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• 12 Dec 2023
• Cold Call Podcast

Can Sustainability Drive Innovation at Ferrari?

When Ferrari, the Italian luxury sports car manufacturer, committed to achieving carbon neutrality and to electrifying a large part of its car fleet, investors and employees applauded the new strategy. But among the company’s suppliers, the reaction was mixed. Many were nervous about how this shift would affect their bottom lines. Professor Raffaella Sadun and Ferrari CEO Benedetto Vigna discuss how Ferrari collaborated with suppliers to work toward achieving the company’s goal. They also explore how sustainability can be a catalyst for innovation in the case, “Ferrari: Shifting to Carbon Neutrality.” This episode was recorded live December 4, 2023 in front of a remote studio audience in the Live Online Classroom at Harvard Business School.

• 12 Sep 2023

Can Remote Surgeries Digitally Transform Operating Rooms?

Launched in 2016, Proximie was a platform that enabled clinicians, proctors, and medical device company personnel to be virtually present in operating rooms, where they would use mixed reality and digital audio and visual tools to communicate with, mentor, assist, and observe those performing medical procedures. The goal was to improve patient outcomes. The company had grown quickly, and its technology had been used in tens of thousands of procedures in more than 50 countries and 500 hospitals. It had raised close to $50 million in equity financing and was now entering strategic partnerships to broaden its reach. Nadine Hachach-Haram, founder and CEO of Proximie, aspired for Proximie to become a platform that powered every operating room in the world, but she had to carefully consider the company’s partnership and data strategies in order to scale. What approach would position the company best for the next stage of growth? Harvard Business School associate professor Ariel Stern discusses creating value in health care through a digital transformation of operating rooms in her case, “Proximie: Using XR Technology to Create Borderless Operating Rooms.”

• 07 Jan 2019
• Research & Ideas

The Better Way to Forecast the Future

We can forecast hurricane paths with great certainty, yet many businesses can't predict a supply chain snafu just around the corner. Yael Grushka-Cockayne says crowdsourcing can help. Open for comment; 0 Comments.

• 30 Nov 2018
• What Do You Think?

What’s the Best Administrative Approach to Climate Change?

SUMMING UP: James Heskett's readers point to examples of complex environmental problems conquered through multinational cooperation. Can those serve as roadmaps for overcoming global warming? Open for comment; 0 Comments.

• 04 May 2017

Leading a Team to the Top of Mount Everest

In a podcast, Amy Edmondson describes how students learn about team communication and decision making by making a simulated climb up Mount Everest. Open for comment; 0 Comments.

• 15 Mar 2017
• Lessons from the Classroom

More Than 900 Examples of How Climate Change Affects Business

MBA students participating in Harvard Business School’s Climate Change Challenge offer ideas on how companies can negate impacts from a changing environment. Open for comment; 0 Comments.

• 07 Apr 2014

Negotiation and All That Jazz

In his new book The Art of Negotiation, Michael Wheeler throws away the script to examine how master negotiators really get what they want. Open for comment; 0 Comments.

• 04 Sep 2013

How Relevant is Long-Range Strategic Planning?

Summing Up: Jim Heskett's readers argue that long-range planning, while necessary for organizational success, must be adaptable to the competitive environment. What do YOU think? Open for comment; 0 Comments.

• 16 Jul 2012

Are You a Strategist?

Corporate strategy has become the bailiwick of consultants and business analysts, so much so that it is no longer a top-of-mind responsibility for many senior executives. Professor Cynthia A. Montgomery says it's time for CEOs to again become strategists. Closed for comment; 0 Comments.

• 21 Dec 2011

The Most Common Strategy Mistakes

In the book, Understanding Michael Porter: The Essential Guide to Competition and Strategy, Joan Magretta distills Porter's core concepts and frameworks into a concise guide for business practitioners. In this excerpt, Porter discusses common strategy mistakes. Closed for comment; 0 Comments.

• 09 May 2011

Moving From Bean Counter to Game Changer

New research by HBS professor Anette Mikes and colleagues looks into how accountants, finance professionals, internal auditors, and risk managers gain influence in their organizations to become strategic decision makers. Key concepts include: Many organizations have functional experts who have deep knowledge but lack influence. They can influence high-level strategic thinking in their organizations by going through a process that transforms them from "box-checkers" to "frame-makers." Frame-makers understand how important it is to attach the tools they create to C-level business goals, such as linking them to the quarterly business review. Frame-makers stay relevant by becoming personally involved in the analysis and interpretation of the tools they create. Open for comment; 0 Comments.

• 22 Nov 2010

Seven Strategy Questions: A Simple Approach for Better Execution

Successful business strategy lies not in having all the right answers, but rather in asking the right questions, says Harvard Business School professor Robert Simons. In an excerpt from his book Seven Strategy Questions, Simons explains how managers can make smarter choices. Closed for comment; 0 Comments.

• 02 Jun 2010

How Do You Weigh Strategy, Execution, and Culture in an Organization’s Success?

Summing up: Respondents who ventured to place weights on the determinants of success gave the nod to culture by a wide margin, says HBS professor Jim Heskett. (Online forum now closed. Next forum opens July 2.) Closed for comment; 0 Comments.

• 22 Mar 2010

One Strategy: Aligning Planning and Execution

Strategy as it is written up in the corporate playbook often becomes lost or muddled when the team takes the field to execute. In their new book, Professor Marco Iansiti and Microsoft's Steven Sinofsky discuss a "One Strategy" approach to aligning plan and action. Key concepts include: The book combines practical experience at Microsoft with conceptual frameworks on how to develop strategies that are aligned with execution in a rapidly changing competitive environment. "Strategic integrity" occurs when the strategy executes with the full, aligned backing of the organization for maximum impact. The chief impediment to strategy execution is inertia. The One Strategy approach is less about formal reviews and more about one-on-one conversation. Blogs can be a powerful asset in managing an organization. Closed for comment; 0 Comments.

• 11 Aug 2008

Strategy Execution and the Balanced Scorecard

Companies often manage strategy in fits and starts, with strategy execution lost along the way. A new book by Balanced Scorecard creators Robert S. Kaplan and David P. Norton aims to make strategy a continual process. Key concepts include: An excellent strategy often fades from memory as the organization tackles day-to-day operations issues. The operational plan and budget should be driven from the revenue targets in the strategic plan. The senior management team needs to have regular, probably monthly, meetings that focus only on strategy. The Office of Strategy Management is a small cadre of professionals that orchestrate strategy management processes for the executive team. Closed for comment; 0 Comments.

• 11 Apr 2007

Adding Time to Activity-Based Costing

Determining a company's true costs and profitability has always been difficult, although advancements such as activity-based costing (ABC) have helped. In a new book, Professor Robert Kaplan and Acorn Systems' Steven Anderson offer a simplified system based on time-driven ABC that leverages existing enterprise resource planning systems. Key concepts include: The activity-based costing system developed in the 1980s fell out of favor for a number of reasons, including the need for lengthy employee interviews and surveys to collect data. The arrival of enterprise resource planning systems allows crucial data to be pumped automatically into a TDABC system. Managers must answer two questions to build an effective TDABC system: How much does it cost to supply resource capacity for each business process in our organization? How much resource capacity (time) is required to perform work for each of our company's transactions, products, and customers? Profit improvements of up to 2 percent of sales generally come in less than a year. Closed for comment; 0 Comments.

• 24 Apr 2006

Managing Alignment as a Process

"Most organizations attempt to create synergy, but in a fragmented, uncoordinated way," say HBS professor Robert S. Kaplan and colleague David P. Norton. Their new book excerpted here, Alignment, tells how to see alignment as a management process. Closed for comment; 0 Comments.

• 02 Feb 2004

Mapping Your Corporate Strategy

From the originators of the Balanced Scorecard system, Strategy Maps is a new book that explores how companies can best their competition. A Q&A with Robert S. Kaplan. Closed for comment; 0 Comments.

• 12 Oct 1999

A Perfect Fit: Aligning Organization & Strategy

Is your company organizationally fit? HBS Professor Michael Beer believes business success is a function of the fit between key organizational variables such as strategy, values, culture, employees, systems, organizational design, and the behavior of the senior management team. Beer and colleague Russell A. Eisenstat have developed a process,termed Organizational Fitness Profiling, by which corporations can cultivate organizational capabilities that enhance their competitiveness. Closed for comment; 0 Comments.

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Strategic Plan Examples: Case Studies and Free Strategic Planning Template

By Anthony Taylor - May 29, 2023

As you prepare for your strategic planning process, it's important to explore relevant strategic plan examples for inspiration.

In today's competitive business landscape, a well-defined strategic plan holds immense significance. Whether you're a private company, municipal government, or nonprofit entity, strategic planning is essential for achieving goals and gaining a competitive edge. By understanding the strategic planning process, you can gain valuable insights to develop an effective growth roadmap for your organization.

In this blog, we will delve into real-life examples of strategic plans that have proven successful. These examples encompass a wide range of organizations, from Credit Unions that have implemented SME Strategy's Aligned Strategy process to the Largest Bank in Israel. By examining these cases, we can gain a deeper understanding of strategic planning and extract relevant insights that can be applied to your organization.

• Strategic Plan Example (Global Financial Services Firm)
• Strategic Plan Example (Joint Strategic Plan)
• Strategic Plan Example: (Government Agency)
• Strategic Plan Example (Multinational Corporation)
• Strategic Plan Example: (Public Company)
• Strategic Plan Example (Non Profit)
• Strategic Plan Example: (Small Nonprofit)
• Strategic Plan example: (Municipal Government)
• Strategic Plan Example: (Environmental Start-up)  

When analyzing strategic plan examples, it is crucial to recognize that a strategic plan goes beyond being a mere document. It should encapsulate your organization's mission and vision comprehensively while also being actionable. Your strategic plan needs to be tailored to your organization's specific circumstances, including factors such as size, industry, budget, and personnel. Simply replicating someone else's plan will not suffice.

Have you ever invested significant time and resources into creating a plan, only to witness its failure during execution? We believe that a successful strategic plan extends beyond being a static document. It necessitates meticulous follow-through, execution, documentation, and continuous learning. It serves as the foundation upon which your future plans are built.

It is important to note that a company's success is not solely determined by the plan itself, but rather by how effectively it is executed. Our intention is to highlight the diverse roles that a company's mission, vision, and values play across different organizations, whether they are large corporations or smaller nonprofits.

Strategic plans can vary in terms of their review cycles, which can range from annual evaluations to multi-year periods. There is no one-size-fits-all example of a strategic plan, as each organization possesses unique needs and circumstances that must be taken into account.

Strategic planning is an essential process for organizations of all sizes and types. It assists in setting a clear direction, defining goals, and effectively allocating resources. To gain an understanding of how strategic plans are crafted, we will explore a range of examples, including those from private companies, nonprofit organizations, and government entities.

Throughout this exploration, we will highlight various frameworks and systems employed by profit-driven and nonprofit organizations alike, providing valuable insights to help you determine the most suitable approach for your own organization.

Watch: Examples of Strategic Plans from Real-Life Organizations 

Strategic Plan Example  - The Bank Hapoalim Vision:  To be a leading global financial services firm, with its core in Israel, focused on its clients and working to enhance their financial freedom.

Bank Hapoalim, one of Israel's largest banks with 8,383 branches across 5 different countries as of 2022, has recently provided insights into its latest strategic plan. The plan highlights four distinct strategic priorities:

• Continued leadership in corporate banking and capital markets
• Adaptation of the retail banking operating model
• Resource optimization and greater productivity
• Differentiating and influential innovation

Check out their strategic plan here: Strategic Plan (2022-2026)

We talked to Tagil Green, the Chief Strategy Officer at Bank Hapoalim, where we delved into various aspects of their strategic planning process. We discussed the bank's strategic planning timeline, the collaborative work they engaged in with McKinsey, and the crucial steps taken to secure buy-in and ensure successful implementation of the strategy throughout the organization. In our conversation, Tagil Green emphasized the understanding that there is no universal template for strategic plans. While many companies typically allocate one, two, or three days for strategic planning meetings during an offsite, Bank Hapoalim recognized the significance of their size and complexity. As a result, their strategic plan took a comprehensive year-long effort to develop. How did a Large Global Organization like Bank Hapoalim decide on what strategic planning timeline to follow?

"How long do you want to plan? Some said, let's think a decade ahead. Some said it's irrelevant. Let's talk about two years ahead. And we kind of negotiated into the like, five years ahead for five years and said, Okay, that's good enough, because some of the complexity and the range depends on the field that you work for. So for banking in Israel, four or five years ahead, is good enough. "  Tagil Green, Chief Strategy Officer, Bank Hapoalim 

Another important aspect you need to consider when doing strategic planning is stakeholder engagement, We asked Tagil her thoughts and how they conducted stakeholder engagement with a large employee base.

Listen to the Full Conversation with Tagil:

Strategic Planning and Execution: Insights from the Chief Strategy Officer of Israel's Leading Bank

Strategic Plan Example: Region 16 and DEED (Joint Strategic Plan)

Mission Statement: We engage state, regional, tribal, school, and community partners to improve the quality and equity of education for each student by providing evidence-based services and supports.

In this strategic plan example, we'll explore how Region 16 and DEED, two government-operated Educational Centers with hundreds of employees, aligned their strategic plans using SME Strategy's approach . Despite facing the challenges brought on by the pandemic, these organizations sought to find common ground and ensure alignment on their mission, vision, and values, regardless of their circumstances.

Both teams adopted the Aligned Strategy method, which involved a three day onsite strategic planning session facilitated by a strategic planning facilitator . Together, they developed a comprehensive 29-page strategic plan outlining three distinct strategic priorities, each with its own objectives and strategic goals. Through critical conversations, they crafted a clear three year vision, defined their core customer group as part of their mission, refined their organizational values and behaviors, and prioritized their areas of focus.

After their offsite facilitation, they aligned around three key areas of focus:

• Effective Communication, both internally and externally.
• Streamlining Processes to enhance efficiency.
• Developing Effective Relationships and Partnerships for mutual success.

By accomplishing their goals within these strategic priorities, the teams from Region 16 and DEED aim to make progress towards their envisioned future.

To read the full review of the aligned strategy process click here

Download Now Starting your strategic planning process soon? Get our free Strategic Planning Template

Strategic Plan Example: (Government Agency) - The City of Duluth Workforce Development Board

What they do:

The Duluth Workforce Development Board identifies and aligns workforce development strategies to meet the needs of Duluth area employers and job seekers through comprehensive and coordinated systems.

An engaged and diverse workforce, where all individuals, regardless of background, have or are on a path to meaningful employment and a family sustaining wage, and all employers are able to fill jobs in demand.

The City of Duluth provides an insightful example of a strategic plan focused on regional coordination to address workforce needs in various industry sectors and occupations. With multiple stakeholders involved, engaging and aligning them becomes crucial. This comprehensive plan, spanning 82 pages, tackles strategic priorities and initiatives at both the state and local levels.

What sets this plan apart is its thorough outline of the implementation process. It covers everything from high-level strategies to specific meetings between different boards and organizations. Emphasizing communication, coordination, and connectivity, the plan ensures the complete execution of its objectives. It promotes regular monthly partner meetings, committee gatherings, and collaboration among diverse groups. The plan also emphasizes the importance of proper documentation and accountability throughout the entire process.

By providing a clear roadmap, the City of Duluth's strategic plan effectively addresses workforce needs while fostering effective stakeholder engagement . It serves as a valuable example of how a comprehensive plan can guide actions, facilitate communication, and ensure accountability for successful implementation.

Read this strategic plan example here: Strategic Plan (2021-2024)

Strategic Plan Example: McDonald's (Multinational Corporation)

McDonald's provides a great strategic plan example specifically designed for private companies. Their "Velocity Growth Plan" covers a span of three years from 2017 to 2020, offering a high-level strategic direction. While the plan doesn't delve into specific implementation details, it focuses on delivering an overview that appeals to investors and aligns the staff. The plan underscores McDonald's commitment to long-term growth and addressing important environmental and societal challenges. It also highlights the CEO's leadership in revitalizing the company and the active oversight provided by the Board of Directors.

The Board of Directors plays a crucial role in actively overseeing McDonald's strategy. They engage in discussions about the Velocity Growth Plan during board meetings, hold annual strategy sessions, and maintain continuous monitoring of the company's operations in response to the ever-changing business landscape.

The McDonald's strategic plan revolved around three core pillars:

• Retention: Strengthening and expanding areas of strength, such as breakfast and family occasions.
• Regain: Focusing on food quality, convenience, and value to win back lost customers.
• Convert: Emphasizing coffee and other snack offerings to attract casual customers.

These pillars guide McDonald's through three initiatives, driving growth and maximizing benefits for customers in the shortest time possible.

Read the strategic plan example of Mcdonlald's Velocity growth plan (2017-2020)

Strategic Plan Example: Nike (Public Company)

Nike's mission statement is “ to bring inspiration and innovation to every athlete in the world .”  

Nike, as a publicly traded company, has developed a robust global growth strategy outlined in its strategic plan. Spanning a five-year period from 2021 to 2025, this plan encompasses 29 strategic targets that reflect Nike's strong commitment to People, Planet, and Pay. Each priority is meticulously defined, accompanied by tangible actions and measurable metrics. This meticulous approach ensures transparency and alignment across the organization.

The strategic plan of Nike establishes clear objectives, including the promotion of pay equity, a focus on education and professional development, and the fostering of business diversity and inclusion. By prioritizing these areas, Nike aims to provide guidance and support to its diverse workforce, fostering an environment that values and empowers its employees.

Read Nike's strategic plan here

Related Content: Strategic Planning Process (What is it?)

The Cost of Developing a Strategic Plan (3 Tiers)

Strategic Plan Example (Non Profit) - Alternatives Federal Credit Union

Mission: To help build and protect wealth for people with diverse identities who have been historically marginalized by the financial industry, especially those with low wealth or identifying as Black, Indigenous, or people of color.

AFCU partnered with SME Strategy in 2021 to develop a three year strategic plan. As a non-profit organization, AFCU recognized the importance of strategic planning to align its team and operational components. The focus was on key elements such as Vision, Mission, Values, Priorities, Goals, and Actions, as well as effective communication, clear responsibilities, and progress tracking.

In line with the Aligned Strategy approach, AFCU developed three strategic priorities to unite its team and drive progress towards their vision for 2024. Alongside strategic planning, AFCU has implemented a comprehensive strategy implementation plan to ensure the effective execution of their strategies.

Here's an overview of AFCU's 2024 Team Vision and strategic priorities: Aligned Team Vision 2024:

To fulfill our mission, enhance efficiency, and establish sustainable community development approaches, our efforts will revolve around the following priorities: Strategic Priorities:

Improving internal communication: Enhancing communication channels and practices within AFCU to foster collaboration and information sharing among team members.

Improving organizational performance: Implementing strategies to enhance AFCU's overall performance, including processes, systems, and resource utilization.

Creating standard operating procedures: Developing standardized procedures and protocols to streamline operations, increase efficiency, and ensure consistency across AFCU's activities.

By focusing on these strategic priorities, AFCU aims to strengthen its capacity to effectively achieve its mission and bring about lasting change in its community. Watch the AFCU case study below:

Watch the Full Strategic Plan Example Case Study with the VP and Chief Strategy Officer of AFCU

Strategic Plan Example: (Small Nonprofit) - The Hunger Project 

Mission: To end hunger and poverty by pioneering sustainable, grassroots, women-centered strategies and advocating for their widespread adoption in countries throughout the world.

The Hunger Project, a small nonprofit organization based in the Netherlands, offers a prime example of a concise and effective three-year strategic plan. This plan encompasses the organization's vision, mission, theory of change, and strategic priorities. Emphasizing simplicity and clarity, The Hunger Project's plan outlines crucial actions and measurements required to achieve its goals. Spanning 16 pages, this comprehensive document enables stakeholders to grasp the organization's direction and intended impact. It centers around three overarching strategic goals, each accompanied by its own set of objectives and indicators: deepening impact, mainstreaming impact, and scaling up operations.

Read their strategic plan here  

Strategic Plan example: (Municipal Government)- New York City Economic Development Plan 

The New York City Economic Development Plan is a comprehensive 5-year strategic plan tailored for a municipal government. Spanning 68 pages, this plan underwent an extensive planning process with input from multiple stakeholders. 

This plan focuses on the unique challenges and opportunities present in the region. Through a SWOT analysis, this plan highlights the organization's problems, the city's strengths, and the opportunities and threats it has identified. These include New York's diverse population, significant wealth disparities, and high demand for public infrastructure and services.

The strategic plan was designed to provide a holistic overview that encompasses the interests of a diverse and large group of business, labor, and community leaders. It aimed to identify the shared values that united its five boroughs and define how local objectives align with the interests of greater New York State. The result was a unified vision for the future of New York City, accompanied by a clear set of actions required to achieve shared goals.

Because of its diverse stakeholder list including; council members, local government officials, and elected representatives, with significant input from the public, their strategic plan took 4 months to develop. 

Read it's 5 year strategic plan example here

Strategic Plan Example: Silicon Valley Clean Energy

Silicon Valley Clean Energy provides a strategic plan that prioritizes visual appeal and simplicity. Despite being in its second year of operation, this strategic plan example effectively conveys the organization's mission and values to its Board of Directors. The company also conducts thorough analyses of the electric utility industry and anticipates major challenges in the coming years. Additionally, it highlights various social initiatives aimed at promoting community, environmental, and economic benefits that align with customer expectations.

"This plan recognizes the goals we intend to accomplish and highlights strategies and tactics we will employ to achieve these goals. The purpose of this plan is to ensure transparency in our operations and to provide a clear direction to staff about which strategies and tactics we will employ to achieve our goals. It is a living document that can guide our work with clarity and yet has the flexibility to respond to changing environments as we embark on this journey." Girish Balachandran CEO, Silicon Valley Clean Energy

This strategic plan example offers flexibility in terms of timeline. It lays out strategic initiatives for both a three-year and five-year period, extending all the way to 2030. The plan places emphasis on specific steps and targets to be accomplished between 2021 and 2025, followed by goals for the subsequent period of 2025 to 2030. While this plan doesn't go into exhaustive detail about implementation steps, meeting schedules, or monitoring mechanisms, it effectively communicates the organization's priorities and desired long term outcomes. Read its strategic plan example here

By studying these strategic plan examples, you can create a strategic plan that aligns with your organization's goals, communicates effectively, and guides decision-making and resource allocation. Strategic planning approaches differ among various types of organizations.

Private Companies: Private companies like McDonald's and Nike approach strategic planning differently from public companies due to competitive market dynamics. McDonald's provides a high-level overview of its strategic plan in its investor overview.

Nonprofit Organizations: Nonprofit organizations, like The Hunger Project, develop strategic plans tailored to their unique missions and stakeholders. The Hunger Project's plan presents a simple yet effective structure with a clear vision, mission, theory of change, strategic priorities, and action items with measurable outcomes.

Government Entities: Government entities, such as the New York City Development Board, often produce longer, comprehensive strategic plans to guide regional or state development. These plans include implementation plans, stakeholder engagement, performance measures, and priority projects.

When creating a strategic plan for your organization, consider the following key points:

Strategic Priorities: Define clear strategic priorities that are easy to communicate and understand.

Stakeholder Engagement: Ensure your plan addresses the needs and interests of your stakeholders.

Measurements: Include relevant measurements and KPIs, primarily for internal use, to track, monitor and report your progress effectively.

Conciseness vs. Thoroughness: Adapt the level of detail in your plan based on the size of your organization and the number of stakeholders involved.

By learning from these examples, you can see that developing a strategic plan should be a process that fits your organization, effectively communicates your goals, and provides guidance for decision-making and resource allocation. Remember that strategic planning is an ongoing process that requires regular review and adjustment to stay relevant and effective.

Need assistance in maximizing the impact of your strategic planning? Learn how our facilitators can lead you through a proven process, ensuring effectiveness, maintaining focus, and fostering team alignment.

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• Published: 03 December 2019

Co-designed strategic planning and agile project management in academia: case study of an action research group

• Enric Senabre Hidalgo 1 &
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Palgrave Communications volume  5 , Article number:  151 ( 2019 ) Cite this article

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Strategic planning, a standard activity for project management in different areas and types of organisations, can contribute to improving the dynamics of collaboration in academia, and specifically in research processes. This paper joins the still scarce studies on strategic planning within research groups, contributing to the field of both team science and organisational management from a social sciences perspective and “strategy-as-practice” paradigm. Through the case study of an action research group, after the experimental co-creation of its long-term strategy involving different participatory design methodologies, we quantitatively analyze how this process influenced communication and group relations, both internally and in relation to its participation in the ecosystem with other stakeholders. Thus, as a result of a detailed content analysis in the different communication channels and tools of the group, we address its impact on the team’s agile project management (APM), adopted in a novel way by its members. Data compared between periods, once the strategic plan was co-created, suggest that this type of approach to co-created strategic thinking can improve coordination, cohesion and joint vision among participants. In agreement with emerging academic literature in this field, pertaining to the need to understand strategic planning as a process of socialization and dialogue, other relevant results of the study point to the particular suitability of this type of planning in research environments interested not only in its academic, but also social and ecosystemic impact. The results obtained and discussed also provide elements of assessment when considering the applicability of this type of strategic co-creation process in other areas of knowledge and disciplines.

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Introduction.

Despite the current competition among academic institutions for resources and prestige in the adoption of evaluation systems, ranking mechanisms and performance indicators (Ordorika and Lloyd, 2015 ), regarding current challenges in the organisational dynamics of academic systems there’s little evidence of successful strategies and practices for research project management (Derrick and Nickson, 2014 ). This is especially the case when it comes to the additional need to adapt the production of scientific knowledge to collaborative and interdisciplinary teamwork (Wuchty et al., 2007 ), connecting networked academic organisations and researchers (Wang and Hicks, 2015 ), in a new context that Jasanoff ( 2003 ) defined as the “participatory turn of science”. From the fields of social studies of science and science of team science, authors like Jeffrey ( 2003 ) or Bozeman and Boardman ( 2014 ), describe how collaboration across teams and disciplines also requires progressive adaptation of a shared language and different types of tools. For these reasons, strategic planning seems to be one of the elements that could possibly contribute to better management practices in academia (Wilbon, 2012 ), which is usually a complex and ever-changing process (Eccles et al., 2009 ). On the other hand, when considering alternative modes of knowledge production in academia, as well as the paradigmatic transition of universities in the global context (Santos, 2012 ), strategic thinking usually emerges in research groups oriented to achieve impact beyond the academic domain, like in the cases of action research (Fuster Morell, 2009 ) or mission-driven research (Holm et al., 2013 ). This article provides an analysis of how far co-creation could have a role in the application of strategic planning in academic contexts, in this case through an action research group, and its impact at the levels of management and interrelationships.

Strategic planning in the field of project management

With its foundations in the principles of action research and organisational development (Argyris and Schön, 1997 ), project management is generally considered as the practice of planning and executing the work of a team, based on specific control models and theories, to achieve specific goals and success criteria (Kerzner and Kerzner, 2017 ). From a social science perspective, however, project management has also been studied and applied in understanding projects as social processes, focusing on human behavior and actions within groups and organisations (Blomquist et al., 2010 ). Strategic planning, on the other hand, as applied in project management, can be defined as “deliberative, disciplined effort to produce fundamental decisions and actions that shape and guide what an organisation (or other entity) is, what it does, and why” (Bryson, 2011 , pp. 4–5). Strategic planning, in this sense, is one of the most widely used strategy tools in business, but is also used in public and non-profit organisations (Ferlie and Ongaro, 2015 ).

Besides the fact that empirical evidence of a positive relationship between strategic planning and organisational performance remains inconclusive (Wolf and Floyd, 2017 ), after Mintzberg’s ( 1994 ) critique of the fallacies of rational and centralized strategic planning as a top-down process, from the field of organisational studies it has also been analysed as a key mechanism for team integration and coordination, and as a basis for both centralizing and decentralizing organisational decision making (Spee and Jarzabkowski, 2011 ). In this regard, influenced by the mentioned social science perspectives, in recent years there has been a shift in the field of project management research on strategic planning (Wolf and Floyd, 2017 ), pointing to its benefits from the perspective of participative and socialized process models (Andersen, 2004 ). From this second perspective, strategic planning can be studied more as a “process” than a “product”, and strategy development, therefore, as an evolutionary and integrative activity (Jarzabkowski and Spee, 2009 ), within a strategy-as-practice paradigm (Whittington, 1996 ). However, even considering how strategic planning has evolved towards these more integrated and process-oriented approaches, there has been little focus in management literature on addressing to what extent and, specifically, how it could be co-created using participatory methodologies.

State of the art on strategic planning applied to research

Again, with regard to the current challenges of academic systems and research activity from an organisational perspective, although there is scarce academic literature about strategic planning for research organisations, studies in this area show how it has gained some popularity in the general operation of universities (Srinivasa et al., 2015 ; Dooris et al., 2004 ), and also with open and participative approaches (Amrollahi and Rowlands, 2017 ). More specific studies about the application of strategic thinking in research examine its implementation in R&D processes in firms (Bemelmans, 1979 ), in industry-academic collaboration (Burke et al., 1985 ), in research teams in the health sector (Leischow et al., 2008 ), in global initiatives of medical research (Berkley et al., 2010 ), in strategic collaboration within scientific centers (Boardman and Gray, 2010 ), or for the administrative management of research (Drummond, 2003 ).

In this respect, focusing on scholarly activity and academic organisations, relevant case studies on achieving collaborative and participative consensus for strategically planned research agendas address how to combine online tools and offline sessions during the process (Wilbon, 2012 ), or how to engage iteratively different academic communities of practice around research strategic planning (Best et al., 2015 ). Sá and Tamtik ( 2012 ), on the other hand, highlight the diversity of the approaches and perceptions of academics about the research mission, usually constrained by broader social and organisational structures of universities, and by the complex nature of the research enterprise itself. In all cases, however, there is still scarce literature on how to collaboratively develop strategic plans in academic research organisations, and its effect on group dynamics.

The co-creation approach: participatory design and agile project management

Co-creation (or co-production), which refers to processes of collective creativity, is a very broad term, with its applications ranging from the added value of customer participation in the definition of a product or service (Ranjan and Read, 2016 ), to public participation, collaborative governance or community involvement in civic-oriented projects (Voorberg et al., 2015 ). Within this broad concept, participatory design (or co-design) refers to a specific instance of co-creation that occurs when designers and people not trained in design work together in a design development process, with participants as “domain experts” of their own needs and experience (Visser et al., 2005 ). Some key principles of co-design, in this sense, connect with the perspective of iterative and participative strategic planning, as defined above, especially when it comes to the involvement of diverse stakeholders (Flood and Jackson, 1991 ). This points to the opportunity for adopting visualization techniques derived from co-design (Sanders and Stappers, 2008 ) in order to integrate different perspectives, mutual understanding, inspiration and engagement between participants in the research strategic thinking process (Eppler and Platts, 2009 ), thereby enhancing visual and textual representations of contexts and strategies (Giraudeau, 2008 ).

On the other hand, some approaches analyse strategic planning from the perspective of how it can be improved by adapting agile project management (APM) (Cervone, 2014 ; Rand and Eckfeldt, 2004 ). APM, which can also be considered as a co-creation practice (Spinuzzi, 2015 ), consists of a set of methods and principles originally conceived for flexible and participative software development, but currently adopted in many other different domains (Ciric et al., 2018 ). This wider adoption of APM is due to its attributes of adaptive teamwork, transparency, continuous improvement and small and frequent releases for early delivery (Cao et al., 2009 ). APM, more so than other project management frameworks, emphasizes teamwork by focusing on the social aspects of project development, channelling co-creation between participants in self-organized, cross-functional teams (Hoda et al., 2013 ), with collective ownership and collective responsibility as key attributes (Robinson and Sharp, 2003 ). Among the different practices within APM, some typical ones are the regularity of short feedback meetings (“standups”) and the use of kanban boards for visualizing the workflow and team tasks from conception to completion (Polk, 2011 ).

Research questions

The arguments exposed above justify the interest in an analysis connecting such diverse bodies of literature, in order to fill the gap and contribute to the questions about how strategic planning could be based on co-creation methodologies. And also, from a meta-research perspective (Ioannidis et al., 2015 ), how such an approach could be applied to research processes. More concretely, to what extent participatory design could be used for articulating the research planning phase, and afterwards integrated with the APM for the research development phase. This leads to the following two research questions, which form the basis of this study:

How can co-creation methods be used to lead the strategic planning process of a research group?

What would be the impact of co-created strategic planning on the agile project management of research?

Answering these two questions requires, in the first case, to describe in some detail how participatory design can be combined with strategic planning principles, explaining the integration of both approaches. In relation to the second question, a quantitative approach is needed considering the general lack of empirical evidence, especially in the fields of social studies of science and team science, on how strategic planning can impact research management. In this regard, our analysis of the co-creation approach to research strategic planning is applied to the participants, sequence and methods used in the entire process.

Methodology

In order to address the two research questions, a distinctive methodological design has been applied to each one of them. Articulated around a specific case study on the Dimmons research group, this methodological approach is twofold. The first part is based on participatory design, utilised to conceptualize and prototype the Dimmons strategic planning according to co-creation principles. The second part analyses the impact of co-created strategic planning on the group’s day-to-day APM, through content analysis of the online tools used for coordinating teamwork. On this basis, the results allow us to discuss which insights of the study could be generalized to current challenges in research project management.

Background of the Dimmons case study

Created in 2016, Dimmons ( http://dimmons.net/ ) is one of the eleven research groups of the Internet Interdisciplinary Institute (IN3), the research center of the Universitat Oberta de Catalunya (UOC) based in Barcelona. Following the development of strategic planning of the IN3 Footnote 1 , which took place after the main strategic planning exercise of the UOC Footnote 2 in 2016, the Dimmons group developed its own strategic planning with the aim of establishing its strategic objectives for the period 2018 to 2023. On the one hand, the selection of the Dimmons research group as a case study is due to how it is immersed in a strategic planning context that crosses several levels of the academic institution to which it belongs, reflecting an increasingly recurring but still little studied trend. On the other hand, Dimmons also represents a paradigmatic example due to its diversity, since it is composed of members with a consolidated scientific career, but also of PhD students, external collaborators and management-oriented profiles. Since the beginning of its activity, in that sense, Dimmons operates in a framework of competitive evolution between universities and research centers, and at the same time in new collaboration dynamics to achieve not only academic impact but also social impact, as we will see. In that sense, therefore, the case study reflects a way of addressing a series of current challenges and complexities that research groups experience between long-term strategic vision and day-to-day project management.

The Dimmons research group is focused on transdisciplinarity and action research for the study of socioeconomic innovation and the collaborative economy, from the perspectives of economic and public policy analysis. The group’s composition since its beginning has evolved into a networked structure (Spinuzzi, 2015 ) which consists of different “layers” of participation (all of them involved with its strategic planning, as we will see in the results section). The action-oriented character of the research group, and its specialization in collaboration dynamics, makes it a case study particularly adapted to develop a novel approach, concretely in terms of opening up its strategic planning process by applying co-creation methods. This was seen early on as an opportunity to engage with its core team members and network of close collaborators, as well as with other representative stakeholders from the Dimmons community and ecosystem. In sum, the coincidence that the research group had to develop its own strategic planning, has an experimental and action-oriented approach, which added to its expertise on collaborative dynamics, made the Dimmons group a good case for the study. Regarding the first research question on how co-creation methods could be adapted for strategic planning, Dimmons was a good choice due to the group’s regular adoption of participatory design techniques. On the other hand, Dimmons’ novel adoption of APM (Senabre Hidalgo, 2018a ) also favours addressing the second question, regarding the impact of the co-created strategic planning on the group’s day-to-day management.

As a general result of the co-creation of the strategic plan, in which more than 40 people participated, there were a total of 38 actions defined in accordance with 6 strategic goals for the period 2018–2023, each one with an average of three key performance indicators (KPI) associated (97 in total). Its final version was published online on the Dimmons research group webpage. Footnote 3 After one year of implementation, by the end of 2018, 24 of the 97 KPIs were accomplished satisfactorily. This result represents an accomplishment of 24%, and considering that a 5-year period is envisaged for full implementation of the plan, suggests satisfactory performance in terms of achieving the co-defined goals during the first year.

Participatory design for how to apply co-creation in strategic planning

Regarding the first research question (“How can co-creation methods to be used in leading strategic planning process of a research group?”) the methodological approach was qualitative, based on participatory design. Departing from the key consideration that participatory design is indeed a methodology of action research (Spinuzzi, 2005 ), and benefiting from co-creation derived from design thinking methodologies (Kimbell, 2012 ), which have proven to improve participant engagement in research (Senabre Hidalgo et al., 2018 ), we established different visual and discussion techniques at each stage of the process for the effective participation in a transdisciplinary context. The participatory design was developed and data collected from the fall of 2016 through 2018. The methodology applied is consistent with the participatory design notions of user-centered co-creation, in detailed stages and techniques such as those described by Naranjo-Bock (2012) for (1) self-reflection of research methods (focusing on research goals and questions, who the participants are and what tools they can use, the stage of the project, etc.); (2) running co-design activities onsite, with techniques and “placements” like context mapping, storyboards, inspiration cards, diagrams or paper prototyping; (3) pilot testing and results, where the data obtained is generally visual and tangible, accompanied by the important debrief of the results of each participatory design session or process.

Following that approach, and adopting the framework of Spinuzzi ( 2005 ), through different qualitative techniques the co-creation process was structured around the three key phases of: (1) Initial exploration of work, where participants meet each other and commonalities are identified, as well as for preliminary discussions; (2) Discovery processes, when design facilitators employ various techniques to understand and prioritize work organisation, clarifying the participant’s goals and values; and (3) Prototyping, a final stage for iteratively shaping outputs and assessing results. The data came from a range of sources, including offline co-creation sessions and team meetings, meetings and interviews with some researchers and collaborators, as well as documentation resulting from the different phases and sessions of the strategic planning. Outputs of each participatory design stage were recorded in detail as they took place, through documents shared online.

Content analysis for the impact of a co-created strategic planning on APM of research

Regarding the second question (“What would be the impact of co-created strategic planning on the agile project management of research?”), the approach was based on quantitative data collection and text analysis, in order to address how far the co-creation methodologies had an impact on the group’s project management, focusing on the researchers’ discussions and behavior through digital channels. The analysis was based on extensive content analysis of two of the main online coordination tools for the AMP of the group: a chat group for daily communication and an online kanban board platform for task management.

Telegram chat content analysis

The “Dimmons al dia” Telegram chat group was adopted from February 2016 until the end of 2018 as a first approach to daily standup meetings, inspired by the Scrum method derived from APM for software development (Cervone, 2011 ). Scrum, which is one of the most adopted agile frameworks for managing knowledge work, facilitates the coordinated activity of participants who break their work into small tasks that can be completed within fixed duration cycles or “sprints”, tracking progress and re-planning in regular meetings in order to develop projects incrementally (Senabre Hidalgo, 2019 ). Via Telegram, on a daily basis from Monday to Friday each Dimmons team member (a total of 15 users, through different periods over time), via a short message during the morning period, informed others about the planned tasks for the day (Fig. 1 ), among other coordination discussions that took place regularly on that chat tool between team members.

Screenshot of the Telegram chat group for daily updates about tasks.

A combination of computer-assisted massive text analysis and comparative visualizations Footnote 4 for these chat discussions on the Dimmons Telegram group was used, after dumping and extracting to plain text the full history of the “Dimmons al dia” chat group since its creation (a text corpus mainly in Catalan, which is the normal language of team members). The data gathered consisted of the complete history of messages from 2 September 2016 to 27 December 2018 (28 months of activity). This represented a corpus of 6520 messages, with a size of 794,464 characters in 6941 lines of text.

Afterwards, in order to compare the different flows of communication in relation to the co-designed strategic plan of the research group, it was decided that the date on which the first strategic planning team workshop took place (20 December 2017) would be used as the key date for dividing the chat history in two plain text documents: “Xat Telegram Dimmons al dia 2017” (pre-strategic plan period, until 20 December 2017, with 78,644 total words) and “Xat Telegram Dimmons al dia 2018” (post-strategic plan period, after 20 December 2017, with 83,200 total words).

As a first step in the analysis, prior to coding, the plain text obtained from each document was processed as a tabular view of terms frequently used in the entire corpus. That is, a list of the most used terms for the period 2017 and a list of the most used terms for the period 2018. This facilitated an initial overview of recurrent terms, which could then be filtered and coded, identifying multiple stop words to exclude (non-relevant meaning, numbers, ambiguous terms, etc.) and on the other hand selecting specific words related to categories to include in the analysis. The coding of data obtained in this way consisted of the clustering of words relevant to the following two categories:

Coordination-related terms : data about terms related to time periods or days (today, tomorrow, now, etc.), general work-related keywords (meeting, call, document, task, pending, etc.), as well as specific verbs (preparing, sending, finishing, etc.).

Strategy-related terms : data about terms related to the six main goals of the Dimmons strategic plan (as described in the results section), for (1) academic impact (paper, data, review, survey, specific projects, etc.); (2) open tools (platform or toolkit-related); (3) ecosystem (specific partners mentioned, dissemination or projects); (4) team care and empowerment (words related to good climate among members, greetings, gender topics, etc.); (5) sustainability (new proposals, specific projects for new funding); and (6) university shift (references to the university or research center).

Kanban board content analysis

In January 2017 (when the strategic planning was co-designed) the Dimmons team adopted an open source project management software ( https://kanboard.org/ ) for additional APM practice, such as the use of an online kanban board for visualizing the flow of tasks accomplished by core team members (Fig. 2 ).

Kanban board reflecting the workflow of tasks of team members, related to strategic goals and specific projects.

For this, in connection with the six strategic goals defined in the co-design phase, each planned task could be properly tagged (selecting “academic impact”, “open tools”, etc.) according to the researchers criteria. In addition, tasks could be classified by selecting from a dropdown menu the corresponding project or category (specific projects, management tasks, dissemination, publications, events or initiatives related to networking, etc.). An analysis of this workflow-related data on the Dimmons online kanban board during the mentioned period (with different levels of participation among the nine core team members, depending on their familiarity with digital tools and perception of utility) allows for an understanding of the evolution of planned and achieved tasks in relation to the Dimmons strategic plan, as well as among team members.

Data obtained from the Kanboard log comprised details about a total of 166 user-defined tasks, in relation to tags selected (for the six strategic goals), category of project selected (among the 11 existing projects and initiatives during 2018), user activity, level of accomplishment, due dates and task description, among others. In this case, the coding related to the strategic goals was self-generated by each user at the moment of naming and defining the task, by selecting the most appropriate tag in relation to the strategic goals.

This results section is divided into two parts, which address the research questions with the methodologies described above. First, we outline how the co-design process of the Dimmons research group planning unfolded, describing the methods used, as well as its internal and management implications, based on the participatory design process itself. Secondly, we summarise the main results of the impact of the process on the group’s project management and regular communication in relation to its experimental co-creation approach, derived from the content analysis of the main coordination channels used during the regular activity of Dimmons.

How can co-creation techniques and principles be used in leading the strategic planning process of a research group? Insights from the participatory design of the Dimmons strategic planning

In relation to the first research question, about how can the strategic planning process of a research group can adopt co-creation methods, the participatory design practices and principles adopted resulted in an iterative, dialogic and eminently visual approach to strategic planning. Questions related to participants (“who”), sequence (“when”) and methods (“how”) were of critical importance since the beginning of the process (Table 1 ).

“Who”: Participation as ecosystem

In contrast to the traditional strategic planning process, developed by the group’s core team only (i.e., those with strong ties to it), Dimmons adopted a broader perspective in which the basic principle for co-creation that emerged was the concept of “participation as ecosystem” (Fuster Morell, 2010a ). That is, the Dimmons research group could be considered a research ecosystem with diverse forms and degrees of involvement, following the structure of a “power law dynamic” (or “1/9/90”) in online collaborative production (Fuster Morell, 2010b ). This reflects the composition of the participation that took place when articulating the strategic planning process, according to the three layers of the Dimmons research ecosystem:

Core Team: Director, postdocs and PhDs with grants, and research assistants (9 people).

Dimmons “Community”: University professors, former visitors, external researchers, experts and practitioners on Dimmons areas (12 people).

Dimmons “Ecosystem”: Representatives of a network of institutions with further collaborative relations, target impact or audience (10 participants from a total of 32 private and public organisations).

In relation to this, a first observation regarding how to apply co-creation in strategic planning has to do with the suitability of adopting a broad, open and participative approach, as well as decentralised approaches for higher engagement and performance in dynamic environments (Andersen, 2004 ). For this reason, who to involve in the process became a critical aspect, considering that ecosystemic participation is also meant to engage the research group community and stakeholders in the process (not only highly involved team members). In this case, the open invitation to all members of each layer of the ecosystem, as defined above, resulted in the “power law” distribution, of which only a small representation were engaged in the process but with a high level of involvement through the different co-creation sessions. Defined as a modular sequence, with the possibility of joining the process at different times, also allowed for a wider participation than if following a rigid and traditional strategic planning approach.

“When”: Iterative sequences of convergence and divergence

The iterative unfolding of the co-creation process was another main characteristic. That is, rather than a predefined sequence of steps, the guiding principles were based on the participatory design notions of “convergence” and “divergence” (Sanders et al., 2010 ). This allowed for several divergence instances (during which a considerable number of possibilities regarding goals, ideas, SWOT factors Footnote 5 , etc. were generated by participants), followed by intense convergence stages of synthesis (where the main options were presented, discussed and finally selected via different mechanisms).

Departing from that key consideration in co-creation, and its adaptation of a sequence guided by participatory design methods (Spinuzzi, 2005 ; Sanders and Stappers, 2008 ), the overall approach of the participatory design integrated key notions in literature for effective strategic planning (Wilson, 1994 ). In this respect, the organic and iterative development of the process as a co-creation sequence was consistent with the four stages of a strategic plan, as defined by Eppler and Platts ( 2009 ): analysis, development, planning and implementation (Fig. 3 ).

Stages followed in the co-creation of the strategic plan of the research group, connecting co-creation approaches (Spinuzzi, 2005 ; Sanders et al., 2010 ; Spinuzzi, 2015 ) with visual strategic planning (Eppler et al., 2006 ; Eppler and Platts, 2009 ).

As reflected above, a key consideration derived from the case study in relation to its temporal sequence is that it was possible to establish a clear coherence between the literature of co-creation and participatory design (Spinuzzi, 2005 ; Sanders et al., 2010 ; Spinuzzi, 2015 ) and of visualization techniques for strategic planning (Eppler and Platts, 2009 ; Eppler et al., 2006 ).

“How”: Integrating°co-creation methods in strategic planning

The co-creation process unfolded by connecting the different participatory design stages to specific phases of strategic planning, via a combination of five sessions in total and the adoption of nine co-creation methods (in offline but also online formats), and with the regular participation of diverse participants from the Dimmons research ecosystem (Table 2 ).

In this way, the first co-creation workshop (Fig. 4 ) focused on mapping personal attitudes and strengths, experience in methods and research approaches, which contributed to visualizing methodological affinities within the group.

Different moments and materials used for the workshop sessions with the research team.

Following the mentioned co-creation principles of “convergence” and “divergence” (Sanders et al., 2010 ), the second co-creation workshop departed from the first survey results to engage in a broader discussion about the mission and guiding principles of the group, which were discussed and re-edited offline during the debate. That second session also adopted a card-sorting technique for clustering the survey results of the SWOT. During the second co-creation workshop, a first version of the map of the Dimmons ecosystem was also drafted and discussed. An important part of this participative analysis stage of the planning was the collective identification of the “ecosystem” or external environment in which the group operates. For this, a key activity was the collective mapping of the different institutions and agents with which Dimmons collaborates or has a relevant relationship, bringing the concept of ecosystemic research closer to the perspective of the Quadruple Helix for innovation systems (Carayannis and Campbell, 2012 ). In contributing to the generation of an internal environment of transparency and openness, it is important to consider that all the dynamics took place in a context of action research where the majority of participants were familiar beforehand with similar methodologies and processes to integrate diversity and explicit points of view. Also noteworthy is the general absence of conflict situations during the whole process, and that initial discussions about methodologies and specific theoretical perspectives were activated early on. This was probably due to the fact that it was based on a small core of participants who were already cohesive around the Dimmons team, joined by other actors with diverse theoretical backgrounds and experience, and for that reason each session was oriented towards the search for synergies and learnings, making explicit the knowledge, expectations and opinions of the majority of the group. However, it should also be pointed out that sometimes during the discussion, the opinion of those with a consolidated academic profile tended to weigh more and took more preeminence, in contrast to predoctoral researchers or participants with a profile not linked to academic research.

As another important element of the group’s strategic thinking in this case, the final stages of the process not only had as benchmark reference the IN3 research center’s strategic goals, but also the potential connection with the Sustainable Development Goals (SDG) and Responsible Research and Innovation (RRI) principles. The SDGs are a collection of 17 global goals set by the United Nations for addressing urgent issues like poverty, education, gender equality, energy, environment or social justice, among others (Griggs et al., 2013 ). RRI is a multidisciplinary approach promoting the involvement of stakeholders and civil society in scientific activities for developing more inclusive innovation processes (Owen et al., 2012 ). This element of strategic planning around external indicators represented for all participants a first approach to new principles and a series of values, leveraging perspectives and discussions around the key aspect of social impact of research beyond the academic context.

As a final result, among the different key elements that are usually integrated into a strategic plan (Eppler and Platts, 2009 ), the definition of six strategic goals were incorporated into the first draft of the document (considered as a “prototype”) of six strategic goals: (1) Academic impact (“generate a high-quality research corpus of theoretical framework on socio-economic innovation”); (2) Open tools (“contribute to processes in action for the resolution of social challenges by developing research-based resources”); (3) Ecosystem building (“consolidate a ‘glocal’ network of partner organisations for quadruple helix collaboration to favour social impact and resilience”); (4) Empowered team (“consolidate the team with complementary backgrounds, healthy environment and gender-balanced talent”); (5) Catalytic sustainability (“obtain funding for action research from competitive calls with high impact and visibility”); and (6) University shift (“engage with open access, “commonification” processes, transdisciplinarity, agile principles and other changing paradigms in the academic culture”).

What would be the influence of co-created strategic planning on the agile project management of research? Insights from the analysis of impact in Dimmons coordination

Once the strategic plan was finished and shared online as a definitive version, it was incorporated into the day-to-day activities of the research group, both explicitly (by incorporating the strategic goals as categories in the group’s agile kanban board for task management) and implicitly (by guiding topics of conversation, and being in the background when regularly communicating online and offline). In order to analyse it and answer the second research question of this study, on what would be the influence of a co-created strategic planning on the APM of research, a series of content analysis on the main coordination digital channels provides different elements for discussion, especially from an action research perspective.

Dimmons Telegram chat content analysis

The evolution of user’s daily participation on the Telegram chat during 2017 and 2018 suggests that once the strategic planning was co-designed and adopted (at the end of 2017), the communication dynamics evolved from being relatively asymmetric (with just a few very active users) to a much more balanced distribution where all members contributed, following the “standup” meetings and derived conversations (Fig. 5 ).

Evolution of user participation in “Dimmons al dia” Telegram group chat during 2017 and 2018.

More specifically, from a medium used by nine participants over a timeframe of approximately two years, the co-design and implementation of the Dimmons strategic plan between December 2017 and January 2018 seems to set a landmark between a relatively unequal distribution of messages among team members (where only a few of them contributed, at very different levels) to a regular pace and volume of interventions by the majority of participants. This probably derived from applying the strategic planning as a co-creation sequence, thereby as an integrative and socialization process. In this sense, it should be noted that among the observations about the daily communication of the group through the Telegram channel, most messages and discussions focused on the planning and execution of tasks, both academic (writing articles, organisation of workshops, data collection, etc.) as administrative (agenda management, budgeting, event logistics, etc.). In contrast, during the day-to-day of the group and outside of the co-creation process itself, theoretical or conceptual discussions normally took place in other spaces and moments, normally during the development of face-to-face meetings between two or more members of the group (before and after the strategic planning process).

On the other hand, if we look at data from the content analysis of the daily update “standup” messages in 2017 (again, prior to the strategic plan) compared to the corpus of terms used in 2018 (once the strategic planning was in place) patterns also demonstrate a coincidence with a significative increase of terms related to the different strategic goals, and therefore a probable influence of the strategic planning on the daily communication of the group (Fig. 6 ).

Comparison of mentions to Dimmons strategic plan related terms in Telegram between 2017–2018.

This reflects a relative imbalance in how the different goals were addressed during both periods. While, according to these results, the attention to the group’s ecosystem and to academic impact where at the center of activity, there was much less activity, in terms of percentage, related to others such as the generation of open tools or team care. This imbalance simply demonstrates that after year one, of the five goals covered by the strategic plan, the group gave priority to tasks and processes related to its ecosystem (specific partners, collaborators or events), as well as pertaining to academic impact (publications, data, surveys, specific projects under development). What seems significant from this data, apart from how it can serve as a parallel indicator to the group’s agreed KPIs, is the increment and diversity of terms related to the strategic plan in the regular conversations and update messages on the Telegram chat for the 2018 period (and to what extent they were more relevant than in the previous year, before the co-design of the strategic plan took place).

In relation to the adoption of APM methods (in this case, establishing additional regular weekly meetings and the use of a digital kanban board, beyond the daily updates via Telegram), the increment there between 2017 and 2018 in vocabulary related to coordination tasks, timing and other key terms is also significative. Specially the preeminence of messages containing words like “today”, “pending”, “version”, “tasks” or “meeting”, which doubled in general compared to 2017.

Again, patterns show a wider use of vocabulary in coordination-related communications, with reference to tasks informed on a daily basis, once the co-creation process around the strategic planning of the research group took place. This suggests not only that team communication incorporated more perspectives related to the Dimmons strategic goals, as observed above, but also more references to general coordination and therefore the operative awareness of the group.

Finally, if we focus on 2018 (the period of the co-designed strategic plan), another relevant analysis of the content data gathered via the daily updates and conversations on the Telegram group chat, is the extent to which it reflects a very similar proportion of conversations about specific areas of the strategic goals (Fig. 7 ) for the tasks defined on the kanban board. In both cases, the majority of references during 2018, coincidentally, focus on academic impact and ecosystem building, followed by a corpus of team-related and university shift terms.

Percentage of terms related to Dimmons strategic goals on Telegram chat during 2018.

Dimmons kanban board content analysis

“As mentioned above, the results of the tags used most on the kanban board related to the strategic goals, when informing the regular tasks of team members, point to a very similar distribution as in the previous analysis of the Dimmons main Telegram chat, where academic impact and ecosystem creation are the most selected ones, followed by a smaller proportion of the other four categories”.

This suggests that both patterns coincide as an indicator of the most influencing priorities for the team derived from the strategic plan, but more importantly points to a coherence on a shared vision as an action research group derived from the co-design process. Also, this result when comparing content on the coordination channels, suggests a consistent integration of the strategic goals with the APM methods, ensuring an interconnection between the strategic plan goals and the daily activities.

Another result from the task-related data gathered via the kanban board is to what extent there’s a good balance of members contributions to the projects and initiatives connected to the strategic goals. Instead of a specialization pattern or “monolithic” distribution of projects to researchers, despite the different levels of participation informing planned tasks between users, results show a relevant quality of teamwork in terms of shared projects and cross-functionality.

In addition, the extent to which specific projects not only comprehended tasks related to different researchers but also to the various strategic goals, suggests a coherent and transversal categorization when researchers classified their regular activity in relation to the strategic plan. Data obtained from activity on the kanban board, when compared with activity on the Telegram chat informing about planned tasks for each day, also shows a clear correlation between the content generated in both channels and terms related to the different strategic goals. As already indicated, however, not all the core team members used the kanban board with the same level of regularity (as opposed to the Telegram daily updates, where participation followed the same volume and pace for all team members), with the main reason probably related to the difference in the levels of familiarity with digital tools for management.

With this study a prototype and analysis of a co-creation methodology for the strategic planning process of an action research group was developed. Regarding participation, guided by a ‘strategy-as-practice’ approach in project management and the concept of ecosystemic research, the case study integrated the diversity of perspectives and voices of more than 20 participants in total. This way of proceeding generated a key mechanism for team integration and coordination within the group, and also with its external layers of collaborators and stakeholders, which were also represented through the process. As data indicate, this required a combined approach of co-creation methods and iterations, which followed principles of participatory design and online participation. As a consequence, besides a fully defined document for the strategic roadmap of the group activity, the different actions co-defined by the core team and its ecosystem of collaborators achieved a satisfactory level of accomplishment after the first year of implementation.

In relation to the first research question, on how co-creation methods can lead the strategic planning of a research group, our study points to the possibility of developing strategic planning processes with such methods. In this respect, our contribution reflects the key methodological aspect of integrating participatory design techniques for structuring the process. This aligns with theories connecting principles of action research in social sciences, and especially co-design in the context of organisational learning, in terms of tacit and explicit knowledge transfer processes, as well as constructivist approaches to addressing complexity and uncertainty in teamwork (Argyris and Schön, 1989 ). The analysed case study of Dimmons, in this sense, seems coherent with a wider consideration of design thinking as a practical approach for enabling transdisciplinary collaboration and as a process for “shaping processes” (Lindberg et al., 2010 ). In our opinion, as addressed in this case, this connects to the need to adapt strategic planning to co-creation practices as a decentralized, integrative and iterative dialogue (Wolf and Floyd, 2017 ). Our analysis also suggests the opportunity for the utilization of academic strategic planning as a means of integrating the values of the social impact of research, such as those derived ones from SGD and RRI, which can be adopted as a landmark when addressing academic and scientific activity from a collaborative and ecosystemic perspective. Observations and outputs from this process reflect that it allowed for deeper insight into discussions and comparisons about research methods, in many cases for the first time among team members. By “voting” for preferences and visualizing expertise in such explicit ways, and selecting a wide range of possible methods, the iteration and parallel discussion allowed for the identification (later on the strategic planning process) of several areas of improvement and implications for the group composition in the mid and long term. All the data generated and shared as open documentation during this first initial exploration stage of the strategic planning, concerning the group’s composition, allowed on the one hand, the identification and mapping of opinions, basic assumptions and implicit understandings around research that needed to be surfaced, and on the other one the initiation of the co-creation of the strategic planning with the needed openness and implication of all participants.

Regarding the applicability of the model to managing research projects in other scientific research contexts, the type of participatory co-design described and the degree of involvement of the different layers of stakeholders probably require departing from reduced, cohesive teams and familiarity with principles of action research or community-based research, frequent in the social sciences. In this sense, it is important to highlight that, as detailed in the first part of the study, the concept of impact of research was regularly taken into account beyond the academic context, as a requisite to integrating in the strategic planning other perspectives that do not come from the scholarly context. As another relevant element derived from the results of the study, when prototyping the co-design process in connection with previous research on visual strategic planning (Eppler et al., 2006 ; Eppler and Platts, 2009 ), it should be noted that the iterative sequences of convergence and divergence of each phase allowed the described levels of participation and integration of perspectives. Again, considering it a strategic thinking process that is likely to be generalizable in research contexts in which, beyond academic and administrative tasks, there are conditions for the consideration of different types of research impact for initiatives in the medium and long term.

Regarding the second research question, the results pertaining to the impact of the co-created strategic planning on the group’s APM coordination and communication routines (and specifically data about terms related to the strategic plan) suggest that it contributed significantly to a shared vision and helped to deal with the inherent complexity of research activity (Fuster Morell, 2012 ). In this sense, with respect to the positive influence of a co-created strategic planning on the APM of research, our method provided results complementing previous studies (Rand and Eckfeldt, 2004 ). Specifically, we described how the integration of strategic goals with the agile management of daily tasks can serve as a parallel indicator to KPI used in strategic planning, and how such integration can provide immediate user-generated information for assessing the implementation of the plan (as compared to the usual retrospective checking of KPI over longer periods of time). Taking into account the need to connect strategic plans with managerial practices during the implementation phase (Poister, 2010 ), this combination of co-design techniques and AMP practices for the strategic planning of the Dimmons research group reflected the importance of design features and social mechanisms for successful strategic planning (Barzelay and Jacobsen, 2009 ). The data compared between the period prior to the strategic plan and its co-creation process suggest, on the one hand, an increase in the group’s cohesion through its daily communication and coordination channels, and on the other, an alignment in terms of discourse and follow-up of the objectives set. Again, in relation to being able to extrapolate the results of this process to other contexts, it is probably key to start with some previous experience with basic principles and practices of project management, and especially those based on AMP. However, as we reflect in the first part of the study, on the state of the art in social studies of science and team science with respect to the management of research projects, as well as the progressive need for mechanisms of efficiency and collaboration in academia, it is likely that this type of approach could be useful and produce similar results in other types of scientific and research initiatives.

Despite the above, the results also show a relevant imbalance between the accomplishment of some of the strategic goals after the first year of implementation of the strategic planning, with a significant dedication of efforts to “ecosystemic activity”. This suggests that, from an action research perspective, after the participative design process there was a greater priority given to the perceived need for addressing tasks related to community events, meetings with stakeholders, institutional agreements or online dissemination. In contrast, according to the data derived from the combination of KPI compared with the volume of specific tasks defined in the APM coordination channels, critical aspects of research management related to team building or open tools did not receive as much attention and effort in comparison. In our view, besides the experimental character of the case study (and the novelty of its research group focus), this result also relates to the current context of pressure and complexity within “accelerated” academic organisations (Vostal, 2016 ), which represents a challenge in front of competition for excellence (Sørensen et al., 2016 ) and the “projectification” of university research (Fowler et al., 2015 ). In this sense, in relation to the day-to-day activity of the group connecting strategic planning with co-creation principles of APM in research, it was observed that the experience also increased the need for the project management role or main facilitator of the entire co-creation process. In this regard, it was usually complicated to separate that function, as the guide of the participatory design of the strategic plan, from the wider role of APM coordinator.

This study’s limitations and potential mainly have to do with two areas. On the one hand, the content analysis of the kanban board covered an early stage of its adoption, but in comparison to the Telegram chat activity not all participants used the system with the same level of intensity and engagement. As explained in the results section, however, the relative coincidence with percentages of strategic-related terms between both channels suggests it worked as a relevant source of data for assessing the implementation of the strategic plan. In relation to the co-creation process, this limitation (related to an unequal adoption of APM coordination by the majority of the group), represented a challenge for some participants, and probably affected its impact during the implementation stage of some of the strategic goals. As mentioned, the degree of familiarity with digital tools for project coordination, as well as with internal discussion processes and personal positioning in research projects, seems a key factor that also requires future analysis in other academic contexts, to determine to what extent similar processes of co-creation and strategic thinking can be applied in the field of social sciences and in other disciplines. On the other hand, following this type of exploratory analysis, the need to observe and compare data generated by other research groups that apply similar (or different) methods for project management and strategic planning creates in our opinion a potential for future research, and would allow for further understanding of such an important area of meta-research. In this line, another analysis based on the case study of the Dimmons research group for a different period in the near future, in order to compare the evolution of KPI in parallel to communication and coordination related to tasks until 2023, would be needed to confirm some of our initial results.

Through this study we have described how strategic planning could be applied to research in order to confront current challenges in academic collaboration, and how to do so through the opportunities offered by co-creation methodologies applied to project management. Our analysis has identified potential benefits and challenges in this respect, suggesting further development of this field in the social sciences and action research, and proposing it as a possible area of research and development in parallel to other documented and studied efforts to deal with innovative and agile management of scholarly work. Besides an analysis of its impact at the communication and relational levels, our study also offers a detailed description about how co-creation for strategic planning in research could be applied, which could be of practical interest for scientific institutions in relation to their project management practices.

Data availability

Due to privacy reasons, the datasets analysed during the current study are not publicly available but are available from the corresponding author on reasonable request.

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Senabre Hidalgo, E., Fuster Morell, M. Co-designed strategic planning and agile project management in academia: case study of an action research group. Palgrave Commun 5 , 151 (2019). https://doi.org/10.1057/s41599-019-0364-0

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Chapter: chapter four - case studies.

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20 OVERVIEW Five transit agencies were selected for case studies. Selection criteria included whether the agency has a comprehensive process or one that is noteworthy in some way, whether it is believed to be a beneficial process for the agency, and whether the agency has been relatively effective at implementing the plan. In addition, the size of the agency was considered so that small, medium, and large agencies would all be represented. The five agencies selected were: 1. Ann Arbor Transportation Authority (AATA) (small) (www.theride.org). 2. Dallas Area Rapid Transit (DART) (large) (www. dart.org). 3. LACMTA (large) (www.mta.net). 4. MTA New York City Transit (large) (www.mta.nyc. ny.us/nyct/index.html). 5. Transit Authority of River City (Louisville, KY) (medium) (www.ridetarc.org). The case study agencies share a number of common fea- tures that serve to make their strategic planning process effec- tive. For example, all of them use a very collaborative and par- ticipative process, often involving teams of employees. Team building is therefore an important ingredient in their strategic planning efforts. Most of the agencies involve not just internal management and staff but key external stakeholders as well. Most of the agencies also regularly use management and/or board retreats as part of the process. All of them in some way link their strategic plan to their budgeting and capital pro- gramming processes. In addition, all of the agencies incorpo- rate performance measures and regular progress reporting. There were also a number of particularly noteworthy or distinctive features used by some agencies. • Two agencies, DART (Dallas) and LACMTA (Los Angeles), use a “balanced scorecard” approach. This is an approach used by many private-sector companies (described earlier in the literature review) (4). • Dallas has adopted a very global strategic plan that has been reduced to 1 page. The heart of its strategic planning process is instead its annual business plan, which is based on the strategic plan. Dallas has also developed a com- prehensive “Leadership System and Strategic Alignment Process” that involves board policy and direction, man- agement action plans and performance measurements, and individual performance plans for management and employees. • As with Dallas, Los Angeles has developed a very com- prehensive process for driving its strategic plan down- ward from its vision and mission through management and into individual performance appraisals. It also uses a sophisticated “Leadership Model,” which is used to “cascade and communicate” the strategic plan agency- wide. This has included use of a video presentation by the CEO that was made available for use at all-hands meetings used to discuss the plan. • In New York, strategic planning is required by state law. The regional transit agency for the New York City region, the MTA, then prescribes certain overall goals and performance indicators to be used by each of its subsidiary agencies. The subsidiary agencies (e.g., MTA/ NYC Transit) then annually develop their own strate- gies and targets for each indicator. ANN ARBOR TRANSPORTATION AUTHORITY Agency Description AATA serves the Ann Arbor and Ypsilanti urbanized areas and portions of Ypsilanti, Pittsfield, and Superior townships in Michigan. Fixed routes in Ann Arbor are within one-quarter mile of 95% of all residences, and paratransit services are provided within three-quarters of a mile of all AATA routes. AATA also operates an interurban express bus service between Ann Arbor, Chelsea, and Dexter. The population of the service area is approximately 190,000 (1990 census). The agency operates approximately 60 regular buses on 25 routes. It also operates 5 paratransit vehicles, and an addi- tional 30 are operated by contractors. Riders make 4.4 mil- lion unlinked passenger trips on the system each year, with a total operating expense of $19.4 million. Strategic Plan Document AATA’s strategic plan, Destination 2010, was adopted in 1999 and contains the following key elements: CHAPTER FOUR CASE STUDIES

21 helping employees balance the various elements of the model and understanding their interrelationships. The strategic plan was adopted in October 1999 after approximately a 1-year effort. It covers a 10-year period and is updated annually. Retreats are used to flesh out annual goals and objectives that are based on the plan. Quarterly reports are then used to track the progress of the annual goals and objectives. The CEO believes that the strategic plan has been “extremely useful” (a rating of 5 on a scale of 1 to 5) in terms of making it easier to get the board to agree to the annual goals and objectives, and in giving the entire agency a sense of direction. Plan Implementation The chief executive officer also believes that AATA has been “extremely effective” (a rating of 5) at implementing strate- gic plan recommendations. Annual goals and objectives with quarterly reviews and presentations to the board are used to ensure that the plan moves from paper to implementation. Also, the planning process is linked to other key organiza- tional processes such as budgeting, capital programming, ser- vice planning, and performance measurement. As with sev- eral other transit agencies, the board’s evaluation of the CEO is based on the progress of the strategic plan. Significant Benefits Among the important benefits cited from the strategic plan- ning process were better budgeting, workforce unity, and community buy-in. • Mission, vision, and values; • A description of the planning process, who was involved, and the Strategic Issues Model that was used in its development; • A description and analysis of the agency’s internal and external environments; • A discussion of future challenges; and • A plan for the future—“where, who, and what” (where service will be provided, who will be served, and what products or services will be offered). Plan Development The AATA Board initiated the strategic plan in 1998 in response to the challenges that were anticipated over the next 10 years. What ensued was a collaborative effort involving the board, management, staff, outside consultants, and exter- nal stakeholders. A core team of representatives from all lev- els of the agency was used to oversee the process. In addition to the core team, a number of other teams were formed to assist with the effort as described here: • Leadership alignment—to initiate dialogue and build consensus throughout the organization so that everyone would be working toward the same goals. • Research—to identify and analyze key demographic, development, traffic, legal, political and fiscal trends and issues. • Strategic issues and opportunities—to design and coor- dinate strategies for involving the workforce in the plan- ning effort. • Communications—to keep everyone informed about the strategic planning process. • Internal culture—to ensure that organizational values were expressed in the AATA mission and in its internal activities. More than 40 individuals were involved in the internal process including board members, senior management, and union and nonunion staff. In addition, a special Stakeholder Council Design Team was created to identify and involve important external stakeholders with an interest in public transit. Four facilitated sessions were held, with a total of 45 stakeholders participating. Integral to AATA’s strategic plan was the development of a Strategic Issues Model. This conceptual planning frame- work is shown in Figure 1. The purpose of the model was to illustrate how AATA’s core issues (who, what, and where) are surrounded by its core values, and how these in turn are affected by the agency’s various constraints and opportunities. All employees were trained in the use of this model, which was used both in the development of the plan and in subsequent implementation efforts. The CEO believes that the model was very useful in FIGURE 1 AATA strategic issues model [Source: AATA Strategic Plan—Destination 2010 (October 1999)].

Keys to Success and Lessons Learned Good communication and wide involvement are believed to have been crucial to the success of the strategic planning process. In addition to involving agency personnel, the CEO believes that it was important to involve the whole community. DALLAS AREA RAPID TRANSIT Agency Description DART is a regional transportation authority that was created in 1983 to serve the Dallas metropolitan area. It operates more than 700 buses and 95 light-rail vehicles, and serves an area of 700 square miles and 2.1 million people. It also oper- ates commuter rail service between Dallas and Ft. Worth in conjunction with the Ft. Worth Transportation Authority. Strategic Plan Document DART’s strategic plan is a 1-page document that provides a framework for annual business planning, budgeting, and cap- ital programming (see Figure 2). It is considered to be a 5-year plan that is reviewed annually and updated as necessary. 22 The plan is organized around three target groups identi- fied in the board goals: Customers, Employees, and Stake- holders. Under each target group, there are “outcomes to be achieved,” “management objectives,” and “strategies.” For example, under the Customer target group, there are two pri- mary outcomes to be achieved: • Increase Effectiveness (optimize ridership) and • Increase Efficiency (improve subsidy per passenger). Under Increase Effectiveness, there are two management objectives: • Improve Customer Satisfaction and • Manage System Growth. Under Improve Customer Satisfaction, there are four strategies: • Improve service reliability, • Provide a customer friendly environment, • Provide a safe/secure service, and • Provide effective customer communication. FIGURE 2 DART’s strategic plan (Source: DART FY 2004 business plan).

23 DART’s strategic plan identifies what needs to be accom- plished and is the basis for what is at the heart of DART’s annual business planning process. The business plan defines how management intends to achieve the initiatives outlined in the strategic plan and provides DART’s performance projec- tions and commitments for the organization as a whole and for each of its strategic business units (bus, light-rail, com- muter rail, and paratransit modes). The plan includes 2-year scorecards of key operating, financial, and quality measures, and identifies the work program initiatives that are needed to achieve them. In addition, the plan includes the annual bud- get and a 20-year financial plan. Other examples of the scorecard concept are presented in Tables 17 and 18. Each scorecard includes 2 years of actual data, an estimate for the current fiscal year, and a projection for the subsequent 3 fiscal years. Plan Development Initially, management retreats were used in the strategic plan development process. The agency’s mission, vision, and board goals drove the development process. More recently, the plan is reviewed in a team format with representation from each department. It is then reviewed by management each Janu- ary, at the beginning of the annual business planning process. Factors considered in the review include • An analysis of business results; • The results of employee, customer, and climate surveys; • External events (such as issues being considered by the state legislature); and • Benchmark comparisons with other transit agencies and private-sector companies. KPI Measure Goals FY01A FY02A FY03B FY03 Q3 FY04B FY05B Ridership Total ridership (millions) 95.7 93.8 96.2 94.8 95.3 96.5 Fixed route (millions) 60.7 58.7 61.2 60.2 60.2 61.4 Efficiency Subsidy per passenger $2.34 $2.76 $2.65 $2.81 $2.50 $2.55 Fixed-route subsidy per passenger $3.24 $3.93 $3.73 $3.74 $3.43 $3.48 Administrative ratio 11.5% 11.2% 11.7% 10.6% 9.1% 10.0% Service Quality On-time performance—bus 92.8% 92.8% 91.0% 92.4% 91.0% 91.0% On-time performance—LRT 95.2% 97.0% 97.0% 97.4% 97.0% 97.0% On-time performance—TRE 97.9% 97.2% 96.0% 97.5% 96.0% 96.0% Customer Satisfaction Complaints per 100,000 passengers 24.7 34.8 31.0 42.6 32.5 32.1 Managed Growth Sales tax for operations 59.6% 77.5% 75.4% 84.4% 76.1% 72.9% Notes: KPI = key performance indicators; LRT = light-rail transit; TRE = Trinity Railway Express. Source: DART FY 2004 business plan. Indicators FY01A FY02A FY03B FY03 Q3 FY04B FY05B Customer/Quality Indicators Fixed-route bus ridership (millions) 47.5 42.4 41.4 40.4 39.8 40.7 Charter ridership (millions) 0.4 0.4 0.4 0.4 0.3 0.3 Revenue miles (millions) 30.3 31.2 30.9 30.9 27.9 27.9 Passengers per mile 1.58 1.37 1.35 1.32 1.43 1.46 On-time performance 92.8% 92.8% 91.0% 92.4% 91.0% 91.0% Mean distance between roadcalls 3,783 3,827 4,200 4,124 4,200 4,200 Vehicle accidents per 100,000 miles (all service) 2.87 2.40 2.80 2.20 2.80 2.80 Avg. no. of operator unscheduled absences (days) 25.1 22.5 20.0 16.3 23.0 22.0 Financial/Efficiency Indicators Revenues (millions) $29.2 $27.2 $28.0 $25.6 $28.8 $29.1 Expenses—fully allocated (millions) $183.3 $205.1 $192.0 $191.3 $174.5 $178.3 Net subsidy (millions) $154.1 $177.9 $164.0 $165.7 $145.7 $149.1 Subsidy per passenger $3.22 $4.12 $3.92 $4.06 $3.63 $3.64 Cost per revenue mile $6.05 $6.57 $6.22 $6.20 $6.25 $6.39 Pay-to-platform ratio (hours) N/A N/A 1.29 1.29 1.28 1.28 Note: N/A = not available. Source: DART FY 2004 business plan. TABLE 17 DART SCORECARD OF KEY PERFORMANCE INDICATORS TABLE 18 BUS SCORECARD—KEY PERFORMANCE INDICATORS

24 Changes to the plan’s strategies and targets that are identified are brought to executive management for approval. Plan Implementation For implementation, DART uses a “Leadership System” based on the concept of strategic alignment; a process designed to ensure that employee jobs and performance are aligned with the agency’s mission, direction and board goals, and policies. This system is illustrated in Figure 3. The annual budget and capital program are directly linked to the strategic plan. The agency rates itself as “fairly effective” in terms of implementation (a rating of 3 on a scale of 1 to 5). Significant Benefits The strategic planning process is considered to be “very use- ful” (a rating of 4 out of 5) as a management tool for holding departments accountable for results based on performance metrics that are linked to strategies. One specific benefit cited was its use during a major cost-cutting effort, when staff was able to show the board the impacts on the plan if cost-cutting measures the board was recommending were to be adopted. More generally, the plan has provided a tool for prioritizing projects and making management decisions based on their impact on the plan. Keys to Success and Lessons Learned The agency’s mission, vision, and strategic plan are clearly understood by all levels of management and employees. The budget and the long-range business plan are linked to the strate- gic plan. Strategies are viewed from a cross-functional team basis and are measurable and driven through the organization. DART’s initial effort in developing the strategic plan was much more detailed—more of an action plan. It had to be changed more often than desired as projects were completed. DART therefore created a more “global,” usable plan that would serve the agency for a longer term. Originally DART’s major challenge was in being able to obtain all the necessary information on a timely basis from the numerous individuals involved. Currently, deadlines are set and individuals are designated with oversight responsibility to provide the required information within the time frame. LOS ANGELES COUNTY METROPOLITAN TRANSPORTATION AUTHORITY Agency Description LACMTA is one of the biggest transit systems in the coun- try. It serves one of the largest and most populous metropol- itan counties—9.6 million people and 1,433 square miles. It operates more than 1,900 buses and 60 miles of rail service, and employs more than 9,000 individuals. * Performance Management Plan ** Knowledge, Skills and Abilities Board Policy and Direction Management Action Plans and Performance Measurements Employee Performance Mission Statement DART's Purpose Board Goals Broad Agency-wide Objectives System Plan Commitments on Future System Build-out Financial Standards Expected Business Results and Debt Limits Board Policies Broad Direction on Certain Issues Vision Statement and Values Vision of Success and How We Treat Each Other Strategic Plan Management's Strategies to Achieve Board Direction Other Strategic Input Ext. Climate Review Surveys Texas Quality Feedback Business Results Benchmark Studies FY Business Plan Projected Operational and Financial Performance FY Budget Revenues & Expenses Variance Explanations Financial Plan 20-year Projections Sources/Uses of Cash Affordability of Plans Sr. Mgt's PMP* Agency/Modal Scorecards Departmental Scorecoards Work Program Initiatives Competencies/KSAs** Organizational Values Employee PMP* Regular Assignments (Section Scorecards) Work Program Initiatives Competencies/KSAs Organizational Values FIGURE 3 DART’s leadership system and strategic alignment process (Source: DART FY 2004 business plan).

25 In addition to operating an extensive transit system, LACMTA also funds 16 municipal bus operators and a wide array of transportation projects that include bicycle and pedes- trian facilities, local road and highway improvements, goods movement, and the Freeway Service Patrol and call boxes. The agency is unusual in that it also serves as the federally required MPO for the region. Strategic Plan Document LACMTA developed its first strategic plan (called a Strate- gic Business Plan) for the FY 01–03 period. It included a mission, vision, and goals. The goals were organized in a bal- anced scorecard framework with each supported by more detailed goals and objectives. The strategic plan (now called a Strategic Performance Program) was redone for FY 03–07. It retained much of the structure of the previous strategic plan; that is, a mission, vision, and goals; detailed objectives; and KPIs. However, a new element was the inclusion of agency “core values.” In addition, it began to move the organizational goals and objectives down to the departmental and individual levels. LACMTA regards its strategic plan as a “living docu- ment” and “evolving plan,” not as a rigid or fixed document. The plan is updated on an annual basis. Plan Development Development of the most recent plan began in January 2002 when the CEO initiated an internal process that involved a cross section of 70 team leaders. This group met on six dif- ferent occasions to discuss the agency’s services, programs, possible strategic approaches, and how the success of the agency’s efforts could be measured. The following seven organization-wide strategic goals were developed: 1. Create a “safety” conscious culture throughout the MTA and its customers and business partners. 2. Improve transit systems. 3. Attract, develop, and retain employees. 4. Create a positive image of the MTA. 5. Deliver quality capital projects on time and within budget. 6. Provide leadership for the region’s mobility agenda through responsive planning and resource allocation. 7. Improve the efficiency and effectiveness of the agency. Specific objectives were identified for each goal, and implementation strategies, action plans, and KPIs were then developed that assigned responsibility to key “management owners” and “team support partners.” A consultant was used during the planning process to help facilitate the strategic plan- ning meetings. The process is shown graphically in Figure 4. Plan Implementation To help move from planning into implementation, the agency used several noteworthy strategies: • The CEO held an all-hands meeting of key management and staff to communicate the details and importance of the strategic plan. Television monitors were used for staff who could not physically attend. • Each business unit was also asked to hold an all-hands meeting to communicate the strategic plan. Each unit was given a video presentation in which the CEO empha- sized the importance of achieving the strategic business goals of the agency. • The strategic goal teams met monthly or bi-monthly with facilitators from the Organizational Development and Training Department, who coached them in regard to goal attainment. • Executive management held quarterly review sessions where goal team members were recognized for their accomplishments and for meeting their milestones. Developed by Management, Approved by CEO Developed by Management, Approved by CEO Implementation & Accountability Vision Mission Core Values Goals Objectives Strategies Actions Key Performance Indicators Service Delivery and Evaluation Managers and Supervisors Individual Performance FIGURE 4 LACMTA strategic planning process (Source: MTA Strategic Performance Program, FY 2003–2007).

26 • Provision of a foundation for how the agency will meet Los Angeles County’s transportation needs. • Identification of the goals, objectives, strategies, and action steps required for the agency to be successful. • A description of where the agency wishes to be, what it does, and how it will conduct day-to-day business. More specific benefits described were: • Introduction of “Safety First” as a new program initia- tive to reduce accidents and injuries by 51% (an out- growth of Strategic Goal 1). • Development of a Return-to-Work Program for former LACMTA employees (an outgrowth of Strategic Goal 3). • Creation of a more positive image for the agency, includ- ing a Metro logo and a new brand marketing approach to improve the public’s perception of the agency (an outgrowth of Strategic Goal 4). • Improvement in the efficiency and effectiveness of the agency including streamlining of the top internal processes (e.g., payment of bills, procurement, and employee recruitment and selection) (an outgrowth of Strategic Goal 7). Keys to Success and Lessons Learned Part of the success of the agency’s strategic planning process is attributed to its collaborative and cross-functional nature. • The KPIs are reported to the chief financial officer on a quarterly basis as part of the operating management and budget process. This process is depicted by the Leadership Model that LACMTA uses to “cascade and communicate” the strategic plan agency-wide (see Figure 5). Its purpose is to help ensure that the strategic plan is understood at every level and across all transit modes, and to encourage the commitment, energy, and hard work of all agency employees. It shows how the agency-wide vision, mission, and values are used to provide a framework for strategic goals and objectives, and these are in turn integrated with the budget and performance manage- ment processes. This includes a linkage to each employee’s role and responsibilities and to his or her compensation. The agency has recently developed performance appraisal forms that are directly tied to the strategic plan goals. Each year the agency reassesses its performance, goals, and objec- tives in view of its budget appropriations. The respondent rated the agency as “very effective” in terms of implement- ing the strategic plan (a rating of 4 on a scale of 1 to 5). Significant Benefits The survey respondent believes that strategic planning has been “extremely useful” at the agency (a rating of 5 on a scale of 1 to 5). Key benefits cited included: Employees—First Point of Contact with Clients and Customers Communication and Reinforcement Teamwork and Accountability Teamwork Teamwork Responsibilities Goal Achievements Identification of Every Employee's Individual Roles & Responsibilities Responsible for Implementing Goals Performance-based Compensation Assessment of Individual Contributions and Attainment towards Supporting Agency Goals and Objectives Planning Oversight and Monitoring Communicate Agency-wide Vision, Mission & Values Cascade to Middle Management & Frontline Supervisors Integrate Strategic Goals and Objectives into Budget and Performance Management Process Produce an Integrated Strategic Plan for Agency Linkage to Performance-based Compensation Oversight & Monitoring—Develop and Coordinate Action Plans to Support Goals & Objectives FIGURE 5 LACMTA leadership model (Source: MTA Strategic Performance Program, FY 2003–2007).

27 This included the involvement of various levels of manage- ment, individuals from a variety of functional areas, and the use of retreats where everyone could be heard. The Leadership Communication Model was cited as important in both com- municating the plan and in getting buy-in from participants. Finally, the importance of presenting the strategic plan to the board of directors was emphasized. This helps the board to articulate the goals of the agency externally and to work in support of the agency’s vision and mission. MTA NEW YORK CITY TRANSIT Agency Description MTA/NYC Transit is one of several subsidiaries under the New York Metropolitan Transportation Authority (MTA). (Other subsidiaries include Metro–North Railroad, Long Island Rail Road, and Long Island Bus.) The agency operates the largest subway car fleet in the world (more than 6,000 cars), and more buses than any other transit provider in North America (more than 4,400). Its annual operating budget is approximately $4 billion and its 5-year capital program exceeds $10 billion. It employs more than 48,000 people. Strategic Plan Document The framework for the agency’s strategic plan is established both by state law and by the MTA. The plan is developed annually and covers a period of 5 years. In its 2004–2008 Strategic Business Plan, the MTA set out three broad goals for the regional public transportation system: 1. Improve safety for employees and customers. 2. Improve customer satisfaction. 3. Improve cost-effectiveness. Under each goal, the MTA developed more detailed inter- agency strategies and tactics. Under each tactic, more specific targets are described, a status report is provided, the responsi- ble department is identified, and a cost (revenue or savings) impact is estimated. Each of its subsidiary agencies developed its own Strategic Business Plan based on this structure. Spe- cific performance indicators are chosen by the MTA; each agency then sets its own targets related to each indicator. As an example of this structure, the following was pro- vided in NYC Transit’s Strategic Business Plan under the goal of Improve Customer Satisfaction: • Current view—This section provided a short discussion of historical and current efforts to improve customer satisfaction. • Anticipated results—This section provided quantified information on performance, as shown in Table 19. Similar targets were provided for the bus system. The fol- lowing seven strategies that will help lead to attainment of the overall goal were included: 1. Improve subway service reliability. 2. Improve bus service reliability. 3. Implement new services and improve service man- agement. 4. Provide a cleaner and more attractive station envi- ronment. 5. Improve air quality and environmental management. 6. Enhance access to service information and Metro- Card sales. 7. Provide transportation service for persons with dis- abilities. All of these strategies has several more detailed tactics, each with its own specific targets, status, responsible depart- ment(s), and associated cost, revenue, or savings. As required by state law, the plan also included an appendix that focuses on operating and financial statistics. Indicator Actual 2002 Goal 2003 2004 2005 2006 2007 2008 Wait assessment* 88.8% 89.0% 89.2% 89.4% 89.6% 89.8% 90.0% Enroute schedule adherence 77.5% 81.0% 81.2% 81.4% 81.6% 81.8% 82.0% Mean distance between failures 114,619 132,000 133,000 134,000 135,000 136,000 136,000 Overall customer rating (0–10) 6.4 6.2** 6.3 6.4 6.5 6.6 6.7 *A measure of the evenness of service from the customers’ perspective. It is defined as the percentage of service intervals that are no more than the scheduled interval plus a specified number of minutes (depending on whether it is bus or rail service and whether it is peak or off-peak). **Actual results from 2003. Decrease attributed to a fare increase in 2003. TABLE 19 CUSTOMER SATISFACTION INDICATORS—SUBWAY SYSTEM

The plan document and planning process were streamlined in 1996 to focus on the key strategic issues within the MTA and its agencies. Some of the information that was previously included in the strategic plan (e.g., ridership trends and financial results) is now documented in the agencies’ operat- ing budget. Other information that was previously included (major studies and their implications, changing technology, and emerging issues) is discussed in separate, more specific reports on an as-needed basis. Plan Development Each year, at the beginning of the strategic planning process, the MTA distributes a schedule for the plan’s development and approval. Soon after, NYC Transit’s president distrib- utes a “guidance” memo that identifies the specific areas in which he wants to see more programmatic emphasis. The president also reviews the draft plan before it is submitted to the MTA board to ensure that it includes appropriate pro- grams and performance targets. A similar review function is performed at a lower staff level by strategic planning staff. Issues that cannot be resolved at this level are then raised to the president. Plan Implementation NYC Transit’s Manager of Strategic Transportation Plan- ning has described strategic planning at the agency as “the confluence of customers, operations, and budgets.” He rates the agency as “very effective” (a rating of 4 on a scale of 1 to 5) in implementing its strategic plan. The reason for this is that the programs included in the plan must be included in either the operating or capital budgets. In ad- dition, the capital planning process uses the goals of the strategic plan in establishing priorities among competing project proposals. Another reason is that when the plan is updated each year, departments report on their progress. Progress reports are also made through other mechanisms outside the strategic planning framework. Significant Benefits NYC Transit’s experience with strategic planning was rated as being “very useful” (a rating of 4 out of 5), and the establish- ment of goals and objectives for programs and performance indicators as an important means of measuring progress. Three specific benefits were cited: 1. The focus on safety for employees and customers begun in the 1997–2001 strategic plan has led to a substantial 28 reduction in customer injuries and employee lost-time accidents. 2. It has led to a reordering of priorities within the cus- tomer satisfaction goal. The late 1990s saw a stronger emphasis on programs to increase service levels to meet growing demand. This has now shifted to pro- grams to increase service reliability. 3. Even though the agency had a relatively flush period in the late 1990s, it was able to stay focused on initiatives to increase efficiency and effectiveness. Keys to Success and Lessons Learned A critical review of strategies and programs to ensure that they are the best means of achieving the agency’s goals was cited as one key to success. Another is a review of perfor- mance targets to ensure that they reflect the continuous, incremental improvement that takes recent and planned activ- ities into account. NYC Transit has found that departments are sometimes reluctant to include programmatic activities in the strategic plan or to set ambitious targets for their performance indica- tors, in case these activities are not achieved. In part, the involvement of the president mentioned previously under Plan Implementation has helped to overcome this problem. The respondent noted that to be effective, buy-in by the agency president and throughout the organization is required. Staff at all levels need to recognize the importance of meet- ing the program and performance targets that are established in the plan. TRANSIT AUTHORITY OF RIVER CITY Agency Description TARC serves the greater Louisville, Kentucky region, which includes service in Jefferson and Bullitt counties in Kentucky and Clark and Floyd counties in Indiana. The population of the service area is estimated to be approximately one million. The system also serves the University of Louisville. The agency operates approximately 285 regular buses and an additional 8 buses are operated by contractors. It also operates 9 paratransit vehicles, with an additional 74 oper- ated by contractors. Riders make 16.5 million unlinked pas- senger trips on the system each year, with a total operating expense of $41 million. A proposed light-rail service is cur- rently in the preliminary engineering stage. Strategic Plan Document TARC’s strategic plan, TARC Strategic Plan FY2003–2004, was adopted at the end of FY 2002. It is interesting to note that

29 the TARC strategic plan uses a more informal and conversa- tional style than most strategic plans, making it more engag- ing to readers. For example, the strategic plan is described as “our ‘owner’s manual’ reminding us to regularly check the pulse of our customers and team members alike and to peri- odically fine-tune our performance.” The plan contains the following key elements: • Mission, vision, and critical success factors (an exten- sion of the vision statement). • Departmental objectives and strategies. • A description and analysis of the agency’s internal and external environments, including a list of factors, then a discussion of them using “a better Louisville would look like . . .” type of model. • A Long-Range Advanced Transit Plan, which is a detailed 5-year plan with a 15–20-year horizon. • A capital improvement program. • A Performance Plan that details the current year’s departmental performance objectives. • A customer service analysis, a comprehensive study that includes input from riders, the general public, TARC board and staff, etc., and designed to identify the most “cost-effective, operationally sound, and customer- friendly” system of transit services possible. Plan Development The TARC board initiated the current long-range strategic plan in 1994, with the creation of a new mission statement, critical success factors, goals, and strategies. Management quickly supported the idea. TARC has embraced strategic planning by implementing multiple outside stakeholder meet- ings and involvement regarding its future. The executive director believes that strategic planning has been “very use- ful” at the agency (a rating of 4 on a scale of 1 to 5). TARC is currently placing special emphasis on customer focus, regionalism (by expanding service borders), new part- nerships with the community, and new technology (e.g., by providing instantly available trip planning and scheduling information on their website). In 2004, TARC initiated a Comprehensive Customer Service Analysis called Project Gobility, which is a broad survey and public involvement ini- tiative that will help identify TARC’s future direction. This project will update the last customer service analysis com- pleted in 1996 and will involve union and nonunion employees in its implementation strategies. TARC’s strategic planning and implementation process is overseen by the director of strategic management. The plan, which is updated annually, covers 5 years in detail with a broader 15- to 20-year horizon. Each year, the board and man- agement have a 1-day retreat where they focus on a SWOT analysis and environmental assessment. This lays the ground- work for development of the year’s specific performance plan. From there, TARC involves several community mem- bers—from grass roots organizations and average citizens to elected officials and local businessmen. During the major 5-year planning effort, all the current processes are called into question, including taking all the routes off the board and deciding where they should be redrawn. Plan Implementation The agency reports that it has been “fairly effective” at imple- menting the strategic plan (a rating of 3 on a scale of 1 to 5), and that it provides a good framework for the staff to work within. There is recognition that a plan is only effective if it is actually used by the organization. Therefore, in various ways, the agency focuses on it throughout the year. The annual goals and objectives for each department are worked into employee performance appraisals and budget components to make sure the plan is implemented and con- tinuously used. In addition, the board’s evaluation of the executive director is based on achievement of strategic plan objectives. The planning process is linked with all key orga- nizational processes such as budgeting, capital programming, service planning, and performance measurement. Performance objectives and milestones are jointly devel- oped by department heads, the director of strategic manage- ment, and the executive director, and are monitored monthly. TARC compiles a monthly report highlighting progress in key performance areas (e.g., customer service, transporta- tion, and maintenance). The performance report provides year-to-date performance data and comparison data for the previous calendar year. TARC’s management team reports progress toward overall performance objectives on a quar- terly basis. Significant Benefits TARC has experienced several significant benefits from its strategic planning efforts. First, in 2003, the agency won the Kentucky Psychology Association’s Psychological Healthy Workplace award for the second consecutive year, and the 2004 Labor–Management Award recognizing out- standing joint achievements of labor and management in the commonwealth of Kentucky. They are currently viewed as the “go-to solution leaders on public transportation issues in their region,” and according to the executive direc- tor, they are “clearly identified as part of the solution, not the problem.”

Keys to Success and Lessons Learned The keys to success for TARC have been engagement and involvement—the executive director’s goal is to “get every- one’s thumb on the blade.” Another key was to make sure to “carve out time for strategic planning and then make it sacred,” a sentiment that is often echoed by other organiza- tions. The executive director also provided the following observations: 30 • Look at the future with and without monetary con- straints—“you have to be able to dream, but you also have to be real.” • Keep checking and rechecking who is engaging and who is not engaging in the process. • Celebrate accomplishments.

TRB’s Transit Cooperative Research Program (TCRP) Synthesis 59: Strategic Planning and Management in Transit Agencies examines the value and benefits of strategic planning and management in transit agencies. The report also provides case studies from five transit agencies based on the comprehensiveness of process or presence of innovative or noteworthy practices.

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• All Headlines

Top 40 Most Popular Case Studies of 2021

Two cases about Hertz claimed top spots in 2021's Top 40 Most Popular Case Studies

Two cases on the uses of debt and equity at Hertz claimed top spots in the CRDT’s (Case Research and Development Team) 2021 top 40 review of cases.

Hertz (A) took the top spot. The case details the financial structure of the rental car company through the end of 2019. Hertz (B), which ranked third in CRDT’s list, describes the company’s struggles during the early part of the COVID pandemic and its eventual need to enter Chapter 11 bankruptcy. 

The success of the Hertz cases was unprecedented for the top 40 list. Usually, cases take a number of years to gain popularity, but the Hertz cases claimed top spots in their first year of release. Hertz (A) also became the first ‘cooked’ case to top the annual review, as all of the other winners had been web-based ‘raw’ cases.

Besides introducing students to the complicated financing required to maintain an enormous fleet of cars, the Hertz cases also expanded the diversity of case protagonists. Kathyrn Marinello was the CEO of Hertz during this period and the CFO, Jamere Jackson is black.

Sandwiched between the two Hertz cases, Coffee 2016, a perennial best seller, finished second. “Glory, Glory, Man United!” a case about an English football team’s IPO made a surprise move to number four.  Cases on search fund boards, the future of malls,  Norway’s Sovereign Wealth fund, Prodigy Finance, the Mayo Clinic, and Cadbury rounded out the top ten.

Other year-end data for 2021 showed:

• Online “raw” case usage remained steady as compared to 2020 with over 35K users from 170 countries and all 50 U.S. states interacting with 196 cases.
• Fifty four percent of raw case users came from outside the U.S..
• The Yale School of Management (SOM) case study directory pages received over 160K page views from 177 countries with approximately a third originating in India followed by the U.S. and the Philippines.
• Twenty-six of the cases in the list are raw cases.
• A third of the cases feature a woman protagonist.
• Orders for Yale SOM case studies increased by almost 50% compared to 2020.
• The top 40 cases were supervised by 19 different Yale SOM faculty members, several supervising multiple cases.

CRDT compiled the Top 40 list by combining data from its case store, Google Analytics, and other measures of interest and adoption.

All of this year’s Top 40 cases are available for purchase from the Yale Management Media store .

And the Top 40 cases studies of 2021 are:

1.   Hertz Global Holdings (A): Uses of Debt and Equity

2.   Coffee 2016

3.   Hertz Global Holdings (B): Uses of Debt and Equity 2020

4.   Glory, Glory Man United!

5.   Search Fund Company Boards: How CEOs Can Build Boards to Help Them Thrive

6.   The Future of Malls: Was Decline Inevitable?

7.   Strategy for Norway's Pension Fund Global

8.   Prodigy Finance

9.   Design at Mayo

10. Cadbury

11. City Hospital Emergency Room

13. Volkswagen

14. Marina Bay Sands

15. Shake Shack IPO

16. Mastercard

17. Netflix

18. Ant Financial

19. AXA: Creating the New CR Metrics

20. IBM Corporate Service Corps

21. Business Leadership in South Africa's 1994 Reforms

22. Alternative Meat Industry

23. Children's Premier

24. Khalil Tawil and Umi (A)

25. Palm Oil 2016

26. Teach For All: Designing a Global Network

27. What's Next? Search Fund Entrepreneurs Reflect on Life After Exit

28. Searching for a Search Fund Structure: A Student Takes a Tour of Various Options

30. Project Sammaan

31. Commonfund ESG

32. Polaroid

33. Connecticut Green Bank 2018: After the Raid

34. FieldFresh Foods

35. The Alibaba Group

36. 360 State Street: Real Options

37. Herman Miller

38. AgBiome

39. Nathan Cummings Foundation

40. Toyota 2010

Integrating strategic planning and performance management in universities: a multiple case-study analysis

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• Published: 13 March 2022
• Volume 26 , pages 417–448, ( 2022 )

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• Lucia Biondi   ORCID: orcid.org/0000-0002-3284-5919 1 &
• Salvatore Russo 2  

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Over time, public universities have been involved in a process of modernisation based on a new concept of governance and managerial methods for increasing efficiency and effectiveness, as well as transparency and accountability. This paper aims to investigate the link between strategic planning systems and performance management systems in Italian universities by answering the following research question: to what extent do strategic planning tools contribute to performance management systems and, vice versa, to what extent can performance management systems help in the reshaping of universities’ strategies? To this end, we adopt a qualitative approach by conducting a multiple case-study analysis in the Italian context. Data are gathered through documentary analysis and interviews as primary research methods. Since scholars have mainly focused their attention on strategic planning or performance management in universities in isolation, the originality of this research lies in the attempt to connect these two important research fields, whose mutual interdependences are still to a certain extent unexplored. The implications of this study concern recommendations and suggestions for universities’ governance bodies to support their decision-making processes in the definition of their long-term objectives and performance management systems.

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1 Introduction

Over the last 20 years, in Italy, as in the rest of Europe, a series of systemic changes has occurred in the university sector. These have strongly promoted the adoption of new governance models and consequent strategic choices. The determinants include: the instances of change triggered by reforms in the governance of the main public sector organisations; and the need to make higher education organisations more effective and efficient. This has required systemic structural interventions both in organisational models and internal decision-making mechanisms.

The wider process of modernisation has been inspired by the reforms following the pervasive wave of New Public Management (NPM) (Hood, 1991 ; Lapsley, 2009 ; Pollitt, 2007 ) and in subsequent movements such as New Public Governance (Osborne, 2006 ). From this perspective, there has been increasing focus on the need to strengthen the governance of public organisations by providing them with strategic tools able to support decision-making processes and, at the same time, the need to appropriately monitor the efficiency and effectiveness of the services offered, ensuring transparency in administrative actions and accountability (Broadbent & Laughlin, 2009 ; Jansen, 2008 ).

The reforms of university governance in Italy culminating in Law 240/2010 (the so-called “Gelmini reform”), which is characterised by a centralised and top-down structure and by considerable uncertainties regarding certain central nodes of the new governance envisaged for universities, are set in this context. In this sense, the analyses carried out attempt to distinguish between the systemic governance orientation, which concerns the contextualisation of universities in their affiliation to the public sector, and specific university governance, which is more focused on examining the tools available for internal decision-making and organisational mechanisms.

The reform of universities has increasingly encouraged the definition, from a multi-year perspective, of development guidelines, pushing for the implementation of a planning process and, at the same time, introducing a performance management cycle, similar to other public administrations. In fact, the regulations for university planning have concerned the adoption of a Three-Year Planning Document (TYPD), which can be revised annually, consistent with the ministerial guidelines that divide the specific objectives to be reached and the possible lines of action, alongside the related operational indicators. As documents with a strong strategic value, they assume therefore a central role in achieving the main objectives related to a university’s mission.

Seizing the opportunity related to regulatory changes, the most proactive universities have attempted to develop a real Strategic University Plan (SUP) with the same time horizon. This choice is part of a managerial dynamism that several universities have chosen to adopt by reconfiguring the tools and boundaries of strategic governance. In this way, they have been able to demonstrate the degree of the spread of “managerialism” within their complex organisational structures, which are required to support innovation but are often subject to constraints and rules that limit their action.

Simultaneously, the performance management cycle is being affected by another important three-year planning document, the Performance Plan (PP), which is a tool that should define the objectives, indicators, and targets of universities’ activities. The PP establishes the main elements for the annual measurement, assessment, and reporting of performance, which, at the end of the year, should be expressed in the Performance Report (PR).

In this context, this paper investigates the link between the two dimensions (strategic planning and performance management) within universities by answering the following research question: to what extent do strategic planning tools contribute to performance management systems and, vice versa, to what extent can performance management systems help in the reshaping of universities’ strategies?

The remainder of this paper is organised as follows. Sections 2 and 3 provide a review of the relevant literature regarding the topics of strategic planning and performance management, respectively, both starting from public sector organisations in general and then focusing on universities in particular. Section 4 details the research methodology adopted. Section 5 presents the results of the analysis conducted for the three case studies. Finally, Section 6 discusses the results and presents the conclusions.

2 Strategic planning in public sector organisations and universities

The use of a strategy in public sector organisations, while the focus of significant debate in the literature, has met with broad consensus regarding its implications for performance. In particular, this has happened at a time when the functioning of public organisations has attracted the attention of results-oriented management. Recent studies in this field confirm that “managerial autonomy” and “result control” have independent and positive effects on an innovation-oriented culture in public sector organisations (Wynen et al., 2014 ).

In order to establish trajectories and make objectives measurable, strategic guidance and co-ordination instruments are needed. According to Boyne and Walker ( 2010 , p. 186), “strategy is believed to set a direction for collective effort, help focus that effort toward desired goals, and promote consistency in managerial actions over time and across parts of the organisation”. Indeed, the focus has been on using strategic planning as a precursor to the implementation of a more pervasive, process-oriented approach, such as strategic management. Although strategic management is often discussed as an extension of strategic planning, and the two terms often are confused and used interchangeably, they are by no means synonymous (Poister & Streib, 1999 ).

Strategic planning has been defined as a disciplined effort to produce fundamental decisions and actions that shape and guide an organisation (Bryson, 1988 ). It blends futuristic thinking, objective analysis, and the subjective evaluation of goals and priorities to chart future courses of action that will ensure the long-run vitality and effectiveness of the organisation. According to Bryson and Edwards ( 2017 , p. 320), “strategic planning consists of a set or family of concepts, procedures, tools, and practices meant to help decision makers and other stakeholders address what is truly important for their organisations and/or places”. The underlying assumption that drives public organisations to use strategic planning is often considered to be that it guarantees a result-oriented approach and better performance.

However, the relationship between strategic planning and strategic management needs to be further investigated and understood. In its broader vision, the system considers strategic planning as the first step in a model oriented towards the measurement and evaluation of results. In particular, in public sector organisations, the use of strategic plans is a way of reducing the political-institutional meaning of choices through strategic guidelines and objectives. In this sense, the strategic plan enables the application of performance management.

Strategic planning is normally considered the main element, but not the essence, of strategic management, which instead uses several phases considered outside of the realm of planning (in the strictest sense of the term) that are related instead to resource management, the implementation of activities and processes, and control and evaluation (Bryson, 2011 ; Poister & Streib, 1999 ). Strategic planning should be understood as a set of concepts, processes, and tools to determine “what an organisation is”, “what an organisation does”, and “why it does it” (Bryson, 2004 ).

From this perspective, strategic planning has been widely used in strategic management applied to the public sector (Barzelay & Jacobsen, 2009 ; Bryson, 2011 ; Poister & Streib, 2005 ). In addition, strategic management tools, such as the balanced scorecard (Kaplan & Norton, 1996 ) and strategic mapping (Kaplan & Norton, 2000 ), have proven to be particularly useful in the public sector because they are able to make the public value more perceptible for the various stakeholders (Talbot, 2011 ).

Since its conceptualisation in the 1960s (Bolland, 2020 ), strategic management has become a diversified field that ranges from the analysis of strategy in businesses to that of strategies in non-profit organisations and the public sector. Its adoption was partly a response to environmental turbulence in the 1970s, which made the traditional planning approach antiquated, and partly a reaction to the non-functioning of some management models, such as the Planning, Programming, and Budgeting System (PPBS), with strong demands in terms of information processing and management capacity (Johnsen, 2015 ). Since the 1980s, therefore, public sector organisations have also begun to make more consistent use of strategic management concepts and techniques and it is now common in the public sector in many countries and at different levels of government (Boyne & Walker, 2004 ; Bryson et al., 2007 ; Poister & Streib, 1999 ).

According to Poister and Streib ( 1999 , p. 308), “effective public administration in the age of results-oriented management requires public agencies to develop a capacity for strategic management, the central management process that integrates all major activities and functions and directs them toward advancing an organisation’s strategic agenda”.

While it is assumed that organisations in general will attract the attention of different stakeholders, it is important to consider how public sector organisations are by their very nature more prone to political processes than other organisations, thus needing to use tools such as stakeholder analysis to analyse actors, interests, and power relations, as well as to find ways other than business to motivate employees (Wright & Pandey, 2011 ) and associates. This is appropriate when the use of documents with a strong strategic purpose becomes part of the set of tools available to public organisations, comprising elements, structures, and methods borrowed from those used in for-profit organisations.

As far as universities are concerned, starting from the 1990s, studies such as that of Conway et al. ( 1994 ) have emphasised the importance of the role of users in defining strategic plans and, in particular, of students in outlining the mission of tertiary education organisations, as well as from a competitive point of view in relation to the surrounding environment; more generally, some contributions have highlighted how to shape a process of mid- to long-term planning in universities (and why this is necessary) (Holdaway & Meekison, 1990 ; Lerner, 1999 ; Rowley, 1997 ). More recently, some studies on the theme have focused on specific territorial contexts, confirming the close link between strategy and the reference environment (Howes, 2018 ; Kenno et al., 2020 ; Luhanga et al., 2018 ; Moreno-Carmona et al., 2020 ; Mueller, 2015 ). With reference to the relationship between the strategic dimension and performance, strategic management is certainly at a higher level and can be interpreted as a performance management process at the strategic level (Poister, 2010 ). The role of strategic management focuses on the actions to be taken to position the organisation so that it can move into the future, while performance management is largely concerned with the management of current programs and current operations. Performance management in public organisations, specifically in universities, will be discussed in the following section.

Traditionally, because of the specific nature of their activities, universities have been considered different institutions from businesses and other public sector organisations. For this reason, studies on universities have, for a long time, not focused on how they operate, how they are managed, or how they conduct their decision-making processes. In these organisations, inputs, outputs, and outcomes are often not clearly established and consequently the measurement system appears severely limited. In the late 1990s, a pioneering study aimed at detecting the presence of strategic planning in European universities found that just over half of the universities surveyed had strategic plans in the form of written documents designed to prioritise objectives; in most cases, however, the strategic plans had an incentivising rather than a prescriptive function (Thys-Clément & Wilkin, 1998 ).

Although the literature on university strategies is not still well developed, some studies have shown that the mere focus on strategic planning in practice may not be particularly relevant. Such practice would be resolved in verifying that the goals achieved fit the objectives. It would, therefore, have a formal or neutral role. Other studies have proposed strategic planning as an indispensable tool for improving performance in these organisations, with particular reference to colleges and universities (Cowburn, 2005 ; Dooris et al., 2004 ; Fathi & Wilson, 2009 ; Ofori & Atiogbe, 2012 ).

In addition, applied proposals to implement performance measurement systems appear to be applicable and capable of measuring the achievement of results in these organisations (Johnes, 1996 ; Johnes & Taylor, 1990 ). The higher education literature identifies several limitations in higher education performance: the lack of data availability; the presence of too many indicators that are not particularly useful in representing performance; and confusion between input, processes, and outcomes (Layzell, 1999 ).

Because of their specific nature, universities would require as a priority “models and systems of strategic awareness, management and progress that recognize the issues, contexts and processes that actually shape their strategic change” (Buckland, 2009 , p. 533).

3 Strategic implications for performance management in public sector organisations and universities

Strategic planning and performance management are closely interconnected. In fact, if on the one hand it is difficult to achieve good results without an adequate strategic planning process, on the other hand it would make no sense to define mid- or long-term objectives, and the corresponding operational actions, without then verifying if, how, and to what extent they have actually been met and what results they have produced (Bryson, 2003 , 2004 ).

Despite this indisputable link, research in public management has mainly focused on performance rather than on strategy (Cepiku, 2018 ). This is probably due in part to the reforms that, over the last 30 years, have introduced this concept (of Anglo-Saxon origin) into the public sector by increasingly formalising its reporting (Bouckaert & Halligan, 2008 ).

Performance measurement (and management) systems are normally aimed at identifying performance targets, enabling the assessment of individuals, and informing managers when to take action to prevent deterioration in performance or when it becomes apparent that targets have not been met (Neely et al., 1994 ). The result is the need for organisations to allow the performance measurement system to support the achievement of objectives and the efficiency and effectiveness of the strategic process.

Several contributions have focused on performance management in the public sector in general (Arnaboldi et al., 2015 ; Broadbent & Laughlin, 2009 ; Cepiku et al., 2017 ; Dal Mas et al., 2019 ; de Bruijn, 2002 ; Jansen, 2008 ; Kearney & Berman, 2018 ; Lee Rhodes et al., 2012 ; Van Dooren et al., 2010 ; Van Dooren & Van de Walle, 2016 ). Others, however, have dealt with the topic of performance in specific public organisations. To name just a few, Smith ( 2005 ) analysed the topic in the healthcare sector, Mussari et al. ( 2005 ) discussed the performance of local public companies, Grossi and Mussari ( 2008 ) attempted to identify the possible different dimensions of local governments’ performance, Cohen et al. ( 2019 ) focused on the relations between local government administrative systems and their accounting and performance management information, highlighting the existence of a mismatch between the two, Bracci et al. ( 2017 ) examined the implementation of a performance measurement system in two public entities, Papi et al. ( 2018 ) elaborated and tested a model for measuring public value in a municipality, and Xavier and Bianchi ( 2020 ) investigated how performance management systems can support governments in crime control.

These studies have sometimes highlighted the important difference between performance measurement and performance management systems (Arnaboldi et al., 2015 ; Broadbent & Laughlin, 2009 ). In fact, the effort to translate results into numbers should not be a mere bureaucratic exercise but should result in the opportunity to use these data to improve the provision of services to the public (Jansen, 2008 ; Van Dooren & Van de Walle, 2016 ).

On this point, Bouckaert and Halligan ( 2006 ) specified that a complete performance management system should follow a logical sequence with three main steps: (i) measuring; (ii) integrating; and (iii) using. Merely measuring, which means collecting and processing performance data into information, is insufficient if such information is not incorporated within a broader system of documents, procedures, and discourses and subsequently used to improve decision-making, strategies, results, and accountability.

Incorporation, which is what this paper investigates, deals with including performance information in the policy, financial, and contract cycles (Van Dooren et al., 2010 ). Specifically, the policy cycle starts from the strategic plan (which defines major objectives and targets for resources, activities, outputs, and outcome), continues with the implementation, then the monitoring, followed by the evaluation (the reports from which incorporate performance information), and this feeds into the next strategic plan. The financial cycle includes budgeting and is ideally embedded in the policy cycle.

Regarding performance in higher education, this theme has attracted the attention of many scholars who have investigated the peculiarities of performance measurement tools in universities (Balabonienė & Veþerskienė, 2014 ) or how they are applied in some territorial contexts. For example, Higgins ( 1989 ) explored the case of British universities, Modell ( 2003 ) dealt with the subject in Swedish tertiary education, Guthrie and Neumann ( 2007 ) outlined the establishment and mechanisms of a performance-driven Australian university system, Ter Bogt and Scapens ( 2012 ) focused on the case of the universities of Groningen in the Netherlands and Manchester in the UK, Kallio et al. ( 2017 ) emphasised the problems of measuring quality aspects in academic work in the Finnish case, and Dobija et al. ( 2019 ) provided experiences from Polish universities. These contributions highlight that different types of performance management are used in universities and that its scope varies among different actors, depending on diverse external and internal factors. Moreover, measuring performance is difficult in knowledge-intensive organisations, where quantitative indicators may fail in catch the complexity of such institutions. Often, performance management is adopted by a university simply to comply with regulations or gain external legitimation, rather than to make a real change in the use of resources to the enhance efficiency and effectiveness of their activities.

Aversano et al. ( 2017 ) examined the evolution of performance management systems in the university context. Their study confirmed that, beyond the desired intentions, the focus is still strongly on the production of the data rather than its use to provide a holistic view of university performance that can guide strategies, programs, and activities.

Moreover, as pointed out by several authors (Bower & Gilbert, 2005 ; de Bruijn, 2002 ; Francesconi & Guarini, 2018 ; Goh et al., 2015 ; Van Thiel & Leeuw, 2002 ), one of the distinctive characteristics of strategic planning and performance management in public organisations, including universities, is connected to the issues encompassing resource allocation and budgeting practices. In fact, assigning adequate resources through the budgeting process is crucial in order to translate strategic objectives into operational objectives. Further, a feedback loop exists as, especially in recent years, the results achieved (as measured via performance management) are increasingly used by the governance body in decision-making related to budgeting.

Recently, Deidda Gagliardo and Paoloni ( 2020 ) took a snapshot of the state of the art of performance management in national universities, highlighting its strengths and weaknesses as well as predicting future challenges.

Examining the Italian context, the Italian experience has been marked by a reform in 2009 (Decree no. 150/2009), which highlighted the inadequacy of existing planning and control systems, as well as the absence or insufficiency of mechanisms for measuring and managing performance in public sector organisations. Nevertheless, to date, there remains no empirical evidence of the concrete usefulness of the tools introduced and their effective capacity to produce improvements in terms of effectiveness and efficiency in public administrations (Arnaboldi et al., 2015 ).

As illustrated, academic literature on the two research topics (strategic planning and performance management in universities) taken in isolation is quite extensive. However, the review of the literature highlights how few contributions directly link the two streams of research, looking for their interconnections (Biondi & Cosenz, 2017 ; Campedelli & Cantele, 2010 ; Cosenz, 2011 ; Francesconi and Guarini, 2018 ). In particular, the study conducted by Bronzetti et al. ( 2011 ), examining the planning methods of Italian public universities and analysing the related strategic plans under the dual dimension of process and content, identified as a future study trajectory the need to investigate the use of this document for decision-making purposes also in relation to the PP. The current paper attempts to join the debate by answering this call.

4 Methodology

In order to address our research question, this paper adopts the case study as a qualitative approach. Case study research is described as a method with which: “[…] the investigator explores a real-life, contemporary bounded system (a case) or multiple bound systems (cases) over time, through detailed, in-depth data collection involving multiple sources of information, and reports a case description and case themes. The unit of analysis in the case study might be multiple cases (a multisite study) or a single case (a within-site case study).” (Creswell, 2013 , p. 97).

Our analysis is carried out through a comparative study of the strategic planning tools and their degree of influence on the performance management systems of three Italian state universities, identified as case studies.

We applied a multiple case studies methodology with an exploratory purpose to understand “how” and “why” certain phenomena occur in a specific economic-social context (Stake, 2005 ; Yin, 2003 ).

Our decision was also motivated by interest in analysing both the single universities in detail and comparatively, in order to investigate similarities, differences, and patterns across the cases (Gustafsson, 2017 ). In this sense, the analysis is also comparative (Yin, 1993 ).

The choice of cases was driven by selecting universities that have been early adopters of these planning tools, thus being pioneers in the Italian context. This made it possible to carry out a longitudinal study for at least two complete planning cycles, highlighting their development characteristics from a temporally consistent perspective (Pauwels & Matthyssens, 2004 ). Although each university examined belongs to a different complexity group according to a recent classification (Rostan, 2015 ), the choice of strategic planning was unrelated to this dimension.

The study was based on the same level of observation, focusing on how the three universities proceeded with the introduction of the strategic planning system over time and which framework they have been using to link it to the performance management system. For all three universities, the analysis took as reference at least two programming cycles, albeit with a different time horizon.

The analysis is supported by the different context and dimensional variables of the three universities (see Table  1 ). These universities are differentiated by year of foundation (one founded in the second half of the nineteenth century, the other two more than a century after), by being located in different geographical areas (North, Central, and South Italy) and therefore having different direct competitors, as well as by size, in terms of student population, departmental articulation, active study courses, tenured teaching staff, and technical-administrative staff.

The research design is structured into different phases. Initially, we created an interpretative framework that could homogeneously highlight the areas under investigation. Hence, the variables that could better highlight the elements characterising the three universities were identified. Subsequently, the three case studies were reconstructed and illustrated. To this end, data were collected through a triangulation of sources. First, we carried out a documentary review of secondary sources, namely institutional documents (Corbetta, 2003 ) pertaining to strategic planning and the performance management cycle of the three universities. Specifically, we reviewed:

three-year planning documents;

strategic plans;

three-year and annual budgets;

reports on periodic monitoring;

performance plan and/or integrated plans;

performance reports;

minutes of the meetings of the academic bodies; and

quality manuals.

These documents are publicly available from the institutional websites of the universities.

Subsequently, evidence was complemented using primary sources, namely semi-structured interviews (Longhurst, 2003 ; Qu & Dumay, 2011 ). The interviews were with academic administrative managers involved in the strategic planning and performance management processes, and who actively participated in the drafting of these documents in each of the universities investigated. The interview protocol was based on open questions agreed by the authors, aimed at investigating “how” and “why” these processes have been developed over time. The answers helped the authors to understand the content of the documents and the dynamics underlying their elaboration.

Evidence gathered from the three case studies is presented according to the following structure, aimed at facilitating the comparison and highlighting the peculiarities among them:

the development of strategic planning process;

articulation and content; and

linking strategic planning with the performance management cycle.

5.1 The development of the strategic planning in the three cases

The three case studies may be considered as early adopters of a structured strategic planning process, in line with the relevant regulation (Law no. 240/2010). However, they have different starting dates. The first SUP of University A was issued in 2012 (although the process began in 2010), while University B’s first SUP was issued in 2013. University C can be considered not just a pioneer but a precursor of what the regulation would require, in that it started the formalisation of its planning process even before the reform came into force, in 2009.

University A’s SUP was entitled “Towards 2018” to symbolise the far-sightedness of a vision aiming for strong innovation. In the preface, according to the Rector’s assertion, the document represents a challenge to enable the university to “ compete and collaborate, with the most prestigious universities to fulfil all three of its institutional missions: research, teaching, and innovation ” (SUP 2012–2014, p. 1).

Since its inception, the SUP has been considered a document to support the Rector in his mandate by involving the top management of the organisational structures considered crucial for the university regarding its preparation (from the central structure to the individual departments, schools, and research centres). A special team was created to work on this, comprising an internal expert in corporate strategy and various collaborators. This team was also supported by the “Planning and Evaluation” Office, an organisational unit of the “Strategic Planning and Programming” area. The SUP of University A is, therefore, the result of meetings, discussions, and comparisons with the main competitors, which creates a shared strategic view of the governance of that university. Creating such “shared strategic ambition” is fundamental to mapping the strategic paths to be adopted and makes it possible to consider the plan as an actual guiding document for the university, shared by all the organisational units.

Hence, the strategic planning process of University A passes through several stages. As mentioned above, the first stage involves mapping the strategic ambition of the main subjects in charge of the university’s governance (phase 1) to verify their degree of alignment (phase 2). These two “interlocutory” phases are followed by an “objective” analysis of the internal and external environment (phase 3) to verify, in the case of conflicting subjective perceptions regarding a topic or objective, which is the correct one, but also in case of agreement, to test the validity of the concordant “subjective” perceptions. In the opinion of those who have experienced it first-hand, this is a critical “dialogical” stage in which different actors participate and discuss to reach a joint agreement. This makes it possible to reach a greater degree of alignment (phase 4) on which University A’s strategic goals should be based, which are then submitted for the attention of stakeholders before creating the final draft of the plan (phase 5). Moreover, University A has also used external consultants for specific aspects of the plan for which there was no in-house expertise.

Regarding University B’s strategic planning process, this happens in a somewhat different way. In fact, the starting point of the process is not the SUP but the TYPD. The TYPD is issued by the Rector considering the programmatic indications coming from the relevant Ministries, the proposals of the Academic Senate (SA), and the indications of the Evaluation Board. The TYPD is part of a multi-year planning process that aims to achieve the university’s effective strategic governance and management. The TYPD is an act of political direction since, drawing inspiration from the university mission, it illustrates the reference values of the government action and, from them, at the strategic level, the general objectives to be pursued regarding the typical institutional functions (research, teaching, third mission), as well as the transversal and support functions (personnel, construction, communication). The planning process then continues with the drafting of a SUP. This document defines in a more concrete and detailed way what is reported in the TYPD. In the preparation of such a document, the Rector is assisted by the Vice-Rectors (covering the areas of: teaching; research; university networks; schools, societies and institutions; relations with the labour market; innovation and technology transfer; infrastructural and workplace safety policies; and relations with university governing bodies and regulatory matters). From the analysis of the last TYPD and SUP, a link emerges between these two strategic planning documents and the document that formalises the performance cycle [called the Integrated Plan (IP), which will be discussed later]. In fact, it has been established that the SUP will undergo a periodic review, and that the TYPD itself may undergo revisions, on an annual basis, concerning the preparation of the IP.

However, the planning process seems less structured and participatory than in University A. As required by the regulations, and as confirmed in the words of one of the managers interviewed: “ The political office is responsible for political guidance, while the administration is responsible for administrative management and assists the political office. On the one hand, the SUP and TYPD are both policy documents and are, therefore, within the sphere of competence of the governing bodies. They are drawn up by the Rector and Vice-Rectors, and then approved by the Board of Directors. On the other hand, the Integrated Plan is an administrative document .”

Nevertheless, it is likely that the Vice-Rectors informally consult the General Director (GD) also regarding the definition of strategic programming documents.

Another difference from University A is that, in University B, the entire process is carried out internally, without involving external consultants. Moreover, we did not find any evidence regarding periodic monitoring of the SUP at University A. In contrast, University B draws up an intermediate monitoring document to check to what extent the objectives have been achieved and, if necessary, to modify decisions and actions. This check takes place one and a half years after the approval of the SUP. A final report is then issued at the end of the three years. While the strategic planning process is top-down (since once the SUP is approved, the departments have to draw up their own strategic plans), drafting the report on the implementation of the SUP is a bottom-up process. Each structure, starting from its strategic plan, verifies in itinere the achievement of the objectives for teaching, research, and the third mission, respectively. These reports are then consolidated and summarised at the central level by the relevant Vice-Rectors.

Moving on to the strategic planning process of University C, as highlighted, this is the university that started the formalisation of its planning process earliest, in 2009. The first SUP had a time horizon of five years and included the triennial strategic guidelines (2010–2012). This is a peculiarity in comparison with the other cases, in that the TYPD is not a separate document but embedded in the strategic plan itself.

As declared in the document, the process to issue the SUP involves much participation and different actors are engaged (like University A). In fact, the aim is to gain consensus among all the university’s stakeholders (students, academics, administrative staff), support the governance, and facilitate decision-making processes and activities, based on participation and shared ideas (SUP 2010–2014, p. 4). This first document was drawn up by a Commission made up of delegates and experts, with an advisory and consultative function of the Rector, with a specific mandate to support the preliminary stage of the university’s strategic planning documents. The document was then presented to the university’s governing bodies, ultimately incorporating the requests that emerged from its public presentations. As stated by an interviewee: “ The whole academic organisation is involved in providing the data; departments have also to adapt their strategic plan to the university’s plan ”.

This path of elaboration, redefinition, and involvement, although taking more time than expected, enhances legitimation, and strengthens consensus regarding its strategic vision by defining quite detailed and shared lines of action. For University C also, the entire process was carried out without involving external consultants.

The drawing up of this document started from the analysis of the university’s current situation, measured through the principal indicators adopted for the assessment of the university system. At the same time, the SUP considered the need for financial sustainability and enhanced efficiency and effectiveness of the university’s activity. Coherently, the delegate of the Rector for strategic planning pointed out that the main objective of University C for the next five years was enhancing the quality of performance by reducing costs and increasing revenues.

In the preface of the document, written by the Rector, we learn that the SUP will also assist in providing the main variables to be used in the next triennial strategic guidelines. In fact, the Ministry assesses and finances higher education entities based on their performance indicators and their improvement according to the objectives. This is an interesting point, which highlights a strong link between the SUP and the triennial strategic guidelines: the strategic plan initially includes the previous triennial strategic guidelines, and at the same time, conversely, is the basis for extracting information to create subsequent guidelines. Moreover, as we will see better later, the SUP also refers to the IP.

Unlike University B, the achievement of objectives is not periodically evaluated, or at least it is not formalised in any way.

5.2 Articulation and content of the documents in the three cases

The three case studies show the SUPs’ different approaches and content. These differences depend on the meaning that each university has given to the SUP, what the motivation is, and what the relationship is with the TYPD. The relationship with the latter is, in fact, a conditioning factor for the entire content of the SUP.

In University A, as already mentioned, the process of formulating the SUP began with several meetings and discussions to map and compare the subjective perceptions of the main subjects in charge of strategic governance (Rector, Vice-Rectors, Faculty Chairs, chairman of the Board of Departmental Directors, GD). To formulate a document involving the strategic nodes of the university’s future, several critical variables were considered regarding the definition of a common strategic ambition: internal structure; external structure and specific context (sector, competitors, potential entrants, complementary companies, customers, suppliers, financing bodies, communities, etc.); mission and vision; internal and external objectives; and strategies and three-year actions. As highlighted in the methodological attachment to the SUP 2012–2014 (p. 3), this document, which precedes all forms of planning and programming for the whole organisation, has been designed in such a way that it can be linked to the strategic guidelines identified, the TYPD, and the PP.

People involved were asked to describe in narrative terms their perception of University A’s strategic ambition, based on which a strategic map was created, leading ultimately to the issuing of the final SUP. The final version was based on the identification of ten objectives to be achieved through specific strategies: strategic reorganisation of research and educational activities; improving University A’s local, national, and international visibility; integration with other close universities and higher education institutions; integration with the territory; improving University A’s student services and attractiveness; enhancing the teaching staff’s potential; enhancing the technical and administrative staff’s potential; reorganising the internal structure; providing new and better spaces; and assuming a transversal sustainability orientation.

As well as focusing on the three macro areas (teaching, research, and third mission), this document also examines each objective in relation to strategies achievable through specific actions (measured via indicators).

The second strategic planning experience was developed under different conditions and initially appeared to have fewer expectations. Moreover, governance conditions had changed [turnover of the Rector and Board of Directors (BoD)] and the change in the SUP’s style appeared to be an element in distancing itself from the previous approach, while maintaining a common basis.

This emerges clearly from examining the document and the responses gathered from those who collaborated in drafting both SUPs.

The second SUP was also developed through a co-owned process that involved the entire academic community and took place in two phases. This is a completely different document, less voluminous in its content and without any methodological details, although the approach has changed.

The first phase was dedicated to identifying the university’s objectives by sharing strategic guidelines and defining the actions to be pursued in 2016–2020. The Vice-Rectors were primarily involved and, in collaboration with the reference structures, helped identify the primary objectives and strategies by dedicating ample space for all the university’s components to collaborate. The second phase was aimed at systematising the collected material, clearly defining the vision, mission, objectives, strategies, actions, and monitoring indicators, and subsequently preparing the final document.

In this sense, the interviews show that the strategic planning in these different periods was emblematically the reflection of the two different styles of governance. In the first SUP, the university wanted to demonstrate strong choices and changes, justified by work carried out with a scientific method but that also ended up creating important breaking points within the organisation. The second SUP focused more on the concept of inclusion, utilised a different leadership approach, focused on objectives other than transversal, and focused on the central administrative apparatus’s functioning. The structure of the document was based on the identification of five macro-objectives: promoting impactful research; creating a transformative study experience; acquiring an international dimension; acting as a catalyst for innovation; and guaranteeing a sustainable academic future. Subsequently, each macro-objective was broken down into objectives for which strategies and actions were identified, confirming the structure followed in the first SUP.

In University B, the SUP is divided into three separate sub-documents in more detail: a Strategic Research Plan (SUP-R); a Strategic Teaching Plan (SUP-D); and a SUP for the Third Mission (SUP-TM). These plans were prepared by the Vice-Rectors; in particular, as far as the third mission is concerned, University B has decided to establish three Vice-Rectorates who together promote and monitor: innovation and technology transfer activities; relations with schools, companies, and institutions (so-called public engagement); and relations with the world of work. As stated by an interviewee: “ The idea behind the choice of the strategic plan, articulated by areas, is to favour comprehensiveness, taking care of each area of detail. The strategic plan must be firmly linked to the lines of academic innovation; it also requires to be based on a broad consensus implemented through an increasingly participatory and inclusive procedure, involving the collegiate governing bodies, departments and schools. ”

Unlike the other two cases, which are more deeply rooted in time, the first SUP relates to the period 2015–2017, while the following SUP refers to the 2018–2020 three-year period. Analysing the two documents from a longitudinal perspective, they are identical regarding the division into the three macro-areas with which the university is concerned (this division was agreed at a central level in adherence with the three institutional activities). However, there are small changes in structure and content, partly due to natural refinements in preparing the document, and partly resulting from a change in governance (Rector and Vice-Rectors). As far as the SUP-R is concerned, its structure mirrors the two programming cycles, defining the general strategic objectives starting from the TYPD, which in turn are then translated into specific strategic objectives for which indicators are identified and actions to support them are suggested. The SUP-D, in its first formulation, after explaining the mission and vision for teaching, indicated objectives, actions, and monitoring/success factors. The second version, however, begins with the formulation of the overall strategy for the university’s didactics, moving to an “as is” analysis based on data derived from the university’s Indicators Sheet (made available by ANVUR, the Italian National Agency for the Evaluation of the University and Research Systems) to identify strengths and weaknesses, subsequently identifying four general “strategic objectives” (called “general lines”), each with (specific) “objectives” and “actions”. The SUP-TM has undergone major changes in the transition from one three-year period to another. In its first formulation, the SUP-TM 2018–2020 was a descriptive report of the initiatives conducted by the university (e.g. activities related to lifelong learning, the Palladium theatre, the Job SOUL platform, summer schools, and social reporting); the SUP-TM 2018–2020 is much more structured, articulating the three established Vice-Rectorates’ third mission areas and indicating for each of them the general strategic objectives (called “lines of intervention”), outlined in actions and a proposal of indicators for evaluating their achievement.

There is no direct evidence of how the Vice-Rectorates proceeded operationally in elaborating the individual plans, although in his policy document the Rector encouraged a “participative” process and, from the minutes of approval of the last SUP by the SA and the BoD, it can be seen that: “ the document is the result of collective work, which has been widely participated and shared ”.

It is only in the SUP-TM 2018–2020 that it is clearly stated that, in order to draw up the document, “ it was considered appropriate to schedule meetings with the individual Departments with the intention of carrying out a complete survey of the experiences and good practices in progress, as well as to submit the main strategic lines represented here, in order to gather possible stimuli and suggestions for improvement from the departmental realities that have so far largely contributed to the development of the Third Mission ” (SUP-TM 2018–2020, p. 40). The data appear to be important as they show how the content of the document is the expression of sharing and participation with the individual departments representing the main driving force of the university, despite their autonomy.

The administrative bodies also participated, as it emerged that the Vice-Rectors, despite having prepared their respective plans without consulting the offices, informally consulted the GD and various structures. This is evident both from the interviews and the minutes mentioned above, where it is stated that the Rector, in addition to thanking the Directors, also thanked the GD as well as the BoD “ for having contributed effectively, each for the aspects within his or her competence, to the drafting of the Plan ”.

In University C, regarding the first document issued in in 2009, by integrating the strategies outlined in the triennial strategic guidelines, the Rector declared: “ The document outlines the roadmap of the university’s actions in the main areas, namely education, student services, research and knowledge transfer, internationalisation, human resources, organisational structure and building plan ”.

The initial aim was to address areas considered of absolute strategic importance, i.e. the three macro-areas (teaching, research, and the third mission), focusing on describing the university, context analysis, and identifying objectives and related targets and indicators. This immediately clarified the meaning to be given to the instrument. Transversal to the whole document, in contrast to the other two cases considered, is the financial dimension and the link between objectives and the forecast of financial flows in and out. As claimed by an interviewee: “ The key point for the university is the improvement of all the university’s performances in relation to parameters of the ordinary financing fund, parameters of the three-year plan, but also to all those parameters that can bring the university back to a better position in national and international rankings ”.

The SUP is articulated in different sections. It begins by describing the university (number of students, professors and lecturers, administrative staff, etc.) and then illustrates its situation “as is” through a SWOT (Strengths, Weaknesses, Opportunities, and Threats) analysis. The SWOT analysis represents the starting point for the elaboration of the SUP. The SWOT analysis, used as a method to define strategy, focuses primarily on the following points: training, student services, and internationalisation; research and knowledge transfer; and human resources.

Consequently, the document then highlights seven “strategic lines” of interventions: teaching; students services; research and knowledge transfer; internationalisation; human resources; organisational structure; and building plans. For each strategic line, different indicators are derived from the current legislative regulations. Finally, a summary table synthesises objectives, actors, starting year, and human and financial resources allocated for each strategic line.

In the conclusions, the Commission states that the plan is intentionally concise, and it is not further expanded on or detailed in order to allow the governing bodies to define methodologies and responsibilities for implementation. It is also stated that an essential condition for initiating, sustaining, and continuing the process is a control both for the implementation and monitoring of the plan.

The second SUP shortens its time horizon to three years (2014–2016). The document appears less readable, has no summary, is full of tables, and has few descriptions. It includes again a SWOT analysis and subsequently describes the strategic lines, which are almost the same as in the previous SUP. However, unlike the previous SUP, it does not contain a summary table with the objectives, actors, timing, and resources for each strategic line. Moreover, no final considerations or conclusions are displayed; there is only an initial page, written by the delegate for strategic planning, quickly commenting on “how” what they planned in the SUP 2009–2013 had been achieved, and stating that the university had to manage the shortfall, which was worse than expected. Overall, it considers that the general objective of “ enhancing the quality of performance by reducing costs and increasing revenues ” was achieved.

This document appears to be less focused than the first plan and was probably less participatory.

The SUP 2016–2018 starts with the macro-objectives for the following three years: enhancing the quality of teaching, research, and internationalisation; increasing commitment toward the third mission; and pursuing and implementing the university’s quality assurance system. Again, it opens with an analysis of the context, subsequently identifying the strategic lines: didactics; student services; research; internationalisation; third mission; and staff required. For each there are now clearly highlighted objectives, related actions, and coherent indicators. The document also appears to be more understandable thanks to summary tables for each strategic line.

The current SUP (2019–2021) is the shortest in length (35 pages). It appears as an extract from the minutes of the BoD. Both the format and the content are similar to the previous SUP. The only significant difference relates to the strategic lines, with the inclusion in the summary tables of a column highlighting the target.

From the documentary analysis of University C and the interviews, it emerges that there is no real TYPD among the planning documents. The triennial strategic guidelines are somehow included in the SUP. This entails that it is not easy to understand the relation between the two, i.e. whether the strategic planning documents’ strategic objectives are derived from the triennial strategic guidelines or vice-versa.

In all three cases, the SUPs were created in response to the needs arising from governance reforms and different decision-making and management tools at their disposal. In University A, the SUP’s adoption is more than a methodological and recognition exercise, as evidenced by the document that preceded the first concrete plan. The document also makes explicit the decision to promote integration between the TYPD and the PP, as opposed to between the SUP and the PP. This is largely different in Universities B and C, in which this relationship is more linear and the choice of the SUP, in addition to choosing explicit values, objectives, and expected results, becomes a choice of thematic areas on which to work pragmatically.

In University A, as the former Rector states in the prologue to the formulation document, “ the university has gone beyond the regulatory wanted to formulate a Strategic Plan to clearly define the values in which it believes, its mission values in which it believes, the mission it has set itself and, above all, its vision and related objectives, the strategies to achieve them and the necessary actions the necessary actions ”. In University B, although the methodological value of the preamble to the SUP explains the articulation of the components, the document immediately focuses on the three main areas (teaching, research, and third mission). In University C, the drafting methods, while providing an explicit methodological basis, identify various strategic lines, similar to University A.

5.3 Linking strategic planning with performance management in the three cases

From the analysis of the data gathered through the documentary analysis and the interviews, it is possible to attempt to identify a link between strategic planning and performance management systems in the three cases analysed, as well as with the allocation of financial resources.

In University A, as already mentioned, there is a kind of logical inversion between the two strategic planning documents, since the TYPD is a tool for implementing the SUP, through three-year actions. The opposite happens in University B, where the SUP is characterised as a document implementing the three-year strategic guidelines. Something different again happens in University C, where the SUP initially includes the previous triennial strategic guidelines, and at the same time, conversely, is the starting point to for defining subsequent ones.

In University A, the main document of the performance management cycle, the PP, refers to the TYPD. As the methodological document attached to the SUP indicates, “ TYPD and PP can be consolidated into a single document that, while distinguishing the specific areas of intervention, leaves no doubt about their common starting point: the strategic ambition of the University ” (Methodological attachment to the SUP 2012–2014, p. 3). The PP 2014–2016, therefore, explicitly refers to a cascading system between the SUP, the TYPD, and the PP, confirming, on the one hand, the regulatory obligation and, on the other hand, the need to link the planning of activities to the degree of response from the organisation in its various components. The TYPD represents, in terms of continuity and the cascading of objectives, the link between the strategic objectives defined by the SUP and the operational objectives of the individual organisational structures of the university identified by the PP. In other words, the PP is the tool for implementing the TYPD. The PP, structured on an annual horizon (despite having a three-year duration), constitutes the reference for measuring results and assessing organisational and individual performance.

Unlike the strategic planning documents, the PP is prepared by the administrative staff. In University A, the individual organisational structures are required to propose operational objectives indicating: (1) the reference strategy identified within the SUP; (2) the perspective within which the identified operational objective is placed, concerning the eight perspectives identified by the TYPD; (3) the process overseen by the structure to which the objective refers; (4) a brief description of the objective and expected results; (5) the proposed indicator and its valuation with respect to the expected value; and (6) the financial resources allocated to the pursuit of each operational objective. Subsequently, the objectives of the PP are linked to the individual perspectives of the TYPD, such as the internal structure, teaching, integration with the territory, internationalisation, personnel, research, sustainability, and students.

Focusing on the development of the performance management system and the link with the strategic planning system over time, the document’s structure has been kept almost unchanged. However, after 2015, the idea of a document with a solid operational connotation, respecting the three phases of the performance cycle, became more generally accepted. At the same time, an increasing need was perceived to develop, in a systemic way, the planning of administrative activities in terms of performance, transparency, and anti-corruption. In this context, since 2016, the new guidelines have introduced the IP. As declared by an interviewee: “The intention has always been to keep the Strategic Plan separate from the performance management instruments, so that the Integrated Plan would draw on the objectives set by the Strategic Plan, but could also have a life on its own. We are aware that sometimes in other public sector administrations the Strategic Plan coincides with the Integrated Plan.”

The performance objectives identified in the IP, which are operational, are strictly linked to the strategic objectives contained in the SUP. The process for their definition follows two stages. In the first phase, the structures propose transversal objectives, shared by two or more organisational units; in the second phase, the structure objectives are proposed (individual, i.e. associated with a single organisational unit). The performance goals are divided into organisational performance goals and individual performance goals. The process of evaluating organisational performance is hierarchical and starts from the evaluation of the university’s performance based on the evaluation of those indicators related to economic and financial sustainability, scientific productivity, and internationalisation. The organisational performance of the departments, schools, and research centres is measured considering indicators related to research, teaching, internationalisation, and management efficiency. The PR closes the cycle, using the indicators provided by ANVUR.

In University B, the PP, whose first issuing was in 2011, from 2016 also started including information relating to transparency and anti-corruption, becoming an IP. The reason for that can be found in the words of an interviewee: “ The need to move from the PP to the IP derives from the need to avoid writing the same things in different documents or, vice versa, the risk of writing different things in the three documents (actually this has never happened in our university, since the documents were prepared by the same structure). Moreover, it is appropriate to have an IP because, in defining the managers’ objectives, they take into account different aspects (anti-corruption, transparency, efficiency). ”

This document is essentially aimed at the central administration, albeit with references to the university’s entire activity. The IP is drawn up by the office managers and the GD, while the structure that coordinates the entire process is the personnel area management.

As highlighted before, the IP concerns the administrative sphere and is an expression of how the academic organisation pursues its management objectives and implements its functions, in support of the political bodies, in achieving the strategic objectives of teaching, research, and the third mission, as reported in the planning process. The preparation of the IP, therefore, starts from the basic guidelines contained in the TYPD and the SUP and then, through various meetings with managers and top management, they are translated into operational objectives, which are subsequently translated into actions, indicators, and targets based on which performance measurement, evaluation, and reporting is carried out. This is clearly represented in the performance tree, a tool which, in a “cascading” logic, “graphically represents the links between strategic priorities, general strategic guidelines and operational objectives” (IP 2020–2022, p. 15).

While there was no clear link between strategic planning and performance management cycle in the past, University B’s last IP now displays an explicit reference to the SUP. In particular, the GD’s objectives (and related actions) derive directly from the strategic objectives set out in the SUP, while the managers’ objectives derive, in turn, from those of the GD, and therefore only indirectly from the SUP.

Finally, the closing document is the PR. The PR is drawn up by the GD annually, following a specific format. This document makes it possible to highlight the organisational and individual results achieved in relation to the expected targets regarding the individual planned objectives and resources.

The approach described for the IP is also confirmed in this document, i.e. a comparison is made with the strategic planning documents and, in particular, with the monitoring of the SUP, as well as taking into account the report that the GD prepares at the end of each year on management activities.

As declared by the GD during a meeting of the BoD: “ The IP has been really improved compared to the past, both in terms of editorial and content. This is thanks to the fruitful work of the managers involved. The IP demonstrates, in the best possible way, the ability to coherently correlate administrative activities with the planning policy documents adopted by the university […]. This document […] highlights the coherence between the university’s strategic planning system at the political level, the management activities, and the financial planning. ”

In line with the regulations, University C planned also to adopt a system of performance evaluation in 2010 by issuing the first PP for the period 2011–2013. However, on the institutional website of the university, we found an archive where the first PP is the one dated 2013–2015, so we do not have any information about the very first PP, except for the fact it was based on the application of the Common Assessment Framework (CAF) model.

In this document, a performance tree highlights the logical roadmap, which links the institutional mandate, the mission, the strategic areas, the strategic objectives (with their indicators and targets), and the operational plan (which includes operational objectives, actors, and resources). In the first PPs, three different strategic areas were identified: didactics; research; and services (then named the “Executive Plan”). The latter includes the objectives assigned to the GD from which are derived the objectives to be assigned to each manager, in addition to those arising from the strategic planning documents. However, we did not find an explicit link between these objectives and those of the SUP; instead, the document seeks alignment between the performance cycle and the financial reporting planning cycle.

By comparing the different PPs, it emerges that the strategic objectives related to the three strategic areas have changed over time. Moreover, while the strategic areas of didactics and research are under the responsibility of the political bodies, the strategic area of the Executive Plan is under the responsibility of the GD who, also through the other managers, is responsible for the correct management of the organisation, as well as for verifying its effectiveness and efficiency.

Another crucial strategic objective is transparency, which is directly related to the performance of the administrative activity and the best use of public resources; therefore, the objectives of the PP are closely related to the strategic and operational planning of the administration and are considered strategic for the university itself.

In the process of identifying the areas of intervention, different actors have been involved: the political body; the Rector; the delegates of the Rector in the areas of strategic planning, didactics, and research; and the GD, who in turn consults the managers involved. In order to gather and analyse the data, the self-evaluation committee and self-evaluation support group are also involved. The 2013–2015 PP concludes with the desire to improve the process both by anticipating the preparation of the plan together with the budget, and by better involving stakeholders and all delegates and managers and sharing with more actors the actions and strategies to be implemented.

Similar to Universities A and B, in 2016, the PP became an IP. The IP is organised in five sections:

The strategic framework of the university, where the main lines of development of the administrative activity are indicated, according to the strategic planning documents, the financial reporting planning documents, and the actions taken and to be taken.

The organisational performance, which constitutes the central part of the IP, which lists the objectives of the planned actions, the related monitoring and measurement indicators, and all those involved in administrative performance.

Analysis of risk areas, drawn up according to the guidelines provided by the Anti-Corruption Authority (ANAC), whereby the areas at risk of corruption are defined.

Communication and transparency, which specifies the actions that the university intends to promote in order to meet the requirements of transparency and contains the communication plans aimed at informing stakeholders about the results achieved by the university.

Individual performance, the last section of the plan, which describes the criteria that the university intends to adopt for the assignment of individual objectives, as well as for the evaluation and monetary incentives for technical-administrative staff.

In the IP 2016–2018, for the first time, an important attachment was added highlighting the links between the SWOT analysis and the SUP by creating a more direct link between strategic planning and performance management.

This link is strengthened in the IPs 2018–2020 and 2019–2022, where a specific section recalls the macro-objectives of the SUP and connects the strategic guidelines of the IP with them. The document explicitly states that, although the IP strategic guidelines do not precisely coincide in wording and number with those mentioned in the SUP 2016–2018, these strategic objectives derive from that document (IP 2018–2020, p. 12).

Further on in the document, it is reaffirmed that the link between the university’s strategies and the performance cycle is of fundamental importance: the relationship between strategic planning and performance management systems is expressed as a link between the university’s political perspective of development, set out in the SUP, and the management actions to be implemented to achieve the expected results, contained in the IP (IP 2020–2022, p. 17). As learned from an interviewee: “ The university in the last years has introduced a new planning process which aims to maintain coherence between the operational dimension (performance), the dimension linked to access and usability of information (transparency), and the dimension linked to access to information (transparency). Moreover, the more recent IPs aim for greater consistency with the strategic planning system, in that the objectives of the performance planning are in line with, and derive from, the objectives of the strategic planning .”

As literature highlights (Bower & Gilbert, 2005 ; Francesconi & Guarini, 2018 ; Goh et al., 2015 ), evidence confirms that the strategic planning and the performance management dimensions are strongly connected with the resource allocation in all three cases. In University A’s budget, we read that its “ formulation is carried out through a process in which the (strategic and operational) objectives of the University drive the resources allocation aimed at their achievement. It represents the translation of those strategic lines in monetary terms ” (Annual and Three-Year Budget, p. 8). At the same time, in the IP, we found a link between the budget and the performance cycle. In fact, University A is trying to progressively optimise the allocation of its resources, by investing them in long-term projects that can have a positive impact on performance, to draw up a budget that is as consistent as possible with the strategies, following the circularity that characterises the strategic, financial, and operational planning phases.

As far as University B is concerned, on the one hand, the annual budget and the three-year budget (composed of the economic and investment budgets) are the technical and accounting tools through which the university’s strategic goals are set out in the short and medium term following the institutional mission of the university. Another important tool is represented by the activity budget, a document included in the explanatory note to the budget, through which strategic and operational goals are connected to the quantity and the quality of resources allocated to their achievement by highlighting the budget specifically earmarked for the pursuit of strategic actions and objectives. On the other hand, the IP represents the document by means of which performance is linked to the budget cycle. As it is clearly expressed: “ The integration between the budget cycle and the performance cycle makes the Integrated Plan the means through which disclosing both the recommendations included in the strategic planning documents, as well as the initiatives aimed at improving the effectiveness and efficiency of the University’s management processes ” (IP, p. 3). Coherently, the IP depicts the amount of budgetary resources necessary to achieve the operational objectives, as determined in the planning phase.

Turning to University C, both the documentary analysis and the interviews revealed the willingness to make the budget increasingly consistent with the strategic objectives provided by the governance, through a path of integration and circularity between the strategic planning and the budgeting processes aimed at enhancing the quality and efficiency of services, with a view to continuous improvement. This connection was still partial during the years under investigation; however, an interviewee stated that: “ In the next years, we intend to draw up a road map to define the timing of all operational activities, also for a gradual coordination between budget and objectives, towards an alignment of the two planning processes phases ”. Conversely, a similar path has been traced to increasingly link resource allocation to performance. In fact, as scholars have also identified in other cases (Van Dooren et al., 2010 ; Van Thiel & Leeuw, 2002 ), University C has started a performance budgeting system, by identifying specific financial resources for all the GD’s objectives from 2017 onwards. Moreover, the internal distribution of resources to departments is based on the results achieved, with a budget allocation policy based on awards and other selective criteria.

In all three universities, we therefore notice that the integration between strategic planning and performance management systems is an ongoing process that is being improved over time. Evidence demonstrates the willingness of these universities not only to meet regulatory requirements, but also to implement the logic of planning, both at political and administrative levels, to promote the proper functioning of the academic organisation, with a view to improving decision-making processes and accountability towards its stakeholders. However, while strategic planning information is incorporated in the performance management system, the role that performance management systems play in redefining strategies is less evident.

6 Discussion and conclusions

The comparative analysis of the multiple case studies carried out in Section 5, although without making any claims regarding generalisability, provides interesting food for thought on how strategic planning is conceived by universities, how the process to define strategies is developed and connected with the operational documents and budget, and to what extent the strategic planning system can be integrated with the performance management system, overcoming semantic boundaries and capturing the implicit links.

Moreover, the interviews with some of the main actors involved in the two systems help to understand also the reasons underpinning certain political and administrative choices. Table  2 summarises our findings across the three case studies, as detailed in Section 5.

Concerning the strategic planning system, evidence demonstrates that, as Boyne and Walker ( 2010 ) claimed, the definition of the strategies is a process that is more effective the more it results in a shared and collective effort towards a common vision.

This is more likely to happen in those public organisations where the unitary strategy is the synthesis of different strategic visions, linked to heterogeneous contexts and needs. Universities, embracing several areas of teaching, specialisation, and research, fall into this situation. In addition, the decision-making processes at universities are often complicated and extended due to the involvement and different interests of academic structures composed of professors and administrative staff.

Examining the three cases, a core aspect is the degree of participation of different actors involved in the process. While for University B the elaboration of the SUP is mainly delegated to the Vice-Rectors, who probably only informally consult the GD, in University A and University C, it appears to be more participatory and formalised. In fact, in University A, the project team involves different stakeholders in the process (including their competitors) through sharing the strategic ambitions of the governance bodies. This was mainly observed in the first wave of strategic planning. In the second wave, the phenomenon was scaled down, also in terms of participation, to make way for a more apparently centralised vision, but less impactful than the previous one. In University C, different political and administrative actors are involved in defining the areas of strategic intervention: the political body; the Rector; the delegates of the Rector in the areas of strategic planning, didactics, and research; and the GD, who in turn consults the other managers involved. During this time, University C has experienced better involvement from stakeholders and managers, and shared the actions and strategies to be implemented with more actors.

Moreover, University B has apparently not used external consultants, and neither has University C. University A, however, in the drafting of the second SUP, turned to external parties for various specific aspects (definition of strategic positioning and internationalisation strategy).

Therefore, three different patterns emerge, which can be placed along a spectrum ranging from University B, through University C, to University A. For example, University B still wants to maintain a clear distinction between the political and administrative sphere, and the strategic planning process involves only internal actors and only at the political level. University C, still maintaining the process as entirely internal, is instead trying to make a collective effort to bring both the political and administrative spheres of the university together towards common goals. The latter formalises a process in which participation is the widest, even involving external stakeholders.

This is also largely confirmed by when and where the SUP is placed in the strategic planning process and among the planning documents. For example, the placement of the SUP in the three universities is different. In University B, the SUP derives from the TYPD, and both are interpreted as documents of a more political-institutional nature (also due to the methods and actors involved in their elaboration). In University A, the SUP is placed upstream of the TYPD. This position, in addition to projecting a different integration of the concept of strategy that should normally be inferred from political indications/lines, also predisposes it in a different way with respect to the IP. University C displays a peculiarity compared to the other cases, in that the TYPD is not a separate document but embedded in the strategic plan itself. This has been done to highlight and reinforce an even stronger connection between the two planning documents. It should be pointed out that the TYPD takes on a more strictly bureaucratic and ritual programmatic character, while the SUP becomes the instrument to which a more managerial character is assigned, in accordance with a methodology and content more capable of incorporating the involvement of the organisation.

Despite the high political value of strategic planning documents, examining their time horizon reveals that none of the three SUPs has a duration equal to the rectoral mandate. In University B, the duration of the plan is three years, in University A it is four years, and in University C three to four years. Moreover, observing the programming cycles from a longitudinal point of view, it emerges that, for all three universities, although the change in the governance bodies has marked an important transformation, strategies have not been overturned and the SUP has maintained its consistency over time, outlining for all the three universities the importance of guaranteeing continuity and a medium- to long-term vision.

Regarding the performance management system, all three universities comply with the academic regulations, which require issuing a PP (which recently extended its content in terms of transparency and anti-corruption by becoming an IP). At the end of the year, the GD elaborates the PR, highlighting the organisational and individual results achieved with respect to the planned objectives and allocated resources. However, going beyond mere bureaucratic compliance, as the literature affirms (Bouckaert & Halligan, 2006 ; Van Dooren et al., 2010 ), the measuring of performance is only the first step towards a proper performance management process from which implementation should follow. In fact, performance information needs to be incorporated into the management system before it can be used.

The issue of implementation is relevant in answering our research question. As stated, our analysis focuses on the policy cycle, attempting to understand to what extent there is a link between strategic planning and performance management systems, also considering the budgeting process within the financial cycle. As emerges from the documentary analysis and the interviews, all three universities declare a correlation between the two systems and show coherence between the performance objectives and strategic objectives. On the one hand, it is possible to state that performance documents, procedures, and discourse incorporate strategic planning information. Hence, strategic planning tools contribute to performance management systems, since evidence demonstrates that performance objectives included in the IPs are partly derived from the strategic areas of interventions included in the strategic documents. This link is expressed in the connection between each university’s development policy perspectives, outlined in the strategic planning documents, as well as the systems, operations, and logic used by the administration to define its management objectives, monitor its performance, identify corrective actions, and evaluate the results achieved. This seems to happen according to a top-down logic, from the political function (responsible for defining strategic guidelines) to the administrative function (responsible for the most operational activities).

However, on the other hand, performance management systems do not really help to reshape universities’ strategies; barely any performance information is incorporated in the strategic planning process. In fact, the PR evaluates performance information for the purpose of assessing past performance. According to the policy cycle (Van Dooren et al., 2010 , p. 91), these evaluation reports should feed forward into the next strategic plan. However, we do not have evidence about whether, or how, this happens. This is probably because, in many cases, performance barely meets organisational and academic needs. While descending from strategies, the performance system in complex organisations such as universities risks impeding an integrated view of the organisation in its different administrative and academic components.

As far as the financial cycle is concerned, evidence demonstrates that, although internal resources allocation is different among the three cases, this difference reflects their different strategies and priorities. It is, therefore, possible to highlight consistency not only between the strategic planning and performance management systems of these universities, as Francesconi and Guarini ( 2018 ) also demonstrated, but also with their budgeting process. Indeed, in all three cases, willingness is evident to achieve an increasingly meaningful connection between the strategic planning process, the financial planning process, and the more operational dimension of performance. The need to pursue this virtuous path derives from a growing awareness from the academic governance and management of the currently perceived connection and interdependence of these dimensions. The dynamic environment in which universities operate leaves no room for isolated management of these aspects. Therefore, it is necessary to take an overall view to exploit the synergies arising from this link, aiming to improve the efficiency and effectiveness of the services provided.

This study’s main limitation is its focus primarily on the policy cycle, since our analysis has been carried out at the governmental and top management level, without going into detail at the lowest organisational levels, such as departments and other structures. Although conscious of this limitation, we believe this research may have important theoretical and practical implications.

The theoretical implications are twofold. First, evidence leads to considerations regarding the adoption of strategic planning in public organisations with different effects than in other organisations. Although the value of strategic planning is recognised as fundamental for public sector organisations, what emerges for public universities is not immediately generalisable to other public entities because of the specific nature of the higher education sector. Strategic planning shifts from opportunity to necessity for rationalising decisions and vision, redirecting the organisation towards shared values, objectives, and goals, as long as participation in the elaboration of plans is not neglected.

Second, the link between strategic planning and performance management seems to be more evident, even if a university’ performance system undergoes different declinations and it is not always easy to find a cohesive link with strategies. Universities are extremely complex in the articulation of their established aims. What a strategic plan can support in organisational terms may not be of value from an academic point of view in the narrower sense, particularly regarding research, which requires different planning rules from other activities in the organisation. This has consequences on performance, which take on different connotations and nuances. A performance measurement system is undoubtedly linked to the organisation’s ability to define achievable and successful strategies, but the ability to forecast university performance is not always anchored to all the elements that characterise it.

The practical implications of this study include suggestions for universities’ governance bodies related to supporting their decision-making processes in the definition of their long-term objectives and performance management systems. It is also recommended that information arising from the performance management system should also be used to periodically reshape strategies, implementing a virtuous circle between strategic planning and performance management systems.

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Abbreviations

Italian Anti-Corruption Authority

Italian National Agency for the Evaluation of the University and Research Systems

Bachelor’s Degrees

Board of Directors

Common Assessment Framework

General Director

Integrated Plan

Master’s Degrees

New Public Management

Doctoral Degrees

Performance Plan

Planning, Programming, and Budgeting System

Performance Report

Academic Senate

Strategic University Plan

Strategic Teaching Plan

Strategic Research Plan

Strategic Plan for the Third Mission

Strengths, Weaknesses, Opportunities, and Threats

Three-Year Planning Document

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Biondi, L., Russo, S. Integrating strategic planning and performance management in universities: a multiple case-study analysis. J Manag Gov 26 , 417–448 (2022). https://doi.org/10.1007/s10997-022-09628-7

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However, the Airbus A380 was successfully launched through carefully planned project management strategies, delivering a world-class aircraft that met customer expectations.

3. The Panama Canal Expansion Project 

The Panama Canal Expansion Project serves as a compelling case study, illustrating the management’s encounters in expanding the capacity of the Panama Canal. The project included multiple stakeholders, technological innovations, environmental concerns, and safety challenges. 

4. The Boston Central Artery/Tunnel Project

The Boston Central Artery/Tunnel Project serves as a project management case study of a large-scale underground tunnel construction project. It successfully addressed traffic congestion and was completed in 2007. The project was completed in 2007, with numerous hurdles delaying progress like complexity, technology failure, ballooning budgets, media scrutiny, etc.

5. The London 2012 Olympics Project

The London 2012 Olympics Project stands as a successful project management case study, showcasing the management of a large-scale international sporting event. This project involved the construction of a new sports infrastructure, event logistics and security concerns. The project was successfully accomplished, delivering a world-class event that captivated the audience.

6. The Hoover Dam Bypass Project

The Hoover Dam Bypass Project was a construction project in the United States of America that intended to alleviate traffic from the Hoover Dam by building a new bridge. Completed in 2010, the bridge spans across the Colorado River, connecting Arizona and Nevada and offers a safer and more efficient route for motorists.

7. The Golden Gate Bridge Seismic Retrofit Project

The Golden Gate Bridge Seismic Retrofit Project is a case study example constructed in San Francisco, California. Its objective was to enhance the bridge’s resilience against earthquakes and aftershocks. Completed in 2012, the project included the installation of shock absorbers and other seismic upgrades to ensure the bridge’s safety and functionality in the event of a major earthquake.

8. The Hong Kong-Zhuhai-Macau Bridge Project

The Hong Kong-Zhuhai-Macau Bridge Project is a massive case study that intends to connect Hong Kong, Zhuhai and Macau with a bridge-tunnel system of 55 kilometres. Completed in 2018, the project required massive funds, investments and innovative engineering solutions, providing a new transport link and boosting regional connectivity.

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9. The Panama Papers Investigation Project

The Panama Papers Investigation Project is a global case study of journalistic investigations into offshore tax havens. It involved leaked documents from Mossack Fonseca, a Panamanian law firm. Coordinated by the International Consortium of Investigative Journalists, the project resulted in major political and financial repercussions worldwide, garnering widespread media attention.

10. The Apple iPhone Development Project

The Apple iPhone Development Project started in 2004, aiming to create a groundbreaking mobile device. In 2007, the iPhone transformed the industry with its innovative touchscreen interface, sleek design, and advanced features. This project involved significant research, development, marketing, and supply chain management investments.

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11. The Ford Pinto Design and Launch Project

The Ford Pinto Design and Launch Project was a developmental project intended to create an affordable, fuel-efficient subcompact car. Launched in 1971, because of its fuel tank design, it became infamous for safety issues. The project was rigged for ethical and safety concerns, lawsuits, and recalls.

12. The Deepwater Horizon Oil Spill Response Project

The Deepwater Horizon Oil Spill Response Project was a response to the largest oil spill in US history, caused by an offshore drilling rig explosion in 2010. This crisis response project utilised a waterfall project management approach, where the project team followed a pattern of planning, executing, monitoring, and closing phases. 

13. The NASA Challenger Space Shuttle Disaster Project

  The NASA Challenger Disaster Project was a tragic space exploration mission in 1986, resulting in the loss of all seven crew members. Extensive investigations revealed design and safety flaws as the cause. This disaster prompted NASA to address decision-making processes and improve safety cultures.

14. The Three Gorges Dam Project

  The Three Gorges Dam Project was a large-scale infrastructure project developed in China that aimed to build the world’s largest hydroelectric dam on the Yangtze River. Completed in 2012, it encountered environmental, social, and engineering challenges. The dam currently offers power generation, flood control, and improved navigation, but it has also resulted in ecological and cultural consequences.

15. The Big Dig Project in Boston

The Big Dig Project was a transportation infrastructure project in Boston, Massachusetts, intended to replace an old elevated highway with a newer tunnel system. Completed in 2007, it serves as one of the most complex and costly construction endeavours in US history. Despite facing many delays, cost overruns and engineering challenges, the project successfully improved traffic flow and urban aesthetics but also resulted in accidents, lawsuits, and financial burdens.

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16. The Uber Disruptive Business Model Project

  The Uber Disruptive Business Model Project was a startup that introduced a new ride business model that disrupted the taxi-cab industry by connecting riders with drivers via a mobile app. Launched in 2010, this project required innovative technology, marketing and regulatory strategies and faced legal actions and ethical challenges related to labour, safety, and competition. Uber has since then dominated the market with its ride-sharing business plan.

17. The Netflix Original Content Development Project

The Netflix Original Content Development Project was an initiative created to launch its original content for its platform. This launch by the online streaming giant in 2012 was a huge success for the company. The project required huge investments in content creation, distribution and marketing and resulted in award-winning shows and films that redefined the entire entertainment industry’s business model.

18. The Tesla Electric Car Project

The Tesla Electric Car Project was a revolutionary project that aimed to compete for its electric vehicles with gasoline-powered vehicles. The project required a strong project management plan that incorporated innovation, sustainability, and stakeholder engagement, resulting in the successful launch of the Tesla Roadster in 2008 and subsequent models. Tesla has one-handedly revolutionised the entire automobile industry on its own. 

19. The Johnson & Johnson Tylenol Crisis Management Project:

The Johnson & Johnson Tylenol Crisis Management Project was a case study in crisis management in 1982. The project required quick and effective decision-making skills, stakeholder communication, and ethical leadership in response to the tampering of Tylenol capsules that led to deaths. 

20. The Airbnb Online Marketplace Platform Project  

The Airbnb Online Marketplace Platform Project was a startup that created an online platform which connected travellers with hosts offering short-term rental accommodations in flights. The project required innovative technology, user experience design and stakeholder management. Airbnb’s success has led to the disruption of the hospitality industry and inspired many other project case study examples of sharing economy platforms.

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Future developments in project management.

Future developments in project management include all the insights on the increased use of artificial intelligence, agile methodologies, hybrid project management approaches, and emphasis on sustainability and social responsibility, along with many more developing ideas that will address the evolving market innovations. 

Key Takeaways from the Case Studies

The project management case study examples illustrate real-life examples and the importance of project management in achieving project success. The cases show the use of innovative technologies, tools, techniques, stakeholder engagement, crisis management, and agile methodologies. 

Project Management also highlights the role of ethical leadership and social responsibility in project management. To learn more and more about case studies, upGrad, India’s leading education platform, has offered an Advanced General Management Program from IMT Ghaziabad that will equip you with in-demand management skills to keep up with the changing trends!

Keerthi Shivakumar

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Frequently Asked Questions (FAQs)

Project Management is extensive planning, executing, monitoring and closing of a project before its deadline. Project management ensures accuracy and efficiency across all organs of a project, right from its inception to its completion.

Project Management case studies are real-life examples of projects to put an insight into all the tools, techniques and methodologies it provides.

The role of a project manager is to ensure that all day-to-day responsibilities are being met by the resources deployed in a certain project. They have the authority to manage as well as lead the functioning members as well.

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Top 15 Project Management Case Studies with Examples 2024

Home Blog Project Management Top 15 Project Management Case Studies with Examples 2024

Having worked for more than 9 years in the dynamic field of project management, I would strongly refer to real-world case studies as invaluable resources for both budding and experienced professionals. These case studies provide critical insights into the challenges and triumphs encountered in various industries, illustrating the application of project management principles in practical scenarios.   I have curated the project management case studies as a part of this article in such a way that it delves into a selection of compelling case studies, ranging from the healthcare sector to infrastructure and technology. Each case study is a testament to the strategic planning, adaptability, and innovative problem-solving skills necessary in today's fast-paced business environment. These narratives not only highlight past successes but also offer guidance for future projects, making them essential tools for anyone eager to excel in project management.

What is Case Study?

A case study refers to an in-depth examination of a specific case within the real-world context. It is a piece of content that sheds light on the challenges faced, solutions adopted, and the overall outcomes of a project. To understand project management case studies, it is important to first define what a project is . A project is a temporary endeavor with a defined beginning and end, aimed at achieving a specific goal or objective. Case studies are generally used by businesses during the proposal phase. However, they are also displayed on the websites of companies to provide prospects with a glance at the capabilities of the brands. It can even serve as an effective tool for lead generation. In simple words, case studies are stories that tell the target audience about the measures and strategies that the organization adopted to become successful.

What is Project Management Case Study?

A project management case study is a piece of content that highlights a project successfully managed by the organization. It showcases the challenges that the organization faced, the solutions adopted, and the final results. Keep reading in order to explore examples of successful project management case studies.

Top 15 Project Management Case Studies and Examples 

Are you looking for some project management case study examples? If yes, here are some of the best examples you can explore. Let’s dive in! Before diving in, here is the list of top 15 project management case studies: 

• Mavenlink Helps Improve Utilization Rates by 15% for BTM Global
• Boncom Reduces Billing Rate Errors by 100%
• whyaye! Reaches 80% Billable Utilization
• Metova Increases Billable Utilization by 10%
• Appetize Doubles Length of Forecasting Outlook
• RSM Improves Client Satisfaction and Global Business Processes
• CORE Business Technologies Increases Billable Utilization by 35%
• Health Catalyst Improves Business Processes and Increases Consistency in Project Delivery
• Optimus SBR Improves Forecasting Horizon by 50%
• PlainJoe Studios Increases Projects Closing Within Budget by 50%
• RPI Consultants Decreases Admin Time by 20%
• CBI's PMO Increases Billable Utilization By 30%
• Butterfly Increases Billable Time by 20%
• TeleTracking Increases Billable Utilization by 37%
• Taylors Improves Utilization Rates by 15%

1. Mavenlink Helps Improve Utilization Rates by 15% for BTM Global

The case study is all about how Mavenlink helped BTM Global Consulting to save hours of work and enhance utilization with resource management technology. BTM Global Consulting offers system development and integration services to diverse clients. The challenges that the company faced were that tools like Netsuite OpenAir and Excel spreadsheets were not able to meet the customization needs as the company grew. It impacted their overall productivity.

BTM Global saw the following benefits: 

• 15% increase in utilization for project managers
• 10% increase in companywide utilization
• 4-hour resource allocation work reduced to 10 minutes
• 100% Company-wide time tracking adoption

In order to overcome the challenge, the solution they adopted was to switch to Mavenlink. The result was that it increased the utilization of the company by 10% and enhanced project manager utilization by 15%. It also reduced resource allocation work from 4 hours to just 10 minutes.

2. Boncom Reduces Billing Rate Errors by 100% With Mavenlink

Boncom is an advertising agency that collaborates with different purpose driven brands to create goods worldwide. The challenge was that the company relied on several-point solutions for delivering client-facing projects. However, the solutions failed to offer the required operational functionality. An ideal solution for Boncom was to adopt Mavenlink. The result was that the billing rate error got reduced by 100%. Accurate forecasting became possible for Boncom, and the company could generate reports in much less time.

3. whyaye! Reaches 80% Billable Utilization with Mavenlink

Here are the top benefits whyaye got: 

• 6% increase in utilization
• Tripled company size
• Doubled in number of new clients every quarter
• Support through constant business scaling

whyaye is a digital transformation consultancy delivering IT transformation solutions to businesses operating in diverse sectors. The challenge was that whyaye used to manage resources and projects using tools such as emails, PowerPoint, and Microsoft Excel. However, with the growth of the company, they were not able to access project data or gain insights for effective management of the projects . The ultimate solution to this challenge was to make a switch to Mavenlink. The result was an increase in the utilization by 6%, doubling of new clients, tripling of the company size, and seamless support through business growth.

4. Metova Increases Billable Utilization by 10% With Mavenlink

If you are looking for a project planning case study, Metova can be the right example. Metova is a technology firm, a Gold Partner of Microsoft, and an advanced consulting partner of AWS. The challenge was that the company handled several projects at a time. However, its heavy dependence on tools like Google Sheets limited the growth capabilities of the organization. So, the company looked for a solution and switched to Mavenlink. The result was that it was able to increase its billable utilization by 10%, increase its portfolio visibility, and standardize its project management process.

5. Appetize Doubles Length of Forecasting Outlook with Mavenlink

Here the the benefits Appetize got with Mavenlink: 

• Forecasting horizon increases to 12 weeks
• Management of 40+ major projects per quarter
• Support for rapid companywide scaling
• Salesforce integration supports project implementation

Appetize is one of the leading cloud-based points of sale (POS), enterprise management, and digital ordering platform that is trusted by a number of businesses. The challenge of the company was that its legacy project tracking systems were not able to meet the growing needs of the company. They experienced growth and manual data analysis challenges. The solution they found was to switch to Mavenlink. The result was an increase in the forecast horizon to 12 weeks, support for effective companywide scaling, easy management of over 40 major projects, and Salesforce integration for project implementation.

6. RSM Improves Client Satisfaction and Global Business Processes with Mavenlink

RSM is a tax, audit, and consulting company that provides a wide array of professional services to clients in Canada and the United States. The challenge of the company was that its legacy system lacked the necessary features required to support their work- and time-intensive projects and delivered insights relating to the project trends. An ideal solution to this challenge was to switch to Mavenlink. The result was better to risk mitigation in tax compliance, improved client-team communication, templatized project creation, and better use of the KPIs and project status.

7. CORE Business Technologies Increases Billable Utilization by 35% with Mavenlink

Here are the top benefits CORE Business Technologies got with Mavenlink: 

• Simultaneous in-progress projects doubled
• 100% company-wide time entry compliance
• 35% Increase in Billable Utilization
• 50% Increase in Team Productivity

Another top project management case study is the Core Business Technologies. CORE Business Technologies is a reputed single-source vendor self-service, in-person, and back-office processing to the clients. It offers SaaS-based payment solutions to clients. The challenge faced by the company was that its tools like spreadsheets, Zoho, and Microsoft Project led to a hectic work schedule owing to a huge number of disconnected systems. The solution to the challenge was to switch to Mavenlink. The result was the enhancement of team productivity by 50%, time entry compliance by 100%, and enhancement of the billable utilization rate by 35%.

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8. Client Success: Health Catalyst Improves Business Processes and Increases Consistency in Project Delivery with Mavenlink

Here are the top benefits Health Catalyst saw with Mavenlink:   

• Consistency in Successful Project Delivery 
• Improved Interdepartmental Communication 
• Deeper Resource Data Insights 
• Stronger Resource Forecasting

Health Catalyst is a company that delivers data and analytics services and technology to different healthcare organizations. The firm provides assistance to technicians and clinicians in the healthcare sector. The challenge of the company was that the tools like Intacct and spreadsheets that is used for project management were not able to provide the required data insights and clarity for better project management. It also limited effective resource management. The solution was to embrace Mavenlink. The result was better resource forecasting, enhanced interdepartmental communication, consistency in project delivery, and better resource data insights .

9. Client Success: Optimus SBR Improves Forecasting Horizon by 50% with Mavenlink

Optimus SBR is a leading professional service provider in North America. It offers the best results to companies operating in diverse sectors, including healthcare, energy, transportation, financial services, and more. The challenge was that legacy software tools that the firm used gave rise to project management issues. The company was not able to get a real-time revenue forecast or gain insights into its future financial performance. The solution that the company adopted was to switch to Mavenlink. The result was better data-driven hiring decisions, efficient delivery of remote work, and enhancement of the forecasting horizon by 50%.

10. Client Success: PlainJoe Studios Increases Projects Closing Within Budget by 50% With Mavenlink

Here are the benefits how Mavenlink helped PlainJoe: 

• Improved data insights for project success
• Enablement of fast shift to remote work
• Improved budgeting
• Increased rates in billing

PlainJoe Studios is an experimental design studio that focuses on digitally immersive and strategic storytelling. The company has a team of strategists, architects, and problem solvers to create value for the clients. The challenge of the company was that the manual processing of the company affected its ability to grow and manage the diverse project effectively. They lacked clarity about their project needs and profitability. The solution to deal with the challenge was to switch to Mavenlink. The result was an enhancement in the billing rates by 15%, better project closing within budget by 50%, better data insights for the success of different projects, and a faster shift to remote work.

11. Client Success: RPI Consultants Decreases Admin Time by 20% With Mavenlink

If you are looking for an example of one of the best software project management case studies, then RPI Consultants can be the ideal one. RPI Consultants offer expert project leadership and software consulting services for enterprise-level implementation of solutions and products. The challenge was that the task management solutions adopted by the company gave rise to a number of complications. It resulted in poor interdepartmental transparency and time-consuming data entry. The ultimate solution that the company embraced was to switch to Mavenlink. The result was a rise in the utilization rate by 5%, lowing of admin time by 20%, better forecasting and resource management, and a single source for gaining insights into the project data.

12. Client Success: CBI's PMO Increases Billable Utilization By 30% With Mavenlink

CBI is a company that is focused on protecting the reputations, data, and brands of its clients. The challenge that the company faced was that the solutions used were unable to meet the growing needs of the organization. The systems were outdated, data sharing was not possible, and time tracking was inconsistent. The solution to the challenge was to switch to Mavenlink. The result was better interdepartmental alignment, enhancement of time tracking to support business growth, an increase in the billable utilization rate by 30%, and detailed insights for a greater success of the projects.

13. Client Success: Butterfly Increases Billable Time by 20% with Mavenlink

Butterfly is a leading digital agency that provides digital strategy, website design and development services, and ongoing support to businesses across Australia. The challenge was that the different legacy systems used by the agency limited its capability of effective project management and reporting. The systems were time consuming and cumbersome. In order to deal with the challenge, the solution was to make a switch to Mavenlink. The result was the enhancement of billable time by 20%, fast reporting insights, enhancement of productive utilization by 16%, and better Jira integration.

14. Client Success: TeleTracking Increases Billable Utilization by 37% With Mavenlink

TeleTracking Technologies is a leading provider of patient flow automation solutions to various hospitals in the healthcare sector. The challenge of the company was that it used different systems such as Microsoft Excel, Sharepoint, MS Project, Jira, and Netsuite. The use of a variety of solutions created a number of challenges for the company. It had poor forecasting capability, an insufficient time tracking process, and unclear resource utilization. The solution was to switch to Mavenlink. The result was the enhancement of time tracking compliance by 100%, rise in hours to date by 18%, and enhancement of billable utilization by 37%.

15. Client Success: Taylors Improves Utilization Rates by 15% with Mavenlink

This is a perfect example of a construction project management case study. Taylor Development Strategists is a leading civil engineering and urban planning organization in Australia. The challenge that the company faced was that the systems that it used were not able to support the growth of the business. There were a lot of inefficiencies and limitations. The solution to the challenge was to switch to Mavenlink. The result was better global collaboration, an increase in the utilization rate by 15%, consistency of timesheet entry, and in-depth insights relating to utilization and project targets.

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Start Creating Your Project Management Case Study

Not that you have a detailed idea about project management case studies, it is time to prepare your own. When doing the project management case study exercise, make sure to focus on covering all the important elements. Clearly stating the challenges and the solutions adopted by the company is important. If you want to get better at project management, getting a PMP Certification can be beneficial.

Case Study Best Practices and Tips 

• Involve your clients in the preparation of the case study. 
• Make use of graphs and data. 
• Mix images, texts, graphs, and whitespace effectively.

Project Management Case Studies Examples

Hospital el pilar improves patient care with implementing disciplined agile.

If you are looking for an example of one of the best hospital related project management case studies, then Hospital El Pilar can be the ideal one. Hospital El Pilar is a private hospital in Guatemala City, Guatemala, that provides comprehensive care to patients in various medical specialties. The challenge was that the hospital’s application development team faced several obstacles in managing and delivering projects, such as unclear priorities, a lack of visibility, little interaction with users, and competing demands. The solution that the team adopted was to use Disciplined Agile® (DA™), a flexible and pragmatic approach to project management that optimizes the way of working (WoW). The result was improved project outcomes, increased user satisfaction, greater transparency, and more trust from stakeholders and customers.

British Columbia’s Ministry of Technology and Infrastructure (MoTI) gets its principal corridor for transportation up in 35 days

Reconnecting Roads After Massive Flooding (2022) is a case study of how the British Columbia Ministry of Transportation and Infrastructure (MoTI) used a project management approach based on the PMBOK® Guide to restore critical routes after a catastrophic weather event. It is one of the examples of successful project management case studies you can look into. The challenge was that an atmospheric river caused severe flooding, landslides, and bridge collapses, cutting off the lower mainland from the rest of Canada2. The solution was to prioritize the reopening of Highway 5, the principal corridor for transportation of goods and people, by creating scopes, work breakdown structures, and schedules for each site3. The result was that Highway 5 was reopened to commercial traffic in 35 days, despite additional weather challenges and risks4. The construction project management case study we discussed demonstrated the benefits of flexibility, collaboration, and communication in emergency response.

Project Management Case Study Template 

To create a well-crafted and highly informative case study template in the realms of project management, you should start by providing a brief overview of the client's company, focusing on its industry, scale, and specific challenges. Follow with a detailed section on the challenge, emphasizing the unique aspects of the project and obstacles faced. Next, you might want to describe the solution implemented, detailing the strategies, methodologies, and tools used. Then, you would need to present the results, quantifying improvements and highlighting objectives achieved. Finally, please conclude the case study with a summary, encapsulating key takeaways and emphasizing the project's success and its implications for future endeavors. By following this structure, you can present a comprehensive yet concise analysis that is ideal for showcasing project management expertise and insights. You can also refer to the template for crafting a better case study on project management – Template for writing case studies.

By now, you must have gained a comprehensive knowledge of preparing a project management case study. This article elaborately explains the significance of real life project management case studies as vital tools for demonstrating a company's expertise in handling complex projects. These case studies, showcasing real-world scenarios, serve as compelling evidence of a firm's capability to navigate challenges and implement effective solutions, thereby boosting confidence in potential clients and partners. They are not only a reflection of past successes but also a lighthouse guiding future project endeavors in the discipline of project management within the fields of construction, pharmacy, technology and finance, highlighting the importance of strategic planning, innovation, and adaptability in project management. If you are aspiring to excel in this field, understanding these case studies is invaluable. However, you would also need to learn from project management failures case studies which would provide a roadmap to mastering the art of project management in today's dynamic business landscape.

Frequently Asked Questions (FAQs)

In order to write a project management case study, keep everything brief but mention everything in detail. Make sure to write it with clarity and include graphs and images. 

A project study must include information about the client, how your company helped the client in resolving a problem, and the results.

The best-case studies on project management have been listed above. It includes BTM Global, Butterfly, Boncom, and more.

Kevin D.Davis

Kevin D. Davis is a seasoned and results-driven Program/Project Management Professional with a Master's Certificate in Advanced Project Management. With expertise in leading multi-million dollar projects, strategic planning, and sales operations, Kevin excels in maximizing solutions and building business cases. He possesses a deep understanding of methodologies such as PMBOK, Lean Six Sigma, and TQM to achieve business/technology alignment. With over 100 instructional training sessions and extensive experience as a PMP Exam Prep Instructor at KnowledgeHut, Kevin has a proven track record in project management training and consulting. His expertise has helped in driving successful project outcomes and fostering organizational growth.

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Please note you do not have access to teaching notes, a case study into planning and change management within the uk national health service.

International Journal of Public Sector Management

ISSN : 0951-3558

Article publication date: 29 May 2009

The purpose of this paper is to present an empirical case study which was undertaken to examine planning and change management within a UK National Health Service (NHS) multi‐site hospital.

Design/methodology/approach

A case study was undertaken within a UK‐based NHS hospital trust. Having reviewed the available literature, the research collated and analysed existing planning and change implementation within the hospital using multiple collection methods. This culminated in specific recommendations.

It was established that the following were all factors of influence: articulating change in the NHS; preparing for the 18‐week patient pathway; choose and book: managing patient demand; and payment by results: financial accountability at all levels. These were all high profile issues requiring specific and immediate attention, if the proposed plans and changes were to be implemented according to the objectives set.

Research limitations/implications

The case study methodology applied was appropriate, generating data to facilitate discussion and to draw specific conclusions. A perceived limitation is the single case approach; however, Remenyi et al. argue that this can be enough to add to the body of knowledge.

Practical implications

From the research, a number of key influences were identified to have a significant impact on planning and managing change within the NHS. Specific recommendations are made.

Originality/value

The core contribution of the research adds to the body of knowledge about planning and the management of organisational change within healthcare.

• Public administration
• Strategic change
• National Health Service
• United Kingdom

Drummond‐Hay, R. and Bamford, D. (2009), "A case study into planning and change management within the UK National Health Service", International Journal of Public Sector Management , Vol. 22 No. 4, pp. 324-337. https://doi.org/10.1108/09513550910961600

Emerald Group Publishing Limited

Copyright © 2009, Emerald Group Publishing Limited

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