ScienceDi ec
A ailable online a www.sciencedi ec .com
P ocedia Compu e Science 112 (2017) 2416–2425
1877-0509 © 2017 The Au ho s. Published by Else ie B.V.
Pee - e iew unde esponsibili y o KES In e na ional
10.1016/j.p ocs.2017.08.173
10.1016/j.p ocs.2017.08.173
© 2017 The Au ho s. Published by Else ie B.V.
Pee - e iew unde esponsibili y o KES In e na ional
1877-0509
A ailable online a www.sciencedi ec .com
ScienceDi ec
P ocedia Compu e Science 00 (2017) 000–000
www.else ie .com/loca e/p ocedia
1877-0509 © 2017 The Au ho s. Published by Else ie B.V.
Pee - e iew unde esponsibili y o KES In e na ional.
In e na ional Con e ence on Knowledge Based and In elligen In o ma ion and Enginee ing
Sys ems, KES2017, 6-8 Sep embe 2017, Ma seille, F ance
A Da abase o Pa icipa ion Me hods in U ban De elopmen
Benjamin S elzlea
*
, Jö g Raine Noenniga,b
aWISSENSARCHITEKTUR Labo a o y o Knowledge A chi ec u e, TU D esden
b Ci yScienceLab, Ha enCi y Uni e si y Hambu g
Abs ac
In o de o enable app op ia e ci izen engagemen and use pa icipa ion in u ban de elopmen p ojec s, knowledge is needed abou
he a ailabili y o ools and me hods and hei applicabili y o he di e en s ages o a design o planning p ocess. Howe e , a
sys ema ic o e iew o he a ious digi al and non-digi al app oaches o public pa icipa ion is s ill missing. Add essing his
sho coming, we ha e summa ized s a e-o - he-a ins umen s o pa icipa o y u ban design in Ge many, and summa ized hem
by he means o a comp ehensi e and compa a i e da abase. To es ablish he da abase, we ha e analyzed pa icipa ion guidelines
published by 30 Ge man municipali ies and ca alogued he ools and me hodologies in use he e. In o ma ion could be ga he ed on
70 di e en me hods and ools o di e en le els o complexi y. The app oaches we e classi ied in e alia by he le el o
engagemen , plus 13 o he ca ego ies. All indings we e compiled in o a da a s uc u e, gi ing basic in o ma ion on he me hods,
links o e e ence documen s, and sample p ojec s. Ou in es iga ion has gi en e idence ha ce ain me hods a e well known and
widely applied by municipali ies and s akeholde g oups, while o he mo e ambi ious app oaches a e used only by la ge and mo e
esou ce ul ci ies. To he la e class, many digi al ools belong. – The da abase is in ended as sea ch ool and in o ma ion base o
s akeholde s who wan o sea ch and compa e di e en pa icipa o y app oaches. I is a key componen o a p ocess design ool
enabling planne s, au ho i ies and manage s o he design o pa icipa o y p ocesses ha can co espond closely o speci ic
con ex s. Being associa ed o he EU H2020 p ojec “U_CODE U ban Collec i e Design En i onmen ”, he da abase will be
launched 2017 on he p ojec websi e www.u-code.eu.
© 2017 The Au ho s. Published by Else ie B.V.
Pee - e iew unde esponsibili y o KES In e na ional.
Keywo ds: Pa icipa ion, U ban De elopmen , Me hod Da abase
* Co esponding au ho . Tel.: +49 351-463-32210.
E-mail add ess: Benjamin.s elzle@ u-d esden.de
A ailable online a www.sciencedi ec .com
ScienceDi ec
P ocedia Compu e Science 00 (2017) 000–000
www.else ie .com/loca e/p ocedia
1877-0509 © 2017 The Au ho s. Published by Else ie B.V.
Pee - e iew unde esponsibili y o KES In e na ional.
In e na ional Con e ence on Knowledge Based and In elligen In o ma ion and Enginee ing
Sys ems, KES2017, 6-8 Sep embe 2017, Ma seille, F ance
A Da abase o Pa icipa ion Me hods in U ban De elopmen
Benjamin S elzlea*, Jö g Raine Noenniga,b
aWISSENSARCHITEKTUR Labo a o y o Knowledge A chi ec u e, TU D esden
b Ci yScienceLab, Ha enCi y Uni e si y Hambu g
Abs ac
In o de o enable app op ia e ci izen engagemen and use pa icipa ion in u ban de elopmen p ojec s, knowledge is needed abou
he a ailabili y o ools and me hods and hei applicabili y o he di e en s ages o a design o planning p ocess. Howe e , a
sys ema ic o e iew o he a ious digi al and non-digi al app oaches o public pa icipa ion is s ill missing. Add essing his
sho coming, we ha e summa ized s a e-o - he-a ins umen s o pa icipa o y u ban design in Ge many, and summa ized hem
by he means o a comp ehensi e and compa a i e da abase. To es ablish he da abase, we ha e analyzed pa icipa ion guidelines
published by 30 Ge man municipali ies and ca alogued he ools and me hodologies in use he e. In o ma ion could be ga he ed on
70 di e en me hods and ools o di e en le els o complexi y. The app oaches we e classi ied in e alia by he le el o
engagemen , plus 13 o he ca ego ies. All indings we e compiled in o a da a s uc u e, gi ing basic in o ma ion on he me hods,
links o e e ence documen s, and sample p ojec s. Ou in es iga ion has gi en e idence ha ce ain me hods a e well known and
widely applied by municipali ies and s akeholde g oups, while o he mo e ambi ious app oaches a e used only by la ge and mo e
esou ce ul ci ies. To he la e class, many digi al ools belong. – The da abase is in ended as sea ch ool and in o ma ion base o
s akeholde s who wan o sea ch and compa e di e en pa icipa o y app oaches. I is a key componen o a p ocess design ool
enabling planne s, au ho i ies and manage s o he design o pa icipa o y p ocesses ha can co espond closely o speci ic
con ex s. Being associa ed o he EU H2020 p ojec “U_CODE U ban Collec i e Design En i onmen ”, he da abase will be
launched 2017 on he p ojec websi e www.u-code.eu.
© 2017 The Au ho s. Published by Else ie B.V.
Pee - e iew unde esponsibili y o KES In e na ional.
Keywo ds: Pa icipa ion, U ban De elopmen , Me hod Da abase
* Co esponding au ho . Tel.: +49 351-463-32210.
E-mail add ess: Benjamin.s elzle@ u-d esden.de
2 Benjamin S elzle, Jö g Raine Noennig/ P ocedia Compu e Science 00 (2017) 000–000
1. In oduc ion: Tools, Me hods and P ocesses o Pa icipa ion in U ban Design
O e he pas yea s, many ci ies in Ge many ha e ini ia ed pa icipa ion p ocesses in o de o enhance and secu e
u ban de elopmen p ojec s. T igge ed by se e e public esponses o con o e sial la ge-scale cons uc ion p ojec s,
he demand o well- unc ioning pa icipa ion p ocesses had become u gen . Besides manda o y pa icipa ion
p ocesses (known as “Fo mal Pa icipa ion”) al e na i e app oaches allowing in o mal, con ex - and p ojec -speci ic
pa icipa ion o ma s u ned ou necessa y. Fo his, a b oad ange o digi al and non-digi al ools and me hods is
a ailable which suppo s ci izen engagemen and use pa icipa ion on di e en le els o complexi y. Ye , only a basic
se o well-known me hods is commonly applied while he whole bandwid h o al e na i e and mo e ad anced
app oaches emains widely un ecognized. This hand ul o well-known me hods a e gene ic in na u e, and limi ed in
hei adap abili y o speci ic si ua ions o p ojec cons ains. In addi ion, he majo i y o commonly used me hods is
non-digi al, and only la ge and esou ce ul ci ies exploi he ad an ages o he mo e ambi ious, digi al me hods a he
momen .
Ci izen pa icipa ion in u ban planning p ojec s, howe e , is a challenge ha goes well beyond he me e selec ion
o he mos app op ia e ools and me hods. A key issue o success ul ci izen pa icipa ion is he design o a well-
in eg a ed wo k p ocess. The indi idual means need o be sequenced in o a meaning ul o e all wo k low, in which he
ou pu o one ac i i y smoo hly eeds in o he nex . A good pa icipa ion p ocess is achie ed when e ec i e ools and
me hods a e a anged in a dynamic ye conclusi e p ocess. The need o easible p ocess design has been ecognized
in heo y and p ac ice, s ill he e a e no mean sys ema ic means a ailable o suppo his speci ic demand.
The p ojec “U_CODE U ban Collec i e Design En i onmen ”, a mul i-na ional pa ne ship unded by he EU´s
Ho izon2020 ICT p og am “New Tools and Media o he C ea i e Indus ies” add esses his de ici by de eloping a
new co-design pla o m o massi e pa icipa ion in u ban planning and design. Concep ual componen s o he
pla o m will be a p ocess design ool as well as a da abase (“Me hod Bank”) which summa izes a ailable ools and
me hods o public pa icipa ion in u ban design. The da abase p esen ed in his pape was concep ualized in a hesis
p ojec a Technische Uni e si ä D esden 1 and u he de eloped wi hin he U_CODE p ojec .
2. Resea ch Goal: Scalable Pa icipa ion
As he p epa a o y esea ch o he U_CODE eam indica ed, he e is no sys ema ic and comp ehensi e su ey
nei he on exis ing pa icipa o y ools and me hods no on he o e all p ocess design. Wha is mo e, e idence abou
he e icacy o ools and p ocesses a e a ely gi en. Exis ing ool guides such as pa icipedia.ne do no p esen
su icien classi ica ion o s uc u ing, hus obs uc ing he sys ema ic sea ch and applica ion o he p esen ed
ins umen s 2,3. Al hough some gene al s udies a e a ailable, mos o hem ei he ocus on e y speci ic i ems 4 o jus
co e he o e all p ocess in schema ic manne ; ew in es iga ions add ess he e y me hods used.
Taking his in o accoun , he o e all aim o he da abase p esen ed he e is o analyze and summa ize he s a e o a
o digi al and non-digi al me hods in pa icipa o y u ban design. Due o limi ed ime ame in he de elopmen so a ,
he in es iga ion was es ic ed o Ge many, al hough a u u e expansion o scope is in ended. The speci ic aim o he
p ojec he e o e was o c ea e a new digi al me a- ool ha would allow use g oups like u ban designe s, planning
au ho i ies, p ojec manage s as well as acili a o s o pa icipa o y p ocesses o quickly o e iew he a ailable
me hods and means, o selec app op ia e solu ions, and o apply hem e ec i ely o hei speci ic cases.
In he long e m, he esul o his da abase – as well as o he U_CODE p ojec in gene al – aims a he pu pose ul
design o pa icipa o y design p ocesses whose s uc u e and wo k low is able o espond closely o he gi en
condi ions. I has been clea ly no iced by esea che s as well as by p ac i ione s ha adequa e pa icipa ion p ocesses
demand a basic lexibili y and adjus abili y in ega ds o key pa ame e s like le el o openness, goal-o ien a ion, o
esou ce in ensi y. We ha e e med his key quali y “Scalable Pa icipa ion”. On ins umen al le el, he me hod bank
p esen ed in his pape allows i s app op ia ion o pa icipa ion ools and me hods. On a mo e holis ic le el, he
U_CODE me hodology will allow an adjus men o he en i e wo k p ocess and wo k low by way o a comp ehensi e
pla o m solu ion.
Benjamin S elzle e al. / P ocedia Compu e Science 112 (2017) 2416–2425 2417
A ailable online a www.sciencedi ec .com
ScienceDi ec
P ocedia Compu e Science 00 (2017) 000–000
www.else ie .com/loca e/p ocedia
1877-0509 © 2017 The Au ho s. Published by Else ie B.V.
Pee - e iew unde esponsibili y o KES In e na ional.
In e na ional Con e ence on Knowledge Based and In elligen In o ma ion and Enginee ing
Sys ems, KES2017, 6-8 Sep embe 2017, Ma seille, F ance
A Da abase o Pa icipa ion Me hods in U ban De elopmen
Benjamin S elzlea*, Jö g Raine Noenniga,b
aWISSENSARCHITEKTUR Labo a o y o Knowledge A chi ec u e, TU D esden
b Ci yScienceLab, Ha enCi y Uni e si y Hambu g
Abs ac
In o de o enable app op ia e ci izen engagemen and use pa icipa ion in u ban de elopmen p ojec s, knowledge is needed abou
he a ailabili y o ools and me hods and hei applicabili y o he di e en s ages o a design o planning p ocess. Howe e , a
sys ema ic o e iew o he a ious digi al and non-digi al app oaches o public pa icipa ion is s ill missing. Add essing his
sho coming, we ha e summa ized s a e-o - he-a ins umen s o pa icipa o y u ban design in Ge many, and summa ized hem
by he means o a comp ehensi e and compa a i e da abase. To es ablish he da abase, we ha e analyzed pa icipa ion guidelines
published by 30 Ge man municipali ies and ca alogued he ools and me hodologies in use he e. In o ma ion could be ga he ed on
70 di e en me hods and ools o di e en le els o complexi y. The app oaches we e classi ied in e alia by he le el o
engagemen , plus 13 o he ca ego ies. All indings we e compiled in o a da a s uc u e, gi ing basic in o ma ion on he me hods,
links o e e ence documen s, and sample p ojec s. Ou in es iga ion has gi en e idence ha ce ain me hods a e well known and
widely applied by municipali ies and s akeholde g oups, while o he mo e ambi ious app oaches a e used only by la ge and mo e
esou ce ul ci ies. To he la e class, many digi al ools belong. – The da abase is in ended as sea ch ool and in o ma ion base o
s akeholde s who wan o sea ch and compa e di e en pa icipa o y app oaches. I is a key componen o a p ocess design ool
enabling planne s, au ho i ies and manage s o he design o pa icipa o y p ocesses ha can co espond closely o speci ic
con ex s. Being associa ed o he EU H2020 p ojec “U_CODE U ban Collec i e Design En i onmen ”, he da abase will be
launched 2017 on he p ojec websi e www.u-code.eu.
© 2017 The Au ho s. Published by Else ie B.V.
Pee - e iew unde esponsibili y o KES In e na ional.
Keywo ds: Pa icipa ion, U ban De elopmen , Me hod Da abase
* Co esponding au ho . Tel.: +49 351-463-32210.
E-mail add ess: Benjamin.s elzle@ u-d esden.de
A ailable online a www.sciencedi ec .com
ScienceDi ec
P ocedia Compu e Science 00 (2017) 000–000
www.else ie .com/loca e/p ocedia
1877-0509 © 2017 The Au ho s. Published by Else ie B.V.
Pee - e iew unde esponsibili y o KES In e na ional.
In e na ional Con e ence on Knowledge Based and In elligen In o ma ion and Enginee ing
Sys ems, KES2017, 6-8 Sep embe 2017, Ma seille, F ance
A Da abase o Pa icipa ion Me hods in U ban De elopmen
Benjamin S elzlea*, Jö g Raine Noenniga,b
aWISSENSARCHITEKTUR Labo a o y o Knowledge A chi ec u e, TU D esden
b Ci yScienceLab, Ha enCi y Uni e si y Hambu g
Abs ac
In o de o enable app op ia e ci izen engagemen and use pa icipa ion in u ban de elopmen p ojec s, knowledge is needed abou
he a ailabili y o ools and me hods and hei applicabili y o he di e en s ages o a design o planning p ocess. Howe e , a
sys ema ic o e iew o he a ious digi al and non-digi al app oaches o public pa icipa ion is s ill missing. Add essing his
sho coming, we ha e summa ized s a e-o - he-a ins umen s o pa icipa o y u ban design in Ge many, and summa ized hem
by he means o a comp ehensi e and compa a i e da abase. To es ablish he da abase, we ha e analyzed pa icipa ion guidelines
published by 30 Ge man municipali ies and ca alogued he ools and me hodologies in use he e. In o ma ion could be ga he ed on
70 di e en me hods and ools o di e en le els o complexi y. The app oaches we e classi ied in e alia by he le el o
engagemen , plus 13 o he ca ego ies. All indings we e compiled in o a da a s uc u e, gi ing basic in o ma ion on he me hods,
links o e e ence documen s, and sample p ojec s. Ou in es iga ion has gi en e idence ha ce ain me hods a e well known and
widely applied by municipali ies and s akeholde g oups, while o he mo e ambi ious app oaches a e used only by la ge and mo e
esou ce ul ci ies. To he la e class, many digi al ools belong. – The da abase is in ended as sea ch ool and in o ma ion base o
s akeholde s who wan o sea ch and compa e di e en pa icipa o y app oaches. I is a key componen o a p ocess design ool
enabling planne s, au ho i ies and manage s o he design o pa icipa o y p ocesses ha can co espond closely o speci ic
con ex s. Being associa ed o he EU H2020 p ojec “U_CODE U ban Collec i e Design En i onmen ”, he da abase will be
launched 2017 on he p ojec websi e www.u-code.eu.
© 2017 The Au ho s. Published by Else ie B.V.
Pee - e iew unde esponsibili y o KES In e na ional.
Keywo ds: Pa icipa ion, U ban De elopmen , Me hod Da abase
* Co esponding au ho . Tel.: +49 351-463-32210.
E-mail add ess: Benjamin.s elzle@ u-d esden.de
2 Benjamin S elzle, Jö g Raine Noennig/ P ocedia Compu e Science 00 (2017) 000–000
1. In oduc ion: Tools, Me hods and P ocesses o Pa icipa ion in U ban Design
O e he pas yea s, many ci ies in Ge many ha e ini ia ed pa icipa ion p ocesses in o de o enhance and secu e
u ban de elopmen p ojec s. T igge ed by se e e public esponses o con o e sial la ge-scale cons uc ion p ojec s,
he demand o well- unc ioning pa icipa ion p ocesses had become u gen . Besides manda o y pa icipa ion
p ocesses (known as “Fo mal Pa icipa ion”) al e na i e app oaches allowing in o mal, con ex - and p ojec -speci ic
pa icipa ion o ma s u ned ou necessa y. Fo his, a b oad ange o digi al and non-digi al ools and me hods is
a ailable which suppo s ci izen engagemen and use pa icipa ion on di e en le els o complexi y. Ye , only a basic
se o well-known me hods is commonly applied while he whole bandwid h o al e na i e and mo e ad anced
app oaches emains widely un ecognized. This hand ul o well-known me hods a e gene ic in na u e, and limi ed in
hei adap abili y o speci ic si ua ions o p ojec cons ains. In addi ion, he majo i y o commonly used me hods is
non-digi al, and only la ge and esou ce ul ci ies exploi he ad an ages o he mo e ambi ious, digi al me hods a he
momen .
Ci izen pa icipa ion in u ban planning p ojec s, howe e , is a challenge ha goes well beyond he me e selec ion
o he mos app op ia e ools and me hods. A key issue o success ul ci izen pa icipa ion is he design o a well-
in eg a ed wo k p ocess. The indi idual means need o be sequenced in o a meaning ul o e all wo k low, in which he
ou pu o one ac i i y smoo hly eeds in o he nex . A good pa icipa ion p ocess is achie ed when e ec i e ools and
me hods a e a anged in a dynamic ye conclusi e p ocess. The need o easible p ocess design has been ecognized
in heo y and p ac ice, s ill he e a e no mean sys ema ic means a ailable o suppo his speci ic demand.
The p ojec “U_CODE U ban Collec i e Design En i onmen ”, a mul i-na ional pa ne ship unded by he EU´s
Ho izon2020 ICT p og am “New Tools and Media o he C ea i e Indus ies” add esses his de ici by de eloping a
new co-design pla o m o massi e pa icipa ion in u ban planning and design. Concep ual componen s o he
pla o m will be a p ocess design ool as well as a da abase (“Me hod Bank”) which summa izes a ailable ools and
me hods o public pa icipa ion in u ban design. The da abase p esen ed in his pape was concep ualized in a hesis
p ojec a Technische Uni e si ä D esden 1 and u he de eloped wi hin he U_CODE p ojec .
2. Resea ch Goal: Scalable Pa icipa ion
As he p epa a o y esea ch o he U_CODE eam indica ed, he e is no sys ema ic and comp ehensi e su ey
nei he on exis ing pa icipa o y ools and me hods no on he o e all p ocess design. Wha is mo e, e idence abou
he e icacy o ools and p ocesses a e a ely gi en. Exis ing ool guides such as pa icipedia.ne do no p esen
su icien classi ica ion o s uc u ing, hus obs uc ing he sys ema ic sea ch and applica ion o he p esen ed
ins umen s 2,3. Al hough some gene al s udies a e a ailable, mos o hem ei he ocus on e y speci ic i ems 4 o jus
co e he o e all p ocess in schema ic manne ; ew in es iga ions add ess he e y me hods used.
Taking his in o accoun , he o e all aim o he da abase p esen ed he e is o analyze and summa ize he s a e o a
o digi al and non-digi al me hods in pa icipa o y u ban design. Due o limi ed ime ame in he de elopmen so a ,
he in es iga ion was es ic ed o Ge many, al hough a u u e expansion o scope is in ended. The speci ic aim o he
p ojec he e o e was o c ea e a new digi al me a- ool ha would allow use g oups like u ban designe s, planning
au ho i ies, p ojec manage s as well as acili a o s o pa icipa o y p ocesses o quickly o e iew he a ailable
me hods and means, o selec app op ia e solu ions, and o apply hem e ec i ely o hei speci ic cases.
In he long e m, he esul o his da abase – as well as o he U_CODE p ojec in gene al – aims a he pu pose ul
design o pa icipa o y design p ocesses whose s uc u e and wo k low is able o espond closely o he gi en
condi ions. I has been clea ly no iced by esea che s as well as by p ac i ione s ha adequa e pa icipa ion p ocesses
demand a basic lexibili y and adjus abili y in ega ds o key pa ame e s like le el o openness, goal-o ien a ion, o
esou ce in ensi y. We ha e e med his key quali y “Scalable Pa icipa ion”. On ins umen al le el, he me hod bank
p esen ed in his pape allows i s app op ia ion o pa icipa ion ools and me hods. On a mo e holis ic le el, he
U_CODE me hodology will allow an adjus men o he en i e wo k p ocess and wo k low by way o a comp ehensi e
pla o m solu ion.
2418 Benjamin S elzle e al. / P ocedia Compu e Science 112 (2017) 2416–2425
Benjamin S elzle, Jö g Raine Noennig/ P ocedia Compu e Science 00 (2017) 000–000 3
3. Me hodology: An On ology o Pa icipa ion Tools
The wo k owa ds he da abase ool di ided in o h ee majo s eps: 1) comp ehensi e su ey and ma e ial
collec ion, 3) analysis and s uc u ing o he da a, 3) echnical de elopmen o a p o o ypical ool. The in o ma ion
su ey and subsequen analysis we e ca ied ou wi hin a hesis p ojec , while he in eg a ion o he indings in o a
compa a i e digi al da abase was conduc ed wi hin he U_CODE p ojec . O e all imespan o hese ac i i ies was
oughly 1 yea . The u he in eg a ion o he da abase as a componen in o a la ge p ocess design ool is now in i s
concep ual phase.
Fo he su ey pa , we ha e esea ched pa icipa ion guidelines published by 30 municipali ies in Ge many e.g. 5, 6, 7
and collec ed all in o ma ion on ools and me hodologies used o pa icipa o y p ocesses in u ban de elopmen
p esen ed in hem. All in all, in o ma ion on 70 di e en me hods and app oaches could be ga he ed. The gi en
guidelines no only p esc ibe p ocesses and p ocedu es o u u e pa icipa ion p ojec , bu also summa ize he
municipali ies´ pas expe iences wi h he a ious ins umen s. Mos ly based on indi idual cases and p ojec s, his
li e a u e usually p esen s ci y-speci ic pa icipa ion concep s.
Figu e
1 mapping he quali ies o public pa icipa ion 1
4 Benjamin S elzle, Jö g Raine Noennig/ P ocedia Compu e Science 00 (2017) 000–000
In a nex s ep a e he ini ial phase o in o ma ion collec ion, we ha e es ablished a basic s uc u e by classi ying
he indings by he le el o engagemen hey suppo . Di e en ways o ep esen a ion and s uc u ing we e a emp ed,
e.g. clus e ing by applica ion opics o by key quali ies o pa icipa ion p ocess (Figu e 1). Such quali ies included,
among o he s:
 Clea ules o in e ac ion
 T anspa ency ac oss he o e all p ocess
 De ini ion how esul s will be u ilized
 De ailed planning o he pa icipa ion p ocess
 In ol emen o all ele an s akeholde s, a. o.
E en ually, as sugges ed by p e ious esea ch on pa icipa ion, a classi ica ion was chosen ha di e en ia es
be ween ou impac le els o pa icipa ion: in o ma ion, consul a ion, collabo a ion and empowe men (Figu e 2).
As he e a e mul iple means o he pa icipa ion le el “In o ma ion”, and as he le el “Public empowe men ”
in ol es a b oad discussion o egula o y and poli ical condi ions, we ha e sha pened he ocus o ou esea ch o he
le els “Consul a ion” and “Collabo a ion me hods”. Mos me hods o “In o ma ion” ha e, echnically speaking, a
low-le el app oach such as bulle ins o p ess eleases; hese p ac ices a e well unde s ood and desc ibed. On he o he
side he e a e almos no me hods o “Empowe men ” ha a e sui able o in o mal pa icipa ion. A leas in Ge many,
empowe men me hods a e s ic ly es ic ed by law. Figu e 3 shows a de ailed o e iew o he a ailable ins umen s,
so ed by hei le el o pa icipa ion. Wo kshop and con e ence echniques a e highligh ed blue while digi al o online
app oaches a e colo ed ed.
Figu e 2 Le el o pa icipa ion acc. o 8
Benjamin S elzle e al. / P ocedia Compu e Science 112 (2017) 2416–2425 2419
Benjamin S elzle, Jö g Raine Noennig/ P ocedia Compu e Science 00 (2017) 000–000 3
3. Me hodology: An On ology o Pa icipa ion Tools
The wo k owa ds he da abase ool di ided in o h ee majo s eps: 1) comp ehensi e su ey and ma e ial
collec ion, 3) analysis and s uc u ing o he da a, 3) echnical de elopmen o a p o o ypical ool. The in o ma ion
su ey and subsequen analysis we e ca ied ou wi hin a hesis p ojec , while he in eg a ion o he indings in o a
compa a i e digi al da abase was conduc ed wi hin he U_CODE p ojec . O e all imespan o hese ac i i ies was
oughly 1 yea . The u he in eg a ion o he da abase as a componen in o a la ge p ocess design ool is now in i s
concep ual phase.
Fo he su ey pa , we ha e esea ched pa icipa ion guidelines published by 30 municipali ies in Ge many e.g. 5, 6, 7
and collec ed all in o ma ion on ools and me hodologies used o pa icipa o y p ocesses in u ban de elopmen
p esen ed in hem. All in all, in o ma ion on 70 di e en me hods and app oaches could be ga he ed. The gi en
guidelines no only p esc ibe p ocesses and p ocedu es o u u e pa icipa ion p ojec , bu also summa ize he
municipali ies´ pas expe iences wi h he a ious ins umen s. Mos ly based on indi idual cases and p ojec s, his
li e a u e usually p esen s ci y-speci ic pa icipa ion concep s.
Figu e 1 mapping he quali ies o public pa icipa ion 1
4 Benjamin S elzle, Jö g Raine Noennig/ P ocedia Compu e Science 00 (2017) 000–000
In a nex s ep a e he ini ial phase o in o ma ion collec ion, we ha e es ablished a basic s uc u e by classi ying
he indings by he le el o engagemen hey suppo . Di e en ways o ep esen a ion and s uc u ing we e a emp ed,
e.g. clus e ing by applica ion opics o by key quali ies o pa icipa ion p ocess (Figu e 1). Such quali ies included,
among o he s:
 Clea ules o in e ac ion
 T anspa ency ac oss he o e all p ocess
 De ini ion how esul s will be u ilized
 De ailed planning o he pa icipa ion p ocess
 In ol emen o all ele an s akeholde s, a. o.
E en ually, as sugges ed by p e ious esea ch on pa icipa ion, a classi ica ion was chosen ha di e en ia es
be ween ou impac le els o pa icipa ion: in o ma ion, consul a ion, collabo a ion and empowe men (Figu e 2).
As he e a e mul iple means o he pa icipa ion le el “In o ma ion”, and as he le el “Public empowe men ”
in ol es a b oad discussion o egula o y and poli ical condi ions, we ha e sha pened he ocus o ou esea ch o he
le els “Consul a ion” and “Collabo a ion me hods”. Mos me hods o “In o ma ion” ha e, echnically speaking, a
low-le el app oach such as bulle ins o p ess eleases; hese p ac ices a e well unde s ood and desc ibed. On he o he
side he e a e almos no me hods o “Empowe men ” ha a e sui able o in o mal pa icipa ion. A leas in Ge many,
empowe men me hods a e s ic ly es ic ed by law. Figu e 3 shows a de ailed o e iew o he a ailable ins umen s,
so ed by hei le el o pa icipa ion. Wo kshop and con e ence echniques a e highligh ed blue while digi al o online
app oaches a e colo ed ed.
Figu e 2 Le el o pa icipa ion acc. o 8
2420 Benjamin S elzle e al. / P ocedia Compu e Science 112 (2017) 2416–2425
Benjamin S elzle, Jö g Raine Noennig/ P ocedia Compu e Science 00 (2017) 000–000 5
Due o he IT- ocus o he U_CODE p ojec , ou special esea ch in e es was on digi al consul a ion. This ype o
ins umen s is commonly inpu -based, i.e. ci izen pa icipa ion educes i sel o deli e ing inpu o web pla o ms o
in e ac ion de ices while dialogical o ma s a e widely missing, in con as o many es ablished p ac ices in he ield
o digi al collabo a ion. Inpu -based media used in digi al pa icipa ion a e e.g. social ne wo ks and online o a. Mo e
elabo a ed ools a e in e ac i e c owdsou cing pla o ms on which ci izens and planne s may discuss on he basis o a
digi al 3D-model.
Figu e
3 Ca ego iza ion acco ding o pa icipa ion in ensi y (own g aphic)
6 Benjamin S elzle, Jö g Raine Noennig/ P ocedia Compu e Science 00 (2017) 000–000
In o de o allow sys ema ic applica ion in he la e phase o de elopmen as well as analy ical compa ison o
esea ch pu poses, we ha e c ea ed a desc ip i e amewo k ha p esen s all en ies o he da abase in a uni o m
empla e. The ollowing desc ip ions esp. indica o s we e chosen (i ems in b acke ings indica e he ange o alue o
each pa ame e ):
 Subca ego ies (as co esponding o he second le el in Figu e 3)
 Name o he p ocess
 Desc ip ion (sho summa y o ypical ields o applica ion, pu poses, and p ocesses)
 S eng h and Weaknesses (in e ms o p ac ical applica ion and ou pu )
 Technical Desc ip ion (e.g. da a esou ces, ha dwa e equipmen )
 Leng h o he p ocess (one day, wo o ou days, se ies o e en s o e weeks, longe /ongoing)
 Numbe o pa icipan s (no de ined, up o 25, up o 100, up o 500, unlimi ed/mo e)
 Types o ou come ( isions, in o ma ion, eedback, esol e con lic s, p ojec op imiza ion)
 S age o he p ocess (Iden i ica ion, explo a ion, design, implemen a ion, use),
 Gami ica ion (yes/no)
 Inclusi e (yes/no)
 Online (yes/no)
 Rep esen a i e (yes/no)
 Mobile (yes/no)
 Re e ences
 Examples
Upon eques , he da abase p esen s basic in o ma ion on an o e iew le el, su icien o compa e he a ailable
ins umen s. Fo a mo e p ecise design o pa icipa ion p ocesses, u he in o ma ion needs o be e ie ed. I can
accessed ia e e ence links p o ided in he da a shee s oo. In addi ion, sample p ojec s a e lis ed o indica e he
e icacy o p e ious p ojec s. In he u he de elopmen o he ool, we will de elop an in e ac i e module in which
pa icipan s´ expe iences a e pooled and a eedback unc ion enables discussion and quali y assessmen o he me hods
by he use s o he ool. This link will be included in he menue “Examples”.
Figu e 4 Sea ch mask in he da abase

Benjamin S elzle e al. / P ocedia Compu e Science 112 (2017) 2416–2425 2421
Benjamin S elzle, Jö g Raine Noennig/ P ocedia Compu e Science 00 (2017) 000–000 5
Due o he IT- ocus o he U_CODE p ojec , ou special esea ch in e es was on digi al consul a ion. This ype o
ins umen s is commonly inpu -based, i.e. ci izen pa icipa ion educes i sel o deli e ing inpu o web pla o ms o
in e ac ion de ices while dialogical o ma s a e widely missing, in con as o many es ablished p ac ices in he ield
o digi al collabo a ion. Inpu -based media used in digi al pa icipa ion a e e.g. social ne wo ks and online o a. Mo e
elabo a ed ools a e in e ac i e c owdsou cing pla o ms on which ci izens and planne s may discuss on he basis o a
digi al 3D-model.
Figu e 3 Ca ego iza ion acco ding o pa icipa ion in ensi y (own g aphic)
6 Benjamin S elzle, Jö g Raine Noennig/ P ocedia Compu e Science 00 (2017) 000–000
In o de o allow sys ema ic applica ion in he la e phase o de elopmen as well as analy ical compa ison o
esea ch pu poses, we ha e c ea ed a desc ip i e amewo k ha p esen s all en ies o he da abase in a uni o m
empla e. The ollowing desc ip ions esp. indica o s we e chosen (i ems in b acke ings indica e he ange o alue o
each pa ame e ):
 Subca ego ies (as co esponding o he second le el in Figu e 3)
 Name o he p ocess
 Desc ip ion (sho summa y o ypical ields o applica ion, pu poses, and p ocesses)
 S eng h and Weaknesses (in e ms o p ac ical applica ion and ou pu )
 Technical Desc ip ion (e.g. da a esou ces, ha dwa e equipmen )
 Leng h o he p ocess (one day, wo o ou days, se ies o e en s o e weeks, longe /ongoing)
 Numbe o pa icipan s (no de ined, up o 25, up o 100, up o 500, unlimi ed/mo e)
 Types o ou come ( isions, in o ma ion, eedback, esol e con lic s, p ojec op imiza ion)
 S age o he p ocess (Iden i ica ion, explo a ion, design, implemen a ion, use),
 Gami ica ion (yes/no)
 Inclusi e (yes/no)
 Online (yes/no)
 Rep esen a i e (yes/no)
 Mobile (yes/no)
 Re e ences
 Examples
Upon eques , he da abase p esen s basic in o ma ion on an o e iew le el, su icien o compa e he a ailable
ins umen s. Fo a mo e p ecise design o pa icipa ion p ocesses, u he in o ma ion needs o be e ie ed. I can
accessed ia e e ence links p o ided in he da a shee s oo. In addi ion, sample p ojec s a e lis ed o indica e he
e icacy o p e ious p ojec s. In he u he de elopmen o he ool, we will de elop an in e ac i e module in which
pa icipan s´ expe iences a e pooled and a eedback unc ion enables discussion and quali y assessmen o he me hods
by he use s o he ool. This link will be included in he menue “Examples”.
Figu e
4 Sea ch mask in he da abase
2422 Benjamin S elzle e al. / P ocedia Compu e Science 112 (2017) 2416–2425
Benjamin S elzle, Jö g Raine Noennig/ P ocedia Compu e Science 00 (2017) 000–000 7
A he momen , he G aphic Use in e ace (GUI) is a simple empla e (Figu e 4). I is composed by a se o o ms
which allow easy sea ch que ies wi h SQL eques s. I `s possible o sea ch o all bu he plain ex ields (p ocess
name, desc ip ion, s eng h and weaknesses, echnical desc ip ion, examples and e e ences).
In a nex s ep, he da abase will be connec ed o a pla o m componen “P ocess Design Tool” which is cu en ly
unde de elopmen wi hin he U_CODE p ojec . The p ocess design ool is based on a o mal wo k low desc ip ion
o he gene a ion o u ban p ojec s (Figu e 5). The key idea is o enhance he con en ional wo k low owa ds u ban
design gene a ion (b ie ing, design compe i ion, ju y e c.) wi h al e na i e pa icipa o y p ocesses (co-b ie ing, co-
design, public o ing). These al e na i e p ocesses in u n need o be supplied by he app op ia e ools and me hods
as sugges ed by he “Me hod Bank”. The clea in o ma ion abou he ools´ di e en le els o in ol emen and ci izen
engagemen enables he design o o e all p ocesses wi h pa icipa ion le els adap ed o he speci ic p ojec con ex s.
Going beyond gene ic p ocesses and agmen a y applica ion o single ools and me hods, such in eg a ed and scalable
pa icipa ion allows o a b oad ange o cus om-made app oaches.
4. Resul s / Ou pu
The “Me hod Bank” p o ides a p ac ical suppo ool o planne s, au ho i ies, and manage s who wan o quickly
in es iga e pa icipa ion means and lea n abou hei e icacy. By illing-in key p ojec -in o ma ion ia a sea ch
in e ace (Figu e 4) use s will ge au oma ically p esen ed me hods and ools. Use s can selec he mos sui able
me hod om he sho lis and sea ch o mo e de ailed in o ma ion in he linked e e ences. In addi ion, combina ions
and sequences o di e en pa icipa ion ools can be es ablished, hus building mul i-s ep pa icipa ion p ocesses.
Ou i s in es iga ion wi h he da abase has shown ha ce ain me hods a e well known and used, and hus widely
applied by municipali ies and o he s akeholde g oups. These include well-known o ma s such as Media ion, Ci izen
Repo s o Round Table Talks. O he mo e ambi ious app oaches such as U ban Gaming o Augmen ed Reali y,
appea o be only used by la ge and esou ce ul ci ies. Many o he digi al ools belong o his ca ego y. The
implemen a ion o he da abase in o a webpage is in p ogess. A he momen , he da abase is an o line ela ional
da abase in Lib eO ice.
Figu e
5 Gene ic Wo k low o U ban Design Gene a ion (own g aphic)
Benjamin S elzle e al. / P ocedia Compu e Science 112 (2017) 2416–2425 2423
Benjamin S elzle, Jö g Raine Noennig/ P ocedia Compu e Science 00 (2017) 000–000 7
A he momen , he G aphic Use in e ace (GUI) is a simple empla e (Figu e 4). I is composed by a se o o ms
which allow easy sea ch que ies wi h SQL eques s. I `s possible o sea ch o all bu he plain ex ields (p ocess
name, desc ip ion, s eng h and weaknesses, echnical desc ip ion, examples and e e ences).
In a nex s ep, he da abase will be connec ed o a pla o m componen “P ocess Design Tool” which is cu en ly
unde de elopmen wi hin he U_CODE p ojec . The p ocess design ool is based on a o mal wo k low desc ip ion
o he gene a ion o u ban p ojec s (Figu e 5). The key idea is o enhance he con en ional wo k low owa ds u ban
design gene a ion (b ie ing, design compe i ion, ju y e c.) wi h al e na i e pa icipa o y p ocesses (co-b ie ing, co-
design, public o ing). These al e na i e p ocesses in u n need o be supplied by he app op ia e ools and me hods
as sugges ed by he “Me hod Bank”. The clea in o ma ion abou he ools´ di e en le els o in ol emen and ci izen
engagemen enables he design o o e all p ocesses wi h pa icipa ion le els adap ed o he speci ic p ojec con ex s.
Going beyond gene ic p ocesses and agmen a y applica ion o single ools and me hods, such in eg a ed and scalable
pa icipa ion allows o a b oad ange o cus om-made app oaches.
4. Resul s / Ou pu
The “Me hod Bank” p o ides a p ac ical suppo ool o planne s, au ho i ies, and manage s who wan o quickly
in es iga e pa icipa ion means and lea n abou hei e icacy. By illing-in key p ojec -in o ma ion ia a sea ch
in e ace (Figu e 4) use s will ge au oma ically p esen ed me hods and ools. Use s can selec he mos sui able
me hod om he sho lis and sea ch o mo e de ailed in o ma ion in he linked e e ences. In addi ion, combina ions
and sequences o di e en pa icipa ion ools can be es ablished, hus building mul i-s ep pa icipa ion p ocesses.
Ou i s in es iga ion wi h he da abase has shown ha ce ain me hods a e well known and used, and hus widely
applied by municipali ies and o he s akeholde g oups. These include well-known o ma s such as Media ion, Ci izen
Repo s o Round Table Talks. O he mo e ambi ious app oaches such as U ban Gaming o Augmen ed Reali y,
appea o be only used by la ge and esou ce ul ci ies. Many o he digi al ools belong o his ca ego y. The
implemen a ion o he da abase in o a webpage is in p ogess. A he momen , he da abase is an o line ela ional
da abase in Lib eO ice.
Figu e 5 Gene ic Wo k low o U ban Design Gene a ion (own g aphic)
8 Benjamin S elzle, Jö g Raine Noennig/ P ocedia Compu e Science 00 (2017) 000–000
As ega ds he highe -le el p ocess design ool, we ha e schemed a selec ion o wo k lows o di e ing engagemen
le el and complexi y. We ha e in es iga ed he app op ia eness and wo k low po en ial o he a ious ins umen s,
and assessed hei impac on he o e all p ocess. I became clea ha he selec ion o ools and me hods as well as he
way how hey a e sequenced hea ily de e mines he le el o pa icipa ion o he o e all p ocess. Ou i s en a i e
ableau o p ocess designs (Fehle ! Ve weisquelle konn e nich ge unden we den.) includes o ma s close o no
pa icipa ion (“Placebo Pa icipa ion” wi h li le decision making in luence on he side o he public) as well as highly
ambi ious o ma s (“Supe Public” whe e p ac ically all decision making powe is in he hands o he ci izens). In o de
o p oceed he U_CODE esea ch p ojec owa ds an applicable ool, a medium le el o pa icipa ion was chosen o
base he pla o m´s basic wo k low on (“Minimal Viable P ocess”).
Figu e
6 Example o he Me hod Bank (own g aphic)
2424 Benjamin S elzle e al. / P ocedia Compu e Science 112 (2017) 2416–2425
Benjamin S elzle, Jö g Raine Noennig/ P ocedia Compu e Science 00 (2017) 000–000 9
5. Ou look
While he “Me hod Bank” ool al eady p o ides a basic unc ionali y based on he diges o 30 Ge man pa icipa ion
guidelines, u he ex ension in e ms o unc ionali y and da a esou ces is due. We in end o b oaden he in es iga ion
by including indings om o he Eu opean coun ies and ci ies, and by collec ing a signi ican ly highe numbe o
me hods and ools. Cu en in es iga ions wi hin he U_CODE p ojec will issue he necessa y ma e ial o his s ep.
Fu he we wan o de elop new ea u es ha allow mo e de ailed sea ch and analysis o he en ies. I `s also
concep ualized o es ablish a connec ed da abase comp ising p ojec ela ed expe iences, o es ablish e idence abou
he e iciency o he me hods and ools. O he digi al componen s o he U_CODE pla o m will be di ec ly linked o
he “Me hod Bank” ia p og am in e aces. The pla o m´s upcoming p ocess design ool is a i s example o he
meaning ul connec ions o componen unc ionali y. In he middle un, we en ision he pla o m no only o sugges
app op ia e ools and me hods, bu en i e p ocess designs o a gi en p ojec p o ile.
As a s and-alone solu ion he “Me hod Bank” will be launched online on he U_CODE p ojec websi e www.u-
code.eu in 2017. I ´s exploi a ion concep is a eemium model: hey key pu pose is u ilize he ool o building up a
communi y o po en ial u u e use s o he U_CODE pla o m. In addi ion, we hope o collec aluable use eedback
ega ding he e icacy o he single ools and me hods al eady in use.
Re e ences
1. S elzle, B. (2016) Lei linien und Me hoden de Pa izipa ion in de S ad en wicklung. Thesis p ojec , Technische Uni e si ä D esden,
2016.
2. B ouwe , He man; B ouwe s, Jan (2017): The MSP Tool Guide. Six y Tools o acili a e mul i-s akeholde pa ne ships. Cen e o
De elopmen Inno a ion, Wageningen Uni e si y and Resea ch. Online a ailable on
h p://www.mspguide.o g/si es/de aul / iles/ esou ce/msp_ ool_guide.pd , eques ed on 2017-04-28.
3. h p://pa icipedia.ne , eques ed on 2017-04-28.
4. h p://games o ci ies.com/da abase/, eques ed on 2017-03-30.
Figu e
7 P ocess Design Tool: Va ious p ocess design ske ches