Some studies suggest the compilation of a so-called participation plan to set out a strategy for achieving the required participation of citizens and other socio-economic actors [
15]. However, a number of empirical and case studies that mapped specific set-ups of participatory local development planning confirm that participatory processes were not based on any guidelines. Thus, investigated municipalities, or local community initiatives, had to improvise, when organizing the participation [
35,
37,
42,
57]. Our original intention was, through a narrative theoretical overview, to summarize from existing studies the possibilities that the coordinator has to ensure participation in the strategic plan. However, during a study of the literature, we concluded that these participatory strategic planning practices and tools can be summarized in a structured plan for organizing participation that received almost no attention in the scientific literature, even though there are references to them [
15].
Additionally, the ethical challenges that are connected with management of participation in local development planning should be mentioned. It is necessary to pay attention to how coordinating bodies, partnerships, working groups, or community representation bodies are established, how the power and competences are delegated to engaged groups and individuals and how control mechanisms will be set and monitoring exerted [
58]. From perspective of ethics, it is important to adapt participation policies and organizational models to ensure public and participant awareness and access to information, no relevant actor could be excluded from the planning process in a discriminatory manner in order to maintain an inclusive approach to the organization of planning processes [
59], stakeholder selection on the basis of pre-established rules should be secured, the principle of anonymity and confidentiality in the processing of data that are obtained from local stakeholders should be adhered [
60], planners should meet the time frames set for given processes and activities to avoid mismatch between schedules and expectations [
61], and others.
We have divided the configurations of the participation plan into the areas: setting-up the goals of participation, organization of participation, selecting stakeholders, determining the depth of participation, methods and techniques of participation, defining resources for participation, and ensuring the promotion and dissemination of planning information.
3.3.1. Setting Up the Goals of Participation
Involving local stakeholders in the preparation of strategic plans can only create value if participation pursues realistic goals [
13]. By setting participation goals, local planners seek answers to the question of what participation should actually serve in the strategic planning process and what the results should deliver. To answer these questions, we can bounce back from the one-dimensional parallel of the “ladder” [
1] or the multi-level models of Maier [
2]. The higher local governments “climb” the ladder of participation, and the more significant shifts in participation goals from information to empowerment are observed.
The aim of participation in traditional administrative-led strategic planning is mainly to inform the population [
15], in the participatory strategic plan to obtain preferences and collect “potential projects” that meet the needs of local actors [
46] and in the co-design to empower communities to take responsibility for their own development [
35]. However, each strategic planning process is unique [
37] and it can be defined by a very different mix of many other goals that participation can pursue. These three basic kinds of strategic planning from perspective of participation can be significantly differentiated in different localities. Within traditional planning, local governments can “inform” the population in different stages of plan preparation, and participatory strategic planning can be significantly differentiated in terms of goals, openness of processes, the breadth of local actors involved along the horizontal axis, the tools and platforms used, and other processes [
15].
In addition to the basic goals of individual types of planning-to inform, include, and empower [
2], participation in local development planning can be mainly used for the purpose of: (1) educating local actors and the population-e.g., on local regulations, the development of individual socio-economic areas of local life, but also for acquiring technical skills, such as the use of ICT tools [
62], (2) increasing the level of compliance of local actors with the direction of local development [
63], (3) strengthening the community, building community awareness, and deepening mutual trust between actors [
64], (4) changes in the value structure of the population and the building of local multi-spectral engagement [
65], (5) identification of problems of individual target groups [
66], (6) collection of project intentions [
37], and (7) initiating the institutionalization of communities and neighborhoods [
66].
The participation goals must pursue a concrete benefit and be cost-effective as well as achievable [
41]. The specific goal of participation may lie down in tokenism—that is, the goal of formally ensuring participation because it is required by legislation, or to convince the local population that the plan reflects the real needs of the communities, without delivering any value added [
2]. Thus, participation is not a goal, but a journey. In many localities, it was not only a tool for optimizing development trajectories, but also a tool for building and strengthening communities, as regular communication, meetings, mutual exchange of information on needs, and attitudes significantly helped to build consensus around solutions for local challenges. The institutionalization of local neighborhoods was, in several cases, rather a result than precondition for co-designing of strategic plans.
3.3.2. Organizing the Participation
One of the key issues in the local development planning is how to organize participation. At this point, two main questions arise from the literature, namely: (1) how should strategic planning itself be designed in terms of participation requirements? (2) Who should coordinate participatory processes?
When evaluating possible alternatives to participation in local development planning (
Table 2), we select from the literature and only generalize those models that are no longer based on the principles of authoritarian or totalitarian society. Maier [
2] described planning, in which the local government resigned on the regulatory function of planning and invested in virtually any advantageous and feasible projects without collecting data or providing information to the public, as the so-called “supplier” planning.
From other approaches, we identified the so-called a “traditional administrative approach”, which is characterized by the application of a conventional model of strategic plan making and public involvement on the level of informing regarding the results of the planning process after plan approval [
67], or, at most, tokenistic involvement of the public and local actors [
2]. However, over the last two decades, local governments “from Western Europe to the East” have had to gradually implement participatory strategic planning procedures due to the legislative requirements for opening the planning process and identified needs to include local experts. However, this concept is not necessarily defined by the requirement for “broad participation” [
13]. A distinctive aspect of “participatory planning” is the involvement of the public, private, and civic sector actors in planning through public meetings, participation in working groups, organization of focus groups, and the like [
17].
The another “level” of this approach is the “co-design” of goals and projects within the action plans of strategies, utilizing various tools to support creativity, or finding a common path [
50]. Within this model, the local government collects opinions, attitudes, and project proposals from local actors that should actively contribute to formulation of drafts on community level [
38]. As part of the concept of co-designing the local development plan, citizens are asked to set aside the “NIMBY” approach (not in my court) and actively cooperate within the neighborhood and with the local government. In this case, the territory becomes a meeting place and a tool for restoring the relationship between the citizen, the neighborhood, and the local government. Conflicts of interest occur in neighborhoods where consensus is being built [
35]. Regardless of whether the process is participatory or co-deign at the community level, the degree of participation has been significantly differentiated in the case studies. However, despite the growing role of communities in strategic planning, local self-government remains the entity that is responsible for formal local development planning, not only in the conditions of Central European countries, but also in Western European countries.
The creation of a participation plan should start by appointing an entity that is responsible for facilitating the preparation of a participation plan or participation program. The choice of facilitator is usually the decision of the local development authority-local government, or municipal council, if the establishment of specific coordinating, or supporting board require legitimization by elected decision-making local authority [
66]. Participation can be coordinated by a local actor with political power [
17], a local actor with political power in cooperation with a support or advisory body (advisory boards and committees for the preparation of a strategic plan), or fully mediated. Indirectly, the mentioned coordination or support board can also fully manage the process [
42], with different scope of competencies. However, the partial delegation of participation management to representatives of institutionalized communities, neighborhoods, and civic forums may be a specific case [
35].
The supporting or coordinating bodies for the management of the strategic planning process can be composed not only of local government representatives, but also of the initial list of key local actors, chosen mainly on the basis of existing relationships, their importance for local development, or other determinants [
37]. However, any organizational model of participation must be based on national legislation and, thus, often requires the approval of community and neighborhood proposals by the local government representative body [
42].
Although the central government policies in most of the examined cases imposed an obligation to involve local actors in the planning process via law, central institutions did not provide guidance for the management of participatory strategic planning. Therefore, cases of community-led planning are rather an experiment in localities with highly institutionalized communities and neighborhoods, which have strong leaders and are ready to take on the tasks of sub-local planning as well as build internal models of decision-making. In such still largely idealized cases, it could already be said that only a minority remains silent in relation to the creation of a local development plan.
When preparing a participation plan, it is also necessary to address the issue of the size of these bodies, or the size of working, and other, specific advisory groups [
67].
Subsequently, planners should address the “breadth” and “depth” of participation and, thus, answer questions regarding what types of actors to involve and to what extent.
3.3.3. Determination of the Target Group
At this stage of the participatory plan configuration, its coordinator should compile a list of actors and summarize their interests and potential benefits in the planning process [
68]. The coordinator must appropriately estimate the potential contribution of the different groups of actors and include it in the strategy for their involvement. From the authors’ experience, it should be included as a suitable and common methodological tool for identifying key actors implies a stakeholder analysis or a network analysis [
40]. The nomination of groups of actors, or specific actors for strategic planning, is usually the role of the coordinator, coordination committee, or other initial working groups for the preparation of the local development plan [
15].
The types of target groups that are involved tend to be highly differentiated in local plans [
69]. However, the most commonly studies mention local government actors [
15], local entrepreneurs and business associations [
37], non-governmental organizations and informal groups of active citizens [
15], local experts [
2], neighbourhood representatives [
46], specific local partnerships [
37], universities and private research institutions [
2], environmental activists and their organizations [
70], marginalized groups [
46], and representatives of urban areas [
15], and, in the case of institutionalized neighbourhoods, community architects [
35], or highly-specific grassroots communities in the locality and their representatives [
71].
This decision should, in addition to knowing the needs of planning at each stage of the preparation of the strategic plan, also be based on knowledge of the specific composition of local actors, local economic, and socio-cultural conditions [
18]. In some studies, an alternative requirement for equal representation of participants according to the nationality key [
42], or the age structure of the population [
72], appeared. Maier [
2] recommends dividing potentially engageable actors into those who have to be directly involved (actors with power, experience, education, or access to information) and those whose roles in the process are to be limited to comments, or ex post evaluation.
The opposite of creating the initial list of involved actors is an open-source set-up of processes—i.e., open calls for participation without regulation of participants [
37]. However, this approach cannot be applied to all types of participatory activities [
13]—the local government can convene meetings only within the available organizational capacity, resources, available physical spaces, etc.
It is the development of modern technologies that created ground for successful application of open, especially “online” planning procedures. Virtual meetings, data collection in the form of online surveys, or local ICT planning platforms that are characteristic of co-design of plans, make it possible to improve the possibilities of opening participation [
17]. However, at this point, we come to the potential problem of “over-participation”, or to negative experiences with “excessive” public involvement, which is mainly the subject of deciding on the extent-depth of participation.
Participation should be selective. Open participation for random stakeholders or citizens in most cases resulted in the inability of planners to facilitate communication or effectively collect valuable project intentions. Sub-local plans and proposals from communities and neighborhoods were subsequently incorporated into local development plans that are based on the cooperation and negotiation between local government representatives and neighboring architects in order to maintain the sustainability and efficiency of the planning process.
3.3.4. Determination of the Extent of Involvement
Already during the earlier periods of the second half of the 20th century, see, e.g., [
1,
73], the authors emphasized the need for mass information or involvement of local actors in local development planning, as it is significantly more effective than bilateral meetings or interviewing individuals [
15]. However, to what extent should be local stakeholders involved into participation? For example, with the growing scope of civic engagement in local development planning, the authors demonstrated an increased ability of participants to process information, create new ideas or solutions, and reach consensus, which actually re-shape their attitudes towards local problems [
35].
Only a limited proportion of citizens sometimes participate in full participatory planning, which include various forms of meetings over a number of years. One-time participation is a much more common example of participation, where the participant participates in one-off workshops or focus groups [
13]. For this reason, it is necessary to decide in which phases of the planning process the individual groups of participants should be involved, and how intensively [
66]. Civic communities can greatly help to create smaller projects and changes in local development, but their involvement in the management of development priorities and large investment projects is already considerably more limited, given their experiences and knowledge capacity [
27].
Large groups of participants should be involved, especially in the creation of visions, setting higher goals of strategic plans, it means to planning large movements within a given community, while smaller groups may be involved due to their specialization, education, and experience in thematically narrower working and focus groups [
13]. At this point, the participation plan should, in particular, define the needs for the involvement of different volumes of participants in the various stages of planning and then specify the preconditions for their participation (in the case of citizens e.g., residence, employment, education, and other prerequisites, in the case of businesses e.g., seat, sectoral affiliation, adoption of corporate social responsibility practices, and others).
The participation plan must also define how will the communication and collection of information be processed using participation methods in order to avoid the situations described by Ghose [
46], where participation leads in the opposite way to increased tension in communities due to the involvement without real integration of stakeholder’s attitudes into the final plan. With the increasing level of participation, the pressure on coordinators to manage conflict of interest management grows [
15]. The consideration of involvement extent is crucial, especially in urban planning of larger settlements, as overestimating the need for participation can lead to a low level of consideration of community requirements in the final plan [
13]. The high level of participation brought about thousands of proposals from the population in selected studied localities and, after the approval of the draft plan, tens of thousands of comments, ultimately led to a reduction in the efficiency of the process [
37]. With increasing participation, there is necessarily not only an increase in social consensus, but also, on the contrary, an increase in tension between selected interest groups [
37], so the municipality must choose appropriate facilitators for each type of meeting who know the environment, stakeholders, and their attitudes and conflict management.
Additionally, the timing of participation should be part of the planner’s work on the participatory plan [
15]. Participation can be ensured from the very early stages of planning, when the basic directions of the plan are conceived, to the final stages of pre-implementation phase, associated with open meetings to the final draft [
15]. At the same time, Wondolleck and Yaffee [
74] believe that participation is key in the pre-planning phases of planning, when it is most effective in including the attitudes of socio-economic actors to deliver the intervention logic, allowing plans to be tied to the target groups problems and needs Some case studies, e.g., [
37], show that even well-established participatory planning processes can fail in lengthy preparations and administrative processes, or inappropriate setting of time for data collection and organization of meetings. Some studies, such as Kinzer [
75], confirm that, with the increasing time costs of planning, the enthusiasm of stakeholders for implementation decreases.
The level of involvement is also a question of the structure of competencies that the participating stakeholders have to acquire for the planning process. It is possible, e.g., to call on experts who can help to analyze the problem from a professional point of view and propose solutions to be adopted, but, on the other hand, there are stakeholders and citizens who may not have competences that are similar to those of experts and will bear the consequences of the decision [
76]. From the point of view of preparing a participatory plan, local actors have a certain “strength” or “decision-making power” on two levels—the first level results from their competencies in the planning process and the second level is their objective strength, professional capacity, position in local structures, or influence [
77]. Knowing the strength of the actor’s influence in the locality and their appropriate involvement is important for planning facilitators, especially due to the need to build consensus [
76]. The authors recognize different types of competences of participants. Their role can only be limited to “listen”, i.e., to be informed, “provide” information relevant to the creation of the plan, “consult”, which already expresses the competence of the stakeholder to comment on proposals, “participate” in the long term to be a partner in planning to formulate intentions, projects, and participate in the physical preparation of the plan, or even “approve” drafts or community requirements [
35,
78].
3.3.5. Participation Methods and Techniques
Participatory strategic planning and strategic plan co-design pursues the achievement of benefits from participation, whether on the field of obtaining the spatial data, new ideas, project intentions, or civic proposals [
38]. The summarized methods of communication, data collection, and visualization of planning pathways make it possible to achieve these benefits, make the participatory process more efficient [
15], and generate secondary effects in the form of networking, deepening understanding, learning, and others [
64].
Table 3 summarizes the possibilities of planners in organizing a forum for joint communication or work in planning. From traditional administrative planning to the co-design of strategic plans, we recognize a large number of communication tools that are used in case studies. The communication tools summarized in this way provide an overview of the development of participation over time, from purely non-participatory or low-participation tools, as decisions or public hearings [
15], to communication and information sharing on locally, specifically designed online communication platforms [
35,
39]. The use of online tools greatly helps to keep planning processes open by integrating a wider range of actors [
79].
When designing online communication, we must not forget to mention the decision on the degree of formality of discussions, meetings, and working groups. Although local government-coordinated meetings with local actors are usually formal, many authors emphasize the growing role of semi-formal or informal atmosphere and communication in planning [
22,
37,
80]. In addition to communication tools, in this subchapter we would like to summarize the identified simulation methods and DSS (decision-support systems), planning visualization methods, and data collection methods for planning, which can help planners to create an idea of how to use participation and transform it into meaningful results [
35].
To begin with, to avoid confusion, it should be noted that the following recommended methods differ in terms of their complexity and scope of use in the planning process. Some of the authors in the literature also cite methods, which, in terms of their complexity, can be understood as methods of organizing the very process of creating a strategic plan.
Popular examples include, e.g., backcasting [
81], a process that begins with the participatory definition of the optimal future and continues by moving back to baseline state of development, with participants gradually defining activities that connect the future and present [
38].
Popular examples include, e.g., backcasting [
81], a process that begins with the participatory definition of the optimal future and continues by moving back to baseline state of development, with participants gradually defining activities that connect the future and present [
31].
Other models try to predict future sequences of events. For example, scenario analysis [
82] is used to predict the future sequence of events, by creating alternative scenarios, based on which critical points in the decision-making process are to be identified. Some approaches analyze strategic planning in terms of how it can be improved by adapting agile project management, such as APA-agile project management [
83]. APM, which can also be considered a practice of co-creating plans and projects, consists of a set of methods and principles that were originally conceived for flexible and participatory software development, applied to the planning process [
84]. At the moment, we are only registering a few models of decision-making on how local actors participate in strategic planning, such as the Vroom-Yetton model applied in ecosystem management [
85].
Regarding less complex, specific visualization, and DSS methods, it is possible to distinguish between technologically undemanding and more demanding methods and techniques. Participatory mapping can help to visualize different perspectives of processes and relationships and provide critical points for discussion of different potential projects and development directions. It is a modern technique of cartography that is based on common drawings of the local environment, while recording relationships and activities in space is so simple that all members of the group can process the information [
17]. Several authors mention the utilization of design thinking that includes the processes of contextual analysis, identification and formulation of problems, creation of ideas and solutions, and the stimulation of creative thinking, visualized by various methods (e.g., collaborative composition of a map of problems through colored labels, etc.). The participants examine the problem and its context, and it may reinterpret or restructure the problem to achieve a specific framework [
86]. The use of logical matrices is also a relatively common method that is used mainly for project design, monitoring, and evaluation [
39]. For the purpose of comparing paths and attitudes, specific tools of psychology can also be used, such as repertoire grid analysis (RGA), which makes it possible to identify the ways in which a person constructs (interprets or makes sense) his experience [
87].
Among the more technologically intensive, we will mention especially geographic information systems, which are used in the conditions of many local governments to increase the degree of participation and effectiveness of decision-making on the use of space, or the visualization of activities and projects in space [
17]. However, their use encounters two basic problems—the knowledge filter problem, which excludes certain participants from using this method, and, at the same time, the method still does not allow for complete process openness, as the selection criteria and elements for GIS are still set by coordinator [
88].
It is possible to stimulate goal setting or resource allocation when co-designing a strategic plan through the tools of behavioral sciences, specifically using the behavioral games. Behavioral games allow to model the achievement of consensus regarding the optimization of selected goals, activities, or to optimize the distribution of resources. However, this method requires its correct design, especially with regard to 3 main principles [
89]: (1) it must allow “players” to form their own beliefs on the basis of an analysis of how others can decide, (2) to provide space for the best possible options for action or decision-making; and, (3) to create space for the optimization of these decisions, so that consensus can be reached.
In addition to methods that are presented above, it is possible to use software-based methods, which use classical methods of socio-metric research, such as opinion gauges [
17]. Interactive collection of data and attitudes of the population can also be addressed through specific online ICT platforms [
53], which integrate the use of open-source tools and integrated technological infrastructure, enabling a high level of interaction between actors in planning. These platforms usually integrate traditional methods of data collection and displaying and innovative interaction tools [
39]. The scope for the use of such systems in local planning is considerable, especially given the diversity of the systems they can combine—e.g., CMS (content management systems), geo-portals for collecting information from the territory, online surveys, social mapping tools, or citizen alerts [
39,
53,
90]. However, an implementation of modern communication technologies and tools raise the question of possible broadening of digital divide, as not every citizen can have access to internet, or the required skills for managing work in software required for planning.
The tools that have been described can be critical to the successful facilitation of participation. For example, decision-making supportive systems can significantly accelerate the process of building consensus in setting goals, selecting projects, or specific places to implement strategic plan activities. Communication tools can, if properly set up, be a prerequisite for a significant reduction in the transaction costs that result from participation. Therefore, planners should have an overview of the communication, decision-making, and visualization tools that are used to facilitate participation or to deliver locally-specific innovative practices in this regard.
3.3.6. Costs of Participation
Participation planning is also linked to cost planning. The main source of information on the costs of participation were case studies, the authors of which performed cost-benefit analyses to determine the effectiveness of participation, see, e.g., [
73,
91,
92,
93], and an extensive review of the costs and value generated by [
94].
Table 4 summarizes the types of costs that municipalities have associated with public participation in planning. Depending on its extent, participation generates direct financial and non-financial costs [
13,
94]. Most of these costs are borne by the local government as a planner [
13], but Angraeni et al. [
94] also draw attention to the cumulative cost of individual participants, which must bear, at minimum, the travel costs. The activity performed within the framework of participatory planning on a voluntary basis (free of charge) also represents the opportunity costs [
91]. The coordinator of the planning process must take a wide range of direct, financial costs into account, from personnel costs of own management, through the costs of ensuring participation management through the creation of coordination and advisory bodies, costs of creating special ICT tools, software purchase, costs of external facilitators, representation costs, travel expenses, technical costs associated with the provision of premises and technical equipment, costs of communication and the dissemination of information, and much more [
13,
93,
94,
95].
A number of authors [
13,
15,
37,
93,
94] emphasize significant indirect costs, especially in terms of opportunity costs that are associated with a significant extension of planning time process. Other frequently cited indirect and non-financial costs include the potential escalation of conflicts of interest between interest groups, changes in relations between local government and some stakeholders, and the potential loss of local government support or the loss of autonomy and representation. Therefore, participation should not be thought of as a process that generates value without investment [
66]. In addition to the costs on the part of local governments, individual participants must bear some direct or opportunity costs [
94], and their costs may also determine the achievable extent of participation [
93]. The performed cost-benefit analyses mostly showed a positive benefit-cost ratio, which means that the analyzed planning’s appeared to be effective and value delivering [
96].
In setting the objectives, scope, and methods of participation, these aspects of the preparation of a participatory plan should be linked to specified, available resources. Additionally, linking planned participatory activities with a sustainable time frame is essential to keep opportunity costs at a level that does not exceed the added value of participation.
3.3.7. Awareness and Promotion
We have already mentioned various planning tools that serve as communication channels, enabling information sharing and collaboration in participatory planning. However, there is still a particular question of how to initially inform local society about the intention to draw up a development plan and in what form to invite them to become participants in the preparation of the plan in various forms.
The first situation is informing the population regarding the course and results of planning, for which the already mentioned communication channels of the local government can be used, such as public meetings, public hearings [
15,
46], but also the meetings of the city council [
97], which can be used as a tool for communicating development plans with the public. However, if the planning process should be participatory, involving different actors in different stages requires informing them and motivating them to participate [
78]. Therefore, planning facilitators should decide in the pre-preparatory phase, after identifying the needs for involvement, how should they be invited, how to motivate actors to participate, and what communication tool they should use for promotion and information sharing [
98]. Overview of communication tools is provided in
Table 5.
If the local government wants to address specific stakeholders, within the model of “nomination of local experts” [
52], participation will be ensured through invitations to enter the planning process [
15] using available contacts, especially telephone and email addresses. Exceptional are the cases of small settlements that maintain contact lists for the population, or, as in the case of some innovative villages, even a system for sending municipal text messages [
99], which will enable sharing general information regarding important events.
The dissemination of general information regarding the planning process, as well as the effort to achieve a large participation in the open process, can also be ensured through its own blogs, podcasts, and webcasts [
100], or by using the websites of the municipality and its partners participation [
78].
The importance of using social networks for communication between local governments and the public is growing rapidly, while social networking tools can also be used to organize communication and work activities in participatory processes [
100]. Municipalities that experiment with the use of integrated information platforms for broad civic participation in planning can also be used to disseminate information on progress and the opportunities for citizen involvement in planning [
39,
50]. Many studies, similar to our review, evaluate the introduction and use of e-technologies to disseminate information and ensure participation, however there are just few studies describing specific e-communication tools that are designed to implement existing forms of collaboration [
100].