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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 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.

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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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Cities, People and Processes as Planning Case Studies

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However, even within a single philosophy of science, for instance the positivist tradition, it is possible to find many different conceptualizations of theory. For some positivists it is a mathematical model, for others it is simply a generalized outcome of previous research, although the latter should really be labelled “empiricism” rather than “positivism”. In economics, these generalizations are often referred to as “stylised facts” – a concept that I like, despite my general discomfort with mainstream economics. For economists, the stylized facts can be refined or falsified, but the assumptions underlying them are rarely up for grabs. Yet, it is this set of assumptions that forms the core of mainstream economics, that most economists unfortunately take for granted – that is, outside of the debate – while it is here that neoclassical economic theory is really at work, often affecting those beyond the confines of neoclassical economics. Social scientists like Clapham and Ruonavaara, whose work would not suggest a positivist ontology or epistemology, define theory as “collections of concepts about the real world that facilitate explaining, predicting or intervening” (Clapham, This issue, p. 172); and social theory as “a discourse that consists of a set of linked (a) concepts and (b) propositions to be used for hypothetical (i) re-description, (ii) explanation and (iii) interpretation of all or some subset of social entities, relations and processes” (Ruonavaara, This issue, p. 181, my emphasis). What strikes me in both definitions is a positivist undertone and the lack of attention to “understanding” in the Weberian meaning of verstehen. Weber’s verstehen was explicitly stated as a rejection of sociological positivism and economic determinism. Verstehen instead focuses on understanding the meaning of action from the actor’s point of view. To Weber, the trick was to combine explanation and understanding. Bourdieu (1993) even argued that comprendre (understanding) is a necessary condition for explanation. Both were sceptical of testing hypotheses or using theories to predict or intervene. Yet, Bourdieu in particular was not necessarily sceptical of empirical work and of the great social theorists of the twentieth century he was arguably the one who was most invested in empirical research. Clapham and Ruonavaara both appear to be choosing definitions of theory that are open to different traditions, but in their efforts to be inclusive they appear to be excluding more interpretative conceptualizations in favour of positivist-inspired ones. Perhaps the “positivist paradigm” is more common in the social sciences than Clapham leads us believe. Whereas positivists tend to work from a model of social science where research is linear and cumulative, and therefore, results in ever-greater knowledge of the social world, other philosophies of science deny the very possibility of ever getting close to knowing everything about the social world. What Ruonavaara calls a (grand) theory of housing, for Clapham is desirable and possibly even attainable. I beg to differ, not simply because this is “questionable”, as Ruonavaara argues, but because I don’t believe that there is a finite amount of knowledge (a typical positivist assumption). I believe the more we know, the less we know we know. More empirical research does not lead to getting closer to finite knowledge, nor is it useless, but it contributes to showing how we now know a little more about an even bigger unknown social world, even if this does not always result in turning unknown knowns into known knowns but rather into discovering new unknown knowns where previously these were unknown unknowns.

Henrietta Palmer

Aristos Aristodemou

Alyanna C Lee

In either the field of architecture or urbanism, empirical approach has always served as a crucial tool that helps architects and urban designers identify and process a problem. Especially in urbanism, this methodology has been widely used to gain data that would later be analysed to help establish a theory, a system or a design principle. This essay would examine how empirical approach has been applied to urbanism studies.

Zakir Hossain

JSTOR is a not-for-profit service that helps scholars, researchers, and students discover, use, and build upon a wide range of content in a trusted digital archive. We use information technology and tools to increase productivity and facilitate new forms of scholarship. For more information about JSTOR, please contact [email protected]. Policy Press at the University of Bristol is collaborating with JSTOR to digitize, preserve and extend access to The future of planning This content downloaded from 130.88.99.156 on Sun, 15 May 2016 23:18:50 UTC All use subject to http://about.jstor.org/terms

Strategic Planning and Management in Transit Agencies (2005)

Chapter: chapter four - case studies.

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

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

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

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

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

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

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

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

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

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

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

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

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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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Application of Ontology Reasoning in Machining Process Planning – Case Study

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• Peter Adjei 13 ,
• Felix Asare 13 ,
• Dušan Šormaz   ORCID: orcid.org/0000-0003-3726-3288 13 ,
• Riad Al Hasan Abir 13 ,
• Mandvi Fuloria 13 ,
• David Koonce   ORCID: orcid.org/0000-0001-9968-2950 13 &
• Saruda Seeharit 13  

Part of the book series: Lecture Notes in Mechanical Engineering ((LNME))

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• International Conference on Flexible Automation and Intelligent Manufacturing

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Data interoperability is a critical issue in machining and process planning because it allows data to be exchanged and reused across different systems and organizations. Ontologies, particularly those developed within the context of the Basic Formal Ontology (BFO), play an important role in promoting data interoperability by providing a shared vocabulary as well as a formal representation of the concepts and relationships within a specific domain. This study explores the integration of ontologies in Computer-Aided Process Planning (CAPP) to enhance manufacturing efficiency, accuracy, and flexibility. IMPlanner, a manufacturing process planning system, is utilized to generate process models and process hierarchies, to leverage the benefits of ontologies for information representation and sharing. By modeling the results within an ontology, we efficiently infer new information, providing a deeper understanding of the manufacturing process. The approach presented has the potential to significantly improve manufacturing planning and execution, allowing manufacturers to optimize their operations in Industry 4.0. By harnessing the power of ontologies and reasoning tools, we demonstrate that it elevates the accuracy, efficiency, and adaptability of manufacturing processes.

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Peter Adjei, Felix Asare, Dušan Šormaz, Riad Al Hasan Abir, Mandvi Fuloria, David Koonce & Saruda Seeharit

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TEMA - Centre for Mechanical Technology and Automation, Department of Mechanical Engineering, University of Aveiro, Aveiro, Portugal

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Adjei, P. et al. (2024). Application of Ontology Reasoning in Machining Process Planning – Case Study. In: Silva, F.J.G., Pereira, A.B., Campilho, R.D.S.G. (eds) Flexible Automation and Intelligent Manufacturing: Establishing Bridges for More Sustainable Manufacturing Systems. FAIM 2023. Lecture Notes in Mechanical Engineering. Springer, Cham. https://doi.org/10.1007/978-3-031-38241-3_26

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NIOSH Science Blog: The Problem of Falls from Elevation in Construction and Prevention Resources

The current situation with falls.

In 2022 falls from elevation represented approximately 81% of all fatal and 20% of all nonfatal slips, trips, and falls for all industry workers (BLS 2023a, BLS 2023b).  Many of these falls occurred in the construction industry, and significantly impact construction employers, workers, and their families. In fact, construction workers made up nearly half (49%) of all fatal occupational slips, trips, and falls (BLS 2023). Since 2013, construction workers have suffered approximately 300 fatal and 20,000 nonfatal fall-related injuries per year (CPWR 2024). Four out of 10 of the Occupational Safety and Health Administration’s (OSHA) top citations involved falls, including general fall protection, ladders, scaffolding, and fall protection training.

Roofing contractors, residential building construction, and commercial/institutional building construction had the highest number of fatalities in 2022 compared to previous years and other industries (CPWR 2024). In addition, approximately 70% of all fatal falls in construction occurred to those working for employers with less than 10 employees (CPWR 2024).

Causes of Falls

The causes of construction workers’ falls from elevation are complex and multifaceted.  There are many different factors at play. In 2021, CPWR conducted a fall experience survey that found that insufficient or ineffective planning is a key underlying cause of falls.

In addition, lack of planning was associated with reduced likelihood of using fall protection. Using fall protection was 71% lower for workers whose employer did not do any planning. Approximately half (49%) of survey respondents said that no fall protection was being used at the time of the fall. Lack of fall protection is particularly problematic for small residential construction firms with fewer than 10 employees (CPWR 2022).

Ladders and Ladder Safety

Falls from ladders are a common cause of injury for construction workers (CPWR 2024). Employers should be familiar with safety and regulatory requirements before using a ladder, including:

Planning work tasks to eliminate or reduce the need to work at elevation.

Providing the right equipment. This includes alternative equipment for extended work periods at elevation, such as aerial lifts, supported scaffolds, or mast climbing platforms. If a ladder must be used, properly select the ladder for the location and height of the task and the weight of the worker. Ensure it is thoroughly inspected before each use.

Training all workers in a language they understand on the proper use, care, and inspection of each type of ladder being used.

A recent webinar hosted by CPWR – The Center for Construction Research and Training (CPWR) discussed ladder safety and ways to improve ladder design, usage, and training. The webinar included a panel of experts who conduct laboratory research on ways to prevent common ladder fall injuries, such as slipping off a ladder and falling with the ladder. The audio from the webinar is also available in Spanish .

Ladder Safety Resources

Ladder Safety App

National Ladder Safety Month website

ALI Training

ANSI blog on 5 most common causes of ladder incidents based on ALI study

OSHA Stairways and Ladders

OSHA Letter of Interpretation on three points of contact

Rescue Planning

Falls can occur quickly, even when all precautions are taken and using proper fall prevention and protection methods. Personal Fall Arrest Systems are a critical option to keep workers safe when performing tasks at heights, but rescue planning is essential.

If a fall occurs and a worker is suspended in a harness for more than a few minutes, a lack of circulation can cause unconsciousness, suspension trauma, and even death.

Every fall protection plan must include a rescue strategy to help workers after a fall and reduce fall-related injuries including suspension trauma even when using a Personal Fall Arrest System. Another finding from CPWR’s fall experience survey was that the odds of a fall being fatal were 76% lower for those who had self-rescue training compared to those who did not have this training. The rescue plan should be tailored to each jobsite and prioritize methods to preserve blood circulation for the worker. Ensure equipment for self-rescue is available, such as trauma straps and self-rescue harness units. The rescue plan should ensure other equipment is available, ready to be used, and in good condition, such as a ladder, aerial lift, or bucket truck.

Rescue Planning Resources

CPWR General Fall Protection Plan (English)

CPWR General Fall Protection Plan (Spanish)

OSHA Model Fall Protection Plan

OSHA Standard Interpretations – Rescue of a suspended worker following a fall event

CPWR Fall Rescue Planning Tipsheet

CPWR Fall Rescue Planning Tipsheet (Spanish)

The National Safety Stand-Down to Prevent Falls in Construction

The National Campaign to Prevent Falls in Construction (Falls Campaign) began in 2012 and was followed in 2014 by the National Safety Stand-Down to Prevent Falls in Construction (Stand-Down).  The Falls Campaign idea originated with the National Occupational Research Agenda (NORA) Construction Sector Council.  The Sector Council consists of industry experts on health and safety representing contractors, trade associations, labor, government, and academia. The National Institute for Occupational Safety and Health (NIOSH), OSHA, and CPWR are the Falls Campaign organizing partners.  The Falls Campaign and Stand-Down are important events because of the high burden falls place on construction workers and their families.

Safety stand-downs originated in the military and are a time to focus on worker safety by stopping work and reinforcing the importance of fall prevention and fall protection.

This year’s Stand-Down will take place May 6-10, 2024. CPWR, NIOSH, and OSHA are hosting a virtual event on Tuesday May 7 th at 2 pm (Eastern Time) to educate employers and crew leaders on how rescue planning can save lives. Click here to register and submit a question in advance.   Attendees will learn more about identifying a competent person to lead fall prevention and rescue planning, incorporating key components of a rescue plan into the pre-job planning process, and using FREE resources and templates to tailor your plans to each unique jobsite. The webinar will be in English with simultaneous translation into Spanish available.

On May 8 th at 2pm (Eastern Time) a second Stand-Down webinar presented entirely in Spanish will be hosted. Click here to register and submit a question in advance.

Hosting a Stand-Down

Thousands of companies have held  fall safety stand-downs , reaching millions of workers across all 50 states and internationally. Industry and business leaders, universities, labor organizations, and community groups have all participated. In 2023, there were 3,554 stand-downs reaching more than 463,000 workers.

Construction employers and workers are invited to host a Safety Stand-Down or join one.

Your involvement can be as simple as sharing NIOSH, OSHA, or CPWR resources at your worksite. If you would like to host or join a free event that is open to the public, contact your  Regional Stand-Down Coordinator . You can find resources to host a Stand-Down and activities at CPWR’s Promotion and Planning Page .

If you do participate in the Stand-Down, make sure you get a Certificate of Participation from OSHA. The certificates provide recognition for your event(s). After removing all personal information, CPWR used the data to evaluate and improve the Falls Campaign and Stand-Down every year. Previous evaluation reports and factsheets can be found on the Stop Construction Falls Evaluation page .

Stand-down Resources

About the Campaign

CPWR’S Planning and Promotion Page on StopConstructionFalls.com

Suggestions to prepare successful Stand-Downs

Highlights from previous Stand-Downs

OSHA Regional Stand-Down Coordinators

OSHA Certificates of Participation

Additional Tools and Resources

National Falls Campaign & Safety Stand-Down Website

CPWR Data Bulletin

Bilingual Fall Hazards & Prevention YouTube Playlist

Spanish Fall Safety YouTube Playlist (Prevención de caídas)

Christina Socias-Morales, DrPH is a Research Epidemiologist in the NIOSH Office of Construction Safety and Health.

Scott Earnest, PhD, PE, CSP, is the Associate Director for the NIOSH Office of Construction Safety and Health.

Jessica Bunting, MPH, is the Research to Practice Director at the Center for Construction Research and Training (CPWR).

Rosa Greenberg, MPH, is a Research Analyst in Research to Practice at CPWR

Scott Breloff, Ph.D. is a Senior Biomechanical Research Engineer in the Division of Field Studies & Engineering and the Co-Coordinator for the Construction Program in the Office of Construction Safety and Health at NIOSH.

Asha Brogan, MS, is a Heath Communication Fellow in the NIOSH Division of Field Studies & Engineering.

Douglas Trout, MD, MHS, is Deputy Director, Office of Construction Safety and Health at NIOSH.

Bureau of Labor Statistics (2023a). News Release National Census of Fatal Occupational Injuries in 2022. USDL-23-2615. December 19, 2023. Available from: https://www.bls.gov/news.release/pdf/cfoi.pdf .

Bureau of Labor Statistics (2023b). Number of nonfatal occupational injuries and illnesses involving days away from work, restricted activity, or job transfer (DART), days away from work (DAFW), and days of restricted work activity, or job transfer (DJTR) by event or exposure leading to injury or illness and industry sector, private industry, 2021-2022 (TABLE R64). November 8, 2023. Available from: https://www.bls.gov/iif/nonfatal-injuries-and-illnesses-tables/case-and-demographic-characteristics-table-r64-2021-2022.xlsx

CPWR (2024). Data Bulletin: Fatal and Nonfatal Falls in the US Construction Industry. The Center for Construction Research and Training.  Silver Spring, MD. March 2024. https://www.cpwr.com/wp-content/uploads/DataBulletin-March2024.pdf.

CPWR (2022). Underlying Causes of Falls from Heights (Highlighted Findings from a CPWR Survey). The Center for Construction Research and Training.  Silver Spring, MD. March 2022. https://www.cpwr.com/wp-content/uploads/RR-falls_experience_survey.pdf.

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