  latter  can  be 
enhanced.  
At  the  policy  level,  the  exercise  is  rich  in  implications  for  the  future 
programming period (2021-2027) in which Smart Specialisation, inter-regional 
cooperation  and  the  pursuit  of  synergies  have  a  prominent  role  (European 
Commission, 2018).  

As for the first point, the paper articulates the importance of establishing a methodology 
of  data  collection  that  combines  a  deep  understanding  of  the  region  and  the  policy 
framework, whilst opening opportunities collective learning. It stresses the importance of 
engaging  a  homogenous  set  of  stakeholders  and  highlights  the  relevance  of  developing 
the exercise at the appropriate time, allowing the lessons emerged to feed back into the 
policy process. In so doing, the paper provides regions involved in S3, and stakeholders 
involved in IE projects with a tool to get closer to each other and enhance the coherence, 
impact and sustainability of Interreg Europe projects. 

As for the second point, we have shown that for IE projects to achieve their aim, that is 
to  improve  regional  policy  making  through  international  participatory  process  and  the 
generation  of  good  practices,  it  is  important  that  IE  partners  and  the  regional 
administration identify and discuss common challenges as early as possible. Incidentally, 
such a process can support the networking and collaboration capacities needed to exploit 
synergies  with  other  EU  programs  and  indeed  similar  exercise  could  be  conceived  for 
other EU initiatives (H2020, Erasmus+, etc.). 

As for the third point, we show that the current requirements for IE projects do not, per 
se, guarantee  synergies: formally requiring proof of alignment of an IE project-proposal 
with  S3 is  necessary  but  not  sufficient.  Indeed,  it is  also  essential,  on  the  one  hand,  to 
ensure  a  structured  communication  and  cooperation  between  the  regional  government 

11 

 
 
 
and  the  (potential)  IE  beneficiaries,  throughout  each  project  cycle.  On  the  other,  the 
engagement  of  IE  local  partners  in  S3  needs  to  be  reflected  in  the  participatory 
governance  and  monitoring  systems  of  the  region.  Last  but  not  least,  the  renewed 
attention that the EC proposal (2018) places on inter-regional collaboration indicate that 
understanding transregional networks is becoming increasingly important for S3. Opening 
spaces for shared learning by building on current IE consortia and engaging with regional 
stakeholders that have an outward looking attitude, appears as crucial to build capacities 
for S3 implementation. 

12 

References 

Conte, A., Ozbolat N. K. (2016). "Synergies for Innovation: Lessons Learnt from the S2E 
National  Events".  Stairway  to  Excellence  Brief  Series,  Issue  #1,  JRC104861, 
European Commission: Seville-Spain. 

Cortijo,  M.,  Esparza  Masana,  R.,  Fernández  ,  T.  (forthcoming)  Complementarietats  i 
sinergies entre el Programa Interreg Europe i l'Estratègia S3 a Catalunya. Generalitat 
de Catalunya, Vicepresidència i d'Economia i Hisenda. 

Esparza  Masana,  R.  and  Fernández  Sirera  T.(2017)The  RIS3CAT  Monitoring  System, 
Generalitat 
at: 
http://catalunya2020.gencat.cat/web/.content/00_catalunya2020/Documents/angles
/fitxers/MonitoratgeRIS3CATen.pdf  

Catalunya. 

Available 

de 

European  Commission  (2012),  “Guide  to  Research  and  Innovation  Strategies  for  Smart 

Specialisations - RIS 3,  Regional Policy, May. 

European  Commission  (2014).  Enabling  synergies  between  European  Structural  and 
Investment  Funds,  Horizon  2020  and  other 
innovation  and 
competitiveness-related  Union  programmes.  Publications  Office  of  the  European 
Union, 2014 

research, 

European Commission (2017). Synergies between Framework Programmes  for Research 
and  Innovation  and  European  Structural  and  Investment  Funds  contributing  to  the 
Interim Evaluation of Horizon 2020. Publications Office of the European Union, 2017 

European Commission (2018). COM(2018) 374 final. Proposal for a REGULATION OF THE 
EUROPEAN  PARLIAMENT  AND  OF  THE  COUNCIL  on  specific  provisions  for  the 
European territorial cooperation goal (Interreg) supported by the European Regional 
Development  Fund  and  external  financing  instruments.  Available  at:https://eur-
lex.europa.eu/resource.html?uri=cellar:a1aefb38-6376-11e8-ab9c-
01aa75ed71a1.0001.02/DOC_1&format=PDF 

Interreg Europe (2018). Interreg Europe Programme Manual  (v5). Interreg Europe Joint 
at: 

Secretariat: 
https://www.interregeurope.eu/fileadmin/user_upload/documents/Call_related_docu
ments/Interreg_Europe_Programme_manual.pdf 

Available 

(FR). 

Lille 

OECD  (2014)  Making  Innovation  Policy  Work:  learning  from  experimentation.  Available 
at:  https://www.oecd-ilibrary.org/science-and-technology/making-innovation-policy-
work_9789264185739-en. 

Özbolat,  N.K.  &  Harrap,  N.  (2018),  Lessons  from  the  Stairway  to  Excellence  (S2E) 
project,  EUR  (29287  EN),  European  Commission,  Seville,  2018,  ISBN  (978-92-79-
88821-2), doi (10.2760/99850), JRC111888 

13 

List of abbreviations and definitions 

ERDF  European Regional Development Funds 

H2020  Horizon2020 

IE 

Interreg Europe 

R&I 

Research and Innovation 

RIS3CAT 

Research and Innovation Strategy for Smart Specialisation in Catalonia 

S3 

Smart Specialisation Strategy 

Annex 1. Key characteristics of IE projects with Catalan partners 

e
m
e
h
T
E

I

n
o
i
t
a
v
o
n
n

i

d
n
a
h
c
r
a
e
s
e
R

.
1

s
s
e
n
-
e
v
i
t
i
t
e
p
m
o
c
E
M
S

.
2

t
c
e
j
o
r
P

e
v
i
t
c
e
j
b
o

To improve innovation through smart 
specialisation and to promote public-private 
R&D&I projects in order to generate 
innovation policies that encourage 
cooperation between research centres and 
industry. 

To design and implement innovation 
strategies in the local economy. 

To enhance public policies in order to 
enhance innovation and R&D&I in advanced 
manufacturing through exchanges of good 
practice. 

To enhance public policies in order to 
enhance innovation and R&D&I in the 
chemicals industry through exchanges of 
good practice between regions. 

To provide support for governments in 
integrating design into policy instruments in 
the ERDF framework, and promoting SME 
competitiveness through European territorial 
cooperation tools. 

s
r
e
n
t
r
a
P

.

N

7 

6 

7 

7 

8 

t
e
g
d
u
B

d
n
E

/
t
r
a
t
S

e
t
a
d

Total:  1.871.000€  
ERDF: 
1.572.350€ 

2016-04-01  
2020-09-30 

Total: 1.317.216€ 
ERDF: 
1.119.633,60€ 

2017-01-01  
2021-12-31 

Total: EUR 
2.227.000€ 
ERDF:  
1.871.735€ 

2016-04-01  
2020-03-31 

Total: 2.205.010€  
ERDF: 
1.847.603,50€ 

2016-04-01  
2021-03-31 

Total: 1.717.517€  
ERDF: 
1.441.209,45€ 

2017-01-01  
2021-12-31 

m
y
n
o
r
c
A

R
E
H
G
H

I

3
S
O
L
E
R

h
t
w
o
r
G
4
3
S

m
e
h
C
3
S

n
o
i
t
a
v
o
n
n
I
4

i

n
g
s
e
D

I

  To improve ERDF policy instruments related 
A
to the competitiveness of creative SMEs, and 
C
to position the creative instruments as drivers 
R
of innovation between sectors. 

9 

Total: 1.877.340€  
ERDF: 
1.579.364€ 

2017-01-01  
2021-12-31 

14 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
To study how business support ecosystems 
work in order to promote them through 
policies aimed at integrating digital innovation 
into traditional sectors of the local economy 
and to design measures and action plans 
necessary to implement or develop them. 

To improve regional and national policies 
aimed at the transition towards a low-carbon 
economy, which includes the use of 
renewable energy, energy efficiency in 
buildings and forest and agricultural biomass. 

Analysis, initiation and implementation of 
policies to promote the use of electric 
vehicles in urban areas in order to pave the 
way towards the future decarbonisation of 
energy and mobility systems. 

To incorporate children’s independent 
mobility into regional policies and to develop 
a safe, accessible and sustainable 
programme for school mobility for all 
members of the education community and at 
all educational stages. 

O
N
N
R
T

I

O
C
E
4
O
B

I

y
g
r
e
n
E
V
E

e
c
n
a
h
C

l

o
o
h
c
S

X
E
R
D
B

-

I

To include information on natural heritage in 
Catalonia in decision-making processes in 
order to promote the conservation of this 
heritage by improving public policies. 

E
C
R
C

I

d
o
o
F
4
e
t
s
a
w
o
c
E

E
C
N
A
H
N
E

To detect opportunities and barriers to the 
implementation of green and circular 
economy tools and policies. 

To design an integrated territorial strategy 
that includes local and regional policies to 
guarantee food safety and help all players in 
the food chain to find coordinated and 
efficient ways of managing and reducing food 
waste. 

To improve the implementation of regional 
policy instruments aimed at increasing 
efficiency in the use of resources through 
EMAS (EU Eco-Management and Audit 
Scheme) in order to promote it as a tool for 
innovation and an opportunity to develop the 
circular economy, especially for SMEs. 

5 

8 

6 

7 

7 

8 

7 

6 

Total: 
1.187.523,00  
ERDF: 
1.009.394,55 

2016-04-01  
2021-03-31 

Total: 
1.495.290,00  
ERDF: 
1.261.636,50 

Total: 
1.049.797,00  
ERDF: 
892.327,45 

Total: 
1.716.361,00  
ERDF: 
1.433.974,45 

Total: 
1.609.294,00  
ERDF: 
1.367.899,90 

Total: 
1.892.771,00  
ERDF: 
1.608.855,35 

Total: 
1.465.703,00  
ERDF: 
1.245.847,55 

2016-04-01  
2020-09-30 

2017-01-01  
2021-06-30 

2017-01-01  
2021-12-31 

2016-04-01  
2021-03-31 

2017-01-01  
2021-06-30 

2017-01-01  
2020-12-31 

Total: 
1.099.386,00  
ERDF: 
934.478,10 

2017-01-01  
2020-12-31 

y
m
o
n
o
c
e

n
o
b
r
a
c
-
w
o
L
.
3

i

y
c
n
e
c
i
f
-
f
e

y
g
r
e
n
e
d
n
a
t
n
e
m
n
o
r
i
v
n
E

.
4

Source: Generalitat de Catalunya -  Directorate-General for Economic Promotion, Competition and Regulation 

and KEEP database (https://www.keep.eu/) 

15 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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K
J
-
N
A
-
2
9
3
9
0
-
E
N
-
N

doi:10.2760/572859 

ISBN 978-92-79-96382-7