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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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Strategic Planning: Case Studies

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Instructor: Mike Figliuolo

Have you ever wanted to see strategic planning frameworks applied to real situations? Would you find it helpful to see an integrated strategic case study for an organization like yours? Go more deeply into the strategic planning process by diving into three real-world cases studies. Join instructor Mike Figliuolo as he shares examples from a consumer goods business, a professional services company, and a nonprofit organization. For each case he shares five key aspects of the strategy planning process: defining the strategic environment, determining how to compete, evaluating and prioritizing opportunities, assessing the initiative portfolio, and organizing and allocating resources. Use these thorough examples to think through how you would apply strategic planning to your own organization.

Strategic Planning and Decision Making in State Departments of Transportation (2004)

Chapter: chapter four - two mini-case studies.

Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

32 CHAPTER FOUR TWO MINI-CASE STUDIES Because the essence of strategic management entails the integration of numerous management and decision proc- esses around a strategic framework that sets the direction for moving into the future in a deliberate manner, it can be helpful to have an overview of how given organizations tie the various elements of the process together. Therefore, this chapter presents mini-case studies of two state DOTs at very different stages in developing their strategic man- agement processes. The first is the Pennsylvania Depart- ment of Transportation (PennDOT), a seasoned leader in the field, and the second is the Illinois Department of Transportation (IDOT), a relative newcomer to strategic planning. Although different in many respects, both cases illustrate carefully crafted approaches to strategic man- agement. PENNSYLVANIA DEPARTMENT OF TRANSPORTATION Strategic planning was first initiated at PennDOT in 1982. That initial effort produced a set of 24 major objectives for the department, with the strategies for achieving them to be developed by the relevant organizational units. It also led to the formation of the top-level strate- gic management committee (SMC), which still exists as the highest level policy-making body at PennDOT, and a requirement for the major divisions and the 11 engineering districts to develop 4-year business plans and accompany- ing budget requests designed to help accomplish the major objectives. Over the past 20 years the process has been repeated and enhanced at roughly 4-year intervals, coinciding with the beginning of new gubernatorial administrations. Along the way, participation in developing PennDOT’s strategic planning has broadened considerably, to include as many as 400 to 500 managers and employees in fleshing out stra- tegic objectives and actions as opposed to the 50 top man- agers who were involved in the initial exercise. Although the process became deeply imbedded in the organization, the first round of the Baldrige assessment process, a comprehensive approach to strengthening organ- izational effectiveness, which PennDOT began in 1998, re- vealed that the lack of an effective strategic planning proc- ess constituted a major performance gap in the department. This assessment showed that although strategic planning was taken very seriously at PennDOT, the resulting plans did not drive decisions and behavior in the department on a consistent basis, the plans were not used effectively to manage people and organizational units, and the plans were not necessarily tied to fiscal reality. Therefore, the secretary and the SMC chartered a gap-closure team to lead a 2-year effort to design and implement a revamped strategic planning process. Strategic Planning From this effort a continuing process emerged consisting of planning, implementation, and evaluation on an ongoing basis (Poister 2002). PennDOT’s strategic plan was devel- oped through a process that included the following five steps: 1. Leadership direction—Developing or revalidating the department’s mission, vision, values, and strategic focus areas. 2. Customer expectations—Identifying customer expec- tations as related to the strategic focus areas through analysis of survey data, focus groups, and key stake- holder interviews. 3. Customer service capabilities—Assessing the de- partment’s capacity to meet customer expectations through focus groups with employees, and separately with partners and suppliers, as well as analyzing relevant operating data. 4. Priority tasks and strategies—Developing and evalu- ating alternatives within each focus area to produce a set of high-level goals and strategic objectives, and the strategies for achieving them. 5. Plans and performance targets—Reconciling strategic objectives, performance measures, targets, and budgets to produce plans and strategies that were effective, technically realistic, and fiscally respon- sible. The 8 strategic focus areas, 13 high-level goals, and 21 strategic objectives that came out of this process in 1999 are summarized in Figure 8, which also identifies the own- ers and leaders for each strategic objective. The owners serve as the sponsors of these strategic initiatives, whereas the leaders take the technical lead in implementing them. The targets were meant to be aggressive, but not unrea- sonable, and they were established based on budget re- alities so that the owners, leaders, and other responsible managers would know where the required funding was coming from.

33 STRATEGIC FOCUS AREAS HIGH-LEVEL GOAL STRATEGIC OBJECTIVE OWNER/ LEADER Smoother Roads Improve ride quality by incorporating smooth road strategies into a comprehensive pavement program. Ryan/ Moretz Refine winter services best practices to achieve more timely and efficient response. Hoffman/ Wise Maintenance First Cost-Effective Highway Maintenance Investment Use life-cycle criteria as a tool for asset management and investment to reduce outstanding maintenance needs. Hoffman/ Christie Improve customers’ experiences of our facilities by enhancing beautification efforts and reducing roadside debris. Yearick/ Peda & Hull Balance Social and Environmental Concerns Develop timely transportation plans, programs, and projects that balance social, economic, and environmental concerns. King/ Schreiber Quality of Life Demonstrate Sound Environmental Practices Implement a strategic environmental management program that adopts sound practices as our way of doing business. Ryan/ Kober Delivery of Transportation Products and Services Meet project schedules and complete work within budgeted costs. Ryan/ Azzato Implement congestion management strategies that limit work zone restrictions, address incident management, and reduce corridor travel delays. Hoffman/ Koser Mobility and Access Efficient Movement of People and Goods Implement Keystone Corridor rail passenger improvements as a pilot multi-modal initiative. Peltz/ Smedley Improve Customer Satisfaction Implement a department-wide systematic process to continue to improve customer satisfaction. Serian/ Cross Customer Focus Improve Customer Access to Information Improve information access by providing quality customer contacts across the organization with special attention to driver and vehicles inquiries. Serian/ Cleaver FIGURE 8 PennDOT strategic focus areas, high-level goals, and strategic objectives.

34 STRATEGIC FOCUS AREAS HIGH-LEVEL GOAL STRATEGIC OBJECTIVE OWNER/ LEADER Map key processes and improve those with the most strategic impact on business results. Tartline/ Harris Innovation and Technology World Class Process and Product Performance Deliver business results through planned enterprise-focused information technology. Tartline/ Reed Implement cost-effective highway safety improvements at targeted high-crash/fatality locations. Ryan/ Bryer Safer Travel Upgrade safe driving performance through education and enforcement initiatives. Yearick/ Seitz & Bryer Implement prevention strategies to reduce the employee injury rate. Tartline/ Dennin Safety Safer Working Conditions Implement prevention strategies to reduce the vehicle accident rate. Tartline/ Dennin Provide employees with the tools and expectations to communicate effectively to facilitate leadership at all levels. Yearick/ OCCR Internal Com. Mgr. Leadership at All Levels Improve Leadership Capabilities and Work Environment Develop employee skills and capabilities through a structured process of instruction, practice and leadership opportunities. Tartline/ Harris Implement a methodology to involve partners and stakeholders more meaningfully in PennDOT activities. Zimmerman/ Cvejkus Relationship Building Cultivate Effective Relationships Strengthen the efficiency and effectiveness of transportation grant programs using the methodology for partners and stakeholders. Voras/ Brown FIGURE 8 (Continued).

35 Scorecard The strategic plan that emerged in early 2000 from the im- position of fiscal reality onto proposed strategic objectives and targets is summarized in a scorecard that presents the goals and objectives, performance measures, and targets. There are actually two versions of the scorecard: the secre- tary’s scorecard and the SMC scorecard. The SMC score- card is used internally to manage the strategic agenda. It is organized by the strategic objectives and shows a measure and a target, or multiple measures and targets, for each of the 21 strategic objectives. The secretary’s version of the scorecard, shown in Figure 9, provides a simpler format structured by the 13 high-level goals. Although the SMC scorecard is used internally to manage the plan, the secre- tary’s version is oriented more toward public consumption, focusing attention more generally on PennDOT’s overall goals. Cascading Plans The department’s scorecard provides a framework for de- veloping organizational scorecards and business plans. Strategic planning at PennDOT is cascaded down into the organization by requiring the 11 districts and 6 deputates to develop their own strategic objectives and scorecards driven by the enterprise-level strategic agenda. These or- ganization scorecards, which must be approved by the SMC, are built, tested, and justified with the same five-step planning process used at the departmental level. The lead- ership direction comes directly from the strategic objec- tives in the enterprise-level scorecard that relate to the di- vision or district’s responsibilities, along with the underlying rationale that produced them. Each of these or- ganizational units must establish objectives, measures, and targets that contribute to those in the enterprise-level score- card that the organization “owns,” although it can add other “indirectly aligned” objectives as well. Business Planning Business planning is the vehicle PennDOT uses to align organizational units’ activities and priorities with the enter- prise-level strategic agenda. Thus, to advance the depart- ment’s strategic plan, each of the districts and deputates develops business plans designed in part to accomplish its own scorecard objectives. (Some central office bureaus and county maintenance units develop scorecards and business plans as well; however, this is not required at this point.) All of PennDOT’s strategic objectives are implemented through the 4-year business plans, which are updated an- nually. The business plans, which encompass all core func- tions and routine activities as well, present planned efforts for each objective in the organizational scorecards, spelling out exactly how the district or deputate will accomplish a given objective in terms of tasks, work programs, projects, action items, and schedules. This is important because the owners and leaders, and responsible managers at subunit levels, have considerable flexibility as to how they plan to accomplish certain objectives. Resource Allocation Some of PennDOT’s strategic initiatives, primarily those relating to IT, are funded separately through one-time allo- cations from special funds held expressly for that purpose. However, most strategic initiatives are supported through the normal budgeting process, which allocates resources to organizational units for particular uses. Therefore, the business plans all contain specific budgets that invest re- sources in planned actions responding to strategic objec- tives as well as other activities. This requires the districts and deputates preparing business plans to tie their budget request directly to strategic initiatives and to make sure that their plans and work programs are fiscally realistic. When the SMC approves business plans and their associ- ated budgets, usually after some degree of revision and ne- gotiations with respect to targets, programs, and budgets, these managers can be confident that they will have suffi- cient resources to achieve the targets for which they will be held accountable. Performance Management For many years PennDOT has used a management-by- objectives participative approach to providing direction and control over the work of individual managers and em- ployees. In its current form, the more formal written per- formance contracts have been shortened and incorporated in annual employee reviews (EPRs) as “expected work re- sults,” which are grafted onto the more constant annual job descriptions. With the new strategic management process, the EPRs are driven primarily by the strategic agenda, so that individuals who are owners or leaders of strategic ob- jectives, or otherwise identified as having some responsi- bility for them, have those objectives and their attendant action items, along with accompanying performance meas- ures, embodied in the EPRs. This is the case at the enterprise level, but also with the organizational scorecards and associated business plans. Whether or not business plans are used below the district or deputate level, managers at many levels negotiate with subordinates to contribute specified efforts toward accom- plishing strategic objectives and hold them accountable for those results through quarterly performance reviews. Therefore, by tying individuals’ expected work results to strategic objectives, PennDOT’s performance management

36 Strategic Focus Area High-Level Growth Pledge to Customers How Success Will be Measured? External (Customers) Internal (Support) Measurement Tool (Metric) Target 2002 2005 Smoother roads Better ride conditions on major (NHS) highways X International Roughness Index (IRI) 104 for NHS roads 99 for NHS roads MAINTENANCE FIRST Cost-effective highway maintenance investment Reduction in outstanding maintenance needs X Condition assessment for highways and bridges Complete asset management system Meet target established in 2002 Balance social, economic, and environmental concerns Timely decisions based on public and technical input on project impacts X Highway project environmental approvals meeting target dates 75% meeting target dates 90% meeting target dates QUALITY of LIFE Demonstrate sound environmental practices Attaining world class environmental status X ISO 14001 environmental criteria Implement a pilot program Meet ISO standards Delivery of transportation products and services Honoring commitments on scheduled transportation projects X Dollar value of 12-year program construction contracts initiated $1.3 billion per year $1.4 billion per year MOBILITY and ACCESS Efficient movement of people and goods Reduced travel delays X 2002–peak period work zone lane restrictions 2005–travel delays on selected corridors Set baseline in 2000 for reduced 2002 lane restrictions Meet target set in 2002 to reduce corridor travel delays Improve customer satisfaction Competitiveness on Malcolm Baldrige Criteria for Excellence X Baldrige Organizational Review Package Scores— Customer Criteria 80 department average 100 department average CUSTOMER FOCUS Improve customer access to information Prompt answers to telephone inquiries X Answer rate of calls to the Customer Call Center 94% of calls answered 94% of calls answered INNOVATION and TECHNOLOGY World class process and product performance Competitiveness on Malcolm Baldrige Criteria for Excellence X Baldrige Organizational Review Package Scores—All Criteria 500 level met by lead organizations 600 level met by lead organizations Safe travel Fewer fatalities from highway crashes X Number of fatalities per year 5% reduction in fatalities 10% reduction in fatalities SAFETY Safer working conditions Fewer work- related injuries X Injury rate per 100 employees working 1 year 8.25% injury rate 7.5% injury rate LEADERSHIP at all LEVELS Improve leadership capabilities and work environment Positive trends in employee feedback on job-related factors X Organizational Climate Survey (OCS)—Selected Items 48% positive rating 54% positive rating RELATIONSHIP BUILDING Cultivate effective relationships Effectiveness of partnerships to achieve business results X PennDOT/partner business effectiveness survey scores Establish metric, baseline and target Meet target established in 2002 FIGURE 9 PennDOT scorecard of measures.

37 process uses the EPRs to instill individual responsibility for advancing the strategic agenda deep into the depart- ment. Dashboards and Scorecards Basically, the scorecards are used to manage PennDOT’s strategic agenda at multiple levels. The districts and depu- tates are responsible for reviewing their scorecards on a quarterly basis, and monitoring the performance measures for each objective against the targets and milestones that have been set. Adjustments in programs, work plans, as- signments, and resource allocations are made as necessary to keep their objectives on track. As the embodiment of PennDOT’s strategic agenda, the SMC scorecard contains the most important set of per- formance measures to monitor in terms of guiding the de- partment into the future. However, the SMC also con- cluded that focusing solely on the scorecard could be problematic in that many goals, processes, and functions that are important to the department do not appear on it. Therefore, the SMC decided to develop and monitor a dashboard in addition to the scorecard. In contrast to the change-oriented scorecard, the dashboard tracks a number of measures that pertain to the department’s core functions; important activities and busi- ness results it must produce on an ongoing basis. Although there is considerable overlap between the two, the dashboard is concerned more with more immediate per- formance, whereas the scorecard is more future oriented. Thus, the dashboard focuses on ongoing operations rather than strategic initiatives, and tends to be more input and output oriented, whereas the scorecard is more oriented to outcomes and results. PennDOT’s dashboard, which uses a green light/yellow light/red light format, is reviewed on a monthly basis using a management-by-exception approach. As is the case with the SMC, the districts, deputates, and other units that have scorecards also have complementary dashboards for track- ing the performance of their core functions. Dashboards as well as scorecards are required in business plans, because the districts and deputates cannot afford to lose track of their core functions while they focus on implementing their strategic agendas. Thus, the scorecards align PennDOT’s change-oriented objectives to create a direct path from the department-wide strategic agenda through the business plans to work units and individual employees. Conversely, the dashboards are more daily-work oriented to create a di- rect path from the individual employees and work units through the organization dashboards to department-level core business priorities or objectives. Reviewing and Revising the Strategic Agenda The SMC reviews progress in achieving the strategic ob- jectives identified in “Moving Pennsylvania Forward” on a rotating basis, examining a few each month over a 6- month period, with progress on each objective reviewed every 6 months. The more detailed SMC scorecard is the principal reporting mechanism for tracking the suc- cess of the business plans in advancing the strategic agenda. The SMC scorecard, as opposed to the secretary’s version of the enterprise-level scorecard, tracks progress on each strategic objective, not the more general goals, and often incorporates multiple measures for a given strategic objective. Therefore, the owners and leaders prepare semi-annual progress reports for the SMC on each objective as it comes up on the rotating schedule. They are held accountable by the secretary and the SMC for achieving department-wide results on their strategic objectives, and their progress along these lines also feeds into their quarterly EPRs and thus their own individual annual performance appraisals. In turn, the deputy secretaries and other executives who are the owners and leaders of strategic objectives track those same indicators, or other appropriate ones, for organiza- tional units under their direction to hold those units respon- sible for their piece of the plan. Each December, the SMC conducts a systematic review of the entire enterprise-level scorecard to determine whether and how it might need to be updated. For exam- ple, if a particular strategic initiative has been completed, the SMC will probably decide to remove it from the score- card. Alternatively, the SMC may decide, perhaps based on its continued scanning of the external environment, that new strategic objectives are needed. For example, in De- cember 2001, two additional strategic objectives address- ing post-September 11 security concerns were added to the scorecard. Such new objectives are developed by technical teams of managers and employees at the direction of the SMC and they follow the same process that was used to develop the original scorecard objectives. Finally, the SMC may consider changing the measure or the targets that have been defined to track the progress of particular strategic objectives. To summarize, at Penn DOT strategic management is an ongoing process, moving through a continuous cycle of planning, implementation, and evaluation. The enterprise- level strategic agenda, summarized in the departmental scorecard, is implemented through scorecards and business plans developed by the districts and deputates, and in some cases by county maintenance units and central office bu- reaus. These organizations review their scorecards on a quarterly basis to manage with the measures and ensure that they achieve scorecard targets. The district and depu-

38 tate business plans, containing both organization score- cards and dashboards, must be updated annually and ap- proved by the SMC to ensure alignment with enterprise- level strategic objectives. At the departmental level, the SMC monitors its score- card on an ongoing basis and annually reviews the overall strategic agenda, sometimes making modifications based on current external and internal scan data in addition to the department’s progress in achieving “Moving Pennsylvania Forward” scorecard targets. Periodically, at roughly 4-year intervals coinciding with changes in administrations, Penn- DOT has undertaken more comprehensive efforts to update its strategic agenda so as to respond more deliberately to changing trends and forces, newly emerging issues, new customer demands, and shifting political mandates. Administrative Transitions PennDOT’s strategic planning process has evolved through the administrations of three governors and has become well institutionalized at this point. With a new governor and a new secretary of transportation taking office in Janu- ary 2003, the stage was set for possible additional refine- ments and further direction setting through strategic plan- ning. Initially, the new secretary has decided to retain the process, and the SMC has reviewed the scorecard and made some changes in the strategic objectives in time to guide the current round of business planning and budget development throughout the organization. The intention then is to use this coming year to undertake a more com- prehensive effort to update the strategic plan, and the proc- ess may be further refined along the way. ILLINOIS DEPARTMENT OF TRANSPORTATION IDOT initiated strategic planning activities in early 2000. Although the secretary of transportation had considered the possibility earlier, a blanket mandate from the governor in 1999 provided the leadership commitment from the top of state government that the secretary felt was needed to make strategic planning effective. The effort was led by the deputy secretary and the assistant to the secretary for strategic planning, working with a 30-member strategic planning team, and it was facilitated by an external con- sulting group. Strategic Plan Working with the balanced scorecard approach, the plan- ning team completed the enterprise-level strategic plan in a few months, and it was approved by the department’s ex- ecutive committee in July 2000. As shown in Figure 10, the original strategic plan included 14 objectives spread across the four quadrants of the public-sector balanced scorecard, which substitutes a “mission effectiveness” or “program delivery” quadrant for the “financial” quadrant found in private-sector scorecards. For each of these objec- tives, one or more types of performance measures were identified for tracking success. In addition, for each strate- gic objective, targets or more specific objectives were identified, whose accomplishment would lead to achieving the overall strategic objective. Furthermore, for each of these targets, the plan identifies specific initiatives to be undertaken to accomplish the target. This specification of measures, targets, and initiatives is illustrated in Figure 11 for IDOT’s objective concerning improved safety for the traveling public and department employees. Cascading Strategic Plans Once the enterprise-level strategic plan was approved, IDOT began training division and office teams made up of cross sections of managers and employees in strategic planning and use of the balanced scorecard model. These groups then set about developing their own strategic plans in support of the department-wide plan. As an interesting process innovation, a mobile laptop system was employed to help these teams develop their strategic plans. This collaborative software, supported by a wireless system of lap- top computers, serves as an “electronic flipchart” in facili- tated sessions; helps groups in brainstorming, analyzing, and processing information; and greatly reduces the meet- ing time required to accomplish particular planning tasks. As of April 2003, IDOT had completed 28 balanced scorecards, including those for the 4 major divisions, 8 central office bureaus, 6 staff support offices, and 9 re- gional highway districts, in addition to the department’s overall enterprise-level scorecard. Each of these scorecards is reviewed and must be approved by the next level up in the chain of command. For instance, district engineers take the lead in selecting members of their strategic planning teams and in developing their scorecards, but these teams and plans must be approved by the director of the division of highways. This ensures alignment of the scorecards de- veloped by these organizational units with the depart- ment’s overall scorecard. Several of these scorecards have now been revised and updated from their original versions. All of IDOT’s scorecards are reviewed at least annually and updated as appropriate. For example, although the en- terprise-level scorecard originally consisted of 14 objec- tives, it then added one new objective for a total of 15, and now is likely to be reduced to 13 objectives through the successful completion of one and the combining of two others. These scorecards constitute strategic plans at the division, office, bureau, and district levels, all within the

39 CUSTOMER SATISFACTION & PARTNERSHIPS LEARNING & GROWTH C1. Expedite the delivery of work and services to minimize public inconvenience. L1. Attract, develop and retain a diverse, quality workforce—tools include cohesive employee recognition program. C2. Continue to assess customer satisfaction and needs—to drive process improvement. L2. Develop knowledge management/sharing process and create an environment that encourages innovation. C3. Improve safety for the traveling public and Department employees. L3. Establish consistent internal communications to ensure all employees have access and the ability to share information about IDOT activities and progress. C4. Improve proactive external communications— increase public understanding of IDOT objectives programs, and projects. L4. Revitalize a department professional identity. BEST BUSINESS PRACTICES DELIVERY OF PROGRAMS AND SERVICES B1. Document, evaluate, and improve business processes. P1. Assess and/or establish levels of delivery of programs and services. B2. Acquire and allocate resources (including money, people, technology, and capital assets) based on demonstrated needs—evaluate investment strategy and use to ensure mission accomplishment. P2. Design and develop a mechanism to better integrate and coordinate the delivery of programs and services—reduce overlap. B3. Create an organizational environment where leadership is fostered at all levels in an effort to improve decision making. P3. Develop program/service risk assessment process relating to external factors (examples of external factors are special interest groups, resources, and components necessary for the completion of the program.) P4. Assist appropriate agencies to ensure ongoing security of transportation services in the face of credible threats or attacks. FIGURE 10 IDOT Enterprise Plan at May 31, 2002. framework of the overall enterprise-level strategic plan. Most of these units also develop their own annual work programs, and the scorecards are a driving force in devel- oping the work programs. Assigning Responsibilities IDOT assigns lead responsibility for several elements in its strategic plans. First, each of the scorecards is assigned a champion for the entire plan. Typically, this is the head of the organizational unit for which the plan has been de- signed (i.e., division or office director, district engineer, or bureau chief) or his/her designee. Second, each objective on a scorecard has a champion or leader to coordinate and report on progress on that objective as needed. Optionally, the targets specified for each objective may also have target managers. Finally, most objectives and/or targets have multiple initia- tives to help guide actions that will accomplish the objec- tives and targets. Each initiative is assigned an initiative manager who takes the lead in developing action plans for implementing the plans as well as achieving the targets.

40 To be measured by: 1. Change in internal attitudes and understanding surrounding safety. 2. Percent of reported work zone accidents that involved noncompliance with IDOT safety policy. 3. Percent of development of the General Accident Information System against established milestones. 4. Number of safety innovations implemented during the review period. 5. Percent change in vehicle crashes involving fatalities and/or serious injury. To be accomplished through: Target No. 1: Establish consistency and internal cohesion in the department’s employee safety focus: Initiatives: 1. Conduct review of current safety policy. 2. Review internal structure and recommend improvements if warranted [i.e., zone activities (internal and external)]. 3. Establish employee attitude/understanding baseline. Target No. 2: Examine and improve (internal and external) safety information flow: Initiatives: 1. Rework and implement the General Accident Information System (GAI). 2. Educate the public on a continuing basis. Target No. 3: Imbed safety in all department processes: Initiatives: 1. Develop process to find, share, and implement innovative ideas on safety. 2. Integrate safety into all relevant process steps under Objective B1. FIGURE 11 Objective C3: Improve safety for the traveling public and department employees. (Source: Illinois DOT.) At each level, these champions and managers are re- sponsible for both coordinating efforts and reporting on progress in achieving their strategic objectives. In essence, the hierarchy of strategic plan implementation and report- ing mirrors the traditional top-down hierarchy of the whole agency, which is comfortable for most managers and em- ployees. The difference is that implementation of the plans for the most part relies on teams on which individual rank has little meaning to the process. The initiative managers put together cross-functional or multidisciplinary teams as needed to implement their stra- tegic initiatives. Moving away from the command and con- trol management style that traditionally has dominated IDOT, these initiative managers are encouraged to com- municate across chains of command, if necessary, to achieve their objectives. However, they are required to re- port through the normal chains of command to ease possi- ble concerns about unsupervised activities taking place. At present, these individual-level assignments to take additional responsibilities as objective coordinators, target managers, or initiative managers are completely voluntary, and although they are recognized as an important part of the employee’s duties, they do not lead directly into the normal annual employee evaluation process. Rather, moti- vation for attending to these assignments and performing effectively in these roles is based primarily on leadership and communication, a sense of professional pride, peer support, and a highly visible process for reporting success or failure in implementing strategic initiatives and achiev- ing strategic objectives. IDOT’s assistant to the secretary for strategic planning indicated that assigning individual responsibility and fol- low-up on implementation activities is crucial to the suc- cessful completion of strategic initiatives. Eliciting com- mitments from individuals regarding specific tasks in the plan, emphasizing team work and collective responsibility, and then conducting quarterly, semi-annual, or annual re- views and updates in public settings serves to provide a powerful incentive for target managers and initiative man- agers to ensure that these strategic initiatives are imple- mented effectively. Performance Measurement To track overall success, IDOT uses a few general per- formance measures for each objective and encourages the use of more focused measures at each successive lower level of planning. The teams created to implement strategic initiatives use outcome measures derived from ongoing motorist surveys, employee surveys, crash reports, average daily travel counts, and so forth, to show long-term trends in bottom line results. Other more output-oriented meas-

41 ures (e.g., the number or percent of targeted process re- views completed) are used to track the efforts expended on strategic initiatives, assess needed changes in tactics, or understand when manpower shortages or other factors are slowing down progress. The assistant to the secretary for strategic planning usu- ally suggests performance measures at the outset of a new project; however, the teams have the option of rejecting them as long they have replacement measures that are bet- ter suited to the purpose. The general philosophy regarding performance measurement at IDOT is to make the meas- ures as nonthreatening as possible, rather than emphasize accomplishment of objectives; identify what is going well versus what may need to be changed. However, once agreement is reached regarding objectives, initiatives, im- plementation plans, and performance measures, tracking the measures and reporting performance data provides a powerful accountability tool for ensuring that a high prior- ity is placed on achieving the strategic objectives. Budget Linkages IDOT’s strategic planning process for the most part is loosely linked to budgeting. When additional financial re- sources are necessary, funds are earmarked in the budgets prepared by the division, office, bureau, or district that is responsible for implementing a particular strategic initia- tive. On the other hand, budget realities are often a major factor in determining whether the department can more forward with proposed strategic objectives, planned initia- tives, or recommendations from an implementation team in the first place. However, given the nature of most of IDOT’s strategic objectives, the budget is often not a major issue, even in a period of tighter fiscal constraints. Most of the strategic objectives cut across organizational lines and focus on or- ganization development or process improvement rather than the capital program or direct investment in the trans- portation system, meaning that the costs of these initiatives are typically measured in man-hours rather than dollars. Many of the activities derived from these initiatives; for example, process or program reviews, or on-the-job train- ing by peers and supervisors, can be completed using exist- ing personnel, and with appropriate time management techniques they can be cost-neutral and not require addi- tional funds. Conversely, the strategic plan does help IDOT delineate and prioritize additional spending in some areas, particu- larly with respect to IT. Although the department does not have a strategic objective that focuses on IT per se, virtu- ally all of the process improvements that are called for by several of the objectives require technological improve- ments designed to upgrade communication and informa- tion, save time, and/or reduce paperwork or other costs. In addition, IDOT’s Bureau of Information Technology has developed its own scorecard to further the improvement of IT processes and services in support of strategic objectives in higher-level plans. Through the strategic planning proc- ess IDOT identifies needs for additional IT that substan- tially exceed currently available budget levels. Rather than relying on the standard incremental approach, the ongoing planning work provides a systematic approach to assem- bling a priority list of IT acquisitions with fairly firm costs that the department can readily promote in future budget cycles. Evaluation of the Planning Process A cost-benefit analysis conducted in the spring of 2002 (SAIC 2002), and random surveys of both motorists and IDOT employees conducted in 2001, 2002, and 2003, show that the results of the strategic planning activities are paying off for the transit department and Illinois taxpayers. The benefit-cost analysis projects that all start-up costs of the strategic planning initiative, including employee time for training, planning, and implementation, will have been recovered by early 2004, primarily through process im- provements that have come out of the strategic plan. An in-house survey completed in April 2003, indicated that more than 40% of IDOT employees believe that goals and objectives are clearer as a result of the strategic plan- ning initiative. The survey also indicated that nearly two- thirds of IDOT employees believe that worker productivity and job satisfaction have improved over the 36 months that the strategic initiative has been in place. Correspondingly, annual surveys of the motoring public, conducted by the University of Illinois at Springfield, showed that a majority of motorists believe that IDOT is doing a good or excellent job, particularly in terms of roadway maintenance, high- way construction and repair, travelers’ services, and em- ployee conduct on the job. New Administration At the beginning of 2003, with a new governor in Illinois, a new secretary of transportation assumed direction of IDOT and, for the most part, assembled a new executive team. However, the new secretary also decided to retain the strategic planning process and the top staff personnel most closely associated with it, even though the new administra- tion may alter strategic priorities. Therefore, strategic planning has survived its first administrative transition at IDOT, and this is expected to help provide a sense of con- tinuity in a department that has seen substantial turnover in personnel over the past several years.

42 COMPARISONS These two departments were selected for mini-case studies as part of this synthesis because they illustrate both simi- larities and differences in their approaches to strategic management. At this time, PennDOT has been involved in strategic management for some 20 years and has worked to sharpen and deepen the process to ensure positive results in achieving its strategic goals and objectives. Currently, PennDOT has a mature strategic management process that affords a high degree of alignment among all the elements shown in Figure 1. By way of contrast, IDOT initiated its first strategic planning efforts in 2000, and it may not, like PennDOT, have all the elements in place. However, IDOT also presents a noteworthy case, because it is installing a very deliberate strategic management process, which en- sures follow-through in implementing and evaluating stra- tegic plans. Driving Decisions Both PennDOT and IDOT have developed strategic plans for their organizations that are summarized succinctly in scorecards. Both departments then require districts and di- visions to develop their own strategic plans or scorecards within the framework of the overall corporate-level strate- gic plan and, in both cases, these lower-level scorecards must be approved by higher-level management. However, PennDOT also requires these units to develop 4-year busi- ness plans, updated annually, which are the principal vehi- cles for driving the department’s strategies down into the operations of the organization. IDOT, in contrast, relies primarily on action plans developed for individual strategic objectives and/or targets as the means of implementing strategic plans at each level of the organization. Building Ownership Both PennDOT and IDOT place great importance on as- signing individual executives or managers to take the lead responsibility for implementing strategies and achieving strategic objectives. Whereas PennDOT identifies owners and leaders for each strategic objective, however, the IDOT process is more elaborate, with owners assigned for overall strategic plans, strategic goals, objectives, targets, and strategic initiatives. This is consistent with IDOT’s re- liance on the action plans developed by these owners and the teams they put together for implementing the depart- ment’s strategic objectives. Interestingly, for PennDOT, the responsibilities assigned to individuals for implement- ing strategic plans lead into these individuals’ annual per- formance appraisals, whereas for IDOT these are consid- ered to be “additional responsibilities,” which do not. Allocating Resources Many of the strategic initiatives established by both of these departments can be supported with existing budgetary re- sources, although PennDOT uses its business planning proc- ess to work these initiatives into the operating budgets of or- ganizational units, whereas IDOT has numerous labor- intensive initiatives whose costs are covered principally by as- signing individuals and teams to work on them. The two de- partments also differ with respect to strategic initiatives that entail additional direct monetary investment, such as substan- tial upgrades in IT. Whereas PennDOT estimates the cost of such initiatives as part of the planning process and earmarks funding sources at that point, IDOT establishes the initiative as part of the planning process and then, as part of the im- plementation process, begins to identify costs and priori- tize investments to be made as funds become available. Evaluating Performance Each of these transportation departments establishes per- formance measures for each strategic objective, including typically a mix of output and outcome indicators. For each of its measures, PennDOT sets numerical targets to be achieved within a given time frame, whereas IDOT identifies the measure and preferred direction of movement, but does not set numerical targets. Both departments, however, empha- size the importance of performance measures in managing their strategic agendas, and both review the performance data generated to track progress in implementing strategic initiatives and flag problems that need to be addressed. System Maintenance and Enhancement Both PennDOT and IDOT have an individual assigned on a full-time basis to support its strategic management proc- ess, providing staff support at the executive level and gen- erally facilitating development and use of the process. Both departments have also provided training to managers re- garding strategic planning, performance measurement, and related elements of strategic management. In addition, both have commissioned evaluations of their strategic manage- ment processes by consultants to help strengthen them. Fi- nally, new administrations have recently taken office in both departments, and in each case the new executives have decided to adopt the in-place strategic management processes and use them to revalidate or redirect future di- rections and priorities for these organizations.

TRB’s National Cooperative Highway Research Program (NCHRP) Synthesis 326: Strategic Planning and Decision Making in State Departments of Transportation examines state and provincial transportation departments' experience with strategic planning and synthesizes current approaches to linking strategic planning with other decision-making processes, including operational and tactical planning, resource allocation, performance management, and performance measurement.

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14 Cities, People, and Processes as Planning Case Studies

Eugénie L. Birch is the Lawrence C. Nussdorf Professor of Urban Research at the University of Pennsylvania.

• Published: 18 September 2012
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This article examines the importance of case studies in urban planning. It explains that case studies are used to analyze urban behaviors in the political arena, in neighborhoods and in other places, and in providing exemplars of best practices in physical planning. The article describes the nature of case studies used in urban planning and the pattern of their application. An analysis of representative studies reveals several patterns, including an effort to develop cases that translate knowledge into action, that pay attention to place or the physical dimensions of a question, and that have a tendency to revisit and re-evaluate a phenomenon which has been studied at an earlier time.

since urban planning focuses on creating communities of lasting value, the use of case studies to illustrate the various elements needed to achieve this goal comes naturally to many researchers. Whether looking at the finished product or the knowledge required to foster the public and private decision making for the desired outcome, case studies are an appropriate research strategy for this practice-based discipline. As with other clinical fields like medicine or law, advancing knowledge calls for laboratory work. While the human body (or an animal substitute) or a courtroom is the physician's or lawyer's lab, the city (or the urban environment) is the urban planner's lab. In these arenas, knowledge results from studies that translate to and from practice, adding to theory that, in turn, informs other studies and practice. The associated lab-based techniques for planners take many forms, ranging from statistical analysis of large databases to assessments of smaller units or cases. This research rarely encompasses controlled experiments requiring random assignment samples, but tends to engage in quasi-experimental or comparative projects, often case-based work.

The discussion that follows examines three topics. They are the nature of case-study research and its application to urban planning; patterns in the use of case-study research in urban planning; and some effects of case-study research on urban planning. Table 14.1 , Some Examples of Case Study Research Arranged Chronologically by Type, serves as a guide to the numerous references in the text.

1. The Nature of Case-Study Research and its Application to Urban Planning

Case studies fall into three general categories according to Robert Yin, the authoritative compiler of case-study research methods (Yin 2009 , 47–52). The first category, exploratory , seeks to understand a problem or questions in general. The second, descriptive , details phenomena from which to draw lessons. The third, explanatory , endeavors to develop causal relationships. Sometimes a researcher begins a project intending to undertake one kind of case study and ends up with another. For example, Lee Rainwater, in the preface to Behind Ghetto Walls, Black Family Life in a Federal Slum (1970, vii), explained “This … study began as a study of the problems in a public housing project, Pruitt Igoe in St. Louis [descriptive], and ended as a study of the dynamics of socioeconomic inequality [explanatory].”

Or, a researcher may use a case study to disprove a theory. Oxford University professor Bent Flyvbjerg ( 2006 , 228) reported that he approached his study of Aalborg, Denmark, thoroughly ingrained through university instruction in the belief that planning decisions would be transparent, inclusive, and in service of the free market, but when observed in the field, he found the opposite. This experience led him to refine the Yin typology, enumerating four nonexclusive kinds of case studies: “extreme” or “deviant,” chosen to dramatize a point; “critical,” selected to verify or disqualify a particular condition; “maximum variation,” used to show the range of types of phenomenon; and/or “paradigmatic,” created to highlight general qualities, rules or behaviors of the subject in question (Flyvbjerg 2006 , 232). To this list, Yin later added two other types: “revelatory,” offering insights not previously available; and “longitudinal,” covering a span of time (Yin 2009 , 47–52).

1.1 Application to Urban Planning

Case-study research in urban planning revolves around such questions as uncovering phenomena to be considered in formulating urban public policy; describing the decision-making processes in urban planning; and providing exemplars of what the authors consider best practices, frequently focusing on urban design or physical development. (An extensive discussion of these types of studies follows in the section of this chapter entitled “Patterns of Case-Study Research in Urban Planning.”)

As with all research, whether case study or quantitative database analysis, a research design involves four decisions: (1) what question(s) to ask; (2) what data will answer the question(s); (3) how to collect the data; and (4) how to analyze the data. The characteristics that differentiate case-study research are in the answers to questions below.

What Questions?

In general, the scientific method guides the planning scholar. He or she couches research in one or more hypotheses or propositions related to current theory. She can develop questions only after acquiring some prerequisite knowledge: a firm grounding in existing literature pertaining to the immediate area of study, awareness of contributions from associated disciplines, and familiarity with what is happening “on the ground” or in practice. Only then can he hone in on the key issues, gaps, or discrepancies that shape the project. In addition, the researcher articulates the anticipated findings as a means to structure the design and the subsequent discussion of the findings.

In case-study research, an iterative process is quite normal—that is, after completing the research, the author may revise his or her questions. In Divided Cities, Belfast, Beirut, Jerusalem, Mostar and Nicosia , authors Jon Calame and Esther Charlesworth ( 2009 ) originally posited that urban managers who prevented sparring (and more dangerous activities like killing) by partitioning off discordant areas in ethnically and religiously divided cities would not cause permanent damage but, rather, achieve peace. They found, however, something quite different: while managers gained respite by separating antagonists, they ruined the social contract among residents because they were masking, not curing, “a profound, longstanding problem in a short-term temporary way” (5).

To determine data needs, the researcher identifies the study's goals and defines its objectives and time frame. At the same time, he or she decides whether to pursue a single or multiple case(s) based on the nature of the work (e.g., exploratory, descriptive, or explanatory) and a judgment about the effectiveness of specified types of case(s) (e.g. representative, extreme, and/or with variation) in answering the questions. For example, Mark Rosentraub ( 2010 , 13), in Major League Winners, Urban Change and New Destinies for Downtowns , chose his cases as representative with variation, noting, “This book is about the balance achieved by successful leadership in several different cities and the positive economic outcomes that took place …[in order to identify] the opportunities available to other cities.” In contrast, Divided Cities authors Calame and Charlesworth ( 2009 , 2) selected extreme cases in order to “expose what lies in store for a large and perhaps growing class of cities on a trajectory toward polarization and partition between rival communities.”

Above all, researchers have a clear understanding of the “unit of analysis” (what they are going to study e.g., a group, a process, a development project) and the boundaries (or time frame e.g., specified decades, months, etc.) to be covered. For example, in The Future of Old Neighborhoods , Bernard Frieden ( 1964 ) questioned current thinking on “gray areas” that dismissed these older central-city districts as economically and socially obsolete by identifying, tracking, and proving the usefulness of inexpensive housing in such neighborhoods in New York, Los Angeles, and Hartford between 1950 and 1960. In Mega-Projects: The Changing Politics of Urban Public Investment , Alan Altshuler and Daniel Luberoff ( 2003 , 2) wanted to explore the trajectory of “the political impulses that generated mega-projects of the 1950s and 1960s,” so they concentrated on “three inter-related mega-projects: highways, airports and rail transit systems … during the second half of the twentieth century” to gauge decision-making processes in each.

At the very least, regardless of the number or type of cases included in the research design (as is discussed below), the data will include a chronology of events relevant to the subject under study, a step that includes reviewing primary and secondary documents, identification of the key actors or stakeholders, quantitative and descriptive information that helps establish the context of the case, interviews of people who can clarify various elements of the case, site visits and/or personal observation of meetings or other events relevant to the case, and collection of assessment information that will assist in judging the outcomes of the case.

1.2. The Single Case

The decision to have one, or more than one, case is closely related to the goals of a given study. A single case, while offering depth, calls for careful marshaling of information to tell a story that has broad application as is illustrated in the examples below. While researchers have the luxury of making deep probes and being immersed in one place, they still have to organize the material to demonstrate its contribution to theory—that is, its ability to produce knowledge that may be applied elsewhere.

For example, Martin Meyerson and Edward Banfield ( 1955 , 11), in Politics, Planning and the Public Interest: The Case of Public Housing in Chicago , investigated “how some important decisions were reached in a large American city.” In their research design, they established clear criteria for their unit of analysis, “decisions,” by choosing a certain kind (the siting of public housing); a certain type (“we take into account decisions only if, and only insofar as they have to do with ‘politics,’ ‘planning,’ or ‘the public interest’ “)—concepts that they define in a twenty-six-page appendix; and a certain class , noting that, at the time, siting was not only “big business,” but also “suggestive for certain classes of issues” such as a sewage disposal plant, a tuberculosis sanatorium, a superhighway, or even a church or a school (14, 303–329,12). In establishing the broad application of their work, they were bold (“many other governments resemble that of Chicago”) but circumspect:

The reader should be cautioned, however, against inferring that the political history of public housing in other cities has been identical with that of Chicago … the Chicago experiences should sensitize the reader to certain influences and relationships which are likely to be found, although not in the same form, in most other cities. In short, acquaintance with what happened in Chicago may give the student of the public housing issue some indication of what to look for in other cities . [italics added] (11–12)

Many other studies of public housing siting and its effects ensued, including Arnold Hirsch's ( 1983 ) Making of the Second Ghetto: Race and Housing in Chicago 1940–1960 and Lawrence Vale's ( 2000 ) From Puritans to the Projects: Public Housing and Public Neighbors . A more recent single case study, Nicholas Dagen Bloom's ( 2008 ) Public Housing That Worked, New York in the Twentieth Century dissected the New York experience between 1934 and 2008. Like Meyerson and Banfield, Bloom seeks to show the reader a different story than his predecessors, one that includes, but goes beyond, siting to explore management policies as an explanatory force for the success of public housing in a large American city.

In the single-case arena, several works take one city as the unit of analysis and explore the outcomes of different public policies in that city. Examples are Colin Gordon's ( 2008 ) Mapping Decline, St. Louis and the Fate of One American City , which looks at St. Louis to study the effects of a single type of action: evolving housing and renewal policies over decades. Similarly, Birch and Wachter's ( 2006 ) Rebuilding Urban Places After Disaster, Lessons From Katrina , reviews one city, New Orleans, and but investigates the role of the several different types of policies—economic to educational—in aiding recovery efforts.

1.3 The Single Embedded Case

A researcher may choose another approach: the single case with embedded subunits that receive more or different attention, in order to illustrate a phenomenon that has variation within it. This method goes beyond a simple numerical count or statistical attempt to create causal relationships used by many social scientists pursuing complex problems to add nuances and depth to the overall case or argument that the author is presenting. In the late 1950s, anthropologist Oscar Lewis ( 1959 ) formulated the “culture of poverty” theory based on studying five Mexican families. He argued that the poor had “a way of life that is passed down from generation to generation,” that contributed to their economic and social marginality (Lewis 1959 , xlii–lii). He tested this idea using an embedded single case in La Vida: A Puerto Rican Family and the Culture of Poverty in San Juan and New York (1965) by focusing on one family that contained five households—three living in Puerto Rico and two in New York City. In this manner, he captured the varied forms of behavior associated with the “culture of poverty” concept and argued that it was a behavioral type that had several manifestations depending on household composition and location.

Similarly, when political scientist Alan Altshuler ( 1965 ), studied city planning in the Twin Cities (Minneapolis/St Paul), in The City Planning Process: A Political Analysis , he used the embedded single case study. While he focused on “the city planning process,” he analyzed how city planning decisions were made in creating four types of plans (a comprehensive plan for Minneapolis, a land-use plan and hospital site for St. Paul, and an interstate freeway routing plan for the two cities). In using several examples or subunits as evidence, he challenged reigning planning theory (rational decision making), arguing that it was an ineffective model because it neglected to account for local political behavior. Jeffrey Pressman and Aaron Wildavsky ( 1973 ) would follow the same approach in Implementation, How Great Expectations in Washington Are Dashed in Oakland , a study of the U.S. Economic Development Administration's employment programs in Oakland California that tracked the expenditure of a $23 million allocation for four types of infrastructure investments (airport, marine terminal, industrial park, and roads) in case studies of the individual projects to test the outcomes, measured as job creation. Here, the authors focused on such issues as individual program achievements and explanations for their failure to meet projected goals.

Urban design researchers also make use of the embedded single case study. For Jonathan Barnett ( 1974 ), in Urban Design as Public Policy , New York City zoning is the overall topic and its city-shaping power is the concern. He documented the effects of two newly invented devices—the plaza bonus and the special district—and showed how they played out in various development projects. For Allan B. Jacobs ( 1995 ), in Great Streets , the “street” is the unit of analysis and fifteen exemplary thoroughfares in Europe and North America distinguished by their dimensions and patterns of use are the subunits.

In a more recent study, Heatwave, A Social Autopsy of a Disaster in Chicago , sociologist Eric Klinenberg ( 2002 ) used an embedded single case study that employed mixed methods to question whether the more than 485 heat-related deaths in six days in Chicago in July 1995 affected everyone equally. (Notably, this crisis produced more than twice as many deaths as the Great Chicago Fire of 1871.) Through statistical analysis, he discovered that impoverished, elderly minorities had the highest rates; but with further scrutiny, he saw that poor, elderly black men suffered disproportionately. To explain this phenomenon, he then studied comparative spatial data—place of residence and crime rates—to conclude that the black victims who lived in high-crime neighborhoods remained in their overheated apartments, while others, especially low-income Hispanics whose neighborhoods were safer, were less housebound and, consequently, had lower mortality rates.

1.4 The Multiple Case

A researcher selects a multiple case study design to show repeated patterns, variation in patterns, and exceptional examples of patterns to achieve balance (geographic, size, etc.) among exhibited patterns and to offer more ample descriptions and explanations of complex phenomena, all in the effort to enhance generalization from the data (Stake 2006 , v; Yin 2009 , 54). Two examples are Peter H. Brown's ( 2009 ) America's Waterfront Revival, Port Authorities and Urban Redevelopment and Mark S. Rosentraub's ( 2010 ), Major League Winners, Using Sports and Cultural Centers as Tools for Economic Development . Here, each author employed four (Brown) to five (Rosentraub) cases to illustrate types of urban planning in postindustrial cities.

In each of these cases, the authors developed hypotheses about their subjects from a combination of research, observation, interviews, and experience. Brown, as a former city employee, had noticed that the Philadelphia Port Authority had a surplus of land owing to its relocation of facilities to accommodate containerization, and he decided to investigate how this change had affected how it and other port authorities perceive their missions, hypothesizing that they had become urban developers. Rosentraub, through research for an earlier book, Major League Losers, The Real Cost of Sports and Who's Paying for It? (1999), detected a change in municipal approaches to the construction of sports facilities, hypothesizing that some appeared to be using stadiums as anchors for reinvention and growth.

1.5 The Embedded Multiple Case

Like the embedded single case, the embedded multiple case presents several cases dealing with a particular question, with additional attention given to other details within the cases. For example, when Larry Buron and colleagues ( 2002 ) undertook HOPE VI Resident Tracking Study, A Snapshot of Current Living Situation of the Original Residents from Eight Sites , they selected a large sample of residents from projects in varying degrees of completion (two completed and fully reoccupied, four partially reoccupied, and two under construction) to review four features (the residents’ housing conditions, neighborhood quality, social environment and employment, and hardship and health). They tested the basic assumptions of the HOPE VI program—notably, that original residents’ lives, as judged by the four elements, would be improved. However, since the cases were so varied with regard to their progress, the treatment of residents was also varied—factors that the researchers discussed in detail.

1.6 The “Mini” Multiple Case

In contrast to these approaches, Edward J. Blakely and Mary Gail Snyder's ( 1997 ) Fortress America: Gated Communities in the United States and Robert E. Lang and Jennifer B. LeFurgy's ( 2007 ) Boomburgs: The Rise of America's Accidental Cities offered many “mini” case studies to describe a new settlement type that they each identify by studying empirical data. Blakely and Snyder focus on gated communities that numbered more than 20,000 at the time of their research (7); Lang and LeFurgy, on “boomburgs”—large (100,000 population) incorporated places, not core cities, that were housing one-in-nine suburban dwellers and having double-digit growth between 1970 and 2000 (6, 19). Each team explored a large question—Blakely and Snyder studied the nature of community (29); Lang and LeFurgy looked at the dynamics of metropolitan change (20)—by marshaling “mini” cases that contributed to the description of the overall case (gated community or boomburg), as well as analysis of the phenomenon under study. In this fashion, they captured the issues in the types of places by developing a “mosaic” that formed each case study. For example, in their exploration of the pace and quality of boomburg development, Lang and LaFurgy identified future build-out as an issue. They used survey research to tally their places’ plans (ranging from promoting compact development to resisting densification) and provided brief examples of each.

1.7 Edited Multiple Case Studies

Finally, some scholars produce edited collections of case studies. Lawrence J. Vale and Thomas J. Campanella ( 2005 ), in The Resilient City, How Modern Cities Recover From Disaster , used eight cases to identify the characteristics found in places that survive natural and manmade disasters; and Bishwapriya Sanyal ( 2005 , xxi), in Comparative Planning Cultures , has his contributors generate “thick descriptions of planning practices in various countries” in order to “demonstrate whether there are core cultural traits … which differentiate planning efforts in different nations.” In these types of collections, the editors take responsibility for comprehensive cross-case analyses. Vale and Campanella provided a well-argued concluding chapter that not only used the cases to present a model of the stages of recovery (from emergency to reconstruction) but also commented on key characteristics of the recovery process, ranging from observations about every place experiencing physical recovery of one sort or another to conclusions about opportunism and opportunity as well as governmental and human resilience (2005, 335–53). Sanyal took a different tack, employing a long introductory chapter to set up the cases and then let the cases tell the story (2005, 3–63).

As can be seen from this description of the design of case-study research, the choice of cases and their number depend on the authors’ abilities to demonstrate that their research designs answer their questions credibly. There is no “right” answer to whether one or more than one case is appropriate. Researchers with a social science inclination tend to select multiple cases, believing that more examples will offer greater proof of the existence of a given phenomenon. Their training, often based in quantitative analysis, supports this approach. Researchers with an inclination toward history or ethnography tend to gravitate to the single case, believing that rich description will enable the reader to apply the resulting knowledge to his or her circumstances with a deeper understanding of the context and conditions of the case.

What Data Collection Methods?

As part of the design for a project, the investigator conceives a research protocol outlining the types of data sought and the methods of collection. Having such a protocol ensures that other researchers can replicate (or critique) the approach, and in the case of multiple case studies, assures uniform treatment of each. The objective is to develop a portrait or tell a story about each case by collecting basic descriptive data, developing a chronology, and identifying key actors and actions. Data can come from many sources, including censuses, specially generated surveys, participant observation, interviews, review of primary and secondary documents, field work, and/or mapping and spatial analysis employing GIS or other methods.

For example, the contributing authors to The University as Urban Developer, Cases and Analysis , edited by David C. Perry and Wim Wiewel (2005), used primary and secondary documents, interviews, personal accounts, and maps to tell their stories. Saskia Sassen ( 1991 ), in The Global City, New York, London, Tokyo , relied heavily on databases from the International Monetary Fund, U.S. Department of Labor, United Nations Centre on Transnational Corporations, Organization for Economic Cooperation and Development, Metropolitan Government of Tokyo, United Kingdom Department of Employment, and other organizations.

How to Analyze the Data?

Having gathered the data for the cases, the researcher returns to the original questions and/or propositions to interpret the evidence, the most important and creative function of any research project. As mentioned earlier, case approaches allow researchers to reformulate their questions as information-gathering progresses. In some quantitatively based multiple-case projects, often those related to program evaluation, the researcher has set up measurable outcomes and can discuss them. For example, when Briggs, Popkin, and Goering ( 2010 ), in Moving to Opportunity, The Story of an American Experiment to Fight Ghetto Poverty , organized the study to cover five cases and to report on whether families who moved from de facto segregated public housing to racially integrated communities fared better in terms of housing quality, employment, and education than those who chose other alternatives (staying in public housing, moving within the city, etc.), they established a “controlled” experiment that allowed for quantitative analysis of the outcomes. (They found, however, that so many unanticipated factors influenced the outcome that they had to qualify their findings with descriptive explanations.) In other studies with little or no quantitative data, the researcher assesses features or characteristics, or he or she identifies patterns that bear on the original research questions. Brown ( 2009 ), Rosentraub ( 2010 ), and Calame and Charlesworth ( 2009 ) are examples of this type of assessment.

Depending on the type of case study or studies that have emerged, researchers will report exploratory, descriptive, revelatory, or explanatory findings, aiming to demonstrate elements that contribute or disprove the theoretical framework on which the study is based. They offer an “analytical” (not statistical) generalization—that is, the mounting of the empirical findings of one or more case studies to prove, disprove, or amplify previously developed theory. A necessary goal is to produce results capable of replication because only through replication is theory robust (Yin 2009 , 38, 54). Single case analysis is straightforward, as the researcher analyzes the evidence to point out key aspects of the case, leading to general assertions; multiple case analysis calls for cross-case observations relative to the general questions, again pointing out the commonalities and differences (Gerring 2007 ). Focusing on a single place, Ram Cnaan ( 2006 , 274–92) explored religious congregations in Philadelphia to demonstrate the pros and cons of their contributions to social welfare in disadvantaged neighborhoods. Using an embedded, multiple case study approach, Sassen ( 1991 ) marshaled evidence to argue that the rise of global cities as centers of finance represented a shift in their definition and role from hosting manufacturing and production to enabling or financing such functions worldwide, asserting “It is this combination of a new industrial complex that dominates economic growth and sociopolitical forms through which it is constituted and reproduced that is centered in major cities and contains the elements of a new type of city, the global city” (Sassen 1991 , 338).

Most cases in urban planning aim to inform the future, while some—notably the explanatory and paradigmatic—attempt to predict or affect future decision making directly. Briggs, Popkin, and Goering's ( 2010 ) Moving to Opportunity is an example of the latter, while Beatley's ( 2000 ) Green Urbanism, Learning from European Cities is an example of the former. A common impetus is a desire to identify qualities that contribute to the creation of communities of lasting value. One example is The Portland Edge: Challenges and Success in Growing Communities , edited by Connie Ozawa ( 2004 , 304), who writes:

The purpose of this volume was not simply to tell “The Portland Story.” We had hoped that by doing so, however, we would add to larger discussions about how to recover, sustain and create strong communities. We offer no recipes … nonetheless it is clear that the level of livability in Portland is no accident… . [W]e have identified a few key ingredients of a strong community.

A more recent effort is Joan Fitzgerald's ( 2010 ) Emerald Cities, Urban Sustainability and Economic Development , which endeavors to blend European and U.S. cases to provide inspiration for formulation of a national policy on the subject.

2. Patterns in the Use of Case-Study Research in Urban Planning

As evident from table 14.1 , urban planning scholarship has relied heavily on case studies over the last fifty years. Organized according to six types of approaches ranging from single cases to edited multiple case study collections, the table supports five observations beyond the general statement that, regardless of discipline, urban researchers use cases extensively. First, many urban planning scholars employ case studies as a vehicle to translate knowledge into action. Second, case study approaches allow urban planning scholars to provide the evidence, depth, and detail about place that other methods do not capture. Third, case study authors have taken on a wide range of roles, from participant observer to dispassionate analyst. Fourth, revisiting a phenomenon over time occurs in urban planning case-study research. Fifth, the professional biography stands out as a distinct type of case study for urban planners and deserves attention in the future.

Case Studies Serve as Vehicles for Translating Knowledge into Action

Planning scholars either explicitly articulate their motivation to inform or improve urban planning or implicitly do so through their work. Further, case studies provide “road maps” regarding context, chronology, key actors, and/or crucial decision points, offering readers searching for models or solutions to the same or similar problems a means to compare and test their own situations. While there is never any “best way” to translate knowledge to action, at the very least, case-study research adds a layer of information or best practices to assist decision makers, who will also rely on other types of information, whether it comes from quantitative research, experience, professional group interactions, or other means.

Examples of the value of case studies are found in the work of Herbert Gans ( 1959 ), Jane Jacobs ( 1961 ), William Whyte ( 1980 ), and Mark Rosentraub ( 2010 ), who have uncovered information that changed perceptions about the urban environment or activities occurring in cities. Martin Meyerson and Edward Banfield ( 1955 );, Bent Flyvbjerg ( 1998 ); Brent Flyvbjerg, Nils Bruzelius, and Wernter Rothengatter ( 2003 ); and Lynne Sagalyn ( 2003 ) have successfully shown the behaviors and actions of key actors in urban planning activities, while Martin Meyerson ( 1963 ), Jonathan Barnett ( 1974 ), Jerold Kayden ( 2000 ), Timothy Beatley ( 2000 ), Alexander Garvin ( 2002 ), and Ellen Dunham-Jones and June Williamson ( 2009 ) provide exemplars for improving physical planning. Barbara Faga ( 2006 ) describes participatory processes and Allan Altshuler ( 1965 ), Charles Hoch ( 1994 ), and John Forester ( 1989 ) contribute ideas about practitioner operations. Hoch ( 1994 ) has full-scale portraits of typical planners, while Forester's ( 1989 , 163–208) contributions with regard to cases are restricted to a final chapter, “Supplement on Planning Education: Teaching Planning Practice.” Finally, Timothy Beatley ( 2009 ), who provided a firm foundation for “green urbanism,” defined the knowledge-to-action process as “telling stories—innovative efforts at moving cities and urban neighborhoods in the direction of sustainability, at finding ways to build economy, reconnect to place and environment, and at once to enhance quality of life and reduce ecological footprints.”

Case-study approaches allow urban planning scholars to provide information about place that other methods would not capture. Since case-study authors examine the physical manifestations of a wide variety of urban phenomena, they offer contextual details about places that are often lacking in purely quantitative studies. Depending on the subject under study, they may explain the geography (e.g., terrain, climate), locational characteristics (e.g., street layout, neighborhood or housing conditions), or the interplay of demographic factors and place (e.g., segregation) that are explanatory or have an effect on the outcomes. When Lynne Sagalyn ( 2003 ) dealt with the redevelopment of New York City's Times Square, in Times Square Roulette , she detailed relevant characteristics of the area (e.g., parcel size, ownership patterns, zoning requirements, accessibility to transportation, land values), its location in the NYC theater district, and other factors that influenced subsequent public and private decision making that explained the success of this particular development project. Similarly, Timothy Gilfoyle ( 2006 ) deconstructed the spatial aspects (e.g., location, acreage) that affected the events and decisions that resulted in the design and creation of Chicago's famed Millennium Park. Others have shown the physical imprint of pressing social, economic, and environmental issues. For example, legal scholar Charles Haar ( 1996 , 2005 ) explored both the ramifications of the Mt. Laurel I and II cases on New Jersey settlement patterns owing to court remedies for residential racial discrimination and outlined the physical effects of legal efforts on the cleanup of Boston Harbor. Capturing urban ethnic strife, John Calame and Esther Charlesworth ( 2009 ) mapped its varied expression is such forms as walls, gated districts, and other elements in the cities of Belfast, Beirut, Jerusalem, Mostar, and Nicosia. Some examine existing or potential public policy related to transportation, land use, regional planning, growth management, and the potential for political alliances. Michael Bernick and Robert Cervero ( 1997 ) and Cervero ( 1998 ) surveyed transit-oriented development; Douglas Porter ( 1997 ) covered U.S. regional planning efforts; Patsy Healey ( 2007 looked at innovative planning in several countries in Europe; and Myron Orfield ( 2002 ) demonstrated the economic and social commonalities among suburbs in a study of twenty-five metro areas.

Case-Study Author Roles Range from Witness to Dispassionate Analyst

The presence of the author as a witness takes different forms. Jonathan Barnett ( 1974 ) and Allan Jacobs ( 1978 ) represent first-person, active participants who are “reflective practitioners,” taking time to scrutinize their practical experiences and share the results. SchÖn ( 1983 ), Herbert Gans ( 1959 , 1967 ), Oscar Lewis ( 1959 , 1965 ), Gerald Suttles ( 1968 ), and Elijah Anderson ( 1999 ) are participant observers, inhabiting the communities they are studying in order to understand them. Jane Jacobs ( 1961 ) also lives in the community and uses her daily experiences to articulate desirable urban qualities. Unlike the sociologists, she does not focus on ethnographic concerns but, rather, on the effects of the physical environment on behavior and well-being. More remote are Lee Rainwater ( 1970 ), Joel Garreau ( 1991 ), Peter Brown ( 2009 ), and Ellen Dunham-Jones and June Williamson ( 2009 ), who use field observations to supplement work that relies on many other forms of data and that places them at arm's length from their subjects.

Some Case Study Authors Revisit Phenomena

An author or co-authors may engage in longitudinal case studies that show how a phenomenon fares over time. For example, in the 1970s, Oscar Newman ( 1972 ) crafted “defensible space” design principles to reduce crime in public housing. More than twenty years later, sponsored by the U.S. Department of Housing and Urban Development, he (1996) evaluated their application in a three-case study project. Two years after the publication of the notorious “Moynihan Report” or The Negro Family, The Case for National Action (U.S. Department of Labor 1965 ), Lee Rainwater and William Yancy ( 1967 ) looked at the stir it had created. (The Moynihan Report asserted that high levels of black male unemployment negatively affected family lives and led to a “tangle of pathology” that undermined black society.) Fifty years later, Douglas Massey and Robert Sampson ( 2009 , 12) reassessed the uproar again, arguing that the fallout contributed to avoidance and consequent lack of rigorous analysis of the “unpleasant realities of ghetto life,” consequently leaving the conservative explanation (welfare dependence created the observed pathologies) unchallenged for more than twenty years until William Julius Wilson ( 1987 ), in The Truly Disadvantaged , provided an alternative explanation (structural changes in the economy). Other works followed Wilson's, breaking the blockade of silence by liberal scholars.

The Professional Biography as a Type of Case Study Needs More Attention

Life stories focusing on people's careers illustrate the environment, character, and decision-making patterns of leaders who have shaped urban places. Exemplary are Robert Caro's ( 1974 ) biography of Robert Moses, a subject recently revisited by Hillary Ballon and Kenneth Jackson ( 2007 ) in a massive exhibit and catalogue Robert Moses and the Modern City: The Transformation of New York ; Adam Cohen and Elizabeth Taylor's ( 2000 ) study of the first Mayor Richard Daley of Chicago, M. Jeffrey Hardwick's ( 2004 ) portrait of Victor Gruen and Nicholas Dagen Bloom's ( 2004 ) tracing of developer James Rouse's career highlighting his role in the creating Columbia, Maryland, festival malls and the Enterprise Foundation. Notably, there is a dearth of biographies of mid-twentieth-century city planners, including Kevin Lynch, Martin Meyerson, Lloyd Rodwin, Harvey Perloff, and others (Birch 2011 ), leaving an important gap to be filled by scholars in the future.

An important note here is that journalists often write professional biographies that differ in tone and analysis from those written by scholars. The journalist's approach tends to focus on the immediate story more than the context, while the scholars give much attention to placing the subject in a larger picture of his or her times. In the journalist group are Caro's book on Moses and Buzz Bissinger's ( 1997 ) portrait of Mayor Ed Rendell in A Prayer for a City ; among the scholar-generated offerings are Nicholas Dagen Bloom's ( 2004 ) Merchant of Illusion ( James Rouse) and Wendell Pritchett's ( 2008 ) Robert Clifton Weaver and the American City: The Time and Life of an Urban Reformer . Edited biographical collections are another version of this approach. Representative are Donald Krueckeberg's ( 1983 , 1994 ) pioneering work that includes portraits of more than twenty leaders and Scott Gabriel Knowles's ( 2009 ) recent book on Edmund Bacon, featuring several authors with different perspectives on a single person.

3. Some Effects of Case-Study Research on Urban Planning

The impact of case-based research becomes evident with the passage of time, allowing for the dissemination and application of findings. Two types of outcomes are evident, displayed as follows: (1) the translation of the new knowledge into practice; and (2) the stimulation of new research. Examples of the translation of the new knowledge into practice are evident in many arenas. William H. Whyte's ( 1980 ) Social Life of Small Urban Spaces , a study of public plazas in New York City, and Jane Jacobs's ( 1961 ) Death and Life of Great American Cities , an explanation of urban design successes also focused on New York City (primarily Greenwich Village) achieved widespread readership and reshaped city planning practice in New York and beyond. For example, New York City rewrote the public plaza sections of its zoning ordinance in response to Whyte's findings as did many other cities (Kayden 1996; Birch 1986 ).

Both textbooks and practice are infused with concepts that first saw life in case study monographs. Martin Meyerson and Edward Banfield's ( 1955 ) exploration of urban decision making in Politics, Planning and the Public Interest advanced planning theory, especially with regard to a nuanced definition of the public interest, that value that planners, through their code of ethics, pledge to pursue. Similarly, Alan Altshuler ( 1965 ) turned the rational planning model on its head. Herbert Gans's ( 1959 ) The Urban Villagers, Group and Class in the Life of Italian Americans transformed ideas about community life in slums, a theme that has been deepened through the ongoing work of other ethnographers like Elijah Anderson. Bernard Frieden ( 1964 ) The Future of Old Neighborhoods helped put a halt to slum clearance and successfully promoted rehabilitation. The zoning techniques that Jonathan Barnett ( 1974 ) put forward in Urban Design as Public Policy have been replicated in cities throughout the United States.

An example of the second type of outcome, stimulation of new research, is the seminal work of Sir Peter Hall ( 1966 ) in World Cities . Attributing the term “world cities” to Scottish scholar Patrick Geddes, Hall (7–9) was the first writer to operationalize the concept by defining world cities as places “in which a disproportionate part of the world's business is conducted, … [that are] national centers not merely of government but also of trade, … centers of population [with] … significant portion of the richest of the community, [and] … the locus of manufacturing and luxury goods, entertainment and culture.” Hall selected seven places, or “world cities,” to examine, analyzing the drivers of growth, current problems, and their solutions, and arguing that they represented the wave of the future whose stories provided lessons for urban planners. He chose the case studies from places that varied by function (political and financial capitals), by spatial arrangement (nuclear and polycentric), and by geographic location (Europe, Asia, North America). He found that “in every city … growth brings problems; but those problems may vary in intensity according especially to the internal disposition of functions and land uses within metropolitan regions” (234). From the data, Hall identified, quite presciently as it turns out, two categories of concern: the spread of the suburbs and the future of the downtown (237–42). He thus alerted his readers to what to “look for in other cities” (as Meyerson and Banfield [ 1955 , 12] had suggested a decade earlier in discussing the usefulness of case studies) and established an important agenda for subsequent research.

In the years to follow, scholars would flesh out the concerns highlighted by Hall in three significant streams of inquiry. The first focused on suburbs and sprawl, the next on downtowns, and the last on large-scale regions. The suburban literature spanned early studies that gauged the effects of suburbs on social behavior, such as William H. Whyte's ( 1956 ) The Organization Man , based on Park Forest, Illinois; and Herbert Gans's ( 1967 ) The Levittowners Ways of Life and Politics in a New Suburban Community , focused on community life in one of the nation's first, postwar, mass-produced subdivisions, Ann Forsyth's ( 2005 ) Reforming Suburbia, The Planned Communities of Irvine, Columbia and The Woodlands explored three master-planned places. Later works addressed public policies designed to shape suburbs as exemplified by Gregory K. Ingram and colleagues’ ( 2009 ) Smart Growth Policies: An Evaluation of Programs and Outcomes , which employed quantitative measures supplemented by mulitiple case studies, and Myron Orfield and Thomas F. Luce Jr.'s ( 2010 , xiii) Region, Planning the Future of the Twin Cities , which combined in-depth data analysis represented graphically in a number of GIS maps “to think more clearly about the socio-economic polarization that is occurring in the region,” and to decide what to do about it.

The second stream explored downtowns, especially the decentralization of central business district functions. Edge City, Life on the New Frontier by Joel Garreau ( 1991 ) redefined the idea of downtown through the investigation of nine “new urban centers” characterized by five elements (5 million square feet of leasable office space; 600,000 square feet of leasable retail space; more jobs than bedrooms) and perceived as one place, nonexistent thirty years ago. About a decade later, Edgeless Cities by Robert E. Lang ( 2003 , 2) challenged Garreau, employing multiple “mini” case studies to identify a new pattern of places that are downtowns “in function in that they contain office employment but not in form because they are scattered … contain isolated office buildings or small clusters of buildings of varying densities over vast swabs of metropolitan space.” Other works have focused on the actual downtown concept and its changing activities. These studies, as they were published over time, sequentially referenced their predecessors to demonstrate change. They include John Rannells's ( 1956 ) The Core of the City , which tracked traditional central business district (CBD) functions in Philadelphia; Bernard Frieden and Lynne B. Sagalyn's ( 1989 ) Downtown Inc., How America Rebuilds Cities ,which portrayed changing retail formats in Pasadena, Boston, San Diego, Seattle, and St. Paul; Roberta Gratz and Norman Mintz's ( 2000 ) Cities Back from the Edge; and Eugenie L. Birch's ( 2005 ) Who Lives Downtown? , with their many small case examples, that show the new residential and entertainments components of the twenty-first century 24/7 downtown.

The third stream examines large-scale regions. The literature is extensive, but four recent works are representative: Roger Simmonds and Gary Hack ( 2000 , 3, 183–93), in Global City Regions, Their Emerging Forms , compared eleven large-scale places closely linked by economic activity but exhibitingcontrasting features, including infrastructure, regional organization and cultures of governance. Peter Hall and Kathy Pain's ( 2006 ) The Polycentric Metropolis, Learning from Mega-City Regions in Europe , showcased eight places that have become mega-city regions in work that is closely related to thinking about mega-regions in the United States, fostered by Jonathan Barnett and colleagues ( 2007 ) in Smart Growth in a Changing World , Catherine Ross ( 2009 ) in Megaregions, Planning for Global Competitiveness and Arthur Nelson and Robert Lang ( 2011 ) in Megapolitan America .

As it turns out, Hall's three streams of inquiry are closely related. The suburban work informs state and local dialogues on community life, sprawl, and urban design. Public and private decision makers are shaping downtown investments based on researchers’ findings. The study of large-scale places is now influencing national policy discussions in such infrastructure discussions as those revolving around high-speed rail, as a recent scan of the America 2050 ( http://www.america2050.org/ ) and the U.S. Federal Rail Administration ( http://www.fra.dot.gov/Pages/2325.shtml ) Web sites indicate.

4. Conclusion

Urban planning scholars employ case-study research widely to pursue a range of questions related to the field, including analyzing urban behaviors in the political arena, in neighborhoods, and in other places and providing exemplars of best practices in physical planning. They have done so for more than fifty years. And as they have worked, they have evolved several types of approaches, ranging from the single case monograph to the mulitiple case edited collection. In the process, they have pursued rigorous and replicable research designs whose formats have been repeated in the work of successive case-study researchers and whose protocols have been formalized in case-study textbooks (Yin 2009 ; Seale et al. 2008 ; Stake 2006 ). An analysis of representative studies reveals several patterns, including an effort to develop cases that translate knowledge into action, that pay attention to “place” or the physical dimensions of a question, and have a tendency to revisit and reevaluate a phenomenon that has been studied at an earlier time. Important gaps in case study research such as in the special format, biography, exist. Finally, case-study research has yielded important outcomes, influencing both practice and ongoing research.

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Short Case Study on Change Management

A short case study on change management can be very helpful in learning how to manage change effectively. In today’s business world, change is constantly happening and it can be very difficult to keep up.

Having a solid understanding of change management is essential for any manager or business owner.

A good case study will show you how one company successfully managed a major change and what lessons can be learned from their experience.

By studying short case study on change management, you will gain valuable insights into the importance of planning, communication, and employee involvement when managing change.

You will also learn about the different stages of change and how to overcome resistance to change.

These are all important topics that any manager or business owner should be familiar with. Learning about them through a short case study is an excellent way to gain a better understanding of these concepts.

Here are 05 short case studies on change management that offer you valuable insights on managing change.

1. Adobe- a transformation of HR functions to support strategic change

Many a times external factors lead to changes in organisational structures and culture. This truly happened at Adobe which has 11,000 employees worldwide with 4.5 billion $ yearly revenue.

Acrobat, Flash Player, and Photoshop are among the well-known products of Abode.

Due to new emerging technologies and challenges posed by small competitors Adobe had to stop selling its licensed goods in shrink-wrapped containers in 2011 and switched to offering digital services through the cloud. They gave their customers option of downloading the necessary software for free or subscribing to it every month rather than receiving a CD in a box.

The human resource (HR) function also took on a new role, which meant that employees had to adjust to new working practices. A standard administrative HR function was housed at Adobe’s offices. However, it was less suitable for the cloud-based strategy and performed well when Adobe was selling software items. 

HR changed its role and became more human centric and reduced its office based functions.

The HR personnel did “walk-ins,” to see what assistance they might offer, rather than waiting for calls. With a focus on innovation, change, and personal growth, Adobe employed a sizable percentage of millennials.

Instead of having an annual reviews, staff members can now use the new “check-in” method to assess and define their own growth goals whenever they find it necessary, with quick and continuous feedback. 

Managers might receive constructive criticism from HR through the workshops they conduct. The least number of employees have left since this changed approach of HR.

Why did Adobe’s HR department make this change? Since the company’s goals and culture have changed, HR discovered new ways to operate to support these changes.

2. Intuit – applying 7s framework of change management 

Steve Bennett, a vice president of GE Capital, was appointed CEO of Intuit in 2000. Intuit is a provider of financial software solutions with three products: Quicken, TurboTax, and QuickBooks, which have respective market shares of 73 percent, 81 percent, and 84 percent. 

Despite this market domination, many observers believed Intuit was not making as much money as it could.

Additionally, the business was known for making decisions slowly, which let rivals take advantage of numerous market opportunities. Bennett desired to change everything.

In his first few weeks, he spoke with each of the top 200 executives, visited the majority of Intuit’s offices, and addressed the majority of its 5,000 employees.

He concluded that although employees were enthusiastic about the company’s products, internal processes weren’t given any thought (based on Higgins, 2005).

He followed the famous Mckinsey 7S Model for Change Management to transform the organization. Let’s see what are those changes that he made:

By making acquisitions, he increased the products range for Intuit.

He established a flatter organizational structure and decentralized decision-making, which gave business units more authority and accountability throughout the whole product creation and distribution process.

To accomplish strategic goals, the rewards system was made more aligned to strategic goals.

He emphasized the necessity of a performance-oriented focus and offered a vision for change and also made every effort to sell that vision.

He acknowledged the commitment of staff to Intuit’s products and further strengthened process by emphasizing on quality and efficiency of his team.

Resources were allotted for learning and development, and certain selected managers were recruited from GE in particular skill categories, all to enhance staff capabilities concerning productivity and efficiency.

Superordinate goals:

Bennett’s strategy was “vision-driven” and he communicated that vision to his team regularly to meet the goals.

Bennett’s modifications led to a 40–50% rise in operating profits in 2002 and 2003.

8,000 people worked for Intuit in the United States, Canada, the United Kingdom, India, and other nations in 2014, and the company generated global revenues of nearly $5 billion.

3. Barclays Bank – a change in ways of doing business

The financial services industry suffered heavily during mortgage crisis in 2008. In addition to significant losses, the sector also had to deal with strict and aggressive regulations of their investing activities.

To expand its business, more employees were hired by Barclays Capital under the leadership of its former chief executive, Bob Diamond, who wanted to make it the largest investment bank in the world. 

But Barclays Capital staff was found manipulating the London Inter-Bank Offered Rate (LIBOR) and Barclays was fined £290 million and as a result of this the bank’s chairman, CEO, and COO had to resign.

In an internal review it was found that the mindset of “win at all costs” needed to be changed so a new strategy was necessary due to the reputational damage done by the LIBOR affair and new regulatory restrictions. 

In 2012, Antony Jenkins became new CEO. He made the following changes in 2014, which led to increase of 8% in share price.

Aspirations

The word “Capital” was removed from the firm name, which became just Barclays. To concentrate on the U.S. and UK markets, on Africa, and on a small number of Asian clients, the “world leader” goal was dropped.

Business model

Physical commodities and obscure “derivative” products would no longer be traded by Barclays. It was decided that rather than using its customers’ money, the business would invest its own.

Only thirty percent of the bank’s profits came from investment banking. Instead of concentrating on lending at high risk, the focus was on a smaller range of customers.

In place of an aggressive, short-term growth strategy that rewarded commercial drive and success and fostered a culture of fear of not meeting targets, “customer first,” clarity, and openness took precedence. Investment bankers’ remuneration was also reduced.

Beginning in 2014, branches were shut, and 19,000 jobs were lost over three years, including 7,000 investment banking employees, personnel at high-street firms, and many in New York and London headquarters. £1.7 billion in costs were reduced in 2014.

There was an increase in customers’ online or mobile banking, and increased automation of transactions to lower expenses.  To assist customers in using new computer systems, 30 fully automated branches were established by 2014, replacing the 6,500 cashiers that were lost to this change with “digital eagles” who used iPads.

These changes were made to build an organization that is stronger, more integrated, leaner, and more streamlined, leading to a higher return on equity and better returns for shareholders. This was also done to rebuild the bank’s credibility and win back the trust of its clients.

4. Kodak – a failure to embrace disruptive change

The first digital camera and the first-megapixel camera were both created by Kodak in 1975 and 1986 respectively.

Why then did Kodak declare bankruptcy in 2012? 

When this new technology first came out in 1975, it was expensive and had poor quality of images. Kodak anticipated that it would be at least additional ten years until digital technology started to pose a threat to their long-standing business of camera, film, chemical, and photo-printing paper industries.

Although that prediction came true, Kodak chose to increase the film’s quality through ongoing advances rather than embracing change and working on digital technology.

Kodak continued with old business model and captured market by 90% of the film and 85% of the cameras sold in America in 1976. With $16 billion in annual sales at its peak, Kodak’s profits in 1999 was around $2.5 billion. The brand’s confidence was boosted by this success but there was complete complacency in terms of embracing new technology.

Kodak started experiencing losses in 2011 as revenues dropped to $6.2 billion. 

Fuji, a competitor of Kodak, identified the same threat and decided to transition to digital while making the most money possible from film and creating new commercial ventures, such as cosmetics based on chemicals used in film processing.

Even though both businesses had the same information, they made different judgments, and Kodak was reluctant to respond. And when it started to switch towards digital technology, mobile phones with in-built digital camera had arrived to disrupt digital cameras.

Although Kodak developed the technology, they were unaware of how revolutionary digitalization would prove to be, rendering their long-standing industry obsolete.

You can read here in detail Kodak change management failure case study.

5. Heinz   – a 3G way to make changes

Warren Buffett’s Berkshire Hathaway and the Brazilian private equity business 3G Capital paid $29 billion in 2013 to acquire Heinz, the renowned food manufacturer with $11.6 billion in yearly sales.

The modifications were made right away by the new owners. Eleven of the top twelve executives were replaced, 600 employees were let go, corporate planes were sold, personal offices were eliminated, and executives were required to stay at Holiday Inn hotel rather than the Ritz-Carlton when traveling and substantially longer work hours were anticipated. 

Each employee was given a monthly copy restriction of 200 by micromanagement, and printer usage was recorded. Only 100 business cards were permitted each year for executives.

Numerous Heinz workers spoke of “an insular management style” where only a small inner circle knows what is truly going on.

On the other side, 3G had a youthful team of executives, largely from Brazil, who moved from company to company as instructed across nations and industries. They were loyal to 3G, not Heinz, and were motivated to perform well to earn bonuses or stock options. 

“The 3G way,” a theory that 3G has applied to bring about change in prior acquisitions like Burger King, was the driving reason behind these modifications. Everything was measured, efficiency was paramount, and “nonstrategic costs” were drastically reduced. 

From this vantage point, “lean and mean” prevails, and human capital was not regarded as a crucial element of business success. It was believed that rather than being driven by a feeling of purpose or mission, employees were motivated by the financial gains associated with holding company stock.

Because it had been well-received by the 3G partners, those who might be impacted by a deal frequently saw a “how to” guide published by consultant Bob Fifer as a “must read.”

However, many food industry experts felt that while some of 3G’s prior acquisitions would have been ideal candidates for a program of cost-cutting, Heinz was not the most appropriate choice to “hack and slash.” The company had already undergone several years of improved efficiency and it was already a well-established player in the market.

In summarizing the situation, business journalists Jennifer Reingold and Daniel Roberts predicted that “the experiment now underway will determine whether Heinz will become a newly invigorated embodiment of efficiency—or whether 3G will take the cult of cost-cutting so far that it chokes off Heinz’s ability to innovate and make the products that have made it a market leader for almost a century and a half.” 

Final Words

A short case study on change management can be a helpful tool in learning how to effectively manage change. These case studies will show you how one company successfully managed a major change and what lessons can be learned from their experience. By studying these case studies, you will gain valuable insights into the importance of planning, communication, and employee involvement when managing change. These are all vital elements that must be considered when implementing any type of change within an organization.

About The Author

Tahir Abbas

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Planning for TSMO

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• The How: Case Studies Advancing Planning for Operations  - Best Practices Illustrating the benefits of Planning for Operations. The case studies below are some of the examples of where this is being done.
• Capital District Transportation Committee Albany, New York  ( HTML ,  PDF )
• Delaware Valley Regional Planning Commission Philadelphia Region  ( HTML ,  PDF ) 
• The Denver Region Traffic Signal System Improvement Program ( HTML ,  PDF )
• Metropolitan Transportation Commission San Francisco Bay Area ( HTML ,  PDF ) 
• Pima Association of Governments  ( HTML ,  PDF ) 
• Wilmington Area Planning Council Delaware / Maryland ( HTML ,  PDF ) 
• Developing Decisionmaker Support for Management and Operations at MetroPlan Orlando  ( PDF )
• Outcomes-Based, Performance-Driven Planning at Metro Portland   ( PDF )
• The Use of an Objectives-Driven, Performance-Based Approach at the Champaign County Regional Planning Commission  ( PDF )
• Programming for Operations: MPO Examples of Prioritizing and Funding TSMO Strategies  ( PDF ) - MPO Examples of Prioritizing and Funding Transportation Systems Management & Operations Strategies.

Organizing for TSMO and Mainstreaming TSMO

• Organizing for TSMO Case Studies - Set of 12 case studies that provide examples of common challenges and best practices for supporting organizational aspects for TSMO. See case Studies section on Organizing for Operations page.
• Advancing Organizational Structures for TSMO Full Report ( PDF ) – See Case Studies in Chapter 5 ( PDF )
• Mainstreaming TSMO: Experiences from Iowa and Washington State ( HTML ,  PDF )
• Mainstreaming TSMO throughout the Project Lifecycle Phases ( HTML ,  PDF )
• Communication Strategies for Mainstreaming TSMO ( HTML ,  PDF )
• Mainstreaming TSMO through Collaboration with Information Technology: Experiences from Pennsylvania ( HTML ,  PDF )
• Mainstreaming TSMO: Making the Business Case ( HTML ,  PDF )
• Connecting TSMO and Safety Case Studies - Illustrate how State DOT’s and MPOs from three states are integrating and coordinating Safety and TSMO programs: Arizona ( PDF ), Florida ( PDF ), Ohio ( PDF )
• Case Studies on the Implementation of SHRP2 Reliability Data and Analysis Tools ( HTML ) - Case studies from State Departments of Transportation that implemented reliability data and analysis tools developed under the second Strategic Highway Research Program.

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Case Studies: Successful Events Using Event Software

Introduction.

In the evolving realm of event planning, success hinges on adapting to the target audience’s demands and creating memorable experiences. This compilation of case studies uncovers the success stories of prominent organizations such as GE Healthcare, leveraging modern platforms in the information technology sector. These stories illuminate the transformative power of event software in orchestrating successful product launches, virtual and hybrid events, and esports competitions across the United States and beyond. They highlight amplified customer satisfaction, enhanced security, significant cost savings, and insightful analytics, offering valuable lessons for event planners on the path to success. Delve into these customer stories to discover how the right platform can elevate your event planning strategies.

5 Event Case Studies

Case study 1: product launch by ge healthcare.

GE Healthcare leveraged a top-tier platform in the information technology sector to successfully launch a groundbreaking product. This case study emphasizes the crucial role of analytics in understanding the target audience, leading to a memorable experience and amplified customer satisfaction.

Case Study 2: Virtual Event In The United States

As the demand for virtual events surged, a prominent firm triumphed in hosting a large-scale virtual event using advanced event software. The event offered attendees an interactive experience and demonstrated impressive cost savings, making it a success story worth noting.

Case Study 3: Hybrid Event In The Information Technology Sector

In this customer story, an IT company adeptly bridged the gap between physical and digital spaces, setting up a hybrid event that attracted a broad audience. The event showcased the platform’s security features, underscoring the importance of safety in memorable experiences.

Case Study 4: Esports Competition

This case study recounts how a leading Esports organization used an event software platform to deliver an exceptional experience for attendees, from live streaming to real-time social media integration. This success story encapsulates the power of creating memorable experiences for a specific target audience.

Case Study 5: United Nations Conference

The United Nations harnessed event software to enhance the attendee experience at a crucial conference. With robust analytics, seamless security, and improved customer satisfaction, this case study is an example of how event planners can utilize technology for successful and impactful events.

The Skift Take: These case studies demonstrate the powerful role of event software platforms in facilitating successful events, from product launches to large-scale conferences. Leveraging technology, organizations like GE Healthcare and the United Nations have improved attendee experience, enhanced security, saved costs, and gained valuable insights. These success stories serve as a testament to the transformative potential of information technology in event planning.

Why Event Badges Will Never Be The Same Again [Case Study]

The digital revolution has forever changed the face of event badges. In our case study, we delve into how technology-driven badges have enhanced the event experience, providing not just identity verification, but also serving as a tool for networking, data collection, and improving overall attendee engagement.

How To Increase Engagement With Your Event App By 350% [Case Study]

In this case study, we unravel the strategy behind a staggering 350% increase in event app engagement. Through a blend of user-friendly design, interactive features, and personalized content, the case underlines the power of a well-implemented event app in boosting attendee interaction and enhancing the overall event experience.

How To Meet Green [Case Study]

This case study explores the concept of sustainable event planning. It illustrates how a platform’s features can facilitate ‘green’ events, thereby reducing environmental impact while ensuring a memorable attendee experience. Such initiatives highlight the potential for event software to contribute meaningfully towards global sustainability goals.

How To Increase Attendance By 100+% [Case Study]

This case study explores the tactics employed by an organization which led to a remarkable doubling of event attendance. The successful campaign, powered by a robust event software platform, offered personalized communication, early bird incentives, and an appealing event agenda, demonstrating the potential of effective marketing strategies in boosting event turnout.

How This Event Boosted Their Success [Case Study]

This case study unravels the success journey of an event that significantly boosted their success using a comprehensive event software platform. The strategic use of interactive features, data insights, and exceptional planning led to a remarkable rise in attendee satisfaction and engagement, underlining the game-changing potential of technology in event management.

In the dynamic field of event planning. The power of leveraging advanced platforms in information technology, as demonstrated in the case studies, is clear. Success stories from esteemed organizations such as GE Healthcare. Underscore the invaluable role of event software in facilitating triumphant product launches, virtual and hybrid events, and even esports competitions. The benefits are manifold, including enhanced customer satisfaction, improved security, substantial cost savings, and the generation of valuable analytics to guide future strategies. These case studies serve as tangible proof that the right technology can significantly elevate the success of your event.

If these success stories inspire you to embrace the transformative power of event software. We invite you to experience the difference firsthand. Orderific is ready to demonstrate how our platform can elevate your event planning process. Book a demo with us today and begin your journey towards unprecedented event success.

What role do event case studies play in the event planning and management process?

Event case studies offer real-world examples of successful planning and management strategies, providing valuable insights and lessons.

How can event professionals benefit from studying real-world success stories in the industry?

They can gain practical knowledge, tactics, and inspiration to implement successful strategies in their own events.

What types of insights can event case studies provide for improving future events?

Event case studies provide actionable insights into effective planning strategies, attendee engagement, and ROI optimization.

Are there specific industries or event types that are commonly featured in case studies?

Yes, industries often featured include tech, healthcare, and entertainment, and event types range from corporate events to music festivals.

How can event planners effectively apply lessons learned from case studies to their own projects?

They can apply these lessons by tailoring the strategies highlighted in case studies. Which aligns with their event’s unique needs and goals.

Introduction Enhancing a new employee's onboarding experience is crucial in an increasingly digital world. Through our advanced onboarding software, we Read more

Introduction Artificial intelligence (AI) is revolutionizing the event planning industry, offering event planners innovative tools to craft immersive, personalized experiences. Read more

Introduction Event technology is rapidly evolving, presenting opportunities and challenges for event planners. The adoption of event tech can significantly Read more

Introduction The era of big data has ushered in an unprecedented opportunity for event organizers. The wealth of event data Read more

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CBSE Class 12 Case Studies In Business Studies – Planning

PLANNING Planning: Definition Planning is deciding in advance what to do, how to do, when to do and who has to do it. Thus, it involves setting objectives and developing an appropriate course of action to achieve those objectives.

Features of Planning

• Planning focuses on achieving objectives by deciding upon the activities to be undertaken.
• Planning is a primary function as it precedes all functions of management i.e. organising, staffing, directing& controlling.
• Planning is pervasive as it is required at all the levels of management but its scope may vary.
• Planning is continuous as plans need to be made on a continuous basis till an organisation exists.
• P lanning is futuristic as it seeks to meet future events effectively to the best advantage of an organisation. Planning is, therefore, called a forward looking function.
• Planning involves decision-making as it involves rational thinking to choose the best alternative among the various available alternatives in order to achieve the desired goals efficiently and effectively.
• Planning is a mental exercise as it is based on intellectual thinking involving foresight, visualisation and judgement rather than guess work.

Importance of Planning

• Planning provides direction as it acts as a guide for deciding what course of action should be taken to attain the organisational goals.
• Planning reduces the risk of uncertainty arising due to the dynamic nature of business environment as it enables a manager to anticipate and meet changes effectively.
• Planning reduces overlapping & wasteful activities as it serves as the basis for coordinating the activities and efforts of different divisions and individuals.
• Planning promotes innovation as it encourages new ideas that can take shape of concrete plans.
• Planning facilitates decision making as it enables a manager to choose the best alternative course ‘of action among the various available alternatives in light of present and future conditions.
• Planning establishes standards for controlling. Planning provides standards against which the actual performance is measured and timely corrective actions the taken.

TYPES OF PLANNING On the basis of use and duration

• Single use plans are the ones that are formulated to deal with new or non-repetitive situations that may arise in an organisation from time-to-time. For example- programmes, budgets and projects.
• Standing plans refer to the another type of plans which once formulated may be used for a long period of time in similar or repetitive situations that may prevail in an organisation. For example—objectives, strategies, policies, methods, procedures and rules.

On th basis of what a plan seeks to achieve

• Objectives are the end results of the activities that an organisation seeks to achieve through its existence.
• A strategy is a comprehensive plan for achieving the objectives of the organisation.
• Policy is a set of general guidelines that help in managerial decision making and action.
• Method refers to the prescribed ways or manner in which a task has to be performed considering the objective.
• Procedure refers to a series of specific steps to be performed in a chronological order to carry out the routine activities.
• Budget refers to a financial plan that is expressed in numerical terms.
• Rule is a specific statement relating to the general norms in terms of Do’s and Don’ts that guide the behaviour of people. It commands strict obedience and a penalty is likely to be imposed on its violation.
• Programme is a comprehensive plan that contains detailed statements about a project which outlines the objectives, policies, procedures, rules and method and the budget to implement any course of action.

Steps Involved in the Planning Process

• Setting clear, specific and measurable objectives for the entire organisation and each department or unit within the organisation.
• D eveloping Premises which reflect the assumptions about the future that the manager is required to make since the future is uncertain.
• Identifying alternative courses of action through which the desired goals can be achieved.
• Evaluating alternative courses to analyse the relative pros and cons of each alternative in light of their feasibility and consequences.
• Selecting an alternative or a combination of plans which appears to be most feasible.
• Implement the plan with the help of a strategy.
• Follow up action in order to monitor the plans to ensure that the desired objectives are achieved efficiently and effectively.

Limitations of Planning

• Planning leads to rigidity as plans are drawn in advance and managers may not be in a position to change them in the light of changed conditions.
• Planning may not work ina dynamic environment as through planning, everything cannot be foreseen.
• Planning reduces creativity as the top management undertakes planning of various activities whereas the middle managers are neither allowed to deviate from plans nor are they permitted to act on their own.
• Planning involves huge costs in terms of time and money required to undertake scientific calculations and sometimes it may not justify the benefits derived from it.
• Planning is a time consuming process and sometimes there is not much time left for implementation of the plans.
• Planning does not guarantee success because it is not always essential that if a plan has worked before, it will work again, as things may change. This kind of complacency and false sense of security may actually lead to failure instead of success of a business.

LATEST CBSE QUESTIONS

Question 1. State any three points of importance of planning function of management. (CBSE, Delhi 2017) Answer: The three points indicating the importance of planning is described below:

• Reduces the risk of uncertainty: Planning relates to deciding in advance about the tasks to be performed in future. This enables a manager to anticipate changes and devise the way to deal with changes and uncertain events effectively.
• Planning promotes innovative ideas: Planning is one of the basic managerial functions. Before doing something, the manager must formulate an idea of how to work on a particular task. Thus, planning is closely connected with creativity and innovation. It is the most challenging activity for the management as it guides all future actions leading to growth and prosperity of the business.
• Avoiding overlapping and wasteful activities: Planning ensures clarity in thought and action and serves as the basis of coordinating the activities and efforts of different individuals and departments. Therefore, by curtailing useless and redundant activities it helps in smooth working of the organisations work is without interruptions. Moreover, it makes detection of inefficiencies easier so that timely corrective measures may be taken to avoid them in future.

Question 2. Give the meaning of ‘objectives’ and ‘budget’ as types of plans. (CBSE, Delhi 2017) Answer:

• Objectives: Objectives are the end results of the activities that an organisation seeks to achieve through its existence. All other activities within the organisation are directed towards achieving these objectives. Objectives are based on the mission or philosophy of the organisation. Objectives are determined by top level management. For example, the objectives of a newly started business is to earn 30% profit gn the amount invested in the first year.
• Budget: A budget refers to a financial plan that is expressed in numerical terms. For example, the marketing manager prepared an area wise sales target for different products for the forthcoming quarter. It is a type of single use plan.

Question 3. State any three limitation of planning. (CBSE, Delhi 2017) Answer: The three limitations of planning are described below:

• Planning may not work in a dynamic environment: The business environment is dynamic in nature. Every organisation has to constantly adapt itself to changes in its environment in order to survive and grow. However, it difficult to anticipate all the likely future changes in the environment with utmost accuracy. Hence, even with planning everything cannot be foreseen.
• Planning reduces creativity: The top management undertakes planning of various activities whereas the other members are expected to merely implements these plans. This restricts the creativity of the middle managers as they are neither allowed to deviate from plans nor are they permitted to act on their own.
• Planning involves huge costs: The process of planning involves huge cost in terms of time and money as detailed planning is based on a series of scientific calculations. Moreover it may include a number of related costs as well, like expenses on boardroom meetings, discussions with professional experts and preliminary investigations to find out the viability of the plan. As a result the expenses on planning may turn out to be much more than benefits derived from it.

Question 4. Give the meaning of ‘procedure’ and ‘rule’ as types of plans. (CBSE, Delhi 2017) Answer:

• Procedure: A procedure contains a series of specific steps to be performed in a chronological order to carry out the routine activities. It is determined by lower and middle level management. It is a specific statement. There is no scope for managerial discretion. Procedure is framed to implement a policy. It is a type of standing plan.
• Rule: A rule is a specific statement relating to the general norms in terms of Do’s and Don’ts that guide the behaviour of people. It commands strict obedience and a penalty is likely to be imposed on its violation. Rules help to maintain discipline. Rules are both specific and rigid. For example, No smoking, No Parking. It is a type of standing plan.

Question 5. State any three features of planning. (CBSE, Delhi 2017) Answer: The three features of planning are described below:

• Planning is pervasive: Planning is not an special function, is equally essential at all levels of management. But the scope of planning varies at different levels and among different departments.
• Planning involves decision-making: Planning essentially involves*-application of rational thinking to choose the best alternative among the various available alternatives in order to achieve the desired goals efficiently and effectively.
• Planning is a primary function: Planning precedes all the functions of management i.e. organizing, staffing, directing and controlling. This refers to primacy of planning. Planning provides basis of all other functions.

Question 6. Give the meaning of ‘policy’ and ‘strategy’ as type of plans. (CBSE, Delhi 2017) Answer:

• Policy: Policy are general statements that guide managerial decision making. If is determined by top level management. It is a general statement. It provides scope for managerial discretion. Policies are framed to achieve the objectives of an organisation. They all guides in implementing the strategy. It is a type of standing plan.
• Strategy: A strategy is a comprehensive plan prepared for winning over the given challenge or problem. A strategy is based on the objectives of the organisation. A strategy may be determined by top level or middle level management.

Question 7. Give the meaning of ‘ Objective’ and ‘Procedure’ as types of plans. (CBSE, OD 2017) Answer:

• Objectives: Objectives are the end results of the activities that an organisation seeks to achieve through its existence. All other activities within the organisation are directed towards achieving these objectives. Objectives are based on the mission or philosophy of the organisation. Objectives are determined by top level management. For example, the objectives of a newly started business is to earn 30% profit on the amount invested in the first year.

Question 8. Give the meaning of ‘Strategy’ and ‘Rule’ as types of plans. (CBSE, OD 2017) Answer:

• Strategy: A strategy is a comprehensive plan prepared for winning over the given challenge or problem. It is based on the objectives of the organisation. It may be determined by top level or middle level management.
• Rule: Rules are specific statements that tell people what should or should not be done. Violation of Rules may lead to imposition of penalties. Rules help to maintain discipline. Rules are both specific and rigid. For example, No smoking, No Parking. It is a type of standing plan.

Question 9. Super Fine Rice Ltd. has the largest share of 55% in the market. The company’s policy is to sell only for cash. In 2015, for the first time company’s number one position in the industry has been threatened because other companies started selling rice on credit* also. But the managers of Super Fine Rice Ltd. continued to rely on it’s previously tried and tested successful plans which didn”t work because the environment is not static. This led to decline in sales of Super Fine Rice Ltd. The above situation is indicating two limitations of planning which led to decline in it sales. Identify these limitations. (CBSE, Sample Paper, 2017) Answer: The two limitations of planning which led to decline in it sales are:

• Planning does not guarantee success.
• Planning may not work in dynamic environment.

Question 10. State the main aspects in the concept of planning. (CBSE, Sample Paper, 2017) Answer: The concept of planning primarily involves three aspects namely;

• Setting objectives in clear specific and measurable terms for a given period of time.
• Identifying the various alternative courses of action which may be adopted to achieve the objectives.
• Selecting the best possible alternative course of action from among the various courses of action available.

Question 11. Laxmi Chemicals Ltd., a soap manufacturing company, wanted to increase its market share from 30% to 55% in the long-run. A recent report submitted by the Research & Development Department of the company had predicted a growing trend of herbal and organic products. On the basis of this report, the company decided to diversify into new variety of soaps with natural ingredients having benefits and fragrances of Jasmine, Rose, Lavender, Mogra, Lemon Grass, Green Apple, Strawberry etc. The Unique Selling Proposition (USP) was to promote eco-friendly living in the contemporary life style. The company decided to allocate t 30 crores to achieve the objective. Identify the type of one of the functions of management mentioned above which will help the company to acquire dominant position in the market. (CBSE, Sample Paper 2016) Answer: Strategy is the type of plan which will help the company to acquire dominant position in the market.

Question 12. Suhasini, a home science graduate from a reputed college, has recently done a cookery course. She wished to start her own venture with a goal to provide ‘health food’ at reasonable prices. She discussed her idea with her teacher (mentor) who encouraged her. After analysing various options for starting her business venture, they short listed the option to sell ready made and ‘ready to make’ vegetable shakes and sattu milk shakes. Then, they weighed the pros and cons of both the short listed options.

• Name the function of management being discussed above and give any one of its characteristics.
• Also briefly discuss any three limitations of the function discussed in the case. (CBSE, Sample Paper 2016)
• Planning is the function of management which is being discussed above. Planning involves decision-making: Planning essentially involves application of rational thinking to choose the best alternative among the various available alternatives in order to achieve the desired goals efficiently and effectively.
• Planning may not work in a dynamic environment: The business environment is dy¬namic in nature. Every organisation has to constantly adapt itself to changes in its environment in order to survive and grow. However, it is difficult to anticipate all the likely future changes in the environment with utmost accuracy. Hence, even with planning, everything cannot be foreseen.
• Planning reduces creativity: The top management undertakes planning of various activities whereas the other members are expected to merely implement these plans. This restricts the creativity of the middle level managers as they are neither allowed to deviate from plans nor are they permitted to act on their own.
• Planning involves huge costs: The process of planning involves huge cost in terms of time and money as detailed planning is based on a series of scientific calculations. Moreover, it may include a number of related costs as well, like expenses on boardroom meetings, discussions with professional experts and preliminary investigations to find out the viability of the plan. As a result, the expenses on planning may turn out to be much more than benefits derived from it.

Question 13. Two years ago, Madhu completed her degree in food technology. She worked for sometime in a company that manufactured chutneys, pickles and murabbas. She was not happy in the company and decided to have her own organic food processing unit for the same. She set the objectives and the targets and formulated an action plan to achieve the same. One of her objectives was to earn 10% profit on the amount invested in the first year. It was decided that raw materials like fruits, vegetables, spices, etc. will be purchased on three months credit from farmers cultivating only organic crops. She also decided to follow the steps required for marketing of the products through her own outlets. She appointed Mohan as the Production Manager who decided the exact manner in which the production activities were to be carried out. Mohan also prepared a statement showing the number of workers that will be required in the factory throughout the year. Madhu informed Mohan about her area wise sales target for different products for the forthcoming quarter. While working on the production table, a penalty of ? 100 per day for not wearing caps, gloves and apron was announced. Quoting lines from the above paragraph, identify and explain the different types of plans discussed. (CBSE, Delhi 2016) Answer: The different types of plans discussed above are listed below:

• Objectives: Objectives are the end results of the activities that-an organisation seeks to achieve through its existence. All other activities within the organisation are directed towards achieving these objectives. “One of her objectives was to earn 10% profit on the amount invested in the first year.”
• Policy: A policy is a set of general guidelines that helps in managerial decision making and action. “It was decided that the raw materials like fruits, vegetables, spices, etc. will be purchased on three months credit from farmers cultivating only organic crops.”
• Procedure: A procedure contains a series of specific steps to be performed in a chronological order to carry out the routine activities. “She also decided to follow the steps required for marketing of the products through her own outlets.” “The exact manner in which the production activities are to be carried out.”
• Rule: A rule is a specific statement relating to the general norms in terms of Do’s and Dont’s that guide the behaviour of people. It commands strict obedience and a penalty is likely to be imposed on its violation. “While working on the production table, a penalty of ? 100 per day for not wearing caps, gloves and aprons was announced.”
• Budget: A budget refes to a financial plan that is expressed in numerical terms. “Mohan also prepared a statement showing the number of workers different products for the forthcoming quater.”

Question 14. Two years ago, Mayank obtained a degree in food technology. For some time, he worked in a company that manufactured bread and biscuits. He was not happy in the company and decided to have his own bread and biscuits manufacturing unit. For this, he decided the objectives and the targets, and formulated an action plan to achieve the same. One of his objectives was to earn 50% profits on the amount invested in the first year. It was decided that raw materials like flour, sugar, salt, etc. will be purchased on two months credit. He also decided to follow the steps required for marketing the products through his own outlets. He appointed Harsh as the Production Manager who decided the exact manner in which the production activities were to be carried out. Harsh also prepared a statement showing the requirement of workers in the factory throughout the year. Mayank informed Harsh about his are a wise sales target for different products, for the forthcoming quarter. While working on the production table, a penalty of ?150 per day was announced for not wearing the helmet, gloves and apron by the workers. Quoting lines from the above paragraph, identify and explain the different types of plans discussed. (CBSE, OD 2016) Answer: The different types of plans discussed above are listed below:

• Objectives: Objectives are the end results of the activities that an organisation seeks to achieve through its existence. All other activities within the organisation are directed towards achieving these objectives. “One of her objectives was to earn 50% profit on the amount invested in the first year.”
• Policy: A policy is a set of general guidelines that help in managerial decision making and action. “It was decided that the raw materials like flour, wheat, sugar, etc. will be purchased on two months credit.”
• Method: A method refers to the prescribed ways or manner in which a task has to be performed considering the objective. “..decided the exact manner in which production activities were to be carried out.”
• Procedure: A procedure contains a series of specific steps to be performed in a chronological order to carry out the routine activities. “He also decided to follow the steps required for marketing of the products through his own outlets.”
• Rule: A rule is a specific statement relating to the general norms in terms of Do’s and Dont’s that guide the behaviour of people. It commands strict obedience and a penalty is likely to be imposed on its violation. “While working on the production table, a penalty of Rs. 150 per day was announced for not wearing helmets, gloves and aprons by the workers.”

Question 15. Rahul, a worker, is given a target of assembling two computers per day. Due to his habit of doing things differently, an idea struck him which would not only reduce the assembling time of computers but would also reduce the cost of production of the computers. Instead of appreciating him, Rahul’s supervisor ordered him to complete the work as per the methods and techniques decided earlier as nothing could be changed at that stage. The above paragraph describes one of the limitations of the planning function of management. Name and explain that limitation. (CBSE, Delhi Comptt. 2011) Answer: The limitation of the planning function of management described in the above paragraph is that ‘planning reduces creativity.’ The top management undertakes planning of various policies and procedures whereas the other members are expected to merely implement these plans. This restricts the creativity of the middle level managers as they are neither allowed to deviate from plans, nor permitted to act on their own.

ADDITIONAL QUESTIONS

Question 1. Josh Ltd. is a one of the largest two-wheeler manufacturer in India. It has a market share of about 42% in the two-wheeler category. The company had witnessed almost a 35% drop in the booking as the currency crunch was prompting people to withhold new purchases due to demonetisation. Therefore, the production manager of the company had decided to align production to factor in slower sales in the market. In context of the above case:

• Identify and explain the function of management being discussed in the above lines.
• Which limitations of the function of management as identified in part (a) of the question was the production manager trying to overcome due to demonetisation?
• Planning is the function of management which is being discussed in the above lines. Planning is deciding in advance what to do, how to do, when to do and who has to do it. Thus, it involves setting objectives and developing an appropriate course of action to achieve these objectives.
• Planning may not work in dynamic environment

Question 2. The term demonetisation has become a household name since the government pulled the old Rs. 500 and Rs. 1,000 notes out of circulation in November 2016. Prior to the year 2016, the Indian government had demonetised bank notes on two prior occasions—once in the year 1946 and then again in the year 1978. In both cases, the purpose was to combat tax evasion by ‘black money’. Identify the types of one of the functions of management being discussed in the above lines. Answer: Objective and Strategy

Question 3. The arrangement to demonetise the ? 500 and ?1000 bank notes began six to ten months prior to the public announcement and was kept highly confidential. The cabinet was informed about the demonetisation on 8th November 2016 in a meeting called by the Prime Minister of India, Narendra Modi. This was followed by Modi’s public announcement about the demonetisation in a televised address where he announced that currency notes with the denomination of ? 500 and ? 1000 would cease to be the legal tender from 9th of November 2016. The most interesting thing regarding the demonetisation is that people were devising various unique ways for transforming their black money in to white one by depositing money in the accounts of their poor relatives and friends, converting black money in to gold, paying a few months salaries in advance and so on. In context of the above case: Identify and explain the types of plans being discussed in the above lines with regard to demonetisation. Answer: The various types of plans being discussed in the above lines with regard to demonetisation are detailed below:

• Procedure: It is a series of chronological steps which are performed to do a particular activity.
• Rule: A rule is a specific statement relating to the general norms in terms of Do’s and Don’ts that guide the behaviour of people.

Question 4. Flipkart is an e-commerce company founded in the year 2007 by Sachin Bansal and Binny Bansal. The company is registered in Singapore, but has its headquarters in Bangaluru, India. The company seeks to increase traffic (more clicks on their products) and boost sales and revenue through integration of Mobile Apps, Display, Pay Per Click and Search Engine Optimization. In order to dispel the fear of people related to shopping online, Flipkart was the first company to implement the popular ‘Cash on Delivery’ facility. All the products sold by the company under a particular category may have different return/replacement period. Flipkart allows multiple payment options such as cash on delivery, credit or debit card transactions, net banking, e-gift voucher and card swipe on delivery. The company operates both ways when an order is received. The products for which it holds inventory are dispatched by it directly. For the products they do not store in inventory, they just send the order received by them to the supplier who ships it. The company plans to spend about ? 75 crores on e-Commerce advertising in the year 2016. Flipkart reserves the right to terminate your membership and/or refuse to provide you with access to the website if it is brought to Flipkart’s notice or if it is discovered that you are under the age of 18 years. This is because as per the Indian Contract Act, 1872, the minors, un-discharged insolvents, etc. are not eligible to use the website. In context of the above case, identify and explain the different types of plans being used by Flipkart by quoting lines from the paragraph. Answer: The different types of plans being used by Flipkart are listed below:

• Objectives: Objectives are the end results of the activities that an organisation seeks to achieve through its existence. All other activities within the organisation are directed towards achieving these objectives. “The company seeks to increase traffic (more clicks on their products) and boost sales and revenue through integration of Mobile Apps, Display, Pay Per Click and Search Engine Optimization.”
• determining long term objectives
• adopting a particular course of action
• allocating resources necessary to achieve the objective. “In order to dispel the fear of people related to shopping online, Flipkart was the first company to implement the popular ‘Cash On Delivery’ facility.”
• Policy: A policy is a siet of general guidelines that help in managerial decision making and action. “All the products sold by the company under a particular category may have different return/replacement period.”
• Method: A method refers to the prescribed ways or manner in which a task has to be performed considering the objective. “Flipkart allows multiple payment options such as cash on delivery, credit or debit card transactions, net banking, e-gift voucher and card swipe on delivery.”
• Procedure: A procedure contains a series of specific steps to be performed in a chronological order to carry out the routine activities. “The company operates both ways when an order is received. The products for which it holds inventory are dispatched by it directly. For the products they do not store in inventory, they just send the order received by them to the supplier who ships it.”
• Budget: A budget refers to a financial plan that is expressed in – numerical terms. “The company plans to spend about ? 75 crores on e-commerce advertising in the year 2016.”
• Rule: A rule is a specific statement relating to the general norms in terms of Do’s and Don’ts that guide the behaviour of people. It commands strict obedience and a penalty is likely to be imposed on its violation. “Flipkart reserves the right to terminate your membership and/or refuse to provide you with access to the Website if it is brought to Flipkart’s notice or if it is discovered that you are under the age of 18 years. This is because as per the Indian Contract Act, 1872, the minors, un-discharged insolvents etc. are not eligible to use the Website.”

Question 5. Rajender has been running a successful business of manufacturing traditional wedding wear for women including sarees and lehengas. His friend Surinder who is engaged in the business of providing web designing solutions to his clients, suggests him to explore the option of selling his products online. Rajender agrees to his suggestion and decides to venture into online business, keeping in view the various e-commerce regulations in order to avoid imposition of any penalty. In order to facilitate the sale of his products, Rajender decides to offer multiple payment options such as cash on delivery, credit or debit card transactions, net banking to the buyers etc. In context of the above case:

• Identify the two different types of plans mentioned in the above paragraph that relate to the online portal that Rajinder intends to startby quoting lines from the paragraph.
•  Distinguish between the two types of plans as identified in part (a).
• Rule: “Rajender agrees to his suggestion and decides to venture into online business keeping in view the various e-commerce regulations in order to avoid imposition of any penalty.”
• Method: “However, he decides to offer multiple payment options such as cash on delivery, credit or debit card transactions, net banking to the buyers etc.”

Question 6. Wazir Ahmed joins ‘Ashiyana Ltd.’ a company dealing in real estate, as a human resource manager. Through a series of interactions with his team during lunch breaks, he comes to know that quite a few managers at middle and senior levels have recently left the organisation as their promotions were overdue. Therefore, in order to reinstate the confidence of the staff, he lays out a clear cut plan consisting of a set of general guidelines for both time bound and performance related appraisals of the mangers at all levels. Moreover, he develops standardized processes containing a series of steps specified in a chronological order for its implementation. In context of the above case:

• Identify the two different types of plans that Wazir Ahmed proposes to implement in order to reinstate the confidence of the staff by quoting lines from the paragraph.
• Distinguish between the two types of plans as identified in part (a).
• Policy and Procedure are the two different types of plans that Wazir Ahmed proposes to implement in order to reinstate the confidence of the staff. Policy: “… he lays out a clear cut plan consisting of a set of general guidelines for both time bound and performance related appraisals of the mangers at all levels.” Procedure: “Moreover, he develops standardized processes containing a series of steps specified in a chronological order for its implementation.”
• The difference between Policy and Procedure is outlined below:

Question 7. ‘Apna Ghar/ a company dealing in consumer durables, plans to increase the sale of its products by 25% around Diwali this year. Moreover, in order to cash on the implementation of the seventh pay commission by that time, which is likely to raise the income of 47 lakh serving employees of the Central government and 52 lakh pensioners, the company has created 30 advertisement films which will be aired across 85 national and regional channels until Diwali. In context of the above case:

• Identify the two different types of plans that ‘Apna Ghar’ proposes to implement by quoting lines from the paragraph.
• Distinguish between the two types of plans as identified in part(i).
• Objective and Strategy are the two different types of plans that ‘Apna Ghar’ proposes to implement. Objective: “Apna Ghar’, a company dealing in consumer durables, plans to increase the sale of its products by 25% around Diwali this year.” Strategy: “Moreover, in order to cash on the implementation of the seventh pay commission by that time which is likely to raise the income of 47 lakh serving employees of the Central government and 52 lakh pensioners, the company has created 30 advertisement films which will be aired across 85 national and regional channels until Diwali.”
• The difference between objectives and strategy is outlined below:

Question 8. After completing a diploma in Bakery and Patisserie, Payai sets up a small outlet at Goa Airport to provide a healthy food option to the travellers. To begin with, she has decided to sell five types of patties, three types of pizzas and low sugar muffins in four flavours. Thus, by deciding in advance what to do and how to do, she is able to reduce the risk of uncertainty and avoid overlapping and wasteful activities. But sometimes her planning does not work due to some unavoidable circumstances like cancellation of flights due to bad weather conditions, government alert etc. which adversely affects her clientele. In context of the above case:

• Identify and explain the points highlighting the importance of planning mentioned in the above paragraph.
• Describe briefly the limitation of planning which adversely affects Payal’s business
• Reduces the risk of uncertainty: Planning relates to deciding in advance about the tasks to be performed in future. This enables a manager to anticipate changes and devise the ways to deal with changes and uncertain events effectively.
• Avoiding overlapping and wasteful activities: Planning ensures clarity in thought and action and serves as the basis of coordinating the activities and efforts of different individuals and departments. Therefore, by curtailing useless and redundant activities, it helps in the smooth working of the organisation’s work without interruptions. Moreover, it makes detection of inefficiencies easier so that timely corrective measures may be taken to avoid them in future.
• Planning may not work in a dynamic environment: The business environment is dynamic in nature. Every organisation has to constantly adapt itself to changes in its environment in order to survive and grow. However, it difficult to anticipate all the likely future changes in the environment with utmost accuracy. Hence, even with planning, everything cannot be foreseen.

Question 9. ‘Agile Ltd.’ is a well-known automobile manufacturing company in India. The company plans to increase the sale of its sedan cars by 20% in the next quarter. In order to achieve the desired target, the marketing team of the company considers the impact of policy of the government towards diesel vehicles and the level of competition in this segment of cars. They explore the various available options like offering more discount to dealers and customers, providing more customer friendly finance options, lucky draws on test drives, increasing advertising, offering more of free accessories on the purchase of the car, etc. A thorough analysis of the various available options is done keeping in view the relative viability of each option. The company decides to pursue the option of offering more discount to dealers and customers in order to boost the sale of sedan cars. In order to implement the plan, they determine the various discount packages and communicate the same to their product dealers. To make the prospective consumers aware about the new available benefits, advertisements are made through various sources of print and electronic media. The market analysts of the company keep a close watch on the revenue from the sedan cars to study the effect of new initiatives by the company to promote its sales. In context of the above case:

• Name the function of management described in the above paragraph.
• Identify and explain the various steps involved in process the function of management as identified in part (a) by quoting lines from the paragraph.
• Planning is the function of management which is being described in the above paragraph.
• Setting objectives: The planning process is initiated by setting the objectives in clear, specific and measurable terms. The objectives may be set for the organization as a whole and for each department or unit within the organization. “The company plans to increase the sale of its sedan cars by 20% in next quarter.”
• Developing Premises: Planning process is carried out keeping in view the assumptions related to the future, which is uncertain. These assumptions are called premises and may relate to government policy, interest rate, inflation, etc. Accurate forecasts are therefore essential for successful planning. “In order to achieve the desired target the marketing team of the company considers the impact of policy of the government towards diesel vehicles and level of competition in this segment of cars.” .
• Identifying alternative courses of action: The next step in the planning process involves identification of the various ways in which the goals can be achieved. “They explore the various available options like offering more discount to dealers and customers, providing more customer friendly finance options, lucky draws on test drives, increasing advertising, offering more of free accessories on the purchase of the car, etc.”
• Evaluating alternative courses: In order to select the best option, the relative positive and negative aspects of each alternative should be evaluated in the light of their feasibility and consequences. “A thorough analysis of the various available options is done keeping in view the relative viability of each option.”
• Selecting an alternative: The best plan is adopted to achieve the desired goals. Sometimes, a combination of plans may be selected instead of one best course of action. “The company decides to pursue the option of offering more discount to dealers and customers in order to boost the sale of sedan cars.”
• Implement the plan: This step is concerned with putting plans into action. “In order to implement the plan, they determine the various discount packages and communicate the same to their product dealers. To make the prospective consumers aware about the new available benefits, advertisements are made through various sources of print and electronic media.”
• Follow up action: Monitoring of plans is equally important to ensure that objectives are achieved efficiently and effectively. “The market analysts of the company keep a close watch on the revenue from the sedan cars to study the effect of new initiatives by the company to promote its sales.”

Question 10. Arush joins as a sales manager of a company dealing in naturotherapy products. Being proficient in his work, he knew that without good planning he will not be able to organise, direct, control or perform any of the other managerial functions efficiently and effectively. Only on the basis of sales forecasting, he would assist in the preparation of the annual plans for its production and sales. Besides, he will have to prepare sales plans regularly on weekly, monthly, quarterly and half yearly basis. While preparing the sales forecasts, he undertakes intellectual thinking involving foresight, visualization and issued judgement rather than wishful thinking or guess work. Most importantly, all these planning activities will be meaningful only if they will coincide with the purpose fob which the business is being carried out. In context of the above case, identify the various features of planning highlighted in the above paragraph by quoting lines from it. Answer: The features of planning highlighted in the above paragraph are explained below:

• Planning is a primary function: Planning precedes all the functions of management i.e. organizing, staffing, directing and controlling. This refers to primacy of planning. Planning provides the basis of all other functions. “… without good planning he will not be able to organise, direct, control or perform any of the other managerial functions efficiently and effectively. “
• Planning is futuristic: Planning is called a forward looking function as it enables an organization to meet future events effectively. “Only on the basis of sales forecasting, he would assist in the preparation of the annual plans for its production and sales.”
• Planning is continuous: Plans need to be continuously made, implemented and followed by another plan and so on till an organization exists “Besides, he will have to prepare sales plans regularly on weekly, monthly, quarterly and half yearly basis.”
• Planning is a mental exercise: Planning is done on the basis of rational thinking involving foresight, visualization and issued judgement rather than wishful thinking or guess work. “While preparing the sales forecasts, he undertakes intellectual thinking involving foresight, visualisation and issued judgement rather than wishful thinking or guess work.”
• Planning focuses on achieving objectives: Planning is a purposeful activity as it contributes to the achievement of predetermined goals of the organisation both efficiently and effectively. “Most importantly, all these planning activities will be meaningful only if they will coincide with the purpose for which the business is being carried out.”

Question 11. Holistic Education Public School in Bahadurgarh decides to implement the literacy programme of the government in the school. It is decided that within the year, the forty five support staff employees of the school will be made literate by the school counsellors and social workers. In order to enhance the learning process, the school decides to use audio-visual aids. To start the programme, the school has to first procure the literacy books from State Resource Centre at Jamia. Besides the curriculum, each literacy book contains a series of nine tests which the volunteers have to get completed by the learners during the programme. Moreover, by implementing the plan of ‘each one teach one’, each student of the school from classes fifth to tenth will be encouraged to make one person literate. The student volunteers may select a learner by adopting any one of the two ways; either from the slum areas adopted by the school or on their own within the vicinity of their residence. As per the norms of the Delhi Government, it is mandatory for the volunteers to send back the filled copy of only the ninth test paper in the series to the authorities as a conclusive proof of the completion of the course, else the certificate of commendation will not be awarded to them. Considering the implementation of the programme to be a part of its corporate social responsibility initiative, the school has decided to spend around Rs. 50,000 on the distribution of free stationery items, refreshments of the learners, etc. In context of the above case:

• Identify the various types of plans being used by Holistic Education Public School in order to implement the literacy programme in their school by quoting the lines from the paragraph.
• Categorise the various types of plans as identified in part (a) into single use plans and standing plans.
• Objectives: “It is decided that within the year, all the forty five support staff employees of the school will be made literate by the school counsellors and social workers.”
• Strategy: “In order to enhance the learning process, the school decides to use audio visual aids.”
• Policy: “Moreover, by implementing the plan of ‘each one teach one,’ each student of the school from classes fifth to tenth will be encouraged to make one person literate.”
• Procedure: “To start the programme the school has to first procure the literacy books from State Resource Centre at Jamia. Besides the curriculum, each literacy book contains a series of nine tests which the volunteers have to get completed by the learners during the programme.”
• Method: “The student volunteers may select a learner by adopting any one of the two ways; either from the slum areas adopted by the school or on their own within the vicinity of their residence.”
• Rule: “As per the norms of the Delhi Government, it is mandatory for the volunteers to send back the filled copy of only the ninth test paper in the series to the authorities as a conclusive proof of the completion of the course, else the certificate of commendation will not be awarded to them.”
• Budget: “Considering the implementation of the programme to be a part of its corporate social responsibility initiative, the school has decided to spend around ? 50,000 on the distribution of free stationery items, refreshments of the learners, etc.”
• Single use plans are the ones that are formulated to deal with new or non-repetitive situations that may arise in an organisation from time to time. This includes programmes, budgets and projects. Standing plans refer to the types of plans which once formulated may be used for a long period of time in similar or repetitive situations that may prevail in an organisation. These include objectives, strategies, policies, procedures methods and rules.

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Faculty of Health

Unit description

Explores approaches to and models of case management and care planning for people living within the community. Equips students with the knowledge and professional practice skills necessary to effectively assess individual and complex need, identify appropriate support options, and implement, review and monitor care planning activities.

Unit content

• Case management context and models in Australia
• Case management roles and functions 
• Case management practice I
• Case management practice II
• Advocacy and fostering effective networks
• Safety, responsibilities and risks

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2025 unit offering information will be available in November 2024

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Unit Learning Outcomes express learning achievement in terms of what a student should know, understand and be able to do on completion of a unit. These outcomes are aligned with the graduate attributes . The unit learning outcomes and graduate attributes are also the basis of evaluating prior learning.

On completion of this unit, students should be able to:

explain the role and function of case management and care planning in the context of supporting Australians within a community setting and within current community care service arrangements

describe professional responsibilities and practice skills and critically reflect on self as a professional

discuss value, legal, and ethical issues impacting on case management and care planning

evaluate case management models and underlying theory for effectiveness and comprehensiveness by identifying strengths and limitations of various approaches.

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Bachelor of psychological science (2024), bachelor of psychological science (2025), bachelor of community welfare (2024), bachelor of community welfare (2025), bachelor of social work (2025), bachelor of social work (2024), bachelor of social work (honours) (2025), bachelor of social work (honours) (2024), any questions we'd love to help.

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Case Study: How Aggressively Should a Bank Pursue AI?

• Thomas H. Davenport
• George Westerman

A Malaysia-based CEO weighs the risks and potential benefits of turning a traditional bank into an AI-first institution.

Siti Rahman, the CEO of Malaysia-based NVF Bank, faces a pivotal decision. Her head of AI innovation, a recent recruit from Google, has a bold plan. It requires a substantial investment but aims to transform the traditional bank into an AI-first institution, substantially reducing head count and the number of branches. The bank’s CFO worries they are chasing the next hype cycle and cautions against valuing efficiency above all else. Siti must weigh the bank’s mixed history with AI, the resistance to losing the human touch in banking services, and the risks of falling behind in technology against the need for a prudent, incremental approach to innovation.

Two experts offer advice: Noemie Ellezam-Danielo, the chief digital and AI strategy at Société Générale, and Sastry Durvasula, the chief information and client services officer at TIAA.

Siti Rahman, the CEO of Malaysia-headquartered NVF Bank, hurried through the corridors of the university’s computer engineering department. She had directed her driver to the wrong building—thinking of her usual talent-recruitment appearances in the finance department—and now she was running late. As she approached the room, she could hear her head of AI innovation, Michael Lim, who had joined NVF from Google 18 months earlier, breaking the ice with the students. “You know, NVF used to stand for Never Very Fast,” he said to a few giggles. “But the bank is crawling into the 21st century.”

• Thomas H. Davenport is the President’s Distinguished Professor of Information Technology and Management at Babson College, a visiting scholar at the MIT Initiative on the Digital Economy, and a senior adviser to Deloitte’s AI practice. He is a coauthor of All-in on AI: How Smart Companies Win Big with Artificial Intelligence (Harvard Business Review Press, 2023).
• George Westerman is a senior lecturer at MIT Sloan School of Management and a coauthor of Leading Digital (HBR Press, 2014).

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MATH 3610 Mathematical Modeling

Course description.

Course information provided by the Courses of Study 2023-2024 . Courses of Study 2024-2025 is scheduled to publish mid-June.

Introduction to the theory and practice of mathematical modeling. This course compares and contrasts different types of mathematical models (discrete vs. continuous, deterministic vs. stochastic), focusing on advantages, disadvantages and limits of applicability for each approach. Case-study format covers a variety of application areas including economics, physics, sociology, traffic engineering, urban planning, robotics, and resource management. Students learn how to implement mathematical models on the computer and how to interpret/describe the results of their computational experiments.

When Offered Fall.

Prerequisites/Corequisites Prerequisite: MATH 1110-MATH 1120 or equivalent.

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  Regular Academic Session.   Choose one lecture and one project.

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4 Credits Stdnt Opt (Letter or S/U grades)

Class Number & Section Details

 5655 MATH 3610   LEC 001

Meeting Pattern

• TR 1:25pm - 2:40pm To Be Assigned
• Aug 26 - Dec 9, 2024

Instructors

Vladimirsky, A

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Instruction Mode: In Person

10732 MATH 3610   PRJ 601

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