1 Public Budget Dialogue An Innovative Approach to E-Participation Stefanie Roeder Fraunhofer AIS, Knowledge & Communication

2 2 Public budget – what‘s that? The public budget process was developed to deal with the problems of minimal financial resources in large cities The process originates in Porto Allegre (Brazil), where the citizens have been consulted on a regular basis It led to significant improvements of the quality of life in Porto Allegre There are initiatives in Europe (France, Spain) a network of interested municipalities in Germany with a pilot study in North-Rhine-Westfalia The interest in the public budget process is continously growing in German municipalities

3 3 Why public budget processes? A process to engage citizens in the budgeting plan of the municipality A possibility to show the citizens the current financial situation of the municipality A chance to involve the knowledge of the citizens in the process of budget consideration A new format of political dialog and municipal communication culture between politics, administration and citizens

4 4 The case ‚public budget dialogue in Esslingen‘ The project is doubly innovative: - The public budget process itself is a new concept in Germany - the process was mostly internet-based

5 5 A model for successful eParticipation projects eModeration software external relevance process plan eParticipation

6 6 Process design A three week analysis phase for the process design Analysis of the initial situation in Esslingen regarding the municipal budget Identification of scope and suitable topics Evaluation of stakeholers interests and their opinion about the internet-based process Risks and benefits identification Interviews and questionnaires for stakeholders, representatives of the municipality and other relevant concerned parties

7 7 Risks Benefits Politicians: topic ‚budget‘ too complex Misuse of political influence and lobbyism Municipal council: loss of decision power Politicians: The mayor supported the project Citizens: Higher transparency of decisions Experts: Generating new ideas Proposals on how to balance budget deficits Initiate a learning process about municipal structures for all participating parties

8 8 Process plan - Phases Blended process, with face-to-face and internet-based elements Four Phases: 1.Analysis and concept 2.1st online phase (mostly information related) and evaluation 3.Preparation of the 2nd online phase 4.2nd online phase (mostly development of ideas and proposals) and final evaluation

9 9 Process plan - Steps Kick-off meeting Info-meeting Moderated Online forum Moderated online forum (only read access) Questionnaire Face-to-face Internet-based Questionnaire Final meeting (only read access)

10 10 eModeration software external relevance process plan eParticipation

11 11 eModeration The moderation by a neutral third party enabled the trust of the participants Active moderation style to shape the communication process One moderator with editorial function: - forward technical questions to the relevant municipal offices - Retrieve and edit the responses into a user-friendly form

12 12 Tutoring and online moderation training Mentors were assigned to so-called ‚citizen PCs‘ to help them with the online forum (Citizen PCs are computers for citizens, available in schools, libraries, banks and on municipal events – they were installed during the Media@Komm project) Workshop on online-moderation: - to assign the workshop participants as co-moderators - to build up moderation capabilities in Esslingen 12 participants did get actively involved in the moderation of the second online phase

13 13 eModeration software external relevance process plan eParticipation

14 14 The Dito discourse system

15 15 Screenshot discussion forum

16 16 Screenshot new Dito interface

17 17 eModeration software external relevance process plan eParticipation

18 18 External relevance A political relevance of the project could barely be established, although the mayor campaigned for it Integration into the administrative process did not occur, because of the concerns of the municipal council (to be confronted with impossible requests, and to lose power over financial decisions) Scheduling the procedure according to the policy cycle did not improve the involvement of the political groups Citizens initiatives are supporting the idea of similar processes in the future

19 19 Embedding the process Relatively high internal relevance but rather low external relevance The successful elements of the process would have had more impact with a higher external relevance Introducing external relevance in participation projects … … is a long-term goal depending on the planning and participation culture … may lead to changes in the communication processes between politicians, administration and citizens … thereby lead to sustainable decision making processes

20 20 eModeration software external relevance process plan eParticipation

21 21 Contents and outcome 1st online phase (4 weeks) Main forum: basic parameters of the municipal budget; financial situation in Esslingen; traffic expenses Subforums: renovation of schools; major investment projects; saving measures Outcome: 20 proposals, ranging from initiating a list of people for voluntary community services, to switching off traffic lights to save energy at night 2nd online phase (2 weeks, designed to deepen the discussion on specific topics) Forum: Saving measure categrories and ideas, for example energy, services, fees, and alternative sources of revenue Outcome: 27 ideas, ranging from ‚citizen loans‘ to increasing parking fees

22 22 Statistics 150 registered participants 260 contributions Several hundred readers 45 ideas and proposals

23 23 Lessons learned The Citizens were positively convinced about the usefulness of the public budget dialogue Positive impact on participation culture in Esslingen The administration was open for the innovative approach The politicians (except the mayor) were reluctant, which had impact on the relevance and the motivation Future processes should only be realized after a consensual decision from politics, administration and citizens initiatives to consider the discussion results in the policy cycle

24 24 Research aspects Experience-based discourse ontology Adapted during the dialog For moderators and participants Illocutionary patterns (label-patterns)

25 25 Ontology based in-process awareness 0 5 10 15 20 25 30 35 0123456 Week1-4 = 1stonline-phase/Week5-6 = 2ndonline-phase CommentAnswerQestionIdeaInformationProposal 0 5 10 15 20 25 30 35 0123456 Week1-4 = 1stonline-phase/Week5-6 = 2ndonline-phase CommentAnswerQuestionIdeaInformationProposal

26 26 Ontology based post-process evaluation

27 27 Thank you for your attention! Contact: [email protected] www.ais.fraunhofer.de/wk In today‘s poster session: The project „Forum Cologne City Rings“