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HomeMy WebLinkAboutFIN-19-050 - Participatory Budgeting DebriefREPORT TO: Finance and Corporate Services Committee DATE OF MEETING:June 10, 2019 SUBMITTED BY: Ryan Hagey, Director of Financial Planning, 519-741-2200 x 7353 PREPARED BY: Ryan Hagey, Director of Financial Planning, 519-741-2200 x 7353 WARD (S) INVOLVED:All DATE OF REPORT:May 17, 2019 REPORT NO.:FIN-19-050 SUBJECT:Participatory Budgeting Debrief ___________________________________________________________________________ RECOMMENDATION: Thatstaffing and funding requirements for a permanent participatory budgeting solution be brought back to Council through the 2020 budgeting process. BACKGROUND: Participatory budgeting (PB) is a novel “democratic process that gives ordinary people direct control over a portion of a public budget.” Participatory budgeting differs from traditional public consultations and community grant boards in that participants “both identify priority projects and decide exactly which of these projects are funded” through a series of open assemblies. The graphic below, produced by the Participatory Budgeting Project, provides a high-level overview of a typical participatory budgeting process. Although it should be noted that there is significant opportunity for customization within each step. The City of Kitchener partneredwith the University of Waterloo (UW) to test the viability of PB concepts within Kitchener. Specifically, Council provided direction to conduct PB pilots for the redesign of Sandhills and Elmsdale parks. With assistance from UW, the consultation periods have been completed for these two projects and staff are in a position to provide some findings 4 - 1 on the PB process and make recommendations about its future use in Kitchener. The UW observations are a key part of this discussion, and their report is attached to the staffreport to provide additional contextand more detailed information.Some portions of the staff report include content from the UW report. REPORT: The Process In its original form, a traditional PB process would set aside a definedamount of funding and allow residents to allocate the funds for whatever purposes they deem most important. As noted in an earlier report, PB has taken different forms as it has been implemented in North America, with no specific “best practice” emergingas the municipal standard. Given the lack of a standard PBpractice and this being Kitchener’s first foray into the PB space, Council decided to take a measured approach and directed thePBengagement be limited to twopark rehabilitation projects. Having a defined scope for the PB pilots is consistent with other North American applications of PB, and it still allowedresidents to have confidence in the process because of a transparent voting process. Given Council’s directionto focus on the two parks projects,UW and staff developed a Made- in-Kitchener approach for the PB pilots. The overall processwas similarfor each parkand included three rounds of voting, which are listed and then described below. Round 1 – Idea generation Round 2 – Idea prioritization Round 3 – Final Vote Round 1 – Idea generation Residentswere asked to share theirideas to improve to their neighbourhoodpark. Participants were asked four open ended questions to prompt their input about what they like/don’t like about the park and what should be added/removed from the park. City of Kitchener Landscape Architects then reviewed the submissions to identify specific issues, screen responses for feasibility, and group similar ideas.This process identified 23 different park elements for ElmsdalePark and 25 for Sandhills Park (elements are listed in the attached UW report). Round 2 – Idea prioritization In Round 2,participants were asked to review the list of ideas that were generated in Round 1 andvote for which ideas they would prioritize.The Landscape Architects attached a cost estimate to each idea and these were listed on the Round 2 ballots. This approach allowed participants to consider trade-offs due to the budget constraints. The inclusion of costs hadthe benefit of educating participants on the difficult decisions that staff and Council must make as well as helping participants to spend the budget efficiently and effectively. Once the votes were cast, the University of Waterloo team converted participantrankings into distinct park design bundlesusing different vote-calculation algorithms. 4 - 2 Round 3 – Final Vote Residentswere presented with a total of four different bundles, three that were created as a direct result of their voting in Round 2, andone prepared by the Landscape Architects. To avoid bias in the final voting, residents were not told which bundles were which. Residents cast their votes for the bundle(s) they liked best and were then tallied to result in a winner. Copies of the final ballots for the parks are shown below. Round 3 – Final Vote Ballots for Elmsdale (left) and Sandhills (right) Parks The Outcome The major difference between a traditional park redesign engagement and the PB pilots was that it moved the citizen engagement model from being a consultation where citizens provide some input into the end product,to controlling the final outcome of the park. Residents had input in all stages of the process, and were ultimately responsible for picking the specific elements to be included in their neighbourhood parkas described in the previous section. In both parks, the winning bundles were resident-generated bundles and not thestaff prepared bundle.The final elements chosen by residents are shown in the table below. 4 - 3 Final Park Design Elements Elmsdale Winning DesignSandhills Winning Design (Green Bundle)(Red Bundle) Chess tableChess table Edible forestCommunity events space Natural playground (logs, Ping pong table timbers, rocks) Sand play areaPermanent garbage can Sand volleyball courtSwing set Site clean-up (dead trees, Basketball court overgrowth, weeds, etc.) More shade treesBenches Edible plantings / food Little library forest Native perennial and Benches & picnic tables shrub plantings Charcoal grill & picnic area Original Elmsdale Park Items:Original Sandhills Park Items: Triple-toss basketball hoopSmall playground Picnic tableInformal basketball courts BenchSoccer nets Scrub ball diamondOpen lawn with mature trees The Takeaways As this was the City’s first attempt at a PB process, there were several points of learning, many of which are covered in the UW report. Below are fiveof staff’s significant takeaways. 1.The PB process resulted in adifferent outcome. For both Elmsdale and Sandhills Parks, the winning bundles were resident-generated ideas, and both of the bundles were different. This suggests that what the City would traditionally install in a neighbourhood park isdifferent than what local residents want to see in the park, and that there is variation between neighbourhoods. Knowledgeable staff (in this case Landscape Architects) are still required to achieve a viable park design, but there appears to be a need to allow specific community input into park rehabilitations of this magnitude. 4 - 4 2.The PB process required dedicated staffing resources. In addition to the technical staff managing the specific capital projects (in this case Landscape Architects), dedicated staffing resources were required to manage the PB process. The City’s Community Engagement Consultant acted as project manager to lead all aspects of engagement work. This included integrating corporate requirements into the PB process, liaising between different departments, and managing the partnership with UW. PB required a higher standard of care to administer given the binding nature of votes, which meant adding in protocols to protect the integrity of the process including secure voting mechanisms and verification of results, as well as supplemental outreach to ensure that participation options were inclusive. As well, the need for transparency with the community created additional complexity from a communications perspective. The additional work required to support residents through an unfamiliar and technical task aligns with key learnings fromLove My Hood – supporting resident-led initiatives is resource-intensive.In addition to City staff resources, the City also relied heavily on UW to help guide the overall PB process and design/analyze the votes cast in rounds 2 and 3. 3.The PB process tooklonger. The consultation and voting required by a PB process goes beyond the City’s traditional engagement processes. PB has multiple iterations of publicinput,which take longer to plan, schedule, advertise, organize and deliver. All of these steps mean it takes longer to achieve an outcome, and requires resources knowledgeable in this type of engagement. Even with a longer than normal consultation timeframe (in this case February to June), the City received some feedback from participants that the process seemed rushed. Given this feedbackfuture PB consultations should be spread out over a longer timeframe, meaning it will take longer than normal to deliver those projects. 4.The final park costs were higher than budgeted. The original budget for each of the park rehabilitations was $100,000 per park, but the final budget for each park was $150,000.The original budget for each park did not fully allow for the extended consultation, additional staff time, design contingency, and other necessary park improvements beyond the PB scoped items. In addition,through the PB process the City found that some participants were surprised at the cost of individual components,especially components that required additional work to ensure they were accessible.This underscores the need for technical expertise in a PB process, as the public may have a different perception of what their desired solution may actually cost. 5.Coordination and cooperation between divisions was key. The PB process drew on staff expertise and community relationships from a multiple divisions. In addition to the technical expertise provided to parks projects by the Landscape Architects (Parks & Cemeteries), and the overall process coordination provided by the Community Engagement Consultant (Communications), one of the key findings was the leveraging of community relationships by Neighbourhood Liaisons and Community Centre Facilitators (Neighbourhood Programs & Services) to ensure strong community participation in the PB process. 4 - 5 The Conclusion The City’s first venture into the PB process definitely had some hiccups along the way, but ultimately produced a final product that reflected the desires of the community in a way that a traditional consultation would not have. Based on the results of these two pilot projects, staff believe committing permanent resources (both financial and staffing) will further the City’s commitment towards creating a “Caring Community” that enhances people’s sense of belonging, and better engages citizens as articulated in the City’s Strategic Plan. ALIGNMENT WITH CITY OF KITCHENER STRATEGIC PLAN: Strategic Priority:Open Government Strategy: 1.3 – Create more opportunities for citizen dialogue on community issues and introduce new ways for people to get involved in decisions that affect them. Strategic Action: #OG10 Participatory Budgeting FINANCIAL IMPLICATIONS: There are no specific financial implications stemming directly from this report, but there could be ongoing financial commitments if Council wants to pursue a PB approach on a go forward basis. As noted in the report, the coordination of a PB engagement is beyond the normal scope of City consultation and is best suited for a dedicated resource instead of technical staff who are actually managing the project. COMMUNITY ENGAGEMENT: INFORM – This report has been posted to the City’s website with the agenda in advance of the council / committee meeting. The report speaks to the City’s PB process and how it moved community engagement for these park projects from consult to controlling the final outcome of the park redesign. PREVIOUS CONSIDERATION OF THIS MATTER: Two previous report about Participatory Budgeting were provided to Committee. These reports provided context about PB in general, and provided direction to move ahead with two specific pilot projects. FCS-17-028Participatory Budgeting FCS-17-094Participatory Budgeting Follow Up ACKNOWLEDGED BY: Jonathan Lautenbach, Chief Financial Officer, Financial Services 4 - 6 Participatory Budgeting in the City of Kitchener A summary report of the design and 2018 pilot. Authors: Dr. Sean Geobey Assistant Professor, University of Waterloo School of Environment, Enterprise and Development Sean Campbell PhD student, University of Waterloo School of Environment, Enterprise and Development Contents Participatory Budgeting in the City of Kitchener...................................................................... 1 Executive Summary................................................................................................................ 2 1.1 – Piloting Participatory Budgeting in the City of Kitchener............................................. 3 1.2 – Sandhills & Elmsdale Parks....................................................................................... 4 1.3 - Background on City-University Partnership................................................................. 5 2. Designing a Made-in-Kitchener Participatory Budgeting Pilot............................................. 5 2.1 - Alignment with City of Kitchener’s Strategic Plan........................................................ 5 2.2 - Designing a Participatory Budget................................................................................ 7 3. Results..............................................................................................................................12 3.1 - Overview....................................................................................................................12 3.2 – Round 1: Idea Generation.........................................................................................13 3.3 – Round 2: Prioritize Ideas...........................................................................................15 3.4 – Round 3: Final Vote..................................................................................................17 3.5 – Participation..............................................................................................................20 5. Design Options for Future Iterations..................................................................................23 Works Cited...........................................................................................................................25 4 - 7 Executive Summary From February to June 2018 the City of Kitchener engaged in an innovative participatory budgeting (PB) pilot project to redesign the features in Sandhills Park and Elmsdale Park. PB is a democratic process that moves beyond community consultation towards empowering the public by giving ordinary people direct control over a portion of a public budget. In each of these parks $100,000 was allocated by local residents using a process incorporating PB elements and a team from the University of Waterloo partnered with the City of Kitchener to design this process as part of the Smart Cities Initiative. Residents over the age of 12 who lived in the Chandler Mowat (Elmsdale Park) and Cedar Hill (Sandhills Park) neighbourhoods were invited to participate in the PB pilot process through local neighbourhood meetings, local community centres, and online. Their participation came about in three rounds. In Round 1: Idea Generation residents were asked to identify opportunities to improve their parks. Then in Round 2: Prioritizing Ideas residents voted to prioritize from a list of about two dozen distinct ideas to create three distinct design bundles for each park. Finally in Round 3: Final Vote residents voted again to rank four different design bundles – three created from residents’ Round 2 priorities and one designed by city staff – from which the top-ranked design bundle from each neighbourhood was selected as the winner. In each park the winning design bundles were ones that came from those built using their Round 2: Prioritizing Ideas votes. Both of the winning design bundles differed substantively from the original park items and overall featured a large number of smaller items. As a percentage of the neighbourhood populations, for Sandhills Park the participation rates were 2.22% in Round 2 and 2.51% in Round 3, and for Elmsdale Park the rates were 1.61% in Round 2 and 1.26% in Round 3. These participation rates are comparable to those seen in other PB process both within Ontario and internationally. Moreover, these rates are also higher than those found in the City of Kitchener’s standard parks engagement process. The use of PB by the City of Kitchener marks an important shift in the city’s approach to resident engagement. Through the partnership with the University of Waterloo this pilot offered a number of key insights into the PB process including (1) a confirmation that the PB process generates different results than a traditional engagement process, (2) strong support for design bundles produced using a voting process, (3) and an increase in resident participation. In addition, if the city expands the use of PB in its resident engagement processes the process design will have to be adapted for these different purposes and the use of the two-round voting process used in these pilots is recommended while these PB designs are being developed. Finally, there may be other ways of integrating PB processes into decision-making in the City of Kitchener including but not limited to: priority-setting by city councillors, sharing of resources for 4 - 8 expenses that affect multiple city departments, volunteer-led granting committees, resource-sharing between existing neighbourhood association, and staff engagement in cross-departmental initiatives. 1.1 – Piloting Participatory Budgeting in the City of Kitchener Participatory budgeting (PB) is a novel “democratic process that gives ordinary people direct control 1 over a portion of a public budget.”Participatory budgeting differs from traditional public consultations and community grant boards in that participants “both identify priority projects and decide exactly 2 which of these projects are funded” through a series of open assemblies. Budget allocations are 3 typically limited to expenditures which can be implemented over the course of one budget cycle—such 4 as enhancements to sports facilities and community activities —however, some jurisdictions permit multi-year expenditures to deepen engagement. PB is a flexible process which has been used at the city- 56 level, neighbourhood-level, and to allocate budgets within public housing buildings. The City of Kitchener implemented an innovative participatory budgeting pilot project for the redesign of Sandhills Park and Elmsdale Park (see 1.2 – Sandhills & Elmsdale Parks for background information). The pilot was developed in 2017 and conducted from February to April of 2018. Residents of Kitchener were invited to participate in the direct democratic allocation of a $100,000 budget assigned for the refurbishment of each park. In Kitchener, residents over the age of 12 who lived in the Chandler Mowat (Elmsdale Park) and Cedar Hill (Sandhills Park) neighbourhoods were invited to complete three rounds of surveys—conducted between February and June of 2018—through three delivery channels: neighbourhood meetings, local community centres and online. Participants were asked to identify opportunities for improving their park (Round 1: Idea Generation), vote to prioritize those ideas (Round 2: Prioritize Ideas), and vote for one of four design bundles of top ranked preferences (Round 3: Final Vote). Figure 1 shows the steps of the pilot as presented to the participants. Figure 1. Participant Engagements Here’s how it will work: 1.You tell us what you want in your park. People living in the neighbourhoods surrounding the parks are invited to attend a meeting to generate ideas. A survey will be available online following the first meeting and paper copies will also be available for those who can’t make the meeting; 2.You rank your favourite ideas for the park. Our experts, including landscape architects and community centre staff, can advise and help where needed, and provide costing for items that emerge from the ranking; 3.You vote on the design you like best; 4.We fund the winning park design within the assigned budget. 4 - 9 This document summarizes the pilot and its outcomes, the design process and elements, and preliminary results of a concurrent research study conducted by a University of Waterloo team led by Dr. Sean Geobey. 1.2 – Sandhills & Elmsdale Parks Figure 2. Map of Sandhills Park Sandhills Park is a small neighbourhood park located in the Cedar Hill neighbourhood, and in a block bordered by Courtland Avenue East, Peter Street, St. George Street and Cedar Street South (see Figure 2 for map). Prior to refurbishment, Sandhills Park had a small playground, informal basketball courts and soccer nets, as well as an open lawn with mature trees. Paved trails crossed the hills and slopes in the site. The Imagefrom Google Maps. (2018a). Retrieved November 5, 2018, from https://goo.gl/maps/y4rk52jjihu entrance to the park is by: a laneway off Peter Street; a trail descending from St. George Street, and a more direct entrance from Cedar Street. Figure 3. Map of Elmsdale Elmsdale Park is a medium-sized park located in the Chandler Mowat neighbourhood, near the intersection of Chandler Drive and Ottawa Street (see Figure 3 for map). Prior to refurbishment, there was a triple-toss basketball hoop, picnic table and bench, and a scrub ball diamond in the park. The existing playground was 20 years old. As a result of the participatory budgeting process conducted with neighbourhood residents, both Imagefrom Google Maps. (2018b). Retrieved November 5, 2018, from https://goo.gl/maps/yHA3EA9oSTy parks saw significant changes in the winning proposals from what existed prior to the pilot. 4 - 10 1.3 - Background on City-University Partnership The City of Kitchener entered into a sponsored research agreement with the University of Waterloo in September 2016 for the purpose of collaborating on a participatory budgeting pilot project. The City of Kitchener made a $20,000 contribution through the Smart Cities Initiative, matched by a $20,000 contribution from the University of Waterloo, to fund the research team’s involvement. Dr. Sean Geobey, Assistant Professor of Social Entrepreneurship and Social Innovation in the University of Waterloo’s School of Environment, Enterprise and Development (SEED), was selected to lead the University of Waterloo team in accomplishing the following goals: 1.Assess current academic and applied research on participatory budgeting processes 2.Develop options for an implementation plan 3.Assist in managing and developing a formative evaluation of the process with City staff The agreement additionally described the scholarly research that would be conducted alongside the broader project. It was noted that participatory budgeting is an emerging process for citizen engagement in Canada, and that key questions include: 1.Do participatory budgets improve collective decision-making outcomes? 2.How should participant preferences be used to generate design bundles that are right for their community? Preliminary conclusions on these questions are included throughout this document and detailed results will be shared with both the City of Kitchener and the research community (e.g. via academic articles). This research has been reviewed and received ethics clearance through a University of Waterloo Research Ethics Committee (ORE#22501). 2. Designing a Made-in-Kitchener Participatory Budgeting Pilot This section discusses why the City of Kitchener decided to implement a participatory budgeting pilot, how the pilot was designed, and how these design choices shaped the outcome. 2.1 -Alignment with City of Kitchener’s Strategic Plan The City of Kitchener’s Strategic Plan identifies “Open Government” as a strategic priority, with participatory budgeting listed as a strategic action for advancing an open government agenda. An Environics Research survey was commissioned by the City of Kitchener in 2018 to understand the views 7 of residents on “municipal issues and the City’s strategic priorities.”The survey found a high level of support for both participatory governance in general, and participatory budgeting specifically: Participatory Governance: When asked if increased citizen participation in decision-making should be prioritized, 57% of respondents selected “Top Priority”, 34% selected “Secondary 8 Priority”, and 7% selected “Not a Priority.” Participatory Budgeting: Respondents were asked to select from a list of actions that the City has taken over the preceding four years to improve the information and involvement of citizens. 4 - 11 Involvement of citizens in budget decisions was reported to have provided the greatest benefit 9 (37%). th10 At a special meeting of City of Kitchener Council held on February 27, 2017, councillors were asked to reflect on the following benefits ascribed to participatory budgeting by its advocates, with the purpose of providing guidance to staff and the University of Waterloo research team on the outcomes that should be prioritized: Improved accountability and trust: Open government decision-making and build relationships 11 between councillors and residents.The improved accountability and trust may smooth relations during periods of austerity by involving those impacted by budgetary cuts in the 12 difficult decision-making process. Increased effectiveness and engagement: Establish a new channel of communication with otherwise under-represented groups, and “improve the level and quality of information 13 available” to municipal staff through direct engagement. Increased community engagement:Encourage active participation in the community. Some evidence from England suggests that participants of the budgeting process were more likely to 14 join local civil society organizations. Transferring power to communities and grassroots 15 movements can inspire a sense of collective agency and political will. Education of government processes: PB can act as a “citizenship school” which “empowers citizens to better understand their rights and duties as citizens as well as the responsibilities of 16 government.” To engage underrepresented groups, however, governments must support their citizenry through specific training (ex. interpreting financials) and supports (ex. translation, 17 childcare, transportation). Promotion of cooperation and social justice: PB promotes social cohesiveness and understanding by bringing together groups from different backgrounds and experiences (ex. seniors and youth, indigenous and immigrant). PB can resulted in disadvantaged communities 18 receiving a greater share of the budget. No limit was placed on the number of benefits that a Councillor could prioritize. All five benefits were of interest to Council, with ‘improved accountability and trust’, and ‘increased effectiveness and engagement’ receiving the most interest. Figure 4. PB Benefits Prioritized by Council PB BenefitsPrioritization by Councillors Improved accountability and trust 6 Increased effectiveness and engagement6 Increased community engagement4 Education of government processes4 Promotion of cooperation 4 N/a. Does not support this initiative 1 4 - 12 For the purposes of the City of Kitchener’s pilot, the response of Council led to a pilot design that sought a balanced approach to achieving these objectives within the scope of the selected test sites. For example, a pilot that prioritized only ‘education of government processes’ may have occurred over a longer period of time with regular in-person meetings, greater discussion and engagement with experts, and more in-depth explanatory materials. Such an approach would likely have decreased community engagement because of the high time cost. 2.2 -Designing a Participatory Budget Figure 5, produced by the Participatory Budgeting Project, provides a high-level overview of a typical participatory budgeting process. Within each step there is significant opportunity for customization. This section considers the decisions that were made in the design of the City of Kitchener participatory budgeting pilot. Figure 5. Graphical Overview of How Participatory Budgeting Works Image from The Participatory Budgeting Project. (n.d.). What is Participatory Budgeting. Retrieved from https://www.participatorybudgeting.org/download/pbp-general-info-sheet/# 2.2.1 - Who Participates? PB is designed to empower a target community, however, this community can be defined either geographically (ex. neighbourhood), by sector via shared demographics (ex. youth, arts), or cultural background (ex. Indigenous). The selection of PB target determines not only the impact but also design elements of the program. For example, if a geographic approach is taken a municipality can leverage neighbourhood associations or direct marketing to access participants, whereas if a sector approach is 19 taken then NGOs with a shared focus area would be appropriate partners. It has been noted that the inclusion of associations and NGOs can result in the exclusion of individual citizens who lack the 20 technical capacity and organization to effectively advocate for a given position. When deciding between a geographic- and sector-focus, a municipality should consider both the intended outcomes and the needs of the targeted group. If a high degree of lived-experience or specialist knowledge is required to inform a vote on proposals, then a sector approach is likely 4 - 13 preferable. If, on the other hand, a key goal is to increase cooperation and a sense of community, then 21 perhaps a neighbourhood approach is preferable. After receiving direction from Council, City of Kitchener staff considered (1) where there was a budget available to be allocated, (2) issue areas that would be accessible and interesting to residents, (3) and where there existed a meaningful amount of choice between potential outcomes. Following several conversations across departments, the idea of using participatory budgeting to allocate park refurbishment budgets. The staff report to Council described the advantages of this approach as follows: “Parks are a valued City asset with a long lifespan and something the local community cares strongly about, which should encourage input by neighbourhood residents. “Findings from the PB pilots could potentially be replicated year after year (within the context of planning parks), meaning there is a higher probability the PB pilot would have a long-standing impact on City processes rather than just being a one-time exercise. “A review of consultation around parks rehabilitation projects was already identified through the Neighbourhood Strategy and had been planned for 2017 through the Parks, Playgrounds and Trails Community Engagement Review. Findings from the PB pilots will help inform this 22 review.” The specific parks for inclusion in the PB pilot, Sandhills Park and Elmsdale Park, were chose because: 1.They had already been identified for refurbishment which limited the additional workload for the Parks Department 2.No new funding was required as funds were already allocated through the Neighbourhood Park Rehabilitation and the Central Area Park Rehabilitation capital accounts 3.The locations represented a downtown and suburban park which allowed for comparison of results across geographies As cities become more diverse in Canada, “there is a higher need to accommodate cultural and language 23 differences.” At the very least participants should be representative of the broader community, however, greater effort and resources may be applied to intentionally attract more involvement from disadvantaged groups. This engagement should begin early on, with staff sharing decision-making with 24 desired participants for the design of the process itself.The City of Kitchener contributed significant staff time to the creation of attractive marketing materials, to conduct outreach at community centres, and to include non-text based materials and visual aids for those with literacy challenges or with English as a second language. Future iterations of participatory budgeting in Kitchener can select different communities to participate. For example, the geographic area could be a neighbourhood, a ward, or the full city. Alternatively, a participatory budgeting process could allocate resources for youth or seniors, artists or festivals. 4 - 14 2.2.2 – Pilot Budget and Community Support An initial budget of $100,000 was allocated by the City of Kitchener for the refurbishment of each park, for a total project budget of $200,000. This amount had been budgeted in advance by the City of Kitchener’s Parks Department as part of their standard park refurbishment process. While established participatory budgeting processes are often much larger, for a pilot participatory budgeting process this amount allowed the University of Waterloo and the City of Kitchener teams the opportunity to test different designs for this approach. Beyond municipal budget resources, it has been suggested by PB advocates that interest in participatory budgeting can leverage investments from senior tiers of government, foundations, community organizations, and the business community. The Participatory Budgeting Project estimates that "for every $5 million that is directly allocated through PB, another $1 million is raised through matching 25 funds, in-kind, contributions, and other sources." Future iterations of participatory budgeting may wish to seek external funds from foundations or other private donors to further the impact of municipal resources. However, care should be taken to ensure that doing so does not exacerbate inequalities in the city by, for example, creating disparities in equipment or service deliveries between wealthier neighbourhoods in which extra fundraising may be easier and poorer neighbourhoods in which additional fundraising could be more difficult. 2.2.3 - Process Design In some jurisdictions, the government will design the process and idea requirements for participatory budgeting, waiting to engage citizens until the item identification stage. For example, the City of Toronto 26 pilot allowed participants to propose capital projects on City-property with a cost of under $250,000. In contrast, New York and Chicago created steering committees comprised of both civil society organizations and individual citizens to "map out the PB cycle, decide its rules, and agree on roles and 27 responsibilities.”For the City of Kitchener, a short timeline necessitated a City-led process. This approach had the benefit of allowing for careful consideration of how the pilot would integrate with existing park refurbishment processes. Globally, some participatory budgeting processes are designed with a social justice focus, where the goal is to provide a venue for marginalized populations to control the distribution of resources. In such a process the design of the participation may be of equal or greater importance because marginalization occurs as a result of the inability to exercise power, and a history of negative interactions has created a culture of distrust. As an example, a reconciliation fund to distribute grants to Indigenous communities may seek to work with Indigenous communities to develop the structure of the granting program. In contrast, the City of Kitchener pilot focused on the population at large of the respective neighbourhoods. While the process was designed by the City, residents could remain confident in the pilot because of a transparent voting process. 4 - 15 2.2.4 - Integrating with Existing Planning Systems The participatory budgeting process resulted in several important changes to traditional park consultations. As seen in Figure 6, PB moves from consultation to control. Participants have multiple opportunities to vote on the outcome: Round 1 – Idea Generation: In both the traditional and participatory budgeting processes the residents are asked to identify opportunities for improving the park. Round 2 – Prioritize Ideas: The pilot added a unique voting stage where residents were asked to rank the identified opportunities by preference. The top ranked ideas were incorporated into the final design bundles. Round 3 – Final Vote: The defining difference of participatory budgeting is that the participants vote on the final option and the option with the most votes is implemented by the City. The two-step voting process of ranked ballot and voting on design bundles allows multiple opportunities for resident engagement and reduces the likelihood that an outlier will be approved without support from a majority of residents. Figure 6.General Comparison of Public Consultation Process with Participatory Budgeting Option Stage Traditional Park Consultation Participatory Budget Pilot Park Consultation 1 Landscape architect assigned UW-researcher and staff working group formed 2 Staff consult with neighbourhood to Round 1: Idea Generation generate ideas for park improvements 3 Staff develop conceptual plans Staff vet ideas for reasonability and feasibility (e.g. does an idea fit within the budget constraints 4 Staff consult neighbourhood on Viable ideas are presented in a ballot form conceptual plans and neighbours vote for their preferred park elements 5 Round 2: Prioritize Ideas 6 Round 3: Final Vote 7 Staff develop final design planStaff develop final design plan 8 Staff communicate final design & next Staff communicate final design & next steps to neighbourhood steps to neighbourhood 9 Staff-led execution Staff-led execution It is recommended that future iterations of PB in Kitchener experiment with greater public participation at each stage of this engagement process. Further, it is recommended that in each new domain in which a PB processes is implemented, that the first iteration be treated as a pilot process. It is likely that each domain will face a different balance of constraints in terms of how staff and participants can be included in the process. 4 - 16 2.2.5 - Measuring Success Limited discussion was found on the measurement of participatory budgeting’s success as a tool for achieving the policy outcomes identified earlier in this document. An exception was a 2011 national study of PB programs by the U.K.'s Department for Communities and Local Government which identified a series of qualitative and quantitative measures to track, including: Participation Rate: The percentage of eligible residents that participated. The Ontario examples listed earlier achieved rates of between 2-5%. Jurisdictions may additionally consider the demographics of this participation and whether it represents target or disenfranchised groups, and the number of civil society organizations involved in the process. Civic Engagement: The 2011 study compared factors before and after the implementation of PB, including the percentage of residents who reported a sense of community belonging, and the 28 rate of civil society participation. Administrative Cost to the City: Promotional materials, facilities usage, and staff time which would not otherwise be required. The City of Kitchener collected data on participation rates and the University of Waterloo research team collected data on civic engagement. Administrative costs to the City of Kitchener were not tracked as it was acknowledged that as a pilot initiative the costs would be higher as processes are being developed. The results are discussed later in this report. 4 - 17 3. Results 3.1 - Overview Below is an overview of the four step process involved in the two participatory budgeting pilots at Elmsdale Park and Sandhills Park. Round 1 – Idea Generation (February 2018) Participants were asked to generate ideas for what to include in a park. City of Kitchener landscape architects analyzed the responses to convert feedback into an idea. For example, “park is dark and dangerous” may have been recorded as “add additional lighting.” This step was required to allow for comparison of ideas, and did require professional judgement on the part of the architects. Submissions that were outside of the scope (ex. run festivals in the park) or prohibitively expensive given the idea budget (ex. install a pool) were removed. Round 2 – Prioritize Ideas (April – May 2018) Elmsdale used a Range Ballot in which preference for an item was indicated by scoring each idea from 10 to 0, where 10 points was the most desired and 0 points was the least desired. All 24 ideas could be scored, but scoring all ideas was not required and unranked projects were treated as having a score of 0. Sandhills used a Ranked Ballot in which ideas that people wanted in the park were ranked by preference from 1 to n, where 1 was the most desired and n was the least desired. All 25 ideas could be ranked, but ranking all ideas was not required. The University of Waterloo team converted participant rankings into distinct design bundles using different vote-calculation algorithms. Round 3 - Final Vote (May 2018) Residents were provided with distinct design bundles to consider and vote for. The landscape architects were asked to again exercise professional judgement in creating one of the final design bundles to fit within both the $100,000 spending cap and site-specific constraints, alongside three design bundles at each site constructed using priorities set by participant votes. That being noted even with the participant-voted design bundles, feasibility would have to be screened by staff. For example, a park may have been able to have either a volleyball court or a soccer field, but not the space to have both. Round 4 – City funds winning design (Fall 2018) 4 - 18 The City of Kitchener was expected to start construction of the two park designs. 3.2 – Round 1: Idea Generation In Round 1, participants were asked to “share your ideas to improve to the park.” To structure the responses received, participants were provided with the following four questions, and asked to provide a written response (responses were received in bullet point form, and both partial and complete sentences) of up to 250 words for each: 1.What features would you like the City to remove from the park, and why? 2.What features would you like the City to add to the park, and why? 3.What existing features would you like the City to keep, and why? 4.What existing features would you like the City to change, and why? The collected responses were analyzed by two City of Kitchener Landscape architects who completed the following steps: Idea Identification: Convert each response into a distinct idea for improvement. For example, “make the park brighter so its safe at night” may have been recorded as “add lighting”. Screening for Feasibility: Ideas were screened out if they outside of the jurisdiction of the municipal government or were otherwise not legal, and if they were deemed not feasible because the cost would the available budget. Grouping of Similar Ideas: In order to allow for future rounds of voting, similar ideas were grouped together. The professional judgement of the Landscape architects was required to perform this analysis as well as the costing of each idea. Future versions of participatory could also include direct citizen participation or oversight over this element of the process. Figure 7 contains the ideas that were identified by participants and vetted by the Landscape architects. There are both similarities and differences between the lists. Residents in both parks proposed basketball courts, a micro dog park, ping pong tables, grills, seating, edible forests, chess tables, natural playgrounds, and a winter ice rink. Elmsdale residents were unique in proposing a baseball diamond, large traditional playground, and volleyball court. Sandhills residents were unique in proposing an amphitheatre, entrance improvements, outdoor exercise stations, and public art. Figure 7. Identified Improvements by Park Elmsdale ParkSandhills Park Baseball Diamond Amphitheatre Basketball CourtBasketball Court Benches & Picnic Tables BBQ/ Grill w Picnic Area Charcoal Grill & Picnic Area Benches Chess Table Big Downhill Slide Climbing Structure Bocce Ball Community Garden Cedar & Peter St. Entrance Improvements Edible Forest Chess Table 4 - 19 Large Traditional Playground w Swings Climbing Structure Lawn ImprovementsCommunity Event Space Little LibraryEdible Plantings / Food Forest Micro Dog Park Exercise Stations More Shade TreesMicro Dog Park Multi Court Mini Soccer Field Natural PlaygroundNative Perennial & Shrub Plantings Ping Pong Table Natural Playground Sand Play Area Permanent Garbage Cans Sand Volleyball Court Ping Pong Table Shade StructurePublic Art Small Traditional Playground w Swings Site Clean-up Soccer Field Small Traditional Playground Trail Around ParkSt. George St Entrance Improvements Winter Ice Rink Swing Set Trail Improvements Winter Ice Rink 3.2.1 – Additional Takeaways from Round 1 Lessons from the Round 1 experience are generally applicable to PB projects, and provide specific insights for future parks consultations. In the context of park refurbishment, items presented only included those which would be added or refurbished for the updated parks. They did not include the cost of removing items, nor did they include operational expenses. The design of the PB pilot process here was focused on how participants would select items to be allocated for the future, but how the costing of the removal of existing items was unclear. The PB pilot process here built on the park as a “blank slate” and in practice this is not always going to be the case. In a general sense, this phase in the process relied extensively on city staff to analyze information provided by participants and their own expertise to both (a) identify feasible ideas for inclusion in future rounds and (b) estimate the expense that would be associated with each item. Although time constraints did not permit a greater degree of public participation in this phase of the process for the PB pilot, designing this phase with greater public engagement in mind can increase accountability and trust in government and provide opportunities for greater education of government processes. As a consequence of having limited time during the pilot it was difficult for the public to understand what was in scope for this particular process. 4 - 20 3.3 – Round 2: Prioritize Ideas In Round 2, participants were asked to review the list of ideas that were generated in Round 1 and express which ideas they would prioritize. Each park used a slightly different approach (the reason for this difference will be explain later in this section): Elmsdale Park: Participants scored each idea between 0 and 10, where 10 was the highest and 0 was the lowest. In this approach voters could score as many or as few ideas as they wanted, and unscored ideas were treated as having a score of 0. stndrdth Sandhills Park: Participants ranked items in declining order of preference (ex. 1 , 2, 3, 4….). st In this approach, each item had a unique preference (i.e. two items couldn’t both be the 1 priority) and participants could rank as few or as many ideas as they liked. This being noted, when voters did indicate ties calculations were made to ensure these votes were counted rather than rendered invalid by splitting the tied votes into two “half-votes” of equal weight to rdrd represent the tie. This would turn a tied vote of (3 = Swing and 3 = Slide) to two half-votes of rdththrd (3 = Swing and 4 = Slide) and (4= Swing and 3 = Slide). The Landscape architects attached a cost estimate to each idea and these were listed on the Round 2 ballots. This approach allowed participants to consider trade-offs that are required due to the budget constraint. The inclusion of costs has the benefit of educating participants on the difficult decisions that staff and Council must make as well as helping participants to spend the budget efficiently and effectively. That being noted, participants were not asked to specifically limit their preferences to work within the $100,000 budget constraint for each park. The key design question from this pilot is this: how should participant preferences be used to generate design bundles that are right for their community? For this pilot, a made-in-Kitchener two-step process was developed to answer this question. For Round 2, four different ways were used to convert the votes of people into distinct design bundles. Round 3 asked participants to vote again to select which design bundle out of these for they preferred. These design bundles were different enough in each park that the participants had a real choice to make when deciding between them. The following approaches were used to calculate the design bundle: Design bundle 1 (support ranking): Sort the items in order from highest to lowest of the total support they received (scores, high rankings), with the idea at the top of the list having received the highest support and the idea at the bottom having received the lowest support. Starting from the top and working down, the idea with the most support is funded as long as there is money available for it from the budget. If the next idea on the list costs more than the budget available it is excluded then the next item on the list is considered. This continues until the budget is spent or there are no remaining items on the list. Design bundle 2 (support/cost ranking): Similar to Design bundle 1 the total support for each idea from participants is calculated. The support for each idea is then divided by the cost of the idea and ordered from highest support/cost to lowest. Starting from the top and working down, the idea with the most support/cost is funded as long as there is money available for it from the 4 - 21 budget. If the next idea on the list costs more than the budget available it is excluded then the next item on the list is considered. This continues until the budget is spent. Design bundle 3 (participant mini-budget): Each participant is given an equal share of the total budget. A participant’s share of the budget is allocated to each individual idea they support, weighted by their (0-10) score in Elmsdale and or provided to the highest-ranked item in Sandhills. If a idea has more money allocated to it than the project costs, it is funded. Leftover money from overfunded projects (for example – participants allocate $20,000 to a project that only costs $10,000) are returned to participants and reallocated to the remaining unfunded projects they support. This continues until the budget is spent. Design bundle 4: The Landscape Architects constructed a design bundle much as they would for a traditional park refurbishment. It is important to remember that although each design bundle was different, the prioritizations that the participants provided did not change, and that these prioritizations were the only inputs. In other words, the participants were always in charge. All that changed was the calculations used to interpret these prioritizations. In Round 3, participants were presented with different options that were created as a direct result of their voting in Round 2. Round 3 ensured that the testing of alternative voting systems did not diminish participant control or distort the outcome. Participants could still vote for the status quo design bundle designed by the Landscape Architects (Design bundle 4) or any of the three developed through their prioritizations (Design bundle 1, Design bundle 2 and Design bundle 3). 3.3.1 – Additional Takeaways from Round 2 The creation of design bundles using votes provided city staff with a clear sense of the priorities of participants. Vote tallies can be publicly posted, as they are following municipal elections, allowing participants and the broader community to validate decisions. Moreover, these preferences can play a role outside the immediate PB engagement. First, the votes can inform implementation. While city staff make their best estimates of the feasibility of different ideas and how much their implementation will cost, during implementation the reality will likely vary. If these variations are minor then the variations are unlikely to impact the final design bundles. However, if these variations are major – for example previously unknown site characteristics render an idea infeasible or final cost estimates are substantially higher than anticipated – the votes cast for a design bundle can be recalculated using revised cost estimates or after having eliminated infeasible items. Staff can use these recalculations to estimate what participants would have selected under these different constraints. While this approach will not fully capture how participants would have voted given these different options, repeating the full PB engagement process to amend the budget is not feasible, and instead the revised budget may be sufficient to guide implementation. 4 - 22 Second, votes cast for ideas that remain unfunded can still inform broader decision-making. Notably, if an idea is found to be popular amongst groups of participants engaged in different PB sites but does not find sufficient support in any one particular site, then it may make sense to identify ways that the idea or a similar one could still be implemented. For example, a large amenity could be shared by people in multiple neighbourhoods, such as a splash pad, that is too costly to receive sufficient support from neighbours in any one particular location. By monitoring support for ideas that are not implemented locally, staff can identify opportunities for supporting amenities that may serve a larger catchment area. 3.4 – Round 3: Final Vote Figure 8. Elmsdale Final Vote Form In the third and final round, participants were presented with four distinct design bundles of items, as seen in Figures 8 and 9. The underlying voting system that was used to create the design bundle was not communicated, and neither was the design bundle which was created by the Landscape architects. This was done for three main reasons: (1) to simplify the process by avoiding a complex discussion on voting systems that may create a barrier to participation, (2) to avoid influencing the outcome if a participant favoured one approach over another, and (3) because it was expected to have little or no impact on the choice in front of the participant. 4 - 23 The final design bundle was selected using a ranking of the four design bundles and an Alternative Vote calculating system. In this system, first preference votes were counted and if a majority of participants selected a design bundle it won. If a majority of participants did not support a single design bundle, the design bundle with the lowest number of first preference votes was dropped and the next Figure 9. Sandhills Final Vote Form highest design bundle for each of those voters was counted instead. This continued until a design bundle received at least half the vote. Figure 10 displays the winning design bundles. The winning design bundles both include a chess table and edible forest, but otherwise do not share any of the same features. This strongly suggests that the PB process was effective at reflecting the local priorities of participants. Figure10. Winning Designs Elmsdale Winning DesignSandhills Winning Design (Green Design bundle – Participant Mini-(Red Design bundle – Support Ranking) Budget) Chess table Chess table Edible forestCommunity events space Natural playground (logs, Ping pong table timbers, rocks) Sand play area Permanent garbage can Sand volleyball court Swing set Site clean-up (dead trees, Basketball court overgrowth, weeds, etc.) More shade trees Benches Little library Edible plantings / food forest 4 - 24 Native perennial and shrub Benches & picnic tables plantings Charcoal grill & picnic area Original Elmsdale Park Items: Original Sandhills Park Items: Triple-toss basketball hoop Small playground Picnic table Informal basketball courts Bench Soccer nets Scrub ball diamondOpen lawn with mature trees 3.4.1 – Key Lessons from Round 3 Since the two sites used different ballots, there is not sufficient data from this pilot to conclude that one particular system delivers better results than any other. As a result, it is premature to suggest that a single PB voting system should be used for all applications in Kitchener. While more experimentation is recommended, initial findings do suggest strong support for the use of voting in budget allocations as in both Elmsdale Park and Sandhills Park the design bundles developed using participant votes performed better in Round 3 voting than the design bundles designed by staff. There were features of the Range Ballot Participant Mini-Budget approach that ultimately won the final round vote in Elmsdale Park that are appealing. First, the scoring of each item from 0 – 10 is a relatively user-friendly design. Second, the calculation method provides an equal weight to each voter in decision- making more effectively than the Support Ranking or Support/Cost Ranking approaches. Third, the votes provide enough information that recalculations intended to account for operational realities, as discussed in 2.3.1, are both straightforward and expected to have a limited impact on the entire design bundle. Finally, the range ballot calculation methods used in the pilot all reduced the likelihood of highly unpopular ideas with strong niche support being included in the final design bundle. By contrast, from the Ranked Ballot methods used at Sandhills Park only the Support Ranking method achieved this result. The two-round voting process provides a strong basis for ongoing experimentation in PB design and it is highly recommended that it remain part of City of Kitchener PB processes for the near future. What a two-round process allows is for two or more parallel decision-making processes to occur simultaneously because the final round of voting lets participants choose between the different design bundles each process creates. This allows for continued experimentation in voting processes, but also experimentation with other methods such as having local residents negotiate to structure one or more design bundles, use a randomly-selected resident panel to create a design bundle, allow a neighbourhood association to design their own process, or test different staff-led engagement approaches. The results from this PB pilot are ambiguous as to the possibility of “engagement fatigue” dissuading public participation between voting rounds. That being noted, for participants this final round may provide an opportunity to have more focused conversations about the items that are most likely to be included in a budget. 4 - 25 In addition to allowing different processes to run in parallel, a two-round voting process also allows for an additional check on the process that a single-round would not. During Round 2: Prioritize Ideas participants were indicating support for individual ideas in isolation from each other. However, Round 3: Final Vote allowed participants to consider whole design bundles of ideas which allowed them to consider how these individual ideas within each design bundle will interact with each other once implemented. 3.5 – Participation The City of Kitchener regularly engages residents for park refurbishment projects. These engagements typically include an initial survey to gather preferences and needs, an open house where residents can ask questions, provide feedback directly to staff, and complete a short survey which asks participants for their input on features they would like to see in the updated park. City staff report that for neighbourhood parks—such as Elmsdale and Sandhills Parks—a participation rate of approximately of 20 – 25 individuals is expected for an open house (equivalent to Round 1: Idea Generation in this PB pilot) and 100 individuals are expected for a survey submission (equivalent to Round 2: Prioritize Ideas and Round 3: Final Vote in this PB pilot). That being noted, during a standard engagement process the initial survey outreach would occur before and during an open house whereas in this PB pilot the ordering was reversed. Figure 11 shows the change in participation over the three rounds for each park. The participatory budgeting pilot saw an increase in participation for the voting rounds (Round 2 and Round 3) relative to the idea generation round. As a percentage of the neighbourhood populations, for Sandhills Park the participation rates were 2.22% in Round 2 and 2.51% in Round 3, and for Elmsdale Park the rates were 1.61% in Round 2 and 1.26% in Round 3. The decline in turnout for Elmsdale Park between Round 2 and Round 3 is quite similar to the increase in Sandhills Park’s turnout between Round 2 and Round 3, which given that only two pilots were run makes it difficult to know if engagement fatigue was an issue. The participation rates for the PB pilot are comparable to the City of Hamilton’s participatory budgeting 5 project which achieved a participation rate of 2.67%, and substantially higher than the City of Toronto’s 6 pilot which achieved rates of 0.5-0.7% across the three participating neighbourhoods. Future iterations of participatory budgeting will be required to determine if the increased participation will continue or if it stems from the novelty of the process. However, it is important to note that the round with the lowest level or participation, Round 1: Idea Generation, is also the round in which engagement process was closest to a traditional engagement processes. 4 - 26 Figure 11. Number of Participantsby Park Number of Participants per Voting Round by Park 120 100 80 60 Axis Title 40 20 0 Round 1Round 2Round 3 Elmsdale 509675 Sandhills 4092104 1 Participants were asked in Rounds 1 and 3 to voluntarily disclose the gender with which they identify, or select ‘Other’. In Round 3 voting, 76% of Elmsdale participants and 59% of Sandhills participants self- identified as a woman (see Figure 12). Statistics Canada data for the neighbourhoods report near gender 2 balance, with women comprising 51% of Elmsdale and 49% of Sandhills populations.The City of Kitchener’s online engagement tool was used, and open house times were varied, to reduce barriers for participation based on work schedules. 1 An effort was made to minimize the time cost to participants by minimizing the number of questions asked. As a result, gender and other demographic statistics were not collected in Round 2. 2 The researchers selected Statistics Canada Census Tracts that most closely match the park catchment areas used by the City of Kitchener for pilot promotions, however, the boundaries do not directly align. The following 2016 Census Tract geographic codes were used: Elmsdale (5410002.02), Sandhills (5410011.00). 4 - 27 Figure 12. Participation by Identified Gender by Park 80% 70% 60% 50% 40% 30% 20% 10% 0% ElmsdaleSandhilsElmsdaleSandhilsElmsdaleSandhills Round 1Round 3Census Men 26%35%23%49%49%51% Women 70%60%76%51%51%49% Other 4%5%0000% Data from Statistics Canada, 2016 Census of Population, Statistics Canada Catalogue no. 98-400-X2016005. Participants were also asked in Round 1 and Round 3 to identify the highest level of education attained. For Elmsdale Park during Round 1, 49% of participants had completed a post-secondary education (certificate, diploma or degree) while during Round 3 the lower rate of 39% of participants had completed post-secondary educations. For Sandhills Park Round 1, 81% of participants had completed a post-secondary education while in Round 2 a similar 80% of participants had completed a post- secondary education. Figure 13. Participation by Highest Level of Education Attained by Park 45% 40% 35% 30% 25% 20% 15% Axis Title 10% 5% 0% Round 1Round 3Round 1Round 3 ElmsdaleSandhillsCensus (CMA) High School 41%33%8%15%29% Trade Certificate 5%3%8%3%6% College Diploma 21%20%28%16%24% Undergraduate Degree 13%13%15%26%15% Professional or Graduate Degree 10%3%30%35%7% Other 10%28%13%6%19% Census data from Statistics Canada, 2016 Census of Population, Statistics Canada Catalogue no. 98-316-X2016001 4 - 28 City of Kitchener staff determined that residents 12 years of age and older would be eligible to participate in the process. In Round 3 of Elmsdale voting, 22% of respondents were in the age range of 12 – 17, substantially higher than the 2016 Census population of 7%. In Sandhills, 3% of respondents were in the 12-17 age range, 1% lower than the 2016 Census population of 4%. Both parks had the highest turnout from individuals between the ages of 30 – 54. The second highest turnout in Sandhills was from individuals 55 years of age or older, and in Elmsdale from residents 18-29 (see Figure 14). Figure 14. Population by Age by Park 70% 60% 50% 40% 30% 20% 10% 0% Round 1Round 2Round 3CensusRound 1Round 2Round 3Census ElmsdaleSandhills 12 - 17 32%22%22%7%8%3%3%4% 18 -29 8%22%22%18%14%15%14%23% 30 - 54 44%41%41%32%54%63%61%38% 55+ 14%16%16%27%24%23%22%26% Census data from Statistics Canada, 2016 Census of Population, Statistics Canada Catalogue no. 98-400-X2016005. 5. Design Options for Future Iterations This participatory budgeting pilot process was an important step for the City of Kitchener to experiment with a new form of resident engagement. Despite the long history of participatory budgeting projects around the world, there remains many unanswered questions, and the methodical approach taken by the City of Kitchener in partnership with the University of Waterloo has offered new insights, including: Confirmation that the process generates results that are different from the traditional planning process Strong support among participants for design bundlesof amenities selected using a vote Participation rates increase when residents are empowered to make decisions through a transparent process Two rounds of voting allow for greater variation in design which can, in turn, support a variety of applications of participatory budgets This final piece about using two-round voting processes is particularly important if the City of Kitchener intends on expanding PB for use in other resident engagements. Much of the design for these pilots was driven by the nature of city park planning. However, other engagement processes will necessarily have different features. For example, the visual representation of physical items on the ballot might not work 4 - 29 the same way if PB was used for ideas proposed for a neighbourhood strategy engagement. If PB is brought to other types of engagements a period of trial-and-error is likely as staff and residents develop PB processes that make sense in each context, and the two-round voting process during which a first round of engagement is used to create design bundles and a second round of voting selects between design bundles is a transparent way to structure this development process. In addition to its application in direct resident participation in decision-making, PB processes can also be used in other contexts. The challenge of enabling collaboration between people to share financial resources is a common one in a municipal government. Other opportunities for using PB processes outside public engagement could include (but are not limited to): Priority-setting by elected city councillors Sharing of resources for expenses that affect multiple city departments Volunteer-led granting committees Resource-sharing between existing neighbourhood associations Staff engagement in innovative cross-department initiatives Further experimentation by the City of Kitchener can refine the process to increase engagement and reduce staffing costs, track new data and interview participants on their perceptions of the process, test the processes in new engagement areas and pilot new design features that engage participants in new ways, and scale the number of participants. Future iterations can also add additional dimensions, such as competing social or environmental priorities that must also be maximized along with the budget allocation. 4 - 30 Works Cited 1.Participatory Budgeting Project. (2016, August). Participatory Budgeting: Next Generation Democracy. Retrieved from http://community-wealth.org/content/participatory-budgeting- next-generation-democracy-0 2.Pinnington, E., Lerner, J., & Schugurensky, D. (2009). Participatory budgeting in North America: the case of Guelph, Canada. Journal of Public Budgeting, Accounting & Financial Management, 21(3), 454. 3.Cabannes, Y. (2004). 72 Frequently Asked Questions about Participatory Budgeting. UN- HABITAT. Retrieved from http://unhabitat.org/books/72-frequently-asked-questions-about- participatory-budgeting/ 4.SQW, Cambridge Economic Associates & Geoff Fordham Associates. (2011). Communities in the driving seat: a study of Participatory Budgeting in England. London: Department for Communities and Local Government, Government of the United Kingdom. Retrieved from https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/6152/199322 31.pdf 5.Kearney, N. (2015). Participatory Breakthroughs and Reversals: A case study of participatory budgeting in Hamilton, Canada (Masters thesis). 6.Toronto Community Housing. (2011). 2011 Annual Report: The Road to Excellence. Retrieved from https://www.torontohousing.ca/about/Documents/TCH_AR2011%20- %20updated%20Aug%2031Final.pdf 7.Environics Research. (2018). Compass K Community Engagement Research (p. 6). Retrieved from https://lf.kitchener.ca/WebLinkExt/PDF/sxvexpbkpzh0ge4ryjeidzo0/1/CAO-18-014%20- %20Community%20Priorities%20for%20the%20Next%20Term%20of%20Council.pdf 8.Ibid, 23 9.Ibid, 25 10.City of Kitchener. (2017). Special Council Minutes. Retrieved from City of Kitchener website: https://lf.kitchener.ca/WebLinkExt/PDF/sxvexpbkpzh0ge4ryjeidzo0/4/Council%20-%202017-02- 27%20S.pdf 11.SQW, Cambridge Economic Associates & Geoff Fordham Associates. (2011). Communities in the driving seat: a study of Participatory Budgeting in England. London: Department for Communities and Local Government, Government of the United Kingdom. Retrieved from https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/6152/199322 31.pdf 12.Shah, A. (2007). Participatory budgeting. Washington, D.C: World Bank. Retrieved from http://siteresources.worldbank.org/PSGLP/Resources/ParticipatoryBudgeting.pdf 13.Pinnington, E., Lerner, J., & Schugurensky, D. (2009). Participatory budgeting in North America: the case of Guelph, Canada. Journal of Public Budgeting, Accounting & Financial Management, 21(3), 454. 14.SQW, Cambridge Economic Associates & Geoff Fordham Associates. (2011). Communities in the driving seat: a study of Participatory Budgeting in England. London: Department for Communities and Local Government, Government of the United Kingdom. Retrieved from 4 - 31 https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/6152/199322 31.pdf 15.Ganuza, E., & Baiocchi, G. (2014). Beyond the Line: The Particiaptory Budgeting as an instrument. Retrieved from http://digital.csic.es/handle/10261/127562 16.Shah, A. (2007). Participatory budgeting. Washington, D.C: World Bank. Retrieved from http://siteresources.worldbank.org/PSGLP/Resources/ParticipatoryBudgeting.pdf 17.Ebdon, C., & Franklin, A. (2004). Searching for a Role for Citizens in the. Public Budgeting & Finance, 32-49. Retrieved from http://www.chs.ubc.ca/participatory/docs/Ebdon_Franklin(A).pdf 18.SQW, Cambridge Economic Associates & Geoff Fordham Associates. (2011). Communities in the driving seat: a study of Participatory Budgeting in England. London: Department for Communities and Local Government, Government of the United Kingdom. Retrieved from https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/6152/199322 31.pdf 19.Pinnington, E., Lerner, J., & Schugurensky, D. (2009). Participatory budgeting in North America: the case of Guelph, Canada. Journal of Public Budgeting, Accounting & Financial Management, 21(3), 454. 20.Ganuza, E., Nez, H. and Morales, E. (2014), The Struggle for a Voice: Tensions between Associations and Citizens in Participatory Budgeting. Int J Urban Reg Res, 38: 2274–2291. doi:10.1111/1468-2427.12059 21.SQW, Cambridge Economic Associates & Geoff Fordham Associates. (2011). Communities in the driving seat: a study of Participatory Budgeting in England. London: Department for Communities and Local Government, Government of the United Kingdom. Retrieved from https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/6152/199322 31.pdf 22.City of Kitchener. (2017). Special Council Minutes. Retrieved from City of Kitchener website: https://lf.kitchener.ca/WebLinkExt/PDF/sxvexpbkpzh0ge4ryjeidzo0/4/Council%20-%202017-02- 27%20S.pdf 23.Limani, M. (2014). Citizen Engagement in Budget Planning in Ontario Municipalities. MPA Research Report for The University of Western Ontario. {15} 24.Ebdon, C., & Franklin, A. (2004). Searching for a Role for Citizens in the. Public Budgeting & Finance, 32-49. Retrieved from http://www.chs.ubc.ca/participatory/docs/Ebdon_Franklin(A).pdf 25.Participatory Budgeting Project. (2016). Our Impact. Retrieved from https://www.participatorybudgeting.org/impacts/ 26.City of Toronto. (n.d.). What is Participatory Budgeting? Retrieved from 1. http://www1.toronto.ca/wps/portal/contentonly?vgnextoid=aa3476539b955510VgnVCM10000 071d60f89RCRD 27.Lerner, J., & Secondo, D. (2012). By the people, for the people: Participatory budgeting from the bottom up in North America. Journal of Public Deliberation, 8(2) 4 - 32