project management process case study

• Project Management

Top 15+ Project Management Case Studies with Examples 2024

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

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

What is Case Study?

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

What is Project Management Case Study?

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

Top 15 Project Management Case Studies and Examples 

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

• Mavenlink Helps Improve Utilization Rates by 15% for BTM Global
• Boncom Reduces Billing Rate Errors by 100%
• whyaye! Reaches 80% Billable Utilization
• Metova Increases Billable Utilization by 10%
• Appetize Doubles Length of Forecasting Outlook
• RSM Improves Client Satisfaction and Global Business Processes
• CORE Business Technologies Increases Billable Utilization by 35%
• Health Catalyst Improves Business Processes and Increases Consistency in Project Delivery
• Optimus SBR Improves Forecasting Horizon by 50%
• PlainJoe Studios Increases Projects Closing Within Budget by 50%
• RPI Consultants Decreases Admin Time by 20%
• CBI's PMO Increases Billable Utilization By 30%
• Butterfly Increases Billable Time by 20%
• TeleTracking Increases Billable Utilization by 37%
• Taylors Improves Utilization Rates by 15%
• Hospital El Pilar improves Patient Care With implementing Disciplined Agile
• British Columbia’s Ministry of Technology and Infrastructure (MoTI)

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

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

BTM Global saw the following benefits: 

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

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

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

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

3. whyaye! Reaches 80% Billable Utilization with Mavenlink

Here are the top benefits whyaye got: 

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

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

4. Metova Increases Billable Utilization by 10% With Mavenlink

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

5. Hospital El Pilar improves Patient Care With implementing Disciplined Agile

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

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

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

7. Appetize Doubles Length of Forecasting Outlook with Mavenlink

Here the the benefits Appetize got with Mavenlink: 

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

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

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

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

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

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

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

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

Discover the leading KnowledgeHut's Project Management Courses:

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

Here are the top benefits Health Catalyst saw with Mavenlink:   

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

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

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

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

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

Here are the benefits how Mavenlink helped PlainJoe: 

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

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

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

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

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

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

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

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

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

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

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

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

Top Cities where Knowledgehut Conduct Project Management Certification Training Course Online

Transform your management approach with our online agile courses . Discover how to adjust, cooperate, and create like never before.

Start Creating Your Project Management Case Study

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

Case Study Best Practices and Tips 

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

Project Management Case Study Template 

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

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

Frequently Asked Questions (FAQs)

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

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

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

Kevin D.Davis

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

Avail your free 1:1 mentorship session.

Something went wrong

Upcoming Project Management Batches & Dates

Project Management Examples: Success Stories Case Studies, and Examples

By Kate Eby | January 3, 2023

• Share on Facebook
• Share on LinkedIn

Link copied

The best real-world project management starts with meticulous planning and ends with achieving goals. Take charge of your next project with the techniques and tools that experts use to avoid failure and deliver stellar results.

In this article, learn about eight real-world project management examples , project success criteria , five famous project management failures , and how modern project management software supports success .

Successful Real-World Project Management Examples

Successful real-world project management examples have one thing in common: they support company strategy. Examples show how detailed research, planning, and organization of resources helped real-world project managers achieve a particular aim that moves the organization forward.

Successful project management examples reveal that, in order to reach the final goal, you must have and maintain a big-picture view. Other success factors include involving stakeholders, reviewing multiple frameworks and solutions, and keeping the lines of communication open.

Henry Mayo Newhall Hospital Case Study: Increased Outpatient Surgical Center Performance

Henry Mayo Newhall Hospital is a 357-bed not-for-profit community hospital and trauma center in Santa Clarita, California. Jay Arcilla, Director of the Performance Excellence Office, is charged with studying and adapting the functions and processes to increase the achievement of desired outcomes, better meet patients' needs, and assure quality. 

• Challenge: In every hospital, starting the day's first scheduled in-patient or out-patient surgery on time has a knock-on effect on subsequent surgery timelines. Meeting schedules can always be challenging. The pandemic created even more hurdles, from having the right supplies and equipment on hand to keeping up with documentation and ensuring the right personnel are available to cover every patient's needs. Arcilla focused on raising surgery on-time start times to 70 percent. 

• Work Sessions: A team work session helps frontline staff analyze the root cause and create a consensus-driven, interdisciplinary team.

•  Communication: Disseminating information and encouraging discussion for all stakeholder groups.
•  Accountability: The operating room executive leadership created and enforced an Outpatient Surgery Center First Case On-Time Start (OPSC FCOTS) Escalation Plan, holding all staff accountable for showing up to first cases on time.
• Takeaway: In complex, multi-layered project situations, there is often no single silver bullet. Instead, results manifest over time. In this case, within seven months, monthly performance went past the 70 percent target to 89 percent for April 2022.

Behr Process Corporation Case Study: Paving the Way for Road Show Marketing Achievement 

Behr is one of the largest purveyors of architectural paint and exterior wood care products in the United States and Canada. Lisa Kudukis, Director of Professional Products and Services for the Behr Process Corporation , oversees promotions, including a major road show.

• Challenge: Kudukis created the BehrPro Experience Tour to connect with U.S. contractors. The annual event employs five tour teams covering 75 markets and 500 Home Depot locations in 34 states. Initially, each manager used different tools and organizational tactics to run their activities. Supervising people and processes and collaborating to maximize efforts was challenging. The Behr marketing team needed a way to operate more efficiently and stay on task. 
• Solution: After an exhaustive review, Kudukis chose Smartsheet as the group's project management tool. Everyone on the team now uses a single, custom template. A master dashboard relays information about key initiatives and features a drill-down menu so anyone with access can check on small details.  
• Takeaway: For the team, it is a huge time and money saver since anyone can view the project status and provide assistance if necessary. It also helps the team identify new business development opportunities or obstacles to inform future promotions and projects.

Successful Software Project Examples

Software projects involve generating an overall plan, scheduling, allocating resources, executing, tracking, and delivering quality software and apps. These examples show that successful software projects deliver the product with the pre-agreed level of quality within the given time and cost. 

Software companies create, change or maintain valuable products. Software project management is one of the most complex and fastest-growing endeavors in business today.

Hyland Software: More Responsive Updates and Website Requests

Jacob Huston-Lowery manages web operations at Hyland Software , a content services platform and developer of Onbase, an enterprise content management (ECM) and process management software suite. Hyland cuts dozens of hours from the website request process while capturing data to drive ongoing improvement for its clients. Clients include insurance, manufacturing, higher education, and finance businesses that provide web-based services to their customers.

• Challenge: Providing efficiency and seamless services is paramount to maintaining Hyland's standards. Service requests from internal staff who noticed system issues, along with those on behalf of customers, created log jams and confusion. When Huston-Lowery came on board, there were five different contact forms, and some requesters were bypassing the process and sending emails. 
• Solution: Huston-Lowery turned to Smartsheet to find an easy-to-use solution for the critical challenges his team faced. Using project messaging and alerts within the app helped eliminate email delays. When users complete an online form with an alert for urgent projects, Smartsheet routes website requests to a sheet Huston-Lowery manages. As requests come in, all projects are prioritized, scheduled, and assigned to team members or third-party website management agencies.
• Takeaway: By replacing email trails with built-in alerts and update capabilities, the Smartsheet solution saves communication time and eliminates duplication. The ability to handle requests strategically helps the team implement a support program that runs 24 hours a day, 5 days a week – a process that was impossible before instituting the new project management process.

Examples of Successful IT Projects

Information technology (IT) projects ensure that software, devices, and systems work together to help people get things done. 

Managing IT projects and creating efficient IT project plans involve all aspects of planning, design, implementation, project management, and training.

Convergint: A Single System of Record Improves Processes and Customer Service

Jenn Hilber is the Business Architect, Operations for Convergint , the largest privately held security integrator in the United States. Convergint has more than 175 locations worldwide, providing a range of services, including installation and management of card readers and cameras, alarm systems, fire systems, building controls, and more.

•  Challenge: The company prides itself in creating an outstanding customer experience, but managing all the details seamlessly was difficult. Convergint relied on manual practices and printed playbooks, with no single unified process for most of its activities.
•  Solution: Convergint turned to Smartsheet to capture all of its data, best practices, and resources in a single place. As a result, teams can make strategic decisions and act on customer priorities with confidence knowing that they have the most current and accurate information at their fingertips.
• Takeaway: Convergint teams now enjoy better cross-team and global communication, a clearer insight into customers' needs and status, and greater accountability for internal processes. Customers also experience quicker turnaround time for requests.

Exoft: Shifting to Mixed Methodologies Rescue an IT Project Management Client Relationship

Bohuslava Zhyvko is Head of Marketing for Exoft , a software development services company located in Lviv, Ukraine. Exoft builds robust web and mobile solutions with a focus on increasing clients' efficiency and solving technology challenges. 

• Challenge: Zhyvko began a new assignment with an IT client previously managed by another project manager. Zhyvko learned the IT client didn't want to hear about Agile methodology or process at Exoft; he simply wanted to complete his project ASAP. 
• Solution: Zhyvko immediately requested a kick-off conference call. During the call, she discussed the goal and purpose of the project and clarified the main issues that were creating stress points. After the call, Zhyvko gathered the team and included Exoft's CTO. The weaknesses of the client's planning and reporting systems became apparent, and Zhyvko offered the solution: Agile, after all. The team used a mix of Scrum and Kanban to replace Waterfall , which wasn't the right approach for the nature and goals of the project. They divided the project's scope into milestones and sprints, then switched the look of the workboard in Jira. Zhyvko supplied the client with a process improvement proposal and SOW with all the features he wanted. Zhyvko explained how the project's formal change request procedure worked and shared the documentation, so the client could clearly understand the development process, which they accepted and signed.
• Takeaway: After three months, when two milestones were closed, the client was pleased with the deliveries and the Scrum working process. The project concluded after milestone 11 with a client who was pleased with the outcome. His startup is growing extremely fast, and the company and Zhyvko have an excellent relationship. Solid planning, reporting, and communication can turn around even the most complex project management challenge.

Examples of Successful Completed Business Projects

Efficiently reaching project objectives is a key element of project management success. Efficiency relates to how the project’s limited resources are managed to meet its goals while building good relationships with internal and external stakeholders.

Whirlpool: Regional Alignment for Smoother Operations

Thiago Zapparoli is a Senior Planning Engineer at Whirlpool Corporation . The global home appliance company relies on regional project managers to manage its extensive portfolio.

• Challenge: When you're responsible for managing a project portfolio of a global home appliance company — including approximately 400 individual projects across five worldwide regions — you need a comprehensive system to keep everything on track. That's why Zapparoli looked for a way to get project managers, leadership, and other stakeholders on the same page with the laundry and dryer portfolio he manages.
• Solution: Zapparoli knew he needed an effective and unique system for all project managers to aggregate the 400 projects that covered multiple regions around the globe. At a minimum, the project management system needed to identify responsibilities for each project and task; key performance indicators; and open, completed, and delayed tasks. Smartsheet offered an all-up view of an entire region, providing real-time visibility into the overall project status and numerous tasks. First deployed in Brazil, the holistic tracker transformed how the 10 project managers and cross-functional leaders in that region approach their daily work and stay in sync.
• Takeaway: After implementations in Brazil and the United States, Zapparoli’s Smartsheet trackers are used in all three remaining regions and assisted deployment in four other Whirlpool internal organizations. Project managers are engaged because they have control over projects. Cross-functional leaders are satisfied with the visibility, and senior leadership can now see how they can help.

Simplus: Improved Sales Process

Katherine Albiston is a Content Manager for Simplus , an Infosys company that provides a strategic, industry-focused digital transformation for customers in the Salesforce ecosystem. She shares how Simplus’ customer Ziehm Imaging needed to improve its sales process to garner maximum efficiency and profits, as well as the company’s solution for them.

• Challenge: Simplus customer Ziehm Imaging, Inc. was using a legacy configure, price, quote (CPQ) system process for defining new products or modifying bundles. As a result, it took up to a week to go to market. A Microsoft Excel-based process further complicated managing market-specific annual pricing updates, which required a manual price override to apply pricing for each segment. The manual work increased errors, eroded margins, and led to customer communications about pricing adjustments – not good for relationships. 
• Solution: Simplus simplified Ziehm's bundle configuration process and centralized compatibility management rules. It now uses a lookup-based rules setup for products that enforces business policies in real time as sales reps interact with the CPQ system. 
• Takeaway: Streamlining and installing coherent systems decreased Ziehm's quote creation time by 93 percent, troubleshooting time by 87 percent, and the time to add products by approximately 87 percent. The lesson is clear: A holistic approach to process improvement can reap impressive benefits.

designdough: A More Refined Recruitment Process

Molly Govus is the Marketing Manager of designdough , a full-service U.K. design firm. The company tightened its use of project and time management tools to run projects and realized it needed to do the same for managing internal projects.

• Challenge: designdough audited its recruitment process and discovered four key issues: Permanent and temporary staffing ebb and flow was always in flux depending on client project demands. There were no clear start-to-finish timescales, and they lacked transparency with staff regarding project timescales. Staff capacity related to assigned tasks was unclear. Finally, the firm lacked designated client communication points.  
• Solution: They started by planning and documenting every resource and task using a project management tool that provided visibility for all team members. They wanted to clarify the audit's issues and organize information and project processes around recruiting by implementing clearly delineated stages (Administration, Interview, Offer, Induction, and Confirmation). Now, they set start dates for each step and complete tasks before moving to the next stage. Additionally, they add relevant tags, such as meeting , to tasks so they can easily identify who is assigned the task assignment and dates attached to every job. 
• Takeaway: Thanks to a straightforward process and an efficient project management tool, the team met its recruitment project goals. They now encounter fewer bottlenecks and have an easier recruitment process that has improved staff and client satisfaction and relationships.

What Is the Measure of Project Success?

The measure of project success is meeting the initial criteria established by the internal or external client and the project team. Teams use these specs, milestones, and deliverables to evaluate a project after it closes. 

“Project managers are experts at helping people define problems,” notes J. Scott, CEO of 120VC and author of The Irreverent Guide to Project Management . “Data drives and measures success to control the outcome and move the project forward as aggressively as possible, leaving no time or money on the table.”

In its 2020 report, “Ahead of the Curve: Forging a Future Focused Culture,” the Project Management Institute (PMI) found that organizations that operated from mature ROI capabilities geared toward meeting strategic goals, working within predetermined budgets, delivered segments and the entire project on time with limited scope creep . High-maturity companies had 50 percent fewer project failures than low-maturity organizations.      

A success measurement framework includes:

• Buy-In: Worthy projects and outstanding ideas can fail if critical stakeholders aren't behind the effort. With buy-in, resources will be available, and you can move the project forward.
• Strategic Approach: One of the best ways to guarantee buy-in is to make a business case that shows how the project fits into overall company goals and will positively impact the organization’s future. According to an article on the six questions to ask before starting a big project in the Harvard Business Review, a good distribution of resources is 60 percent in support of the core business, 30 percent in the adjacent business area, and 10 percent unrelated to your core business.
• Meticulous Planning: Completing projects on budget and on schedule relies on thorough advanced planning. Professional planning includes defining the scope and objectives of the project and operating from an understanding of the resource and budget limitations that affect your project. 
• Continuous Monitoring: Once the project begins, it's essential to monitor all activities, resources, and expenditures almost constantly. You will likely find that you’ll need to make adjustments to some elements in every project. You will want to monitor the execution of tasks against milestones, keep an eye on quality, track whether you are on schedule, and verify money is spent according to plan. 
• Make Relationships a Priority: Stay in touch with clients, vendors, and internal team members to stay informed about project status and build relationships. Once the project concludes, check in with stakeholders to see what worked and what didn't so that you can apply winning strategies and tactics to subsequent projects.

Setting Success Metrics

For the best results, the only way to measure project failure or success is by collecting and tracking data from the first day until the project closes. "You can't manage what you don't measure" is Peter Drucker’s time-honored adage for setting project success metrics. 

Management consultant Drucker's gold standard in project management metrics is his specific, measurable, achievable, realistic, and time-bound goals framework, known as SMART . To start setting those strategic types of project metrics, the Performance Management Institute (PMI) suggests asking three questions to inform the metrics you will use to measure the success of your project .

 The key questions to help set metrics are the following:

• Why is the project needed? Understand the purpose or goal of the project or work.
• What are the success factors? Determine what critical success factors are mandatory for you to succeed and achieve the goal.
• What are the metrics? Identify how you will measure the fulfillment for each critical success factor for the project or program, and collect and share data.

Common Project Management Success Metrics

Metrics for on-target project management track productivity, assess resource utilization, monitor the scope of work changes, and measure quality. Assuring a low number of defects throughout the project and providing a quality deliverable at its end should be a metric for any project. 

Examples of crucial project metrics include the following:

• Resource Utilization: This metric assesses how individual team members or the project team spend their time against the total number of hours allocated for the project. Periodically checking time spent on the project can help assess how human energy is being used. For organizations that bill hours, this is an important metric to monitor and review at the end of a project.
• Schedule Variance: This metric helps project managers determine if projects are running according to the planned budget or ahead of it. A negative schedule variance means the project is behind schedule.
• Cost Performance: This metric measures efficiency. Divide the work performed or earned value by how much money it took to accomplish tasks. Accurate budget estimates rely on forecasting cost performance. 
• Cost Variance: This metric pinpoints how you are operating within a planned budget. The purpose is to see if you are running below or within budget. If cost variance is negative, the project is over budget. If it’s under budget, that means you are achieving budget and project success.
• Gross Margin: A strategically planned project aims to contribute to the company by increasing profits. The gross margin is the difference between the total income and total project spend. It’s best to establish the gross target margin before a project begins and measure it on an ongoing basis. Achieving or exceeding a gross margin is the primary mark of project management excellence.

With project metrics in place and the right tools to track that data, it is easier to crunch the numbers on previous projects to see what went right and what task ended up causing a significant delay.

What Skills and Tools Support Project Management Success?

You need various tools and skills to guide projects to the desired goal. Soft skills are people skills or emotional intelligence. Hard skills are specific to project managers and can be learned through formal training or on the job. 

The exact project management techniques and tools you need depend on your industry, company, and team preferences. The vital foundation for success is to create your project plan and lean into best practices that focus on organization, communication, and team leadership. "There are many methodologies project managers employ," says 120VC’s J. Scott. "Waterfall, Agile, Lean, and more – but the most important skill to have is leadership and a people-centric framework since it is people that get [expletive] done.”

Project management skills and tools to help you meet project management challenges – and win –  include the following:

• Soft Skills: Soft skills are interpersonal skills such as communication, flexibility, leadership, teamwork, and time management.
• Project Management Tools: Tools is another word for software. Purpose-built project management software supports teams in the planning, tracking, and managing of projects to meet stated goals on time and within budget. These also serve as a repository for data that will inform the post-project analysis.
• Project Management Methodologies and Frameworks: The Project Management Body of Knowledge (PMBOK) Guide describes all the PM methodologies and techniques available to manage projects. Project managers choose frameworks such as Critical Chain Project Management, Lean, Scrum, and Waterfall for their projects.

Reasons Projects Fail and How Modern Project Software Supports Success

Projects fail for many reasons. Those include inadequate preparation, poor documentation and tracking, and poor communication. Modern project software can help solve those problems and support success. 

"Project management, particularly at the enterprise scale, is about getting to desired outcomes as efficiently as possible under any conditions," says 120VC's Scott. "You must be agile (with a lowercase a) to get things done to reach those outcomes." Modern software is the way forward.

“IT projects have an exceptionally high failure rate of 44 percent,” says Scott. “These projects fail due to a lack of alignment between business and project objectives. As software project failure statistics show, the lack of alignment of projects with the business objectives is why nearly half of the strategic initiatives fail.”

5 Famous Project Management Failures and How They Could Have Been Solved

Project management failures are part of most projects. The key is to learn from past failures and track projects closely to get back on track when things go awry. 

1. Citibank Interest Payment Failure Citibank intended to make a $7.8 million interest payment to creditors of its client Revlon. Instead, the company paid $900 million because of errors due to aging software. Citibank's employees set up a transaction as if they were paying off the entire loan to calculate the interest correctly, then check numerous boxes to deliver the majority of the sum to an internal Citibank account. Three different people signed off on this transaction, most of which wasn't due to creditors until 2023, but the Citibank employees didn’t check all the proper boxes. Creditors kept more than $500 million of the payment. A judge ruled that they didn't have to return the money because he said it was not believable that one of the largest and most sophisticated financial institutions on earth could make such a mistake. 

• Takeaway: The big lesson is to modernize your software and user interfaces, so employees can perform their duties in a streamlined, logical fashion. Remember: You might suffer less when you make mistakes if people aren't angry enough to take advantage of those errors.

2. J.C. Penney Rebrand Failure Ron Johnson, who has a successful branding track record, took over as J.C. Penney's CEO in 2011. Johnson's "cheap chic" rebranding for Target was enormously successful, as was his previous work with Apple to generate its outstanding and consistent brand experience. Defying expectations, Johnson's rebrand for Penney's was a dismal failure. His goal was to revitalize the chain by making "hip" changes. He wanted to shake things up at the company by doing away with sales and coupons, nixing some of the legacy merchandise, and modernizing the store’s physical layout. It failed miserably. Revenues dropped from an already low level, and after 17 months, Johnson was out.

• Takeaway: No matter how cool or innovative a new brand concept seems, robust market research is mandatory. J.C. Penney's poor financial state forced Johnson to act too quickly. As such, he failed to align the likes and dislikes of J.C. Penney's loyal existing customer base with new tactics. That's not to say the change involved in rebranding has to be totally at the mercy of your customers' extant preferences. When a brand has long-standing customer favorite factors such as discounts and coupons, it may be best to roll out changes slowly rather than all at once to acclimate existing customers to a new direction.

3. McDonald's Arch Deluxe Burger The fast food giant put an unprecedented $150 million into advertising for the Arch Deluxe Burger, only to discover its customers weren't interested in the sophisticated, ”gourmet” menu option. Mistakes include marketing to a new, disinterested Gen X demographic while neglecting the brand's core audience, overpricing the burger to cover the additional costs it took to create, and franchisee disinterest. 

• Takeaway: The message is to never ignore your buying base and pick the right metrics when you start and run a project. If McDonald's had a more accurate picture of what its customers wanted and conducted more testing with existing customers, the company could have saved its money, resources, and reputation. 

4. Dyson Electric Car James Dyson spent a small fortune – more than $600 million – on a seven-seat electric car with a 600-mile range. Then Dyson scrapped it before the prototype ever hit the road. Electric vehicles are costly, and the battery, battery management, electronics, and cooling system are much more expensive than an internal combustion engine. Tesla — hailed as a success by many — has burned through $19 billion of investor cash and is still not profitable. It turned out that each Dyson would have had to fetch roughly $183 million to break even. 

• Takeaway: The British government wants to ban sales of all fossil-fuel cars by 2035, so Dyson shifted its focus. The company continues to work on solid-state battery manufacturing. Solid-state batteries are the key to making electric vehicles functional and desirable. Highly efficient, as well as smaller and lighter than ion batteries, solid-state batteries generate less heat and are easier to recycle. Dyson says he could return to electric vehicle production when commercial and financial circumstances change.

5. Coca-Cola and New Coke The company tested New Coke with 200,000 consumers. Most people who tried it preferred New Coke over the traditional product. Based on that information, Coca-Cola launched New Coke in 1985. But the new product did not sell, and product loyalty and people’s old-fashioned habits got in the way. The cost to the company was $30 million in unsellable backstock and $4 million lost to development. New Coke remains one of the most famous failures in marketing history.

• Takeaway: While Coca-Cola researched the market, it missed the mark when assessing the power of brand loyalty. Understanding customers is imperative in product development. Ensure your information is comprehensive and those insights are realistic and accurate.

How Modern Project Management Software Cures Common Project Woes

Modern project management software provides real-time visibility into work conducted across projects, programs, and processes. Store, track, manage, and automatically report on all work, so you can save time and help your team focus on the work that matters most.

Take Charge of Your Next Project with Real-Time Work Management in Smartsheet

From simple task management and project planning to complex resource and portfolio management, Smartsheet helps you improve collaboration and increase work velocity -- empowering you to get more done. 

The Smartsheet platform makes it easy to plan, capture, manage, and report on work from anywhere, helping your team be more effective and get more done. Report on key metrics and get real-time visibility into work as it happens with roll-up reports, dashboards, and automated workflows built to keep your team connected and informed.

When teams have clarity into the work getting done, there’s no telling how much more they can accomplish in the same amount of time. Try Smartsheet for free, today.

Discover a better way to streamline workflows and eliminate silos for good.

• Skip to primary navigation
• Skip to content

Exploring Project Management Case Studies: A Comprehensive Guide

• January 25, 2024

Project management has become an essential skill for organizations to achieve their goals efficiently. By effectively managing projects, businesses can streamline processes, improve productivity, and ultimately drive success. To understand the intricacies of project management, it is crucial to explore various case studies that offer real-life insights into successful project management practices. This comprehensive guide aims to provide a deep dive into project management, highlighting key principles, methodologies, and the role of a project manager.

Understanding the Basics of Project Management

Project management is a crucial discipline that involves the application of knowledge, skills, tools, and techniques to project activities. Its primary goal is to meet specific project requirements by carefully planning, executing, controlling, and closing projects within defined constraints. These constraints typically include factors such as time, cost, and scope. By effectively managing these elements, project managers aim to achieve predetermined objectives while ensuring efficient resource utilization.

Defining Project Management

At its core, project management is a multifaceted process that requires a comprehensive understanding of various project elements. It encompasses the coordination of tasks, resources, and stakeholders to achieve project goals. By employing proven methodologies and strategies , project managers can effectively navigate the complexities of project execution.

Successful project management involves breaking down complex projects into manageable tasks, establishing clear project objectives, and developing a well-defined project plan . This plan serves as a roadmap for the project, outlining the necessary steps, timelines, and deliverables. By having a solid plan in place, project managers can effectively allocate resources, manage risks, and monitor progress throughout the project lifecycle.

Key Principles of Project Management

Project management is guided by a set of key principles that serve as the foundation for successful project execution. These principles include:

• Clear Project Objectives: Clearly defining project objectives is essential for project success. By having well-defined goals, project managers can align project activities and ensure that everyone is working towards a common purpose.
• Effective Communication: Communication is a critical aspect of project management. Project managers must establish open lines of communication with stakeholders, team members, and other relevant parties to ensure that information flows smoothly and that everyone is kept informed about project progress.
• Stakeholder Engagement: Engaging stakeholders throughout the project lifecycle is vital. By involving stakeholders in decision-making processes and keeping them informed, project managers can gain valuable insights and ensure that project outcomes meet stakeholder expectations.
• Risk Management: Identifying and managing risks is an integral part of project management. Project managers must proactively assess potential risks and develop strategies to mitigate them. By addressing risks early on, project managers can minimize their impact on project outcomes.
• Continuous Improvement: Project management is an iterative process that requires continuous improvement . Project managers should regularly evaluate project performance, identify areas for improvement, and implement corrective actions. By embracing a culture of continuous improvement, project managers can enhance project outcomes and drive organizational success.

The Role of a Project Manager

A project manager plays a pivotal role in the success of any project. They are responsible for planning, organizing, and overseeing all project activities. Key responsibilities of a project manager include:

• Planning: Project managers develop comprehensive project plans that outline the necessary tasks, timelines, and resources required for successful project execution. They establish project objectives, define deliverables, and allocate resources accordingly.
• Team Management: Project managers are responsible for assembling and managing project teams. They assign tasks, provide guidance, and ensure that team members have the necessary resources and support to complete their work effectively.
• Communication: Project managers serve as the primary point of contact for all project-related communication. They facilitate effective communication between team members , stakeholders, and other relevant parties to ensure that everyone is aligned and informed.
• Decision-making: Project managers make critical decisions throughout the project lifecycle. They analyze information, evaluate options, and make informed choices that align with project objectives and stakeholder expectations.
• Monitoring and Control: Project managers continuously monitor project progress, track performance against established metrics, and implement necessary control measures. They identify deviations from the plan and take corrective actions to keep the project on track.

By fulfilling these roles and responsibilities, project managers act as leaders, decision-makers, and facilitators. They work closely with stakeholders to ensure that project goals are met, deliverables are achieved, and project outcomes align with organizational objectives.

The Importance of Project Management

Project management plays a crucial role in the success of organizations. It is a discipline that involves planning, organizing, and controlling resources to achieve specific goals and objectives. Effective project management ensures that projects are executed efficiently, meeting the desired outcomes while staying within the allocated budget and time frame.

Benefits of Effective Project Management

Effective project management offers numerous benefits to organizations. Firstly, it enhances collaboration among team members. By establishing clear roles and responsibilities, project managers facilitate effective communication and coordination, ensuring that everyone is working towards a common goal. This collaboration fosters innovation, creativity, and synergy among team members, leading to higher productivity and better outcomes.

Furthermore, effective project management promotes efficient resource allocation . Project managers carefully analyze the project requirements and allocate resources, such as manpower, equipment, and materials, in the most optimal way. This ensures that resources are utilized effectively, minimizing waste and maximizing productivity. By efficiently managing resources, organizations can achieve cost savings and improve their overall operational efficiency.

In addition, effective project management minimizes risks. Project managers identify potential risks and develop strategies to mitigate them. They create contingency plans and establish risk management processes to address any unforeseen events or challenges that may arise during the project. By proactively managing risks, organizations can minimize disruptions, avoid costly mistakes, and ensure the successful completion of projects.

Moreover, effective project management enables effective decision-making. Project managers gather relevant data, analyze information, and make informed decisions based on the project’s objectives and constraints. They consider various factors, such as cost, quality, and time, to make decisions that align with the organization’s overall strategy. This ensures that projects are executed in a way that maximizes value and achieves the desired outcomes.

Lastly, effective project management ensures projects are completed on time and within budget. Project managers develop detailed project plans, set realistic timelines, and monitor progress to ensure that projects stay on track . They closely monitor project costs and implement cost control measures to prevent budget overruns. By delivering projects on time and within budget, organizations can enhance customer satisfaction, build trust, and maintain a competitive edge in the market.

Consequences of Poor Project Management

Scope creep.

On the other hand, poor project management can have severe consequences for organizations. When project management is not effectively implemented, it can result in scope creep. Scope creep refers to the continuous expansion of project requirements beyond the initial scope, leading to increased costs, delays, and a loss of focus. This can strain relationships with stakeholders, as their expectations may not be met, and can ultimately lead to project failure.

Budget overruns

Poor project management can also result in budget overruns. Without proper planning and control, projects can exceed their allocated budgets, causing financial strain on the organization. This can lead to reduced profitability, cash flow issues, and potential financial losses. Additionally, budget overruns can negatively impact the organization’s reputation, as stakeholders may view the organization as inefficient or unreliable.

Missed deadlines

Missed deadlines are another consequence of poor project management. When projects are not effectively managed, timelines may not be realistic or properly monitored. This can lead to delays in project completion, causing frustration among stakeholders and potentially impacting the organization’s ability to deliver products or services on time. Missed deadlines can also result in missed business opportunities, as competitors may gain an advantage by delivering similar projects more efficiently.

Strain relationships with stakeholders

Furthermore, poor project management can strain relationships with stakeholders. When projects are not effectively communicated or managed, stakeholders may feel excluded or uninformed. This can lead to misunderstandings, conflicts, and a lack of trust in the organization’s ability to execute projects successfully. Strained relationships can have long-term consequences, as stakeholders may choose to disengage from future projects or seek alternative partnerships.

Damage a company’s reputation

Ultimately, failed projects can damage a company’s reputation. When projects fail to meet their objectives, it can erode customer confidence and trust in the organization’s ability to deliver on its promises. This can result in a loss of business opportunities, as potential customers may choose to work with competitors who have a track record of successful project execution. Additionally, failed projects can demoralize employees and create a negative work environment, impacting overall organizational performance.

In conclusion, effective project management is vital for organizations to achieve their goals and objectives. It offers numerous benefits, including enhanced collaboration, efficient resource allocation, risk mitigation, effective decision-making, and timely project completion. On the other hand, poor project management can have severe consequences, such as scope creep, budget overruns, missed deadlines, strained relationships, and damage to the organization’s reputation. Therefore, organizations should prioritize investing in project management practices and ensure they have skilled project managers who can effectively lead and execute projects.

Diving into Project Management Processes

Initiation phase.

In the initiation phase, project managers work closely with stakeholders to define project objectives and analyze feasibility. This phase involves identifying the project scope, clarifying deliverables, and assembling the project team. It sets the stage for the successful execution of the project.

Planning Phase

The planning phase is a critical stage where project managers develop a detailed roadmap for project execution. It involves defining project activities, estimating resources and timelines, identifying risks, and developing contingency plans. Effective planning ensures all project stakeholders have a clear understanding of project requirements and paves the way for seamless execution.

Execution Phase

In the execution phase, project plans are put into action. Project managers coordinate and oversee the project team, allocate resources, and monitor progress. Effective communication and collaboration are crucial during this phase to address any issues that may arise and keep the project on track.

Closure Phase

The closure phase signifies the completion of the project. Project managers conduct a final review to ensure all deliverables have been met, obtain stakeholder feedback, and document lessons learned. This phase allows organizations to celebrate successes, evaluate performance, and gather valuable insights for future projects.

Project Management Methodologies

Waterfall methodology.

The waterfall methodology is a linear approach to project management, where tasks are completed sequentially. It involves distinct phases, with one phase starting only after the previous one is finished. This methodology is ideal for projects with well-defined requirements and limited changes expected throughout the project lifecycle.

Agile Methodology

The agile methodology is an iterative and flexible approach to project management. It emphasizes adaptability, collaboration, and continuous improvement. Agile projects are divided into short iterations called sprints, with frequent feedback loops, allowing for rapid adjustments and enhancements as the project progresses.

Hybrid Methodology

The hybrid methodology combines elements of both waterfall and agile methodologies. It allows project managers to tailor their approach based on project requirements and complexity. A hybrid approach offers the flexibility of agile methodologies while still incorporating structured planning and control from the waterfall model.

By delving into project management case studies, we can uncover valuable insights and lessons from successful projects. Understanding the basics of project management, recognizing its importance, and following established processes and methodologies sets the stage for achieving project goals efficiently. Whether you choose a traditional waterfall approach, an agile methodology, or a hybrid model, the key to project management success lies in effective leadership, collaboration, and adaptability.

Table of Contents

Project tools your team will stick with..

Chat • Projects • Docs

Related Posts

Ultimate Speaker Guide for Online Events Template

Streamline Your Sales Pipeline Project with This Template

The Ultimate Customer Feedback Tracking Template

The   future   of   team   collaboration.

Teamhub   is   made   for   your   entire   organization.   Collaborate   across   departments   and   teams.

Privacy first

Create private projects or docs inside public Hubs. The structure of every Hub can be as unique as your organization.

Advanced Dashboard

Get a high level view of everything in your team, department and organization

Guest Accounts

Invite your clients and contractors and collaborate on projects together.

Custom Views

See your tasks and work the way you prefer. Create views custom to your team.

Use pre-made project templates to save time and get you started.

Time-off Coming soon

Powerful time-off management capabilities. Employee directories, attachments, leave management and onboarding.

Development

Human resources, what   makes   us   great.

The   magic   that   sets   us   apart   from   everyone   else

A single price

One price for access to all our apps. Save a ton in SaaS costs.

Time-off built right in

Assign tasks and be alerted right away if team members are away.

Powerful Workflow engine

Map out your business processes. Take the thinking out of flows.

Private Hubs

Your personal space, visible only to those you invite in.

Custom Hierarchy

Organize each hub or folders to your own preference.

Smart automations

Set up triggers for dozens of different actions and reduce manual effort.

Adding {{itemName}} to cart

Added {{itemName}} to cart

Project Management Case Study Examples

Anshita Singh

By Simpliaxis

Empower yourself professionally with a personalized consultation,

no strings attached!

In this article

Case study studies for project management present and contrasts actual project management scenarios and procedures. Project managers often face similar difficulties, which these studies have illuminated. To overcome challenges and produce successful outcomes, this aids project managers in creating methods that work.

Organisations may improve their operations using project management case studies, which offer insights into the most practical strategies. Providing a successful project completion is attainable with the appropriate application of these case studies, tactics, and procedures. These case studies provide an example of project management in action. You will be able to understand how theory and practice come together to address project management problems by studying actual instances.

What Is A Project Management Case Study?

A case study on project management is a written article showcasing a project the company has effectively managed. It displays the company's difficulties, strategies, and outcomes. Businesses typically use case studies in the proposal stage. They are often included on business websites to give customers a quick overview of the brand's capabilities. It can even be a valuable tool for generating leads. 

Project Management Case Studies With Examples

Taylors uses mavenlink to increase utilisation rates by 15%.

It is an excellent example of a case study on construction project management. Taylor Development Strategists is one of Australia's top urban planning and civil engineering firms. The company's problem was that the systems it was using could not keep up with the company's expansion. There were numerous shortcomings and inefficiencies. Making the move to Mavenlink was the answer to the problem. The outcomes were better international cooperation, a 15% increase in utilisation, consistent timesheet entry, and comprehensive insights on utilisation and project goals.

Billable Utilisation Rises by 37% with TeleTracking and Mavenlink

Healthcare institutions nationwide turn to TeleTracking Technologies as a top supplier of patient flow automation systems. Using many platforms, including Jira, Netsuite, Microsoft Project, Sharepoint, and Excel, presented a hurdle for the organisation. The organisation faced several issues as a result of using different solutions. Its ineffective time monitoring system, imprecise resource utilisation, and poor forecasting capacity were all present. Migrating to Mavenlink was the solution. Improvements in time tracking compliance of 100%, hours worked to date up 18%, and billable utilisation up 37% were the outcomes.

Butterfly Uses Mavenlink to Increase Billable Time by 20%.

Butterfly is a top digital agency offering businesses across Australia digital strategy, website design and development services, and continuous support. The issue was that the agency's capacity to manage projects and provide reports effectively was constrained by the various old systems it was using. The systems required a lot of time and effort. Better Jira integration, faster reporting insights, a 16% increase in productive utilisation, and a 20% increase in billable time were the outcomes.

CBI's PMO Uses Mavenlink To Increase Billable Utilisation By 30%

CBI's primary concerns are its clients' reputations, information, and brands. The company's problem was that the employed solutions couldn't keep up with the expanding demands of the corporation. There needed to be more data sharing, unreliable time tracking, and antiquated technology. Using Mavenlink was the answer to the problem. The outcomes were improved departmental coordination, improved time monitoring to facilitate business expansion, a 30% rise in chargeable utilisation, and comprehensive project success insights.

PlainJoe Studios Increases Projects Closing With Mavenlink Within Budget by 50%

Strategic and digitally immersive storytelling is the primary focus of PlainJoe Studios, an experimental design studio. The organisation employs a group of strategists, architects, and problem solvers to generate value for its clients. It needed to be more apparent because its manual procedures hindered its expansion and poor project management. They needed to be more transparent regarding the requirements and profitability of their project. Making the move to Mavenlink was the answer to the problem. As a result, there was a 15% increase in billing rates, a 50% improvement in project completion within budget, more significant data insights for various projects' success examples , and a quicker transition to remote work.

Optimus SBR Uses Mavenlink to Increase Forecasting Horizon by 50%.

Optimus SBR is one of North America's top professional services providers. Businesses across various industries, such as healthcare, energy, transportation, financial services, and more, can benefit from its finest outcomes. The problem was that the company's outdated software tools led to problems with project management. The business could not obtain a real-time revenue projection or financial performance predictions for the future. The company decided to go with Mavenlink as a solution. The outcomes were better data-driven employment decisions, more effective remote work delivery, and a 50% longer forecasting horizon.

CORE Business Technologies Uses Mavenlink to Increase Billable Utilisation by 35%.

CORE Business Technologies is a reputable single-source provider of back-office, in-person, and self-service processing for clients. It is respected. Clients can get SaaS-based payment solutions from it. The company's problem was that many disjointed systems caused a busy work schedule because of its tools, which included Microsoft Project, Zoho, and spreadsheets. Using Mavenlink was the answer to the problem. The end outcome was a 50% increase in team productivity, 100% compliance with time entry, and a 35% increase in the billable utilisation rate.

RSM Uses Mavenlink to Enhance Global Business Processes and Customer Satisfaction

RSM is a tax, audit, and consulting firm that offers clients in the US and Canada a broad range of professional services. The company's problem was that its old system needed the functionality to support their labour- and time-intensive projects or provide insights into project management trends . Making the move to Mavenlink was the best way to overcome this difficulty. The outcomes were better risk minimisation in tax compliance, more client-team communication, templated project creation, and more effective utilisation of KPIs and project status.

Appetize Uses Mavenlink to Double Forecasting Outlook Length

Appetize is a highly reputable cloud-based platform for digital ordering, enterprise management, and point of sale (POS) systems. The company needed assistance because its outdated project monitoring tools could not meet its growing needs. They needed help with manual data analysis and growth. Making the move to Mavenlink was the answer they discovered. The outcome included extending the forecast period to 12 weeks, facilitating efficient scaling throughout the entire organisation, simplifying the management of more than 40 significant projects, and integrating Salesforce to facilitate project execution.

Metova Uses Mavenlink to Increase Billable Utilisation by 10%.

Metova may be the ideal example for a case study on project planning that you are searching for. Metova is a technology company that is a consulting partner of AWS and a Gold Partner of Microsoft. The company's ability to manage multiple projects at once presented a hurdle. However, the organisation's capacity to grow by its excessive reliance on programmes like Google Sheets. As a result, the business turned to Mavenlink for a solution. As a result, it was able to standardise its project management procedure, raise portfolio visibility, and enhance billable utilisation by 10%.

How Do You Create Your Project Management Case Study?

A brief overview of the client's business with a focus on its size, industry, and unique issues can help you build a well-written and handy case study template for project management. Add a thorough project management challenge piece highlighting the unique features and difficulties. The solution should then be described, including the tactics, procedures, and equipment you would need, which would be necessary to showcase the outcomes, emphasise the goals reached and measure advancements. Ultimately, kindly provide a summary of the case study highlighting the main lessons learned, the project's accomplishments, and its implications for future work. 

If you follow this format, you can give a thorough but concise analysis that highlights your knowledge and ideas about project management. You may also use the project management case study template found at Template for writing case studies to help you write a better one.

Tips And Best Practices For Case Studies

If you plan to make a successful case study, here are some tips to help. 

• Get your clients involved in the creation of the case study. 
• Make use of data and graphs. 
• Effectively combine text, graphs, photos, and white space.

Understanding Project Management Techniques across various industries is possible with the help of Simpliaxis' project management training programmes . This certification gives you the skills to tackle any situation with real-world case studies demonstrating effective techniques and solutions. This course includes all the skills you need to succeed in technology, finance, construction, and pharmacy: strategic planning, innovation, and adaptation. Seize the chance to improve your project management abilities and establish yourself as a highly sought-after expert. Start your journey to project management excellence by enrolling with Simpliaxis today!

FAQ’s 

• What format does a case study follow?

Reports and essays are the most common formats for case studies. If the latter, you will typically discover that your work is easily navigable by headers and subheadings.

• What are the ways to analyse a case study?

Carefully read the case and any related questions. Draw attention to the primary arguments made in the case and any problems you see. Analyse the tasks that the questions ask you to perform after carefully reading them. Reread the case, making connections between the details that pertain to each question posed to you.

• What goals does the case presentation want to achieve?

The following are the goals of the case presentations: 1) Encourage interns to approach daily clinical practice using an evidence-based, scientist-practitioner model. 2) Get comfortable with presenting. 3) Sharpen your clinical abilities. 4) Address inquiries and criticism professionally.

     4.  Which are the best-case studies on project management?

The Apollo 11 moon landing project, the construction of the Sydney Opera House, and the Panama Canal project are a few of the best case studies for project management. These well-known projects provide examples of creative problem-solving, efficient planning, and good project management.

Previous Article

Next Article

Join the Discussion

By providing your contact details, you agree to our Privacy Policy

Related Articles

Triple constraints of project management.

May 02 2024

What is a Stakeholder Register?

Mar 27 2024

A Day In The Life Of A Project Manager

Jan 05 2024

Highest Paying Project Management Jobs

Dec 22 2023

PMP Pass Rate

Jan 22 2024

Share This Article  

Empower yourself professionally with a personalized consultation, no strings attached!

• Practice Tests
• Afghanistan (+93)
• Albania (+355)
• Algeria (+213)
• Andorra (+376)
• Angola (+244)
• Argentina (+54)
• Armenia (+374)
• Australia (+61)
• Austria (+43)
• Azerbaijan (+994)
• Bahrain (+973)
• Bangladesh (+880)
• Belarus (+375)
• Belgium (+32)
• Benin (+229)
• Bermuda (+1)
• Bolivia (+591)
• Botswana (+267)
• Brazil (+55)
• Bulgaria (+359)
• Cambodia (+855)
• Cameroon (+237)
• Canada (+1)
• Central African Republic (+236)
• Chile (+56)
• China (+86)
• Colombia (+57)
• Croatia (HR)
• Cyprus (+357)
• Czech Republic (+420)
• Denmark (+45)
• Egypt (+20)
• Estonia (+372)
• Ethiopia (+251)
• Fiji (+679)
• Finland (+358)
• France (+33)
• Georgia (+995)
• Germany (+49)
• Ghana (+233)
• Greece (+30)
• Hong Kong (+852)
• Hungary (+36)
• Iceland (+354)
• India (+91)
• Indonesia (+62)
• Iraq (+964)
• Ireland (+353)
• Israel (+972)
• Italy (+39)
• Jamaica (+1)
• Japan (+81)
• Jordan (+962)
• Kenya (+254)
• Kuwait (+965)
• Latvia (+371)
• Lebanon (+961)
• Liberia (+231)
• Libya (+218)
• Lithuania (+370)
• Luxembourg (+352)
• Malaysia (+60)
• Maldives (+960)
• Malta (+356)
• Mexico (+52)
• Mongolia (+976)
• Montenegro (+382)
• Myanmar (+95)
• Nepal (+977)
• Netherlands (+31)
• New Zealand (+64)
• Nigeria (+234)
• North Korea (+850)
• Northern Ireland (+44)
• Norway (+47)
• Oman (+968)
• Pakistan (+92)
• Panama (+507)
• Papua New Guinea (+675)
• Paraguay (+595)
• Philippines (+63)
• Poland (+48)
• Portugal (+351)
• Qatar (+974)
• Reunion (+262)
• Romania (+40)
• Russia (+7)
• San Marino (+378)
• Saudi Arabia (+966)
• Senegal (+221)
• Serbia (+381)
• Singapore (+65)
• Slovakia (+421)
• Slovenia (+386)
• Somalia (+252)
• South Africa (+27)
• South Korea (+82)
• South Sudan (+211)
• Spain (+34)
• Sri Lanka (+94)
• Sudan (+249)
• Sweden (+46)
• Switzerland (+41)
• syria (+963)
• Taiwan (+886)
• Tanzani (+255)
• Thailand (+66)
• Tunisia (+216)
• Turkey (+90)
• Uganda (+256)
• Ukraine (+380)
• United Kingdom (+44)
• Uruguay (+598)
• Uzbekistan (+998)
• Venezuela (+58)
• Vietnam (+84)
• Yemen (+967)
• Zambia (+260)
• Zimbabwe (+263)

By providing your contact details you agree to our privacy policy

Webinar Registration

Our free course counselling can help you with.

Guidance and Advice:

Offer personalised guidance and advice based on your interests.

Clarification of Doubts:

Understand the course content, prerequisites, workload, and potential career paths associated with different programs.

Career Planning:

Get insights into the job market and industry trends.

Get Free Consultation

Enquire now.

Unlock your professional potential!

Venue Details

Call us for any query.

Experts Available 24 x 7

Don’t Miss Out. Register Now for the Webinar

Emphasizes the opportunity for learning & growth.

Contact us based on your location

Connect with us :

Get our weekly newsletter :.

• Accreditation
• Customer Speak
• Grievance Redressal
• Live virtual (Online)
• Classroom (In-Person)
• Agile services
• Refer and earn
• Blog as a guest
• Corporate training
• Course info

Partner with us

• Become an Instructor
• Hire from Us
• Become a Training Partner
• Terms and conditions
• Privacy policy
• Cancellation and refund
• Html Sitemap

Top Categories

• Generative AI
• CLOUD COMPUTING
• DATA SCIENCE

Top Courses

• Leading SAFe®
• ITIL 4 Foundation
• PRINCE2® F&P
• PRINCE2® Foundation
• PRINCE2® Practitioner
• SAFe® DevOps
• DevOps Foundation® Certification Training

©️ 2024 SimpliAxis All Rights Reserved. The certification names are the trademarks of the respective authorised bodies

Disclaimer : Certified Scrum Master(CSM®),Advanced Certified Scrum Master(A-CSM®), Certified Scrum Professional ScrumMaster(CSP-SM®), Certified Scrum Product Owner (CSPO®), Advanced Certified Scrum Product Owner (A-CSPO®), Certified Scrum Professional Product Owner(CSP-PO®), Certified Scrum Developer (CSD®), Certified Scrum Professional(CSP®), Certified Agile Leadership(CAL-I®,CAL-II®), Scrum Education Units(SEU®),Certified Scrum Trainer (CST®),Certified Enterprise Coach(CEC®), and Certified Team Coach(CTC®), are registered trademarks of Scrum Alliance®. SimpliAxis INC is a Registered Education Provider (REP) of Scrum Alliance®. Profession Scrum Master (PSM-I®, PSM-II®, PSM-III®), Profession Scrum Product Owner (PSPO-I®, PSPO-II®, PSPO-III®), Profession Scrum Developer (PSD-I®), Scaled Professional Scrum(SPS®),Professional Scrum With Kanban(PSK-I®) , Prove your knowledge of Professional Agile Leadership(PAL-I®), Prove your knowledge of Evidence-Based Management™ (PAL-EBM®), Prove Your Scrum with User Experience Knowledge(PSU-I®) and Professional Scrum Trainer(PST®) are registered trademarks of Scrum.org®. SimpliAxis INC is a Professional Training Network member of Scrum.org®. Certified Business Analysis Professional (CBAP®), Certification of Capability in Business Analysis(CCBA®), Entry Certificate in Business Analysis(ECBA®), Agile Analysis Certification(AAC®), Certification in Business Data Analytics(CBDA®), Certificate in Cybersecurity Analysis(CCA®), Certificate in Product Ownership Analysis(CPOA®) are registered trademarks of International Institute of Business Analysis(IIBA®). SimpliAxis INC is an Premier Level Endorsed Education Provider of IIBA®. SAFe Agilist Certification (SA®), SAFe Program Consultant Certification (SPC®),SAFe Program Consultant Trainer Certification (SPCT®),SAFe Practitioner Certification(SP®),SAFe Release Train Engineer Certification (RTE®),SAFe Scrum Master Certification (SSM®),SAFe Advanced Scrum Master Certification (SASM®),SAFe DevOps Practitioner Certification(SDP®),Agile Product Manager Certification (APM®),Lean Portfolio Manager Certification (LPM®),Product Owner / Product Manager Certification (POPM®),SAFe Architect Certification (ARCH®),Agile Software Engineer Certification (ASE®) and SAFe Government Practitioner Certification (SGP®), Scaled Agile Framework® and SAFe® are registered trademarks of Scaled Agile, Inc.®. SimpliAxis INC is a Silver Partner of Scaled Agile, Inc®. DevOps Foundation®, DevOps Leader®, SRE Foundation℠, SRE Practitioner℠, DevSecOps Foundation℠, Continuous Testing Foundation℠, Certified Agile Service Manager®, Continuous Delivery Ecosystem Foundation℠ and Value Stream Management Foundation® are registered trademarks of DevOps Institute. SimpliAxis INC is a Registered Education Partner (REP) of the DevOps Institute (DOI) ®.   Read more...

Get coupon upto 60% off

Unlock your potential with a free study guide

"w3-validator-err"

Project Management: A Case Study Analysis of Burj Khalifa

• Affiliation: University of Roehampton

• Golden Gate University

Abstract and Figures

Discover the world's research

• 25+ million members
• 160+ million publication pages
• 2.3+ billion citations

• Andrew Davies

• Alvaro Sanchez-Cazorla

• Virginia A. Greiman

• Proj Manag J
• J. Scott Sutterfield

• Sheryl L. Shivers-Blackwell

• Recruit researchers
• Join for free
• Login Email Tip: Most researchers use their institutional email address as their ResearchGate login Password Forgot password? Keep me logged in Log in or Continue with Google Welcome back! Please log in. Email · Hint Tip: Most researchers use their institutional email address as their ResearchGate login Password Forgot password? Keep me logged in Log in or Continue with Google No account? Sign up

The Project Life Cycle Explained: 5 Phases of Project Management

There are many ways to run a project. But to run a project successfully, you have to consider all aspects of the project—from scope and budget to the tasks and conversations that take place after the project is launched and executed.

Traditionally, project management involves 5 key phases, and these stages form what is known as a project life cycle. 

In this article, we’ll define the project life cycle and cover each phase of the project management process. We’ll also share resources and templates you can use at every step. 

What is the project life cycle?

The project life cycle is a framework that represents the 5 key phases of project management: initiation, planning, execution, monitoring and control, and closure. 

The project life cycle is important because it provides firm footing for effective project management. It gives project managers a clear structure for guiding projects successfully from concept to delivery, maturity, and finally completion.

5 phases of the project management life cycle

As I mentioned, the project management life cycle is made up of 5 essential steps:

• Project initiation & conception
• Project planning
• Project execution
• Project monitoring & control
• Project closure

In some ways, these stages show what goes on behind the scenes before a project might even come to a project manager’s attention.

If this process feels too rigid for you, that’s okay! Pick up the fundamentals, understand how the steps are formalized, and adapt the process to fit your project, team, or organization.

Now, let’s take a closer look at each step of the project life cycle in more detail.

1. Project initiation phase

Project initiation is arguably the most critical phase of the project life cycle. That's because what happens here will set the tone and goals for what’s to come. 

A project usually arises from a business need or goal aimed at solving a problem or exploring new ways to do business. For instance, if a company is looking to cut down the number of customer service calls they receive, they’ll investigate what’s driving the number of calls. That research will then inform what can be done to reduce the number of calls.

The best way to understand the challenges and objectives is through a project brief or charter that outlines the business case and provides a high-level overview of project details, such as goals, constraints, risks, and deliverables. This kind of background is invaluable to a team when kicking off a project. It’s also a great way to get all involved parties and stakeholders aligned on what’s to come.

While you can proceed without every detail documented, it’s a good idea to get buy-in on project objectives and intended outcomes during the initiation phase of the life cycle.

Key steps in the initiation stage of the project life cycle

• Identify the why behind the project—usually the business case and goals
• Conduct a feasibility study and/or SWOT analysis
• Create a stakeholder register to identify key project players
• Develop a project charter or brief
• Hold a project kickoff meeting

2. Project planning phase

The project planning stage is where you’ll lay out the details of your entire project from beginning to end. The plan you create here will lead your team through the execution, performance, and closure phases of the project life cycle.

As part of your project management plan, you’ll want to consider these factors:

• Project timeline : This should include deadlines for key project milestones (like deliverable reviews and meetings). Be sure to build in plenty of time for approval processes.
• Project scope: Projects tend to go off the rails without some level of constraint or control. Clearly document how much time has been allotted for the project and what the deliverables include. You can always adjust the guardrails later if needed.
• Project communication : Set expectations for how and when you’ll communicate as a team. Communication plans are particularly valuable for projects with cross-functional teams or external stakeholders.
• Potential risks : It’s the project manager’s job to look out for risks and report them to the team. The best way to do this is to conduct a risk assessment that identifies foreseeable risks and how to avoid them.
• Project estimates : Good estimation sets the stage for better project management because it’s easier to tell when things go off track. Consider using a work breakdown structure (WBS) to itemize tasks and estimate effort. 
• General workflow and process : This should include internal workflows for project teams, as well as how you’ll work with stakeholders, to ensure you get it all done on time and under budget.
• Team roles and responsibilities : A responsibility assignment matrix can help you outline clear roles for everyone involved in the project.

Once you estimate the project’s time and effort , you can create a project plan that lays out phases, tasks, resources, responsibilities, milestones, and deadlines. Using a gantt chart tool like TeamGantt can truly help you to build a well-defined plan that’s easy to understand and update.

Explore our library of free project management templates , and save time on every aspect of your project plan.

Key steps in the planning stage of the project life cycle

• Set SMART goals for the project
• Define and document the project scope and requirements
• Create a project roadmap with a detailed timeline of tasks and milestones
• Estimate project time and costs
• Assess resource availability and assign task roles and responsibilities
• Catalog potential project risks and establish a contingency plan
• Document expectations for project communication
• Create a stakeholder engagement plan
• Develop a procurement plan for third-party suppliers and tools
• Outline a financial plan that fits the project budget

Lay a clear path to success with a visual plan that’s easy to understand, and keep everyone in sync with flexible workflows and team collaboration.

3. Project execution phase

In this phase of the project life cycle, the team is off and running! The project execution stage is typically the longest in the project management process because it’s when the actual work is done. You’ll find teams collaborating, reviewing work, presenting to stakeholders, and revising.

In the previous phase, a project manager does a lot of heavy-lifting. During project execution, a project manager guides the team—and stakeholders—through a series of tasks and milestones.

In this life cycle step, a project manager typically oversees the project budget, timeline, resources, and risk. That’s a lot to be responsible for! So how do project managers handle all of it? They stick to the plan. 

All of the documentation you create during the planning stage comes together to form a holistic project management plan. Use those documents as your source of truth to guide decisions and create efficient workflows during project execution.

Don’t forget to stay tuned-in to what’s happening with the team. This can be done through regular team check-ins, status updates, timeline review, and budget tracking.

Having a single platform to track your budget, timeline, resourcing, and communications certainly makes managing a project easier. Lucky for you, TeamGantt does it all .

Key steps in the execution stage of the project life cycle

• Provide easy channels for team collaboration
• Establish streamlined workflows for your team
• Schedule and lead regular project meetings
• Send project status reports to stakeholders
• Facilitate reviews and approvals of project deliverables
• Clear blockers that get in the way of progress

4. Project monitoring & control phase

The monitoring and control phase is all about making sure the project runs smoothly and things go according to plan. This step of the process typically happens alongside project execution. 

As part of the project monitoring stage, you should keep an eye on:

• Budget and timeline : Keep a close eye on milestone completion and whether time spent on tasks aligns with your estimates. That way you can spot delays and overages early and adjust your plan before things get too far off track. TeamGantt makes it easy to track and monitor progress with simple visualizations built into your gantt chart.
• Project goals : Use those goals to help make decisions about design, functionality, and any new requests. Sometimes it’s okay to stray a bit. Just be sure to keep the lines of communication open with the stakeholders, and bring new ideas to the table with enough time to rework them as needed. (Yup, it happens!)
• Quality control : Be the person who not only manages the process, but also cares about the work. Consult with leadership on quality standards, and review all deliverables before they’re sent out or presented for review. Your team and stakeholders will love you for it. 😍 ‍
• Risk management : Risk is a conversation you want to keep going throughout the project. Report on project risks in weekly status updates to keep them top-of-mind and allow the team to provide input. ‍
• Team performance : As a project manager, your role is to look out for the project. But the success of a project depends on the team working on it. If you see someone slacking or unintentionally dropping the ball, address it. Just be empathetic, and find the right avenues to handle performance issues with team members.

TeamGantt’s Project Health Report makes it easy to monitor team performance and stay on top of deadlines by showing you which tasks are falling behind before your project goes off the rails.

Key steps in the monitoring stage of the project life cycle

• Review timesheets to ensure hours logged stay within budget
• Track task and milestone completion
• Compare actual progress against the plan to spot potential delays
• Track baselines and report on project health
• Monitor and manage scope creep and other risks
• Manage change requests and adjust the plan as needed

5. Project closure phase

When your project is complete and everyone is happy with what’s been delivered, tested, and released, it’s time to wrap up. In the project closure stage, the team will complete the steps needed to close tasks, hand off the project to stakeholders, finalize any reporting, and celebrate the project.

Many organizations move from one project to the next and don’t take time to properly close down a project. It’s a smart move to take a few hours to properly close, reflect, and even celebrate a project.

Here are a few steps to consider in this final stage of the project management life cycle.

• Conduct a project retrospective: Schedule a project debrief, and discuss what went well and what didn’t as a team. Record the outcomes, and share the notes to improve teamwork and performance on future projects.
• Create a project closure report: Write a 1-page report that recaps project goals and results. This document should outline the date of initiation, original deadline and budget, and actual date of delivery and budget used. You might also want to include team members and stakeholders involved, project issues and pain points, and project wins in your project closure report.
• Celebrate the project: ‍Organize a small party over lunch or after work to get the team and stakeholders together to acknowledge the hard work done and the great product produced. 🎉 If there’s no budget, that’s fine. A high-five or thoughtful email works really well when it comes to team morale.

As the project manager, the more you can be a cheerleader for your team, the better experience you’ll have working with them.

Key steps in the closing stage of the project life cycle

• Secure final approval and hand the end product off to the project sponsor or client
• Hold a post-mortem meeting to review project wins and hiccups
• Store all the final project documentation in a centralized archive
• Send final payments to contractors and suppliers

Put the project management life cycle to work for you

Processes and frameworks are great to have in your back pocket. But remember, every organization runs differently. 

You have to consider the people, organizational history, challenges, and existing practices before you roll something out. 

Motivations and empathy are everything in project management. So carry on, attack those projects, and do what’s right for everyone involved.

Simplify your project management process

Want to take the pain out of project management without sacrificing your hard-earned gains? TeamGantt makes every project step a whole lot easier. (Heck, we’d even call it fun!) 

Spend less time in spreadsheets and more time giving your team high-fives for all the awesome work you’re doing together. TeamGantt provides clear visibility into the details with easy collaboration for the whole team every step of the way. 

Give TeamGantt a free try today!

Table of Contents

Understanding project risk management, definition and explanation of project risk management, 4 key components of project risk management, risk identification, risk assessment, risk response planning, risk monitoring and control, 5 project risk management case studies, gordie howe international bridge project, fujitsu’s early-career project managers, vodafone’s complex technology project, fehmarnbelt project, lend lease project, project risk management at designveloper, how we manage project risks, advancements in project risk management, project risk management: 5 case studies you should not miss.

May 21, 2024

Exploring project risk management, one can see how vital it is in today’s business world. This article from Designveloper, “Project Risk Management: 5 Case Studies You Should Not Miss”, exists in order to shed light on this important component of project management.

We’ll reference some new numbers and facts that highlight the significance of risk management in projects. These data points are based on legit reports and will help create a good basis of understanding on the subject matter.

In addition, we will discuss specific case studies when risk management was successfully applied and when it was not applied in project management. These real world examples are very much important for project managers and teams.

It is also important to keep in mind that each project has associated risks. However through project risk management these risks can be identified, analyzed, prioritized and managed in order to make the project achieve its objectives. Well then, let’s take this journey of understanding together. Watch out for an analysis of the five case studies you must not miss.

Risk management is a very critical component of any project. Risk management is a set of tools that allow determining the potential threats to the success of a project and how to address them. Let’s look at some more recent stats and examples to understand this better.

Statistics show that as high as 70% of all projects are unsuccessful . This high failure rate highlights the need for efficient project risk management. Surprisingly, organizations that do not attach much importance to project risk management face 50% chances of their project failure. This results in huge losses of money and untapped business potential.

Additionally, poor performance leads to approximated 10% loss of every dollar spent on projects. This translates to a loss of $99 for every $1 billion invested. These statistics demonstrate the importance of project risk management in improving project success rates and minimizing waste.

Let us consider a project management example to demonstrate the relevance of the issue discussed above. Consider a new refinery being constructed in the Middle East. The project is entering a key phase: purchasing. Poor risk management could see important decisions surrounding procurement strategy, or the timing of the tendering process result in project failure.

Project risk management in itself is a process that entails the identification of potential threats and their mitigation. It is not reactionary but proactive.

This process begins with the identification of potential risks. These could be any time from budget overruns to delayed deliveries. After the risks are identified they are then analyzed. This involves estimating the probability of each risk event and the potential consequences to the project.

The next stage is risk response planning. This could be in the form of risk reduction, risk shifting or risk acceptance. The goal here is to reduce the impact of risks on the project.

Finally, the process entails identifying and tracking these risks throughout the life of a project. This helps in keeping the project on course and any new risks that might arise are identified and managed.

Let’s dive into the heart of project risk management: its four key components. These pillars form the foundation of any successful risk management strategy. They are risk identification, risk analysis, risk response planning, and risk monitoring and control. Each plays a crucial role in ensuring project success. This section will provide a detailed explanation of each component, backed by data and real-world examples. So, let’s embark on this journey to understand the four key components of project risk management.

Risk identification is the first process in a project risk management process. It’s about proactively identifying risks that might cause a project to fail. This is very important because a recent study has shown that 77% of companies had operational surprises due to unidentified risks.

There are different approaches to risk identification such as brainstorming, Delphi technique, SWOT analysis, checklist analysis, flowchart. These techniques assist project teams in identifying all potential risks.

Risk identification is the second stage of the project risk management process. It is a systematic approach that tries to determine the probability of occurrence and severity of identified risks. This step is very important; it helps to rank the identified risks and assists in the formation of risk response strategies.

Risk assessment involves two key elements: frequency and severity of occurrence. As for risk probability, it estimates the chances of a risk event taking place, and risk impact measures the impact associated with the risk event.

This is the third component of project risk management. It deals with planning the best ways to deal with the risks that have been identified. This step is important since it ensures that the risk does not have a substantial effect on the project.

One of the statistics stated that nearly three-quarters of organizations have an incident response plan and 63 percent of these organizations conduct the plan regularly. This explains why focusing only on risks’ identification and analysis without a plan of action is inadequate.

Risk response planning involves four key strategies: risk acceptance, risk sharing, risk reduction, and risk elimination. Each strategy is selected depending on the nature and potential of the risk.

Risk monitoring and control is the last step of project risk management. It’s about monitoring and controlling the identified risks and making sure that they are being addressed according to the plan.

Furthermore, risk control and management involve managing identified risks, monitoring the remaining risk, identifying new risks, implementing risk strategies, and evaluating their implementation during the project life cycle.

It is now high time to approach the practical side of project risk management. This section provides selected five case studies that explain the need and application of project risk management. Each case study gives an individual approach revealing how risk management can facilitate success of the project. Additionally, these case studies include construction projects, technology groups, among other industries. They show how effective project risk management can be, by allowing organizations to respond to uncertainties and successfully accomplish their project objectives. Let us now examine these case studies and understand the concept of risk in project management.

The Gordie Howe International Bridge is one of the projects that demonstrate the principles of project risk management. This is one of the biggest infrastructure projects in North America which includes the construction of a 6 lane bridge at the busiest commercial border crossing point between the U.S. and Canada.

The project scope can be summarized as: New Port of Entry and Inspection facilities for the Canadian and US governments; Tolls Collection Facilities; Projects and modifications to multiple local bridges and roadways. The project is administered via Windsor-Detroit Bridge Authority, a nonprofit Canadian Crown entity.

Specifically, one of the project challenges associated with the fact that the project was a big one in terms of land size and the community of interests involved in the undertaking. Governance and the CI were fundamental aspects that helped the project team to overcome these challenges.

The PMBOK® Guide is the contractual basis for project management of the project agreement. This dedication to following the best practices for project management does not end with bridge construction: It spreads to all other requirements.

However, the project is making steady progress to the objective of finishing the project in 2024. This case study clearly demonstrates the role of project risk management in achieving success with large and complicated infrastructure projects.

Fujitsu is an international company that deals with the provision of a total information and communication technology system as well as its products and services. The typical way was to employ a few college and school leavers and engage them in a two-year manual management training and development course. Nevertheless, this approach failed in terms of the following.

Firstly, the training was not comprehensive in its coverage of project management and was solely concerned with generic messaging – for example, promoting leadership skills and time management. Secondly it was not effectively reaching out to the need of apprentices. Thirdly the two year time frame was not sufficient to allow for a deep approach to the development of the required project management skills for this job. Finally the retention problems of employees in the train program presented a number of issues.

To tackle these issues, Fujitsu UK adopted a framework based on three dimensions: structured learning, learning from others, and rotation. This framework is designed to operate for the first five years of a participant’s career and is underpinned by the 70-20-10 model for learning and development. Rogers’ model acknowledges that most learning occurs on the job.

The initial training process starts with a three-week formal learning and induction program that includes the initial orientation to the organization and its operations, the fundamentals of project management, and business in general. Lastly, the participants are put on a rotational assignment in the PMO of the program for the first six to eight months.

Vodafone is a multinational mobile telecommunications group that manages telecommunications services in 28 countries across five continents and decided to undertake a highly complex technology project to replace an existing network with a fully managed GLAN in 42 locations. This project was much complex and thus a well grounded approach to risk management was needed.

The project team faced a long period of delay in signing the contract and frequent changes after the contract was signed until the project is baselined. These challenges stretched the time frame of the project and enhanced the project complexity.

In order to mitigate the risks, Vodafone employed PMI standards for their project management structure. This approach included conducting workshops, developing resource and risk management plan and tailoring project documentations as well as conducting regular lesson learned.

Like any other project, the Vodafone GLAN project was not an easy one either but it was completed on time and in some cases ahead of the schedule that the team had anticipated to complete the project. At the first stage 90% of migrated sites were successfully migrated at the first attempt and 100% – at second.

The Fehmarnbelt project is a real-life example of the strategic role of project risk management. It provides information about a mega-project to construct the world’s longest immersed tunnel between Germany and Denmark. It will be a four-lane highway and two-rail electrified tunnel extending for 18 kilometers and it will be buried 40 meters under the Baltic Sea.

This project is managed by Femern A/S which is a Danish government-owned company with construction value over more than €7 billion (£8. 2 billion). It is estimated to provide jobs for 3,000 workers directly in addition to 10,000 in the suppliers. Upon its completion, its travel between Denmark and Germany will be cut to 10 minutes by automobile and 7 minutes by rail.

The Femern risk management functions and controls in particular the role of Risk Manager Bo Nygaard Sørensen then initiated the process and developed some clear key strategic objectives for the project. They formulated a simple, dynamic, and comprehensive risk register to give a more complete risk view of the mega-project. They also created a risk index in order to assess all risks in a consistent and predictable manner, classify them according to their importance, and manage and overcome the risks in an appropriate and timely manner.

Predict! is a risk assessment and analysis tool that came in use by the team, which helps determine the effect of various risks on the cost of the construction of the link and to calculate the risk contingency needed for the project. This way they were able to make decisions on whether an immersed tunnel could be constructed instead of a bridge.

Lend Lease is an international property and infrastructure group that operates in over 20 countries in the world; the company offers a better example of managing project risks. The company has established a complex framework called the Global Minimum Requirements (GMRs) to identify risks to which it is exposed.

The GMRs have scope for the phase of the project before a decision to bid for a job is taken. This framework includes factors related to flooding, heat, biodiversity, land or soil subsidence, water, weathering, infrastructure and insurance.

The GMRs are organized into five main phases in line with the five main development stages of a project. These stages guarantee that vital decisions are made at the ideal time. The stages include governance, investment, design and procurement, establishment, and delivery.

For instance, during the design and procurement stage, the GMRs identify requisite design controls that will prevent environment degradation during design as well as fatal risk elimination during planning and procurement. This approach aids in effective management of risks and delivery of successful projects in Lend Lease.

Let’s take a closer look at what risk management strategies are used here at Designveloper – a top web & software development firm in Vietnam. We also provide a range of other services, so it is essential that we manage risks on all our projects in similar and effective ways. The following part of the paper will try to give a glimpse of how we manage project risk in an exemplary manner using research from recent years and include specific cases.

The following steps explain the risk management process that we use—from the identification of potential risks to managing them: Discovering the risks. We will also mention here how our experience and expertise has helped us in this area.

Risk management as a function in project delivery is well comprehended at Designveloper. Our method of managing the project risk is proactive and systematic, which enables us to predict possible problems and create successful solutions to overcome them.

One of the problems we frequently encounter is the comprehension of our clients’ needs. In most cases, clients come to us with a basic idea or concept. To convert these ideas into particular requirements and feature lists, the business analysts of our company have to collaborate with the client. The whole process is often a time-waster, and having a chance is missed.

To solve this problem, we’ve created a library of features with their own time and cost estimate. This library is based on data of previous projects that we have documented, arranged, and consolidated. At the present time when a client approaches us with a request, we can search for similar features in our library and give an initial quote. This method has considerably cut the period of providing the first estimations to our clients and saving the time for all participants.

This is only one of the techniques we use to mitigate project risks at Designveloper. The focus on effective project risk management has been contributing significantly to our successful operation as a leading company in web and software development in Vietnam. It is a mindset that enables us to convert challenges into opportunities and provide outstanding results for our clients.

In Designveloper, we always aim at enhancing our project risk management actions. Below are a couple examples of the advancements we’ve made.

To reduce the waiting time, we have adopted continuous deployment. This enables us to provide value fast and effectively. We release a minimum feature rather than a big feature. It helps us to collect the input from our customers and keep on improving. What this translates into for our customers is that they start to derive value from the product quickly and that they have near-continuous improvement rather than have to wait for a “perfect” feature.

We also hold regular “sync-up” meetings between teams to keep the information synchronized and transparent from input (requirements) to output (product). Changes are known to all teams and thus teams can prepare to respond in a flexible and best manner.

Some of these developments in project risk management have enabled us to complete projects successfully, and be of an excellent service to our clients. They show our support of the never-ending improving and our capability to turn threats into opportunities. The strength of Designveloper is largely attributed to the fact that we do not just control project risks – we master them.

To conclude, project risk management is an important element of nearly all successful projects. It is all about identification of possible problems and organization necessary measures that will result in the success of the project. The case studies addressed in this article illustrate the significance and implementation of project risk management in different settings and fields. They show what efficient risk management can result in.

We have witnessed the advantages of solid project risk management at Designveloper. The combination of our approach, powered by our track record and professionalism, has enabled us to complete projects that met all client’s requirements. We are not only managing project risks but rather mastering them.

We trust you have found this article helpful in understanding project risk management and its significance in the fast-changing, complicated project environment of today. However, one needs to mind that proper project management is not only about task and resource management but also risk management. And at Designveloper, our team is there to guide you through those risks and to help you realize your project’s objectives.

Also published on

Share post on

Insights worth keeping. Get them weekly.

Get in touch

Simply register below to receive our weekly newsletters with the newest blog posts

Read more topics

• SUGGESTED TOPICS
• The Magazine
• Newsletters
• Managing Yourself
• Managing Teams
• Work-life Balance
• The Big Idea
• Data & Visuals
• Reading Lists
• Case Selections
• HBR Learning
• Topic Feeds
• Account Settings
• Email Preferences

Project management

• Business management
• Process management

Project Leaders Will Make or Break Your Sustainability Goals

• Antonio Nieto Rodriguez
• October 10, 2022

Before Hiring a Design Partner, Consider This

• Sean Madden
• May 20, 2013

How Frank Gehry Delivers On Time and On Budget

• Bent Flyvbjerg
• Dan Gardner
• From the January–February 2023 Issue

Must Finance and Strategy Clash?

• Patrick Barwise
• Paul R. Marsh
• Robin Wensley
• From the September–October 1989 Issue

Why Good Projects Fail Anyway (HBR OnPoint Enhanced Edition)

• Nadim F. Matta
• Ronald N. Ashkenas
• September 01, 2003

Is It Real? Can We Win? Is It Worth Doing?: Managing Risk and Reward in an Innovation Portfolio

• From the December 2007 Issue

The Project Economy Has Arrived

• Antonio Nieto-Rodriguez
• From the November–December 2021 Issue

Marketing Performance—What Do You Expect?

• Thomas V. Bonoma

Agile Doesn’t Work Without Psychological Safety

• Timothy R. Clark
• February 21, 2022

Olympic Host Cities Need Transparency, Not Knowledge Transfer

• Allison Stewart
• August 07, 2012

What Sort of Checklist Should You Be Using?

• February 23, 2010

Meetings That Work: Plans Bosses Can Approve (HBR OnPoint Enhanced Edition)

• Paul D. Lovett
• February 01, 2000

The Hard Side of Change Management

• Harold L. Sirkin
• Perry Keenan
• Alan Jackson
• October 01, 2005

Agility Hacks

• Amy C. Edmondson
• Ranjay Gulati

Drive Innovation with Better Decision-Making

• Linda A. Hill
• Emily Tedards

They Bought In. Now They Want to Bail Out.

• Eric J. McNulty
• From the December 2003 Issue

10 Reasons Why Inclusion Is a Competitive Advantage

• Frances X. Frei
• Anne Morriss
• October 10, 2023

Why Big Projects Fail - and How to Give Yours a Better Chance of Success

• Ram B Misra
• November 03, 2023

75% of Cross-Functional Teams Are Dysfunctional

• Behnam Tabrizi
• June 23, 2015

The Experience Trap

• Kishore Sengupta
• Tarek K. Abdel-Hamid
• Luk N. Van Wassenhove
• From the February 2008 Issue

The Digital Transformation of Freeport McMoRan: The Strategic Use of Agile, AI and Data Analytics

• William E Youngdahl
• Kannan Ramaswamy
• November 01, 2023

Raise Your Glasses - The Water's Magic! Strategic IT At SA Water: A Case Study In Alignment, Outsourcing and Governance

• Alan Thorogood
• Phillip Yetton
• Anthony Vlasic
• Joan Spiller
• July 13, 2004

Military Arsenal Systems: Preparing to Lead a Team (A)

• November 27, 2014

Organo: Scaling Sustainable Eco-Habitats

• Ahaana Mahanti
• Devidutta Mohanty
• D.V.R. Seshadri
• November 21, 2023

Mission to Mars (A)

• Alan MacCormack
• February 07, 2003

Performance Management at Afreximbank

• Robert S. Kaplan
• Siko Sikochi
• Josh Steimle
• March 22, 2020

HBR Insights Future of Business Boxed Set (8 Books)

• Harvard Business Review
• January 12, 2021

Tim Keller at Katzenbach Partners LLC (C)

• Boris Groysberg
• Christopher Marquis
• Ayesha Kanji
• September 06, 2006

The Premamrutha Dhaara Project: A Sustainable Drinking Water Solution with Social Impact

• Vijaya Sunder M
• Shashank Shah
• July 22, 2021

Play@Work at Yonyou: A Warm Cultural Empowerment Tool

• Chuanjiang Mao
• May 30, 2019

Project Maji: Pricing Water in Sub-Saharan Africa

• Marco Bertini
• Dilyana Karadzhova Botha
• October 06, 2021

Providian Trust: Tradition and Technology (B)

• F. Warren McFarlan
• Melissa Dailey
• August 25, 1997

BAE Automated Systems (B): Implementing the Denver International Airport Baggage-Handling System

• Lynda M. Applegate
• Ramiro Montealegre
• Carin-Isabel Knoop
• May 21, 1996

Digital Product Management under Extreme Uncertainty: The Singapore TraceTogether Story for COVID-19 Contact Tracing (A)

• Yuet Nan Wong
• Sin Mei Cheah
• Steven M. Miller
• February 22, 2022

Executing the Bogibeel Bridge for Social Impact: Risk Planning and Managing Earned Value

• Milind Sohoni
• Ripunjaya Kumari Chauhan
• Sudheer Kumar

AIPDM's Tight Deadlines: Frugal Delivery of Information System Excellence (B)

• Rajnish Rai
• September 29, 2020

Volkswagen of America: Managing IT Priorities

• Robert D. Austin
• Warren Ritchie
• Greggory Garrett
• October 05, 2005

Process Control at Polaroid (A)

• Steven C. Wheelwright
• H. Kent Bowen
• Brian Elliott
• November 05, 1992

The Population Health Programme at Singapore's Alexandra Health System: Live Healthy, Stay Active, Transform Healthcare

• Jason Woodard
• Christopher Dula
• Zack Wang Zheng
• April 29, 2015

Warehouse Consolidation Project at Manipal Hospital Bangalore (A)

• Anshuman Tripathy
• Ramanath Pai
• Vaibhav Jain
• January 12, 2018

Preparing Your Company for the Next Recession

• Donald Sull
• December 05, 2022

Popular Topics

Partner center.

55 Process Improvement Case Studies & Project Results [2024]

Business leaders know that process improvement reduces costs and increases customer satisfaction. Therefore, businesses follow process improvement methodologies or deploy tools such as process modeling, process mining and RPA to discover, modify and automate their processes. However, it can be difficult for process experts and business analysts to understand the different process improvement approaches and the results they should expect.

Read our process improvement approaches guide for a categorization of process improvement approaches so you can rely on a framework to structure your process improvement initiatives. In this article, we share typical process improvement project results and case studies. Our aim is to provide benchmarks so business analysts and leaders can set targets for their own initiatives.

What are the typical project results?

Process improvement solutions help businesses define weaknesses and take action to solve these problems. In the case studies we collected, the most common project results that we came across are as follows:

1- Improved efficiency:  Most businesses increase the efficiency of their processes by adapting process improvement methodologies. After defining their problems, companies eliminate unnecessary steps in processes, reduce their costs, and shorten process times. As a result, they achieve faster processes and higher quality output with fewer resources. 

For example, in a process mining case study, a manufacturer leveraged a process mining software to analyze the procure-to-pay processes. It is claimed that the manufacturer could:

• Reduce maverick buying and saved $60,000 in reworking cost by detecting and managing deviations, mismatches and early payments.
• Improve purchase order and invoice processes by automating 75% of line creation and delivery activities. As a result, the company decreased the invoice registration and approval time.

2- Enhanced customer satisfaction: The increasing quality of output and faster processes can also reflect on customer satisfaction. Process improvement solutions help businesses reduce waiting time and focus on customer value. For example, it is claimed that by adopting the Kaizen methodology, Tata Steel has shortened its response time and delivered more on-time orders to its customers. 1

3- Harmonization of different teams/processes:  For large companies, handling different processes simultaneously can be a big challenge. Teams should be informed about what others do, and processes need to work in sync to avoid problems. With process improvement solutions, businesses can have a full understanding of all their companies and align different processes successfully.

Here is an extended list of case studies which are collected from different resources. You can filter the list by the process improvement solution, service provider, industry, or process and investigate the achieved results.

Further Reading

  If you want to learn more on process improvement, these articles can also interest you:

• Process Improvement: In-depth Guide for Businesses
• Lean Process Improvement Guide for Your Business

Check out comprehensive and constantly updated list of process mining case studies to process mining real-life examples and compare them to process improvement case studies.

If you want to manage and improve your processes, check out our data-driven and up-to-date list of vendors for:

• Workflow management software
• Business process management software
• Low-code/No-code development platform
• Onboarding software
• Process mining
• Business process automation software

If you still have questions about process improvement, we would like to help:

External Links

• 1. “ Process Improvement – A continuing initiative .” Tata Steel . 2008. Retrieved at May 17, 2024.

Next to Read

Process mining blockchain in 2024: top 4 use cases & case studies, how to implement process improvement in 6 steps in 2024.

Your email address will not be published. All fields are required.

Hi Cem, Thank you ver much for your interesting article. I am interested in getting a deeper look into some of the case studies: How exactly did they approach the problem? ….Would it be possible to get a closer look at the case studies? Thanks in advance. Adrian

Hi Adrian, please feel free to get in touch with us via [email protected] . Happy to discuss these in more detail once we know which types of case studies you are interested in

Related research

18 Best Process Analysis Tools & Techniques in 2024

Process Modeling in '24: Top 5 Use Cases & Case Studies

Case Study in Project Management

Overview of Case Study in Project Management

The following article provides an outline for Case Study in Project Management. A project is a number of cohesive operations put together in an orderly manner which has a lot of in-depth study and design work out everything systematically to achieve the set goals. In simple words, a project helps make something that is unique. A project has to be managed properly in order to be executed properly. The manager and his team, who undertake a project, design a process devoid of all the unnecessary hindrances and can achieve what it needs to in a stipulated time. This procedure is called the life cycle of a project. Project management uses knowledge, skills, tools, and techniques to shape project activities to meet the project’s requirements. It involves the four stages of project management- initiating, planning, executing, and closing a project.

Every field, particularly in the service sector, has become competitive today. Mostly because the service sector is completely project-driven. A recruited employee of any company has to get a project to work on or else stand high chances of losing his/her job. So, project management is very crucial in the corporate world. It is not a skillset as it is understood to be; it is a practice. Project management can be done best through estimation. In short, estimation is nothing but an approximation. It includes estimating the minimum required amount of each input for a project to be timely completed. A project manager must take note of the estimated approximate amount of money, time, effort, resources, and scope required to successfully execute a project based on past data, knowledge, assumptions, and risk involved using the Agile process.

Start Your Free Project Management Course

Project scheduling and management, project management software & others

Agile adoption is the driving force for organizations in this competitive world and in a situation where the most precious resource is time. Alternative methodologies are being devised to reduce the time consumption in a project. These lightweight techniques are a part of an Agile methodology.

Case study for project management is given below:

• An agile adoption study was conducted on a project to make amendments to an obsolete enterprise data warehouse. The team members were working together for the first time on this project.
• The scrum process was used to implement Agile in the project. The data used in this case study has been collected from three sources: recorded, scribed, and analyzed conversations.

Findings – Case Study in Project Management

All the findings ended up with mixed reactions. The main issue among participants was that the scrum process lacked planning. The collaborative and dynamic aspects of the process were praised by one and all.

1. Negative Feedback

• Big Picture and the Lack of Planning: The majority of the participants did not appreciate the big picture absence. Though the project had a case study, there was no proper planning and implementation. Thus, the final deliverable of the project was not being figured out. The scrum process did not have a vision for the project and hence, no strategy for the project. It was assumed that the big picture was already known, and there was no need to define it. The process of the scrum was too detailed, even though the backlog was built. Defining the goals and the big picture was more important than getting into the itemized process directly.
• Lack of Documentation in the Process: As per the participants, the documentation process was neglected in the scrum process, and hence, the process was scattered, and its requirements were not met. Requirements can come up at any point in time due to numerous team collaborations. The team members had to communicate through mail or else verbally to overcome this limitation.

2. Positive Feedback

But a few aspects of the process garnered positive reviews from the participants.

• Team Spirit: In this process, the participants interacted a lot with each other, which helped build team spirit. this process encouraged sharing as a quality.
• Dynamic: The process made the team very dynamic, and all the members and their opinions were heard.

3. Lessons Learned

The amendments that should be made to make the Agile process more effective are:

• The Agile process should be clearly and thoroughly planned.
• Agility should be executed step by step as a direct transition is very risky.
• The big picture should be defined precisely for the strategy to be decided on.
• Continuous improvement of the Agile implementation is needed through feedback.

A process that is suitable for the implementation of the Agile methodology or not is something that should be evaluated beforehand. Various parameters should be considered and acknowledged while conducting this evaluation.

• Cultural Fit: Organisational culture determines the success of the implementation of the Agile process. Agile is not a panacea; organizations with a suitable culture can attain success and desired results to some extent and not completely. If Agile is a mismatch, then it becomes a cultural change and not an adaptation.
• Project Execution Maturity: Is your team on time in delivery? On-time delivery is not just a process but also a culture. Changing the process does not guarantee regular delivery every time one is made. When all the inter-related processes are modified and fledged up, the process pays overall.
• Expectations: Expectations out of the Agile process should be clearly stated as the framework lays down just the principles and not the benefits.
• People: All stakeholders need to be consulted and should be made to participate in the implementation of Agile. this helps in gaining consensus on pertaining issues.
• Distributed Environment: Agile implementation needs a lot of collaborations and implementations, and so, if a team is geographically distributed, then its implementation is difficult. Thus, a distributed environment is challenging for Agile implementation.

Recommended Articles

This is a guide to Case Study in Project Management. Here we discuss the case study and its negative and positive reviews. You can also go through our other suggested articles to learn more –

• Project Scheduling Techniques
• Principles of Project Management
• Scrum Project Management
• Construction Project Management Careers

*Please provide your correct email id. Login details for this Free course will be emailed to you

By signing up, you agree to our Terms of Use and Privacy Policy .

Forgot Password?

This website or its third-party tools use cookies, which are necessary to its functioning and required to achieve the purposes illustrated in the cookie policy. By closing this banner, scrolling this page, clicking a link or continuing to browse otherwise, you agree to our Privacy Policy

Explore 1000+ varieties of Mock tests View more

Submit Next Question

Early-Bird Offer: ENROLL NOW

• Project Management

Chapter 3: The Project Management Process Groups: A Case Study

Related documents.

Add this document to collection(s)

You can add this document to your study collection(s)

Add this document to saved

You can add this document to your saved list

Suggest us how to improve StudyLib

(For complaints, use another form )

Input it if you want to receive answer

• Contact sales

Start free trial

How to Write a Business Case (Template Included)

Table of Contents

What is a business case, business case template, how to write a business case, key elements of a business case, how projectmanager helps with your business case, watch our business case training video.

A business case is a project management document that explains how the benefits of a project overweigh its costs and why it should be executed. Business cases are prepared during the project initiation phase and their purpose is to include all the project’s objectives, costs and benefits to convince stakeholders of its value.

A business case is an important project document to prove to your client, customer or stakeholder that the project proposal you’re pitching is a sound investment. Below, we illustrate the steps to writing one that will sway them.

The need for a business case is that it collects the financial appraisal, proposal, strategy and marketing plan in one document and offers a full look at how the project will benefit the organization. Once your business case is approved by the project stakeholders, you can begin the project planning phase.

Our business case template for Word is the perfect tool to start writing a business case. It has 9 key business case areas you can customize as needed. Download the template for free and follow the steps below to create a great business case for all your projects.

Projects fail without having a solid business case to rest on, as this project document is the base for the project charter and project plan. But if a project business case is not anchored to reality, and doesn’t address a need that aligns with the larger business objectives of the organization, then it is irrelevant.

The research you’ll need to create a strong business case is the why, what, how and who of your project. This must be clearly communicated. The elements of your business case will address the why but in greater detail. Think of the business case as a document that is created during the project initiation phase but will be used as a reference throughout the project life cycle.

Whether you’re starting a new project or mid-way through one, take time to write up a business case to justify the project expenditure by identifying the business benefits your project will deliver and that your stakeholders are most interested in reaping from the work. The following four steps will show you how to write a business case.

Step 1: Identify the Business Problem

Projects aren’t created for projects’ sake. They should always be aligned with business goals . Usually, they’re initiated to solve a specific business problem or create a business opportunity.

You should “Lead with the need.” Your first job is to figure out what that problem or opportunity is, describe it, find out where it comes from and then address the time frame needed to deal with it.

This can be a simple statement but is best articulated with some research into the economic climate and the competitive landscape to justify the timing of the project.

Step 2: Identify the Alternative Solutions

How do you know whether the project you’re undertaking is the best possible solution to the problem defined above? Naturally, prioritizing projects is hard, and the path to success is not paved with unfounded assumptions.

One way to narrow down the focus to make the right solution clear is to follow these six steps (after the relevant research, of course):

• Note the alternative solutions.
• For each solution, quantify its benefits.
• Also, forecast the costs involved in each solution.
• Then figure out its feasibility .
• Discern the risks and issues associated with each solution.
• Finally, document all this in your business case.

Get your free

Use this free Business Case Template for Word to manage your projects better.

Step 3: Recommend a Preferred Solution

You’ll next need to rank the solutions, but before doing that it’s best to set up criteria, maybe have a scoring mechanism such as a decision matrix to help you prioritize the solutions to best choose the right one.

Some methodologies you can apply include:

• Depending on the solution’s cost and benefit , give it a score of 1-10.
• Base your score on what’s important to you.
• Add more complexity to your ranking to cover all bases.

Regardless of your approach, once you’ve added up your numbers, the best solution to your problem will become evident. Again, you’ll want to have this process also documented in your business case.

Step 4: Describe the Implementation Approach

So, you’ve identified your business problem or opportunity and how to reach it, now you have to convince your stakeholders that you’re right and have the best way to implement a process to achieve your goals. That’s why documentation is so important; it offers a practical path to solve the core problem you identified.

Now, it’s not just an exercise to appease senior leadership. Who knows what you might uncover in the research you put into exploring the underlying problem and determining alternative solutions? You might save the organization millions with an alternate solution than the one initially proposed. When you put in the work on a strong business case, you’re able to get your sponsors or organizational leadership on board with you and have a clear vision as to how to ensure the delivery of the business benefits they expect.

One of the key steps to starting a business case is to have a business case checklist. The following is a detailed outline to follow when developing your business case. You can choose which of these elements are the most relevant to your project stakeholders and add them to our business case template. Then once your business case is approved, start managing your projects with a robust project management software such as ProjectManager.

1. Executive Summary

The executive summary is a short version of each section of your business case. It’s used to give stakeholders a quick overview of your project.

2. Project Definition

This section is meant to provide general information about your projects, such as the business objectives that will be achieved and the project plan outline.

3. Vision, Goals and Objectives

First, you have to figure out what you’re trying to do and what is the problem you want to solve. You’ll need to define your project vision, goals and objectives. This will help you shape your project scope and identify project deliverables.

4. Project Scope

The project scope determines all the tasks and deliverables that will be executed in your project to reach your business objectives.

5. Background Information

Here you can provide a context for your project, explaining the problem that it’s meant to solve, and how it aligns with your organization’s vision and strategic plan.

6. Success Criteria and Stakeholder Requirements

Depending on what kind of project you’re working on, the quality requirements will differ, but they are critical to the project’s success. Collect all of them, figure out what determines if you’ve successfully met them and report on the results .

7. Project Plan

It’s time to create the project plan. Figure out the tasks you’ll have to take to get the project done. You can use a work breakdown structure template  to make sure you are through. Once you have all the tasks collected, estimate how long it will take to complete each one.

Project management software makes creating a project plan significantly easier. ProjectManager can upload your work breakdown structure template and all your tasks are populated in our tool. You can organize them according to your production cycle with our kanban board view, or use our Gantt chart view to create a project schedule.

8. Project Budget

Your budget is an estimate of everything in your project plan and what it will cost to complete the project over the scheduled time allotted.

9. Project Schedule

Make a timeline for the project by estimating how long it will take to get each task completed. For a more impactful project schedule , use a tool to make a Gantt chart, and print it out. This will provide that extra flourish of data visualization and skill that Excel sheets lack.

10. Project Governance

Project governance refers to all the project management rules and procedures that apply to your project. For example, it defines the roles and responsibilities of the project team members and the framework for decision-making.

11. Communication Plan

Have milestones for check-ins and status updates, as well as determine how stakeholders will stay aware of the progress over the project life cycle.

12. Progress Reports

Have a plan in place to monitor and track your progress during the project to compare planned to actual progress. There are project tracking tools that can help you monitor progress and performance.

Again, using a project management tool improves your ability to see what’s happening in your project. ProjectManager has tracking tools like dashboards and status reports that give you a high-level view and more detail, respectively. Unlike light-weight apps that make you set up a dashboard, ours is embedded in the tool. Better still, our cloud-based software gives you real-time data for more insightful decision-making. Also, get reports on more than just status updates, but timesheets, workload, portfolio status and much more, all with just one click. Then filter the reports and share them with stakeholders to keep them updated.

13. Financial Appraisal

This is a very important section of your business case because this is where you explain how the financial benefits outweigh the project costs . Compare the financial costs and benefits of your project. You can do this by doing a sensitivity analysis and a cost-benefit analysis.

14. Market Assessment

Research your market, competitors and industry, to find opportunities and threats

15. Competitor Analysis

Identify direct and indirect competitors and do an assessment of their products, strengths, competitive advantages and their business strategy.

16. SWOT Analysis

A SWOT analysis helps you identify your organization’s strengths, weaknesses, opportunities and threats. The strengths and weaknesses are internal, while the opportunities and threats are external.

17. Marketing Strategy

Describe your product, distribution channels, pricing, target customers among other aspects of your marketing plan or strategy.

18. Risk Assessment

There are many risk categories that can impact your project. The first step to mitigating them is to identify and analyze the risks associated with your project activities.

ProjectManager , an award-winning project management software, can collect and assemble all the various data you’ll be collecting, and then easily share it both with your team and project sponsors.

Once you have a spreadsheet with all your tasks listed, you can import it into our software. Then it’s instantly populated into a Gantt chart . Simply set the duration for each of the tasks, add any dependencies, and your project is now spread across a timeline. You can set milestones, but there is so much more you can do.

You have a project plan now, and from the online Gantt chart, you can assign team members to tasks. Then they can comment directly on the tasks they’re working on, adding as many documents and images as needed, fostering a collaborative environment. You can track their progress and change task durations as needed by dragging and dropping the start and end dates.

But that’s only a taste of what ProjectManager offers. We have kanban boards that visualize your workflow and a real-time dashboard that tracks six project metrics for the most accurate view of your project possible.

Try ProjectManager and see for yourself with this 30-day free trial .

If you want more business case advice, take a moment to watch Jennifer Bridges, PMP, in this short training video. She explains the steps you have to take in order to write a good business case.

Here’s a screenshot for your reference.

Transcription:

Today we’re talking about how to write a business case. Well, over the past few years, we’ve seen the market, or maybe organizations, companies or even projects, move away from doing business cases. But, these days, companies, organizations, and those same projects are scrutinizing the investments and they’re really seeking a rate of return.

So now, think of the business case as your opportunity to package your project, your idea, your opportunity, and show what it means and what the benefits are and how other people can benefit.

We want to take a look today to see what’s in the business case and how to write one. I want to be clear that when you look for information on a business case, it’s not a briefcase.

Someone called the other day and they were confused because they were looking for something, and they kept pulling up briefcases. That’s not what we’re talking about today. What we’re talking about are business cases, and they include information about your strategies, about your goals. It is your business proposal. It has your business outline, your business strategy, and even your marketing plan.

Why Do You Need a Business Case?

And so, why is that so important today? Again, companies are seeking not only their project managers but their team members to have a better understanding of business and more of an idea business acumen. So this business case provides the justification for the proposed business change or plan. It outlines the allocation of capital that you may be seeking and the resources required to implement it. Then, it can be an action plan . It may just serve as a unified vision. And then it also provides the decision-makers with different options.

So let’s look more at the steps required to put these business cases together. There are four main steps. One, you want to research your market. Really look at what’s out there, where are the needs, where are the gaps that you can serve? Look at your competition. How are they approaching this, and how can you maybe provide some other alternatives?

You want to compare and finalize different approaches that you can use to go to market. Then you compile that data and you present strategies, your goals and other options to be considered.

And then you literally document it.

So what does the document look like? Well, there are templates out there today. The components vary, but these are the common ones. And then these are what I consider essential. So there’s the executive summary. This is just a summary of your company, what your management team may look like, a summary of your product and service and your market.

The business description gives a little bit more history about your company and the mission statement and really what your company is about and how this product or service fits in.

Then, you outline the details of the product or service that you’re looking to either expand or roll out or implement. You may even include in their patents may be that you have pending or other trademarks.

Then, you want to identify and lay out your marketing strategy. Like, how are you gonna take this to your customers? Are you going to have a brick-and-mortar store? Are you gonna do this online? And, what are your plans to take it to market?

You also want to include detailed information about your competitor analysis. How are they doing things? And, how are you planning on, I guess, beating your competition?

You also want to look at and identify your SWOT. And the SWOT is your strength. What are the strengths that you have in going to market? And where are the weaknesses? Maybe some of your gaps. And further, where are your opportunities and maybe threats that you need to plan for? Then the overview of the operation includes operational information like your production, even human resources, information about the day-to-day operations of your company.

And then, your financial plan includes your profit statement, your profit and loss, any of your financials, any collateral that you may have, and any kind of investments that you may be seeking.

So these are the components of your business case. This is why it’s so important. And if you need a tool that can help you manage and track this process, then sign up for our software now at ProjectManager .

Deliver your projects on time and on budget

Start planning your projects.

Academia.edu no longer supports Internet Explorer.

To browse Academia.edu and the wider internet faster and more securely, please take a few seconds to  upgrade your browser .

Enter the email address you signed up with and we'll email you a reset link.

• We're Hiring!
• Help Center

THE PROJECT MANAGEMENT PROCESS GROUPS: A CASE STUDY

Loading Preview

Sorry, preview is currently unavailable. You can download the paper by clicking the button above.

RELATED TOPICS

•   We're Hiring!
•   Help Center
• Find new research papers in:
• Health Sciences
• Earth Sciences
• Cognitive Science
• Mathematics
• Computer Science
• Academia ©2024

Pardon Our Interruption

As you were browsing something about your browser made us think you were a bot. There are a few reasons this might happen:

• You've disabled JavaScript in your web browser.
• You're a power user moving through this website with super-human speed.
• You've disabled cookies in your web browser.
• A third-party browser plugin, such as Ghostery or NoScript, is preventing JavaScript from running. Additional information is available in this support article .

To regain access, please make sure that cookies and JavaScript are enabled before reloading the page.

Finance arrangements and governance modes toward sustainable infrastructure: the case of urban railway projects in Manila, the Philippines

• Open access
• Published: 03 September 2024
• Volume 5 , article number  235 , ( 2024 )

Cite this article

You have full access to this open access article

• Kei Endo 1 ,
• Jurian Edelenbos 2 &
• Alberto Gianoli 2  

In recent years, the concept of sustainable infrastructure has gained popularity and is widely utilized and promoted by the international development community. However, implementation of sustainable infrastructure remains a challenge due to various enabling and disabling factors particularly related to financial arrangements and governance modes. This paper aims to fill the research gap in this area and investigate the factors that enable implementation of sustainable infrastructure, with a focus on the financial and governance aspects. To do so, the paper uses real urban railway projects in Manila, the Philippines as case studies for comparative analysis. The results suggest that from the finance and governance perspectives, public–private partnerships (PPPs) and official development assistance (ODA) finance are effective tools for implementing sustainable infrastructure, with some conditions, namely a mixture of vertical project management and horizontal process management, and the project environments having a positive effect on the trust building and collaboration among the stakeholders.

Similar content being viewed by others

A New Model of Multilateral Development Bank: a Comparative Study of Road Projects by the AIIB and ADB

A Governance Discourse in China’s Development Finance Assistance in Eastern Africa

Social Risk Management at AIIB – Chinese or International Characteristics?

Avoid common mistakes on your manuscript.

1 Introduction

In recent years, planning and implementation of sustainable infrastructure has gained popularity [ 1 ]. Although there is no agreed definition of sustainable infrastructure amongst practitioners, the term often refers to the three “pillars of sustainability” (economic, environmental, and social sustainability) and operational sustainability [ 2 , 3 , 4 ]. According to Endo et al. [ 5 ], while academic scholars also have a tendency to define the term in a comprehensive manner covering the three “pillars of sustainability”, some focus on only one or some of the sustainability pillars when using the term. Given the lack of clarity in the use and definition of the term, the most descriptive definition of sustainable infrastructure that is currently available may be the one given by the Inter-American Development Bank (IDB): “infrastructure projects that are planned, designed, constructed, operated, and decommissioned in a manner to ensure economic and financial, social, environmental (including climate resilience), and institutional sustainability over the entire life cycle of the project” [ 4 ]. An explanation of each sustainability pillar of sustainable infrastructure is summarized in Table  1 . It should be noted that social sustainability here is defined as a condition of enhanced livelihoods and social well-being of all relevant stakeholders [ 4 ].

Since the adoption of the Sustainable Development Goals (SDGs) by the United Nations General Assembly in 2015, additional attention has been given to sustainable infrastructure. Of note, Target 9.1 of the SDGs sets the development of “quality, reliable, sustainable and resilient infrastructure” as one of the development targets. The concept has become widely used by the international development community particularly in the context of development cooperation. Sustainable infrastructure is especially critical in urbanized environments; the majority of the world’s population lives in cities and peoples’ lives and activities in these cities are sustained by infrastructure [ 6 ]. Demand for sustainable infrastructure and related services in urban areas is particularly pressing in low- and middle-income countries that have megacities with 10 million inhabitants or more [ 7 ].

Although the importance of sustainable infrastructure has been widely acknowledged, implementation remains a challenge. This is due to various enabling and disabling factors, particularly in relation to financial arrangements and governance modes [ 5 , 8 , 9 , 10 ]. Existing research suggests that there are a number of financial arrangements and governance characteristics that lead to the development of sustainable infrastructure, but which depend on a number of factors in the project contexts, such as the management culture of each country, the project sector, and the institution that implements the projects [ 5 , 11 , 12 ]. Additionally, many scholars regard partnerships among stakeholders, such as public, private, civic, and supranational actors, and a good mixture of vertical and horizontal governance structures, as the key factors for sustainable infrastructure, from both the financial and governance perspectives (e.g., [ 5 , 12 , 13 ]). However, empirical insights into the financial and governance conditions needed for sustainable infrastructure, especially in developing countries, are scarce. Moreover, there has been little research on the dynamics of financial arrangements and governance modes applied to infrastructure projects, even though infrastructure projects generally have long life cycles, and the financial arrangements and governance modes may vary over time [ 14 , 15 , 16 ].

Against this background, the current research aims to provide empirical evidence on the impact of longitudinal changes in financial and governance enabling factors on the implementation of sustainable infrastructure projects in developing countries. To do this, the research focuses on public–private partnerships (PPPs) and official development assistance (ODA) finance provided through multilateral/bilateral development banks (MDBs/BDBs), which represent the majority of finance arrangements for infrastructure projects in developing countries [ 5 , 17 , 18 , 19 , 20 , 21 ]. Moreover, PPPs and ODA finance involve various stakeholders including public, private, and supranational actors. By focusing on the interactions between these stakeholders, effective governance characteristics and modes for sustainable infrastructure development can be analyzed.

This research focuses on three urban railway case projects in Manila, the Philippines (a megacity with high demands on infrastructure development), as its case studies. All three of these projects have changed their financial arrangements (i.e., conventional public finance, PPPs, and ODA finance) and the relevant governance modes over time. As a result, the cases allow for an analysis of the types of financial arrangements and relevant governance characteristics that could effectively promote sustainability concepts in infrastructure projects. The research question is therefore set as: What are the impacts of longitudinal changes of financial arrangements and governance characteristics on sustainable infrastructure development over the implementation phases of urban railway projects in Manila, the Philippines?

2 Literature review

2.1 financial and governance factors enabling sustainable infrastructure.

Financial arrangements and governance modes are imperative to the implementation of infrastructure projects. Indeed, the need to address a lack of finance and sound governance when implementing infrastructure development and sustainable development has always been at the center of discussions among the international development community [ 22 , 23 ]. There has been an increase in research on the available financial arrangements that enable sustainable infrastructure delivery. According to the extant research, the financial arrangements can be categorized into three types: conventional public finance, ODA finance, and private finance [ 5 , 20 , 21 ]. Conventional public finance is a traditional financial arrangement for infrastructure development and includes financing by public funds raised via general and environmental budgets from state and local governments [ 24 , 25 ]. Recently scholars have focused on ODA finance and private finance, because conventional public finance alone is not enough to fill the growing demand for infrastructure [ 20 , 24 ]. As for private finance, PPP schemes, which are explained later in this paper, are usually regarded as typical financial arrangements for utilizing private funds, regardless of the country. However, recently some developed countries have applied other innovative forms of private financial arrangements, including green finance (e.g., green bonds), corporate social responsibility (CSR), social impact bonds, and crowd funding [ 5 , 21 , 24 ].

In the academic field, governance is one of the most important topics when it comes to public works projects or public administration studies. Governance is the process of ruling, cooperating, and controlling the relevant stakeholders or the process of balancing public, private, and citizen interests [ 26 , 27 ]. Governance considers a change in the actor constellation during the formulation and implementation of policies and projects, and is described as societal steering and coordination with networks over time [ 28 , 29 , 30 ]. Governance modes are “various forms through which governance can be realized” [ 31 ]. Governance modes are determined by the roles and responsibilities of the public, private, and supranational stakeholders from the dimensions of polity (i.e., stakeholder interaction; system of rules that shapes the actions of social actors) and policy [ 5 , 30 ]. Therefore, governance modes can be defined as forms of polity and policy on the process of ruling, cooperating, and controlling the relevant stakeholders [ 30 , 31 ].

Governance modes in the polity dimension (modes of stakeholder interactions) are categorized into either hierarchical mode—(a top-down mode, which gives “one or a few actors the possibility to reach collectively binding decisions” [ 30 ]—and market mode, where “actors remain free to choose their desired courses of action” when focusing on a system of rules that lead stakeholders’ interactions [ 30 , 32 ]. In addition, there is an in-between mode where the actors interact with each other in a collaborative manner, which is often defined as collaborative governance mode [ 30 , 33 ]. Under the collaborative governance mode, trust among the stakeholders is important to improve the quality of their collaboration, which in turn leads to consensus-oriented outcomes; here, facilitative leadership plays an important role [ 33 , 34 , 35 , 36 ]. Facilitative leadership contributes to stakeholders engaging and collaborating with each other in collective decision-making in a cooperative manner that is based on solid mutual trust, the setting of clear ground rules, and the exploration of mutual gains [ 33 , 37 , 38 , 39 , 40 , 41 ]. On the other hand, governance modes in the policy dimension can be described by the strength of policy/regulation; there is a type of state-led governance with material policy regulation (strong policy/regulation), a private-sector-led governance with procedural policy regulation (weak policy/regulation), and the in-between type [ 30 ].

In recent years, academic scholars have focused on the relationship between the governance modes and their impact on the outcomes of infrastructure projects. For instance, scholars recently emphasized the importance of a collaborative governance in stakeholder interactions and exchange of knowledge among public, private, and community stakeholders for generating strategic policies, political support, and the diversification of funding sources for sustainable infrastructure development [ 24 , 42 ]. Scholars also suggest that relational governance conditions (i.e., collaborative governance conditions), such as trust and conflict management, are critical to achieving successful performance in projects [ 43 , 44 ]. Moreover, they advanced the importance of mixing such relational governance conditions with hierarchical governance, such as the use of sanctions and risk allocation based on contracts, for the successful delivery of infrastructure projects, including sustainable infrastructure projects [ 5 , 11 , 20 , 21 ]. Stakeholder management is also considered an important element in gaining support and legitimacy for infrastructure projects, which raises social sustainability. Verweij (2015) [ 45 ] suggests that the public sector plays a significant role in stakeholder management by coordinating the local stakeholders.

However, most of the current studies on financial and governance-enabling factors for sustainable infrastructure focus on a general context or on developed countries, and few focus on developing countries (see for example, [ 25 , 46 ]. This study therefore aims to provide a first step towards understanding how different financial and governance factors affect infrastructure projects in developing countries in bringing in greater incorporation of sustainability concepts and what are the success factors. The research focuses on PPPs and ODA finance provided through MDBs/BDBs (explained further below), as they are the key financial arrangements in developing countries and involve various stakeholders [ 5 , 17 , 18 , 19 , 20 , 21 ].

2.2 PPPs for sustainable infrastructure

Simply defined, PPPs are long-term cooperation between the public and private sectors for the provision of infrastructure and services. Partners share the roles and responsibilities, risks, costs, and profits [ 5 , 47 , 48 , 49 ]. There are a wide variety of PPP arrangements; however, a well-known distinction is made between the “concession” and “alliance” models [ 43 , 49 , 50 ]. The concession model is “a form of cooperation in which the government sells the long-term exploitation rights (the concession) for a lump sum.” Under this model, the emphasis is generally on business-like interactions among the stakeholders (market governance). In contrast, the alliance model is “a form of cooperation characterized by intense involvement on the part of the government in the different phases of the project” with emphasis more on process management (collaborative governance) [ 43 ]. The concession model of PPPs is divided into several models based on the contract types, as set out in Table  2 . There are, however, additional models depending on the mode of classification [ 14 ].

From a financial perspective, PPPs are considered an effective way for the public sector to reduce financial expenditure, since they mobilize private finance for infrastructure development. In addition, those who advocate for the use of PPPs for sustainability-related objectives also emphasize that PPPs could increase the effectiveness and efficiency of public service delivery due to the collaborative governance characteristics of utilizing private sector knowledge, complementary resources, and management expertise in the form of business-like practices and thinking; this ensures the stability of economic, environmental, and social subsystems [ 12 , 51 , 52 ]. Scholars emphasize the importance of trust to enhance the performance of PPP projects through collaborative governance [ 34 , 35 , 36 , 53 ]. Trust stimulates exchange of information and knowledge among the stakeholders, which could promote the development of new solutions [ 53 , 54 , 55 , 56 ]. In this sense, facilitative leadership is also deemed critical as a tool for promoting trust and collaboration among the stakeholders [ 33 , 34 , 35 , 36 , 37 , 38 , 39 , 40 , 41 ]. In addition, scholars suggest that mixing the governance characteristics of collaborative stakeholder interactions with hierarchical governance, such as the use of sanctions and risk allocation based on contracts, is important for the successful delivery of sustainable infrastructure projects [ 5 , 11 , 12 , 53 ].

According to Pinz et al. [ 12 ], while empirical research is still limited, there is some evidence of the successful use of PPPs for sustainability-related objectives. For example, PPPs could contribute to the improved cost efficiency of public service delivery [ 57 , 58 ], improved ecological sustainability [ 59 ], and stronger social sustainability by fostering accountability in public service delivery and setting procurement criteria that take social perspectives into account [ 46 , 60 ]. However, it should be noted that the general effect of the use of PPPs and their application and implementation of the sustainability concept for infrastructure projects is still controversial [ 12 , 61 ]. This suggests the need to investigate what types of PPP schemes and governance modes, and which other conditions lead to the realization of sustainable infrastructure development.

2.3 ODA (MDB/BDB) finance for sustainable infrastructure

As an important financial arrangement for realizing sustainable infrastructure development, multilateral/bilateral development banks (MDBs/BDBs) provide official development assistance (ODA) or technical assistance and finance sources for infrastructure projects in developing countries with concessional conditions (e.g., low-interest loans, grants, and guarantees) [ 62 , 63 ]. MDBs refers to institutions such as the World Bank (WB) and the Asia Development Bank (ADB), while BDBs refers to institutions such as the French Development Agency (AFD) and KfW Development Bank of Germany. BDBs are generally regarded as within the family of MDBs as they also provide the same types of technical assistance and concessional finance for infrastructure projects. From a finance perspective, ODA finance is critical for developing countries that do not generally have sufficient finance sources to cover the significant amount of capital costs required for infrastructure projects [ 62 ]. Grants or concessional loans significantly contribute to improving the fiscal health of the projects, which leads to greater economic sustainability.

From a governance perspective, ODA finance from MDBs/BDBs plays an important role in sustainable infrastructure development and implementation. First, MDBs/BDBs generally take on a facilitative leadership role in the collaboration process between the MDBs/BDBs, the recipient countries, and other related institutions involved in the sustainable infrastructure projects they finance [ 19 ]. For instance, MDBs/BDBs provide technical assistance for the development of feasibility studies that look out sustainability issues in infrastructure; the provision of finance is then conditional upon the adoption of these studies [ 64 ]. However, it should be emphasized here that collaborations among the stakeholders are vital to develop their agreed priorities in the sustainability pillars (economic, environmental, and social sustainability); the extant research reports a case that MDB’s strong prioritization of economic/financial sustainability in infrastructure projects diminished social sustainability perspectives [ 65 ].

Second, MDBs/BDBs also take a top-down leadership role in setting policies and regulations for sustainable infrastructure, particularly on environmental and social matters. In general, MDBs/BDBs have stricter safeguarding policies on environmental and social issues for their infrastructure projects, which encourages more sustainable infrastructure projects in the recipient countries [ 17 , 63 , 64 ].

3 Methodology

3.1 qualitative comparative analysis.

This research aims to investigate the financial and governance enabling factors in sustainable infrastructure, focusing on projects implemented through PPPs and ODA finance. Additionally, the research focuses primarily on developing countries where PPPs are one of the key finance arrangements for sustainable infrastructure. While PPPs are often studied from a Western, global North perspective, little is known about PPPs and their related finance arrangements and governance modes in the Global South. In addition, ODA finance, which is another key financial arrangement for sustainable infrastructure, is mostly utilized by developing countries.

To investigate the enabling factors, this research conducts a comparative analysis using all three urban railway case projects in Manila, the Philippines, namely: LRT1, LRT2, and MRT3 (described below). The selected case projects were chosen for several reasons: First, due to their complicated operation and maintenance systems, the application and implementation of sustainability concepts in railway sector projects tends to be diverse. This is especially so in relation to social and operational sustainability [ 66 ]. While cities in developing countries often have few railways, Manila has three different railways operated by three different operators, which allowed for comparative analysis. Furthermore, as the selected projects have long histories of preparation, decision-making, and implementation, they are appropriate cases for examining the dynamics of modes of governance and financial arrangements over time.

In order to conduct the case comparisons over time, the projects were first divided into different phases based on their applied financial arrangements and governance modes. We then evaluated and rated indicators of the outcome (i.e., implementation of sustainability concepts) and factors leading to the outcome for the purpose of comparative case analysis. These processes were conducted using information from interviews, extant research, documents published by the railway authorities, the government of the Philippines, and the MDBs and BDBs, and news articles. To examine the outcome and factors leading to the outcome, we collected the following information for each project and phase; (1) financial arrangements, (2) governance modes, and (3) implementation of sustainability concepts. Factors (1) and (2) are factors that lead to the outcome (outcome (3)). Details of indicators for these factors and the outcome are set out in Table  3 . Criteria for their rating are defined in Table  4 . It should be noted that the research analyzed to what extent safe and comfortable facilities and service were provided for users including disabled and disadvantaged people to evaluate social sustainability, based on the extant research [ 4 , 12 ]. The research used narrative information from interviews, documents, and news articles for the analysis (see the Appendix for the information). It is also noteworthy that we proved possible rating options (e.g., ± / + and + / + +) for the outcomes (3) of projects and phases difficult to be evaluated by a sole definitive rating (e.g. + and −).

The research then compared differences and commonalities in the financial arrangements and governance modes, and their outcomes (i.e., implementation of sustainable concepts in infrastructure projects), between the phases and the case projects. By doing so, the research analyzed whether the application of PPPs and ODA finance led to successful implementation of sustainable infrastructure. The research also analyzed and discussed what governance modes and other conditions of PPPs and ODA finance could be effective for sustainable infrastructure development.

The current research utilizes both primary and secondary data to evaluate and rate each indicator. For the primary data, we conducted interviews in November and December 2022, with three government officials related to the urban railway projects, five officials from the railway operators, and five development experts/consultants. Detailed information of the interviews is summarized in Table  5 . To maintain the quality of the research, we selected only interviewees who are/were involved in the case projects and have significant knowledge of the sustainability issues of the projects. We conducted semi-structured interviews to collect a wide range of information relevant to financial and governance enabling factors and their impact on the implementation of sustainability concepts. Secondary data was collected from documents published by the railway authorities, the government of the Philippines, and the MDBs and BDBs. In addition, we utilized information from research papers and news articles (see the Appendix for the documents, papers, and news articles that were analyzed).

The primary and secondary data were analyzed with a focus on the outcome and factors leading to the outcome during each phase and project; we identified which parts of the interview memos, the documents, papers, and news articles provided relevant information on the outcome and the factors 1 and 2, and summarized the information by each phase and project in the Appendix to this paper which also sets out the information sources (the interview number and names of the documents, papers, and news articles). Based on the summarized information, the evaluation and rating of each indicator were determined in accordance with the set criteria.

3.2 Case projects: three urban railway projects in Manila, the Philippines

The research focuses on three case projects, namely LRT1, LRT2, and MRT3, three urban railway projects in Manila, the Philippines. Details of the three railways are outlined in Table  6 , below.

Each of the railways has its own financial arrangements and governance characteristics, which may lead to different outcomes in the application and implementation of sustainable infrastructure. LRT1 is owned by the Light Rail Transit Authority (LRTA), which is a public corporation established in 1980 for the development and operation of LRT projects in Manila. LRT1 was financed with ODA finance and conventional public finance. The railway was operated by METRO (private party) and LRTA itself until 2014, when operation and maintenance (O&M) was transferred through a PPP scheme with O&M concessions (long-term (32 years)) to the Light Rail Manila Corporation (LRMC), a private entity. In contrast, LRT2 has been, and continues to be, owned and operated by a public entity (LRTA), although PPP schemes have been considered. LRT2 was financed through ODA finance and conventional public finance. In contrast to LRT1 and LRT2, MRT3 has operated under a PPP scheme since the beginning of the project; MRT3 utilizes a Build-Lease-Transfer (BLT) model, a type of PPP scheme, with subsidies from the government. Under the BLT scheme, the Metro Rail Transit Cooperation (MRTC) (a private entity) financed and constructed MRT3 and leased it to the Department of Transportation and Communications (DOTC, later reorganized under the Department of Transportation (DOTr)) (a public entity), which has had a mandate to operate and maintain the railway since 2000. Additionally, ODA finance has been utilized for rehabilitation of the railway system since 2017.

4 Results and discussion

4.1 phases of the case projects.

The three case projects can be divided into several phases based on financial arrangements and governance modes, as shown in Table  7 . Details of the longitudinal changes in financial arrangements and governance modes for the case projects are summarized with their supporting references in the Appendix.

LRT1 can be divided into three phases based on the financial arrangements: the development and ramp-up phase (Phase I), the rehabilitation and strengthening phase (Phase II), and the PPPs phase (Phase III). There are clear distinctions between the financial arrangements in each of the phases, which could affect governance modes and the outcome (i.e., the implementation of sustainability concepts). LRT1 was funded through a concessional ODA loan from Belgium (Phase I). From 1994, ODA loans from Belgium and Japan were used to significantly rehabilitate LRT1 in order to improve the quality of operation and service (Phase II). From 2014, LRT1 applied a PPP scheme (Phase III).

LRT2 can be divided into two phases based on the governance modes or role played by LRTA, namely the“LRTA as operator” phase (Phase I) and the “LRTA as operator and grantor” phase (Phase II). While there are clear differences in the governance of the projects, both phases applied the same financial arrangement (ODA finance and conventional public finance). LRTA played its role as operator of LRT1 and LRT2 in Phase I. From 2014 (Phase II), it became operator of LRT2 as well as the grantor (supervisor) of LRT1 due to the application of a PPP scheme to LRT1.

MRT3 can be divided into three phases based on the financial arrangements and/or governance modes: the development and ramp-up phase (Phase I), the degradation phase (Phase II), and the rehabilitation phase (Phase III). There are clear differences in the financial arrangements and/or governance modes of the projects in each of the phases. MRT3 was funded through a PPP-BLT scheme and was operated by a private entity (Phase I). In 2012 (Phase II), the government intervened in the operation of the railway and changed the maintenance company to a private entity, which led to a deterioration of the operation [ 68 ]. In 2017 (Phase III), the government used a new financial arrangement, namely an ODA loan from Japan, to recover the quality of the operation.

4.2 Implementation of sustainability concepts

The outcome or implementation of sustainability concepts throughout the phases of the case projects are summarized in Table  8 . Reasons for the ratings are summarized in Table  9 . Detailed explanations of the implementation of sustainability concepts in the case projects are presented with their supporting references in Appendix.

For LRT1, the railway system had moderate economic and environmental sustainability, while it had relatively high social and operational sustainability during P-I; it generated huge economic impact and contributed to the economic growth of the region especially by reducing travel times and mitigating traffic congestion. However, due to the high capital costs of the project, LRT1 was only able to achieve financial sustainability because of the government subsidies. The results show that the project had a positive impact on the environment particularly in the reduction of CO2 emissions as a result of a modal shift from cars to rail. However, there was a report of negative environmental impacts during the construction phase due to a rushed construction job. While the railway did include designs and facilities that addressed social inclusiveness, such as dedicated seats/vehicles for vulnerable people and escalators and lifts in the stations, not all stations had these. Nonetheless, a number of areas were identified where social considerations could be improved, such as the lack of air conditioners, steps between the vehicles and platform, a lack of braille blocks in the station, and the capacity of the lifts. At the beginning, LRT1 delivered high-quality operations at the same level as developed countries; however, its capacity was limited by the dramatic increase in passenger numbers as well as a decrease in operational vehicles due to poor maintenance and technical glitches, which over time caused frequent overloading, passengers being left off trains, and delays in operations. This also negatively affected the social sustainability aspects of the railway (i.e., safety and comfort levels).

In P-II, LRT1 dramatically contributed to improved environmental sustainability including the reduction of air, water, and waste pollution and traffic noise in the area through the rehabilitation projects. The rehabilitations also had a positive impact on social sustainability (i.e., the improvement of safety and comfort of the railway system and the stations), although some facilities (e.g., escalators and lifts) remained in their original form. Operational sustainability was also strengthened by an increase in the carrying capacity of the railway during the rehabilitation projects, and a return to the previously high-frequency of train operations so as to accommodate the increasing number of passengers. However, due to chronic delays in the procurement process, operational sustainability was gradually reduced once again. Economic sustainability remained at the same level due to unchanged conditions.

During P-III, economic, social, and operational sustainability was raised by the shift to private operation. LRT1 (P-III) generated a more economically positive impact due to an increase in the number of operational rail vehicles. Moreover, LRMC’s (the private operator) operation was financially sustainable although the financial conditions of LRTA (the public owner) were continuously in the red. With regards the social sustainability aspects, the private operator ensured the availability of escalators and lifts in the stations, although there was still room for improvement in the original design of the facilities (e.g., steps between the vehicles and platform and the capacity of the lifts). In addition, LRMC introduced new facilities and systems, such as electronic payment systems for goods in kiosks and public utility charges, bike taxis and buses to and from the stations, mobile applications providing information on the railway system, high-definition security cameras and crowd management, which increased the level of convenience, accessibility, and safety for railway users including disabled and disadvantaged people. These measures had a high social impact by enabling people including disabled and disadvantaged people to use the railway more easily and safely despite the limitations inherent in the original design of the facilities. The involvement of the private operators helped to bring about high-quality, reliable operations and operational sustainability. As a result, LRT1 obtained ISO 9001 (international standards in quality management system) in 2017.

Looking at LRT2, sustainability was high from all perspectives even during P-I, although economic sustainability was moderate due to the same reasons as LRT1 (P-I) (set out above). With regards to the environmental aspects, in addition to a reduction in CO2 emissions brought about by the modal shift, environmental conditions such as air, water, and waste pollution during and after construction were well managed. It is notable that LRT2 (P-I) had high social sustainability due to the designs and facilities that took social sustainability perspectives into consideration, including large railway vehicles, large station decks with braille blocks and no steps up into the vehicles, and large, transparent lifts to accommodate users more safely and comfortably. However, some facilities (e.g., lifts and escalators) tended to be degraded and broke down over time. Thanks to its large railway vehicles, LRT2 (P-I) managed to achieve a high standard of operation with a low load factor and high frequency of service. LRT2 (P-II) maintained high levels of sustainability in all of the pillars examined. In particular, social sustainability increased thanks to continuously available high-capacity lifts and/or escalators and the adoption of a new system originally invented for LRT1 (e.g., the mobile applications). However, it is noteworthy that operational sustainability was slightly reduced, though LRT2 obtained ISO 9001 in 2019. The number of available rail vehicles was lower due to heavy technical glitches mainly caused by the aging machinery, which increased the headway of the railway service over time.

MRT3 (P-I) showed almost the same sustainability outcomes as LRT1 (P-I), for the same reasons. The only marked difference is that MRT 3 (P-I) had higher environmental sustainability as there were no indications of negative environmental impacts during the construction phase. In contrast, MRT3 (P-II) showed negative sustainability outcomes in all aspects except environmental sustainability, especially in social and operational sustainability due to a dramatic deterioration in railway operation. Frequent operational disruptions caused by inappropriate maintenance by the maintenance company, led to social issues such as chronically and extraordinarily long queues and crushes, long waiting times, and breakdowns of lifts and escalators at the stations. At times, this caused dangerous situations for the users, for example, when train doors malfunctioned during operation. The unreliable and poor railway system incentivized users to take other forms of transport rather than using MRT3, which eventually had a negative effect on both the financial situation and the environmental aspects (i.e., re-emission of CO2 and atmospheric pollutants caused by “reverse” modal shifts). Thanks to a major rehabilitation, MRT3 recovered its previous sustainability outcomes in phase III. Moreover, the rehabilitation resulted in stable high-quality railway operations, which raised both social and operational sustainability. MRT3 (P-III) also showed higher environmental sustainability by incorporating anti-pollution measures during the rehabilitation work.

Comparing the three cases, it can be seen that despite the past situations, all had high sustainability outcomes (LRT1 (P-III), LRT2 (P-II), and MRT3 (P-III)) in 2022, when the research was conducted. It is also noteworthy that there were a number of commonalities between the sustainability outcomes of LRT1 and MRT3 during P-I, but the pathways to attaining the current outcomes (as of 2022) differed (i.e., LRT1 (P-II) produced positive outcomes, while MRT3 (P-II) generally produced negative outcomes). Another noticeable feature is that, in contrast to LRT1 and MRT3, LRT2 generally achieved high sustainability outcomes in P-I.

4.3 Financial arrangement

The financial arrangements of the case study projects over the three phases, one of the factors leading to the outcome (implementation of sustainability concepts), are summarized in Table  10 . Details of the financial arrangements applied for each phase and case project are summarized with their supporting references in the Appendix.

LRT1 (P-I), LRT1 (P-II), LRT2 (P-I), and LRT2 (P-II) had the same financial arrangements, namely public finance with ODA finance, including concessional loans and grant studies/technical assistance for the development/rehabilitation projects. LRT 1 (P-I and P-II) utilized ODA loans and grant assistance from Belgium and Japan, while LRT2 (P-I and P-II) utilized those from Japan. LRT1 changed its financial arrangement during P-III, to a PPP (O&M concession) with ODA finance, rather than using public finance. This is because PPPs were regarded by the Benigno Aquino III administration as an important financial arrangement to mobilize much needed investments in infrastructure and deliver better public infrastructure services. For LRT1 (P-III), technical assistance from the International Finance Corporation (IFC) of the World Bank with concessional ODA loans from Japan were utilized as ODA finance.

Both public finance and PPPs (build-lease-finance or BLT) were used throughout the phases of MRT3. PPPs (BLT) are schemes that utilize private funds to cover capital costs; however, under the BLT contract, the government was obliged to continuously use public finance to compensate the private parties for shortfalls in fare revenue during the operational phase. In addition to public finance and PPPs, ODA finance was used during MRT3 (P-III); DOTr rehabilitated the railway system by using ODA loans from Japan and technical assistance from the ADB, the Department of Foreign Affairs and Trade (DFTA) (the Australian government), and the Japan International Cooperation Agency (JICA).

Comparing the three cases, it is noticeable that LRT1 and MRT3 changed their financial arrangements over time, while LRT2 continuously utilized a single financial arrangement. LRT1 and MRT3 similarly utilized PPPs, but the scheme used and its timing differed; the former applied an O&M concession scheme in the latest phase (P-III), while the latter applied a BLT scheme from the beginning (P-I). It should also be noted that both concessional loans and grant study/technical assistance were utilized when the ODA finance was applied in the projects.

4.4 Governance mode

The governance modes for each of the phases of the case projects, one of the factors leading to the outcome (implementation of sustainability concepts), are summarized in Table  11 . The reasons for the ratings on strength of policy/regulation are summarized in Table  12 . Details of the governance mode applied during each phase of the case projects are summarized with their supporting references in the Appendix.

As can be seen in Table  11 , there were some differences throughout the phases of LRT1 with respect to the mode of stakeholder. LRT1 (P-I) had a market mode between the public party and MDB/BDB. In this phase the World Bank conducted studies of the railway systems and the Philippine government chose the design of the railway system taking the advice from the World Bank into consideration; however, the discussions during the studies and the decision on the design were not made collaboratively. In contrast, LRT1 (P-II and P-III) saw a collaborative mode employed by the public party and MDB/BDB. During LRT1 (P-II), JICA conducted studies together with the DOTC/LRTA and provided finance for rehabilitation projects. For LRT1 (P-III), IFC took a facilitative leadership role in support of collaboration among the stakeholders to realize the PPP scheme. This set up created a collaborative governance mode between the public institutions (DOTC/LRTA), the private actors (LRMC), and MDB/BDB (IFC/JICA)). Once the PPP scheme was applied, the private actor implemented the railway operation in line with the O&M concession contract, which is regarded as an intermediate governance mode between collaborative governance and market governance. For LRT2, there was a collaborative governance mode between the public institution and MDB/BDB in both P-I and P-II (i.e., DOTC /DOTr/LRTA collaborated closely with JICA to conduct studies to decide on the appropriate project design and finance).

MRT3 employed a mode that was in between market and collaborative governance during P-I. The public institution and the private entity collaboratively decided on the project design, especially for the PPP BLT scheme, while both parties caried out their respective business duties once the operation commenced. MRT3 (P-II) had a hierarchy governance mode under the top-down leadership of the public institution (i.e., DOTC aimed to reduce government expenditure by replacing the original maintenance company with a cheaper one). MRT3 (P-III) maintained the hierarchy governance mode between the public and private actors, but also employed a collaborative governance mode between the public actor and MDB/BDB. DOTr rescued the deteriorating railway system by working collaboratively with ADB, JICA, and DFTA and using their financial and technical assistance.

When it comes to the strength of policies/regulations, it is noticeable that in all phases of the three cases projects, with the exception of LRT1 (P-I), the fare control policy had a negative effect on economic sustainability. The Philippine government set fares at a low level so that everyone would be able to use the railways; however, this coercive policy negatively affected the financial condition of the railway systems. Looking at the environmental aspects, environmental policies/regulations were present in all phases of the case projects, with the exception of LRT1 (P-I). There are two types of policies/regulations on environmental sustainability: the first are those enacted by the government for all phases of the case projects except LRT1 (P-I), specifically Republic Act No. 9003 (Ecological solid Waste Management Act of 2000) and Republic Act No. 9275 (Philippine Clean Water Act 2004). The second type of policy are those that were introduced by MDB/BDB, namely IFC performance standards for LRT1 (P-III) and JICA’s guidelines for environmental and social considerations for LRT1 (P-II and P-III), LRT2 (P-I and P-II), and MRT3 (P-III). Social sustainability policies and regulations can also be divided into the same two types. Policies enacted by the government include those relating to people with disabilities (BP344) and those regulating train cars for vulnerable groups; these policies applied to all phases of the case projects. The policies/regulations introduced by MDB/BDB include IFC performance standards for LRT1 (P-III) and JICA’s guidelines for environmental and social considerations for LRT1 (P-II and P-III), LRT2 (P-I and P-II), and MRT3 (P-III). Operational sustainability was only regulated for LRT1 (P-III) and LRT2 (P-II). Both introduced their own KPI monitoring systems. LRT1 (P-III) strengthened the KPIs monitoring system by introducing a penalty provision, which was developed by the IFC and the World Bank. The use of the KPI monitoring system was strengthened in LRT2 (P-II), but was nonetheless laxer than LRT1 (P-III).

Comparing the three cases, it is notable that the governance modes of LRT1 and MRT3 changed over time, while the same governance mode was continuously used by LRT2. The same is true for financial arrangements. It should also be noted that both LRT1 and MRT3 had diverse stakeholders from the private entities during P-III, but they had different governance modes—the former had a market/collaborative governance mode between the public and private actors and the latter had a hierarchy governance mode. There were also some similarities in the mode of stakeholder interactions and policies/regulations between LRT1 (P-II), LRT2 (P-I), and LRT2 (P-II), while LRT1 employed a different governance mode in P-III that involved the private actors.

4.5 Financial and governance enabling factors for realizing sustainable infrastructure development, focusing on PPPs and ODA finance

In this sub-section, we analyze the financial and governance enabling factors for realizing sustainable infrastructure development by comparing the differences and commonalities in the finance arrangements, the governance modes, and their outcomes, among the phases and the case projects. In this research, the finance arrangements that we focus on are PPPs and ODA finance. Therefore, in this sub-section, we analyze and discuss whether the application of PPPs and ODA finance resulted in the successful implementation of sustainable infrastructure in the case projects and what governance modes and other conditions could lead to success under PPPs and ODA finance.

4.5.1 Did the application of PPPs lead to successful implementation of sustainable infrastructure? What are the conditions for the success?

First, the case projects provide interesting insights into the effective use of PPPs for realizing sustainable infrastructure. There are two PPP urban railway projects, which had different sustainability outcomes, namely LRT1 (P-III) and MRT3 (P-I, P-II, and P-III). LRT1 (P-III) successfully implemented sustainability concepts by mobilizing private knowledge and creativity. In contrast, MRT3 (P-II) failed to sustain the quality of its operation, which led to a deterioration in economic, environmental, and social sustainability. Interviewees attributed this contrasting outcome to the differences in financial arrangements and PPP schemes (interview No. 1–3). For instance, LRT1 (P-III) applied a PPP O&M concession scheme when “everything was there” or all the infrastructure was developed, rehabilitated, and upgraded using ODA loans. In contrast, MRT3 applied a PPP BLT scheme where the private actors arranged all finance from the beginning of the project. It is thought that this discourse became well-established in the country as we see from the Duterte administration’s promotion of “hybrid PPPs”, where construction is financed by the public sector while operation and maintenance is financed by the private sector [ 69 ]. It is true that “hybrid PPP” schemes (LRT1 (P-III)), where the private actor takes on limited risk, theoretically have a higher probability that the project will be able to proceed without trouble. Yet, the case projects give more insights into the enabling factors beyond financial arrangements. In other words, there are also governance factors enabling and disabling PPPs from implementing sustainable infrastructure.

Comparing the cases of LRT1 (P-III) and MRT3 (P-I and P-II), there are some noticeable differences in terms of governance modes, which could lead to different sustainability outcomes. Both cases were subject to governmental policies/regulations related to environmental and social sustainability issues, which, to a certain extent, contributed to the adoption of environmental and social sustainability concepts in infrastructure projects. However, only LRT1 (P-III) had a strict guideline for environmental and social considerations introduced by the MDB/BDB or the IFC performance standards, while MRT3 (P-I) and (P-II) did not have any. In addition, LRT1 (P-III) had a strict KPI monitoring system with penalties, whereas MRT3 (P-I) and (P-II) did not have such effective systems. Overall, the vertical project management dictated by policies/regulations was utilized for both railways in the adoption of sustainability concepts. That being said, there are clear differences in the strength of the policies/regulations between LRT1 (P-III) and MRT3 (P-I) and (P-II); the former is stronger than the latter, especially in relation to operational matters. It is believed that stronger policies and regulations are one of the factors that lead to more sustainable outcomes.

A number of differences in the modes of stakeholder interactions during LRT1 (P-III), MRT3 (P-I), and MRT3 (P-II) were observed. During LRT1 (P-III), technical and financial assistance was obtained from MDBs/BDBs for the transition to the PPP O&M concession scheme, which resulted in well-balanced risk and finance allocation among the stakeholders. We attribute this success to trust among stakeholders. MDBs/BDBs were involved in LRT1 for a long time to rehabilitate and upgrade the railway system before the PPPs phase (i.e., LRT1 (P-I and P-II)); “small wins” obtained during this collaboration may have reinforced the trust between MDBs/BDBs and the Philippine government who needed to work together, as Ansell & Gash (2008) [ 33 ] suggest. MDBs/BDBs assumed a facilitative leadership role, which is regarded as a critical factor in developing trust and engaging each other in a collaborative spirit to encourage the private actors to become involved in the PPPs (e.g., [ 33 , 37 , 39 , 40 ]).

Trust between the public and private sectors is also important for improving the quality of their collaboration, as the extant research suggests (e.g., [ 34 , 35 , 36 ]). Interviewees suggested that the public and private actors involved in LRT1 (P-III) were able to maintain mutual trust over time (interview No. 1, 2, and 4). Given this trusted relationship, the private actor could be in a position to continuously try out innovative ways to raise the sustainability of the railway system using its own funds, despite a delay in fare adjustments by the government. This is a good example of the theory that trust promotes the creation of new solutions through collaborative interactions among the stakeholders [ 53 , 54 , 55 , 56 ]. Conversely, the public and private actors involved in MRT3 lost trust in each other as a result of several issues and arbitration cases during MRT3 (P-II) (interview No. 1 and 2), which prevented them from returning from a hierarchy governance mode to a collaborative governance mode in MRT3 (P-III). Comparing MRT3 (P-III) with LRT1 (P-III), it is considered that a lack of trust and collaboration between the public and private actors is one of the reasons why MRT3 (P-III) had less sustainability outcomes than LRT1 (P-III), especially in relation to the social aspect.

In addition, we attribute the successful PPPs during LRT1 (P-III) to the environmental surroundings of the project, which provide new insights for scholars. These include a competitive environment, incentives for private actors, and external pressure on the private actors. First, LRT1 (P-III) had a good rivalry relationship with LRT2, which is operated by the public operator (LRTA); MRT3 had no such rivalry (interview No. 1). There is social pressure on the private operator, LRMC, to perform better than the public operator, LRTA (who used to operate LRT1 and have been operating LRT2), in all areas. It is believed that the existence of an easily comparable railway line generates a competitive environment, which in turn puts pressure on the private actor to perform well. Another aspect of the project environment is the incentive for the private actor to continuously try to achieve high performance. There is a common understanding among the public and private stakeholders that LRT2 and MRT3 will also apply a PPP concession scheme in the future (interview No. 1, 2, 4, and 9); this knowledge is considered to be a good incentive for the currently successful private operator of LRT1 (P-III) (LRMC) to maintain its high-performance, including from a sustainability perspective.

Lastly, external business pressure on private operators with regards to sustainability is also important. For LRT1 (P-III), the Metro Pacific Investments Corporation (MPIC), one of the main shareholders of the private operator LRMC, emphasizes sustainability issues as one of the top priorities in its corporate mission statement (interview No. 4). Moreover, the company discloses its environmental, social, and governance (ESG) performance, which acts as a strong driver for the operator to promote sustainability concepts (interview No. 4). It is believed that the recent boom in ESG investment by the international business community has put external pressure on the LRMC to set ESG issues as its top priority.

On the whole, the comparative analysis suggests that there are a number of important conditions for making PPPs work, including the financial arrangements, governance modes, and project environments. First, it is important to apply PPP schemes after developing the railway system by using public and/or ODA finance. This finding supports the concept of “blended finance”, which has recently been promoted by the international practitioner community as “the strategic use of development finance for the mobilization of additional finance towards sustainable development in developing countries” [ 70 ]. Second, a mixture of vertical project management using strong government policies/regulations and MDB/BDB’s policies/regulations, and horizontal process management or collaboration between the stakeholders, especially between the public and private sectors, is critical for realizing sustainable infrastructure through PPPs; this supports the discussions in extant research [ 5 , 11 , 12 ]. Lastly, the analysis implies that particular project environments also contribute to the successful use of PPPs to achieve sustainability outcomes, which provides new insights for scholars.

4.5.2 Did the application of ODA (MDB/BDB) finance lead to successful implementation of sustainable infrastructure? What are the conditions for success?

The three cases show the importance of the involvement of MDBs/BDBs as providers of both finance and technical assistance in order to realize sustainable infrastructure projects. Each of the case study projects utilized ODA concessional loans and technical assistance at some point, and they adopted, recovered, or strengthened sustainability concepts. For instance, LRT1 (P-II and P-III) and MRT3 (P-III) utilized ODA finance for rehabilitation work and/or expansions of the railway systems, and technical assistance and consultation from MDBs/BDBs was obtained at that time; this contributed to the recovery and strengthening of sustainability concepts, especially in relation to environmental and social sustainability. The involvement of MDBs/BDBs had a huge impact and meaning for MRT3 (P-III); due to the prompt and extremely concessional loan from Japan and technical assistance from ADB, Australia, and Japan, the railway system was revived from what had been a deteriorating operation under the PPP scheme. The importance of MDBs/BDBs is also observed in the case of LRT2 (P-I and P-II), where Japan provided ODA loans and technical assistance to the project design. Environmental and social sustainability perspectives were incorporated in the design of the railway system in LRT2 (P-I), and operational sustainability was maintained for decades up to LRT2 (P-II). This is a good example of the role of MDBs/BDBs in promoting sustainability concepts in the projects they finance, which is suggested in the extant research [ 64 ].

The involvement of MDBs/BDBs is also important from a governance perspective. First, from a policy/regulation perspective, MDBs/BDBs generally require strict guidelines for environmental and social considerations as a condition for finance. As the extant research emphasizes, the importance of strict guidelines positively affects the environmental and social sustainability of the projects [ 17 , 63 , 64 ]. Indeed, LRT1 (P-II and P-III), LRT2 (P-I and P-II), and MRT3 (P-III), where MDBs/BDBs were involved, rated “very positive (+ +)” on environmental and social policy/regulations, which might lead to “very high (+ +)” or “high ( +)” sustainability outcomes for these aspects. It is noted that LRT1 (P-I) had not yet had such “very positive (+ +)” or “positive ( +)” policy/regulations though MDBs/BDBs were involved at the time. As a result, the environmental and social sustainability of LRT1 (P-I) may have been lower.

Looking at stakeholder interactions, MDBs/BDBs also play an important role as coordinators or facilitators among the stakeholders to create collaborative governance, as discussed earlier. The stakeholders can work together on project details such as design and finance through close communication led by MDBs/BDBs; this in turn promotes the application of sustainability concepts in the projects, which supports the extant research emphasizing the importance of collaborative governance led by facilitative leadership in infrastructure projects [ 33 , 37 , 38 , 39 , 40 , 41 , 65 ]. Indeed, LRT1 (P-II and P-III) and LRT2 (P-I and P-II), where MDBs/BDBs were involved, had a collaborative governance mode among the stakeholders, which together with relevant policies and regulations, may have led to high sustainability outcomes. In contrast, LRT1 (P-I), which was operated under market governance between the public party and MDBs/BDBs, had less sustainability outcomes due to a lack of collaboration among the parties and relevant policies/regulations. This implies that both vertical project management using strong policies/regulations from the MDBs/BDBs, and horizontal process management or collaboration between MDBs/BDBs and other stakeholders are critical for realizing sustainable infrastructure under ODA finance, as is the case with PPPs [ 5 , 11 , 12 ].

It should be noted that the case study projects also imply the importance of the initial conditions of interaction between the stakeholders, which provides new insights for scholars. A comparison between LRT1 (P-I and P-II) and LRT2 (P-I and P-II) suggests the importance of collaborative governance right from the project planning stage. Collaborative governance was applied in LRT2 right from the planning stage (LRT2 (P-I)), which led to the adoption of sustainable design, especially in the social and operational areas, and resulted in higher sustainability outcomes over phases (P-I) and (P-II). In contrast, LRT1 applied market governance during the planning stage (LRT1 (P-I)) and adopted limited sustainability design. In turn, it was difficult to improve sustainability in the following phase (LRT1 (P-II)) due to the original design of the facilities, despite collaborative governance being applied in LRT1 (P-II).

In general, the cases suggest that the involvement of MDBs/BDBs is important for realizing sustainable infrastructure from a financial and governance perspective, as the extant research suggests [ 17 , 19 , 62 , 63 , 64 ]. However, it should be noted that some factors could make ODA finance work for the successful adoption and implementation of sustainability concepts in infrastructure projects, which is a new insight for scholars. For instance, while LRT2 was financed through ODA loans and was able to realize sustainable infrastructure under the operation of the public entity until LRT2 (P-II), we attribute this success not only to the involvement of MDBs/BDBs but also to the project environment of both rivalry and collaboration between LRT1 and LRT2. The private operator of LRT1 (LRMC) was a good rival for the public operator of LRT2 (LRTA) (interview No. 1), which pushed it to maintain its quality of service during P-II. In addition, there is sometimes a spillover effect from LRT1 to LRT2 in terms of good operation practices beyond the projects (interview No. 1, 2, and 3). For example, the use of KPI monitoring systems and mobile applications for the provision of railway system information. This unique relationship might have been generated by LRTA’s double roles as operator of LRT2 and grantor of LRT1 during LRT2 (P-II). The spillover effect also supports the importance of “blended finance”, which the international practitioner community has recently advocated for [ 70 ].

In addition, it is important that MDBs/BDBs have enough capacity to provide timely and appropriate financial and technical assistance. As we observed in the case of MRT3 (P-III), the quick provision of a significant ODA loan and technical assistance just after a request from the Philippine government, supported the quick revitalization of sustainability of the railway system. This was deemed possible due to the Duterte administration’s “Build-Build-Build” policy, which prioritized the use of ODA finance for infrastructure projects and the timely availability of concessional ODA loans and technical assistance. Therefore, it is important for the government of the recipient country to maintain a close relationship with MDBs/BDBs for them to be able to utilize the ODA in a timely manner. Additionally, MDBs/BDBs should have an attractive aid menu that incentivizes the recipient countries to adopt sustainability concepts, such as the quick provision of assistance, extremely concessional loans for projects including sustainable concepts, and practical technical cooperation on implementing sustainable infrastructure, in their infrastructure development.

5 Conclusion

The current research aimed to investigate the financial and governance enabling factors that brought about sustainable infrastructure development throughout the implementation phases of urban railway projects in Manila. To do so, the research focused on the finance arrangements of PPPs and ODA finance and their relevant governance modes.

The first conclusion of the comparative analysis of the case study projects is that PPPs and ODA finance could contribute to the realization of sustainable infrastructure implementation by filling a gap in financing with funds from the private sector and developed countries. The analysis also suggests that PPPs and ODA finance could play an important role in sustainable infrastructure implementation by utilizing private actors’ know-how and creativity and promoting international standards on sustainability concepts, as advocated in existing research. In addition, from a finance perspective, the research demonstrates the importance of “blended finance” (i.e., finance combining ODA finance with PPPs), which has been recently promoted by the international practitioner community. In particular, the use of PPP O&M concession schemes after all the infrastructure has been developed using ODA finance may be preferable, since the project tends to be able to proceed without trouble under the scheme, where the private actor takes on limited risk.

However, it should be noted that the use of PPPs and ODA finance does not automatically lead to successful sustainable infrastructure implementation without conditions. The case analysis implies that, from a governance perspective, a mixture of vertical project management using strong government and MDB/BDB policies and regulations, and horizontal process management or collaboration between stakeholders is critical for realizing sustainable infrastructure implementation through PPPs and ODA finance. The analysis also suggests that there are other critical factors in the successful use of PPPs and ODA finance for sustainable infrastructure, for example, the types of PPP scheme (e.g., O&M concession and BLT), the timing of the MDBs/BDBs becoming involved, and the project environment, which affects both the trust and collaboration among the stakeholders; the cases suggest the importance of PPP schemes where the financial burdens and risks are well borne by the public parties, the involvement of MDBs/BDBs from the project preparation stage, and incentives for the public and private parties to continuously make an effort to achieve high performance.

The limitations of the research methodology should be noted. First, the information used for the comparative case analysis may be limited and there may be missing information that the research did not cover. However, it is deemed that this limitation was managed to a large extent by using as much available information as possible from various sources, including interviews, documents, research papers, and news articles. In addition, the current research analyzes the outcomes (i.e., implementation of sustainable concepts in infrastructure projects) based on the narrative information, especially for social sustainability. This qualitative rating methodology may lead to slightly different results (ratings) among evaluators. However, the research mitigated this limitation by providing possible rating options (e.g., ± / + and + / + +) for projects and phases difficult to be evaluated by a sole definitive rating (e.g. + and −).

Additionally, the current research focuses on specific finance arrangements (i.e., PPPs and ODA finance) and the relevant governance mode as the enabling factors for sustainable infrastructure implementation. Therefore, future research should cover other finance arrangements and their relevant governance modes. Moreover, other enabling factors for sustainable infrastructure implementation should also be investigated, as the incorporation of sustainable aspects in infrastructure projects must be influenced by various other factors, such as cultural and technical factors. It is also recommended that further research focusing on other cases in different sectors and countries should be carried out. In addition, factors generating a sound project environment for sustainable infrastructure implementation should be investigated. Future research could also include the interrelations between the various sustainability pillars in sustainable infrastructure.

Data availability

All data generated or analyzed during this study are included in this published article and appendix.

De Jong M, Joss S, Schraven D, Zhan C, Weijnen M. Sustainable–smart–resilient–low carbon–eco–knowledge cities; making sense of a multitude of concepts promoting sustainable urbanization. J Clean Prod. 2015;109:25–38.

Article   Google Scholar  

Brundtland GH. Report of the world commission on environment and development: our common future. New York: United Nations General Assembly; 1987.

Google Scholar  

Adshead D, Thacker S, Fuldauer LI, Hall JW. Delivering on the sustainable development goals through long-term infrastructure planning. Glob Environ Chang. 2019;59: 101975.

Inter-American Development Bank (IDB). What is sustainable infrastructure? A framework to guide sustainability across the project cycle. 2018. https://publications.iadb.org/en/what-sustainable-infrastructure-framework-guide-sustainability-across-project-cycle . Accessed 24 July 2024.

Endo K, Edelenbos J, Gianoli A. Sustainable infrastructure: a systematic literature review on finance arrangements and governance modes. Public Works Manag Policy. 2023;28(4):443–75.

Ferrer ALC, Thomé AMT, Scavarda AJ. Sustainable urban infrastructure: a review. Resour Conserv Recycl. 2018;128:360–72.

United Nations, Department of Economic and Social Affairs, Population Division. World urbanization prospects: the 2018 revision (ST/ESA/SER.A/420). United Nations. 2019. https://population.un.org/wup/publications/Files/WUP2018-Report.pdf . Accessed 24 July 2024.

OECD. Sustainable infrastructure policy initiative. Paris: OECD; 2020.

Thounaojam N, Laishram B. Issues in promoting sustainability in mega infrastructure projects: a systematic review. J Environ Planning Manage. 2022;65(8):1349–72.

Thounaojam N, Devkar G, Laishram B. A review of drivers of sustainability in mega infrastructure projects: an institutional approach. 2022. https://ciobwcs.com/2022-papers/ . Accessed 24 July 2024.

Wang H, Edelenbos J, Cheng Z. Combining project and process management in PPP network: relationship between management style and outcome. Aust J Public Adm. 2022;81(2):320–42.

Pinz A, Roudyani N, Thaler J. Public–private partnerships as instruments to achieve sustainability-related objectives: the state of the art and a research agenda. Public Manag Rev. 2018;20(1):1–22.

Wang N, Ma M. Public–private partnership as a tool for sustainable development–what literatures say? Sustain Dev. 2021;29(1):243–58.

Yescombe ER. Public-private partnerships: principles of policy and finance. Amsterdam: Elsevier; 2011.

Lowndes V, Skelcher C. The dynamics of multi-organizational partnerships: an analysis of changing modes of governance. Public administration. 1998;76(2):313–33.

South AJ, Levitt RE, Dewulf GP. Dynamic stakeholder networks and the governance of PPPs. In: Zhang Z, Queiroz C, Walton CM, editors. Advances in public-private partnerships. American Society of Civil Engineers; 2017. p. 499–515.

Chapter   Google Scholar  

Ray R, Kamal R. Can South-South cooperation compete? The development bank of Latin America and the Islamic development bank. Dev Chang. 2019;50(1):191–220.

Studart R, Gallagher K. Guaranteeing sustainable infrastructure. International. Economics. 2018;155:84–91.

Bak C, Bhattacharya A, Edenhofer O, Knopf B. Towards a comprehensive approach to climate policy, sustainable infrastructure, and finance. Economics. 2017. https://doi.org/10.5018/economics-ejournal.ja.2017-33 .

Gajanayake A, Iyer-Raniga U. Infrastructure financing for climate change adaptation in Australia: practitioners’ perspectives. Construct Econ Build. 2022;22(4):1–16.

Moser SC, Ekstrom JA, Kim J, Heitsch S. Adaptation finance archetypes: local governments’ persistent challenges of funding adaptation to climate change and ways to overcome them. Ecol Soc. 2019. https://doi.org/10.5751/ES-10980-240228 .

Spratt S, Lawlor E, Coppens V. Core concepts in blended finance: Assessment of uses and implications for evaluation. OECD Development Co-operation Working Papers, No 90. 2021. https://www.oecd.org/dac/core-concepts-in-blended-finance-711006b7-en.htm . Accessed 24 July 2024.

UNCTAD. 2014. World Investment Report 2014 - Investing in the SDGs: an action plan, United Nations Conference on Trade and Development. OECD Publishing; 2014.

Mell I. ‘But who’s going to pay for it?’ Contemporary approaches to green infrastructure financing, development and governance in London, UK. J Environ Planning Policy Manage. 2021;23(5):628–45.

Owusu-Manu DG, Edwards D, Ghansah FA, Asiedu RO, Tagoe DSN, Birch T. Assessing the policy provisions and institutional behavioral factors influencing rail infrastructure financing in developing countries. J Infrastruct Syst. 2021;27(2):05021004.

Rhodes RAW. Understanding governance: policy networks, governance, reflexivity, and accountability. London: Open University Press; 1997.

Pierre J. Models of urban governance. Urban Affairs Rev. 1999;34(3):372–96.

Kooiman J. Governing as governance. London: Sage; 2003.

Book   Google Scholar  

Jordan A, Schout A. The coordination of the european union: exploring the capacities of networked governance. Oxford: Oxford University Press; 2006.

Treib O, Bähr H, Falkner G. Modes of governance: towards a conceptual clarification. J Eur Publ Policy. 2007;14(1):1–20.

Pahl-Wostl C. The role of governance modes and meta-governance in the transformation towards sustainable water governance. Environ Sci Policy. 2019;91:6–16.

Rosenau JN, Czempiel EO. Governance without government: order and change in world politics (No. 20). Cambridge: Cambridge University Press; 1992.

Ansell C, Gash A. Collaborative governance in theory and practice. J Public Admin Res Theory. 2008;18(4):543–71.

Wang H, Ran B. Network governance and collaborative governance: a thematic analysis on their similarities, differences, and entanglements. Public Manag Rev. 2023;25(6):1187–211.

Lundin M. Explaining cooperation: how resource interdependence, goal congruence, and trust affect joint actions in policy implementation. J Public Admin Res Theory. 2007;17:651–72.

Vangen S, Hayes JP, Cornforth C. Governing cross-sector, interorganizational collaborations. Public Manag Rev. 2015;17(9):1237–60.

Chrislip D, Larson CE. Collaborative leadership: how citizens and civic leaders can make a difference. Hoboken: Jossey-Bass; 1994.

Ozawa CP. Improving citizen participation in environmental decisionmaking: the use of transformative mediator techniques. Eviron Plann C Gov Policy. 1993;11(1):103–17.

Pine B, Warsh R, Maluccio A. Participatory management in a public child welfare agency: a key to effective change. Adm Soc Work. 1998;22(1):19–32.

Reilly T. Collaboration in action: An uncertain process. Adm Soc Work. 2001;25(1):53–73.

Susskind L, Cruikshank J. Breaking the impasse. New York: Basic Books; 1987.

Mell I. Financing the future of green infrastructure planning: Alternatives and opportunities in the UK. Landsc Res. 2018;43(6):751–68.

Edelenbos J, Teisman GR. Public-private partnership: on the edge of project and process management Insights from Dutch practice: the Sijtwende spatial development project. Environ Planning C Gov Policy. 2008;26(3):614–26.

Edelenbos J, Klijn EH. Project versus process management in public-private partnership: relation between management style and outcomes. Int Public Manag J. 2009;12(3):310–31.

Verweij S. Achieving satisfaction when implementing PPP transportation infrastructure projects: a qualitative comparative analysis of the A15 highway DBFM project. Int J Project Manage. 2015;33(1):189–200.

Rohman MA, Doloi H, Heywood CA. Success criteria of toll road projects from a community societal perspective. Built Environ Project Asset Manag. 2017;7(1):32–44.

Endo K, Gianoli A, Edelenbos J. Coming to financial close in PPPs: identifying critical factors in the case of toll road projects in Indonesia. Public Works Manag Policy. 2021;26(2):115–43.

Hodge GA, Greve C. Public-private partnerships: an international performance review. Public Adm Rev. 2007;67:545–58.

Klijn EH, Teisman GR. Institutional and strategic barriers to public-private partnership: an analysis of Dutch cases. Public Money Manag. 2003;23:137–46.

Koppenjan J. The formation of public-private partnerships: lessons from nine transport infrastructure projects in The Netherlands. Public Admin. 2005;83(1):135–57.

Forrer J, Kee JE, Newcomer KE, Boyer E. Public-private partnerships and the public accountability question. Public Adm Rev. 2010;70(3):475–84.

Brinkerhoff DW, Brinkerhoff JM. Public-private partnerships: perspectives on purposes, publicness, and good governance. Pub Admin Dev. 2011;31(1):2–14.

Warsen R, Nederhand J, Klijn EH, Grotenbreg S, Koppenjan J. What makes public-private partnerships work? Survey research into the outcomes and the quality of cooperation in PPPs. Public Manag Rev. 2018;20(8):1165–85.

Nooteboom B. Trust: forms, foundations, functions, failures and figures. Cheltenham: Edward Elgar; 2002.

Schön DA, Rein M. Frame reflection: toward the tesolution of intractable policy controversies. New York: Basic Books; 1994.

Hajer M, H. Wagenaar deliberative policy analysis: understanding governance in the network society. Cambridge: Cambridge University Press; 2003.

Pérez-López G, Prior D, Zafra-Gómez JL. Rethinking new public management delivery forms and efficiency: long-term effects in spanish local government. J Pub Admin Res Theory. 2015;25(4):1157–83.

Teicher J, Alam Q, Gramberg BV. Managing trust and relationships in PPPs: some Australian experiences. Int Rev Adm Sci. 2006;72(1):85–100.

Pavlovich K, Akoorie M. Innovation, sustainability and regional development: the Nelson/Marlborough Seafood Cluster, New Zealand. Bus Strateg Environ. 2010;19(6):377–86.

Willems T. Democratic accountability in public–private partnerships: the curious case of Flemish school infrastructure. Public Admin. 2014;92(2):340–58.

Liu J, Love PE, Smith J, Sing CP. Testing a PPP performance evaluation framework. In: Mair RJ, Soga K, Jin Y, Parlikad AK, Schooling JM, editors. Transforming the future of infrastructure through smarter information: Proceedings of the International Conference on Smart Infrastructure and Construction. London: ICE Publishing; 2016. p. 681–6.

Kharas H. Global development cooperation in a COVID-19 world. J Infrastruct Pol Dev. 2021;5(1):1245.

Bhattacharya A, Kharas H, Plant M, Prizzon A. The new global agenda and the future of the multilateral development bank system. 2018. https://www.brookings.edu/wp-content/uploads/2018/02/epg_paper_on_future_of_mdb_system_jan301.pdf . Accessed 24 July 2024.

Bradlow DD. Southern African governments, multilateral development banks, non-state actors, and sustainable infrastructure: Managing changing relationships. South Afr J Int Affairs. 2015;22(3):289–305.

Egan M, Agyemang G. Progress towards sustainable urban water management in Ghana. Sustain Account Manag Policy J. 2019;10(2):235–59.

Miranda S, Tavares P, Queiró R. Perceived service quality and customer satisfaction: a fuzzy set QCA approach in the railway sector. J Bus Res. 2018;89:371–7.

Engel EM, Fischer RD, Galetovic A. The economics of infrastructure finance: public-private partnerships versus public provision. Eur Invest Bank Papers. 2010;15(1):40–69.

JICA Transportation Knowledge. Connect the world with railway: current situation and prospects of overseas project (in Japanese). Tokyo: Nikkan Kensetsu Kogyo Shimbunsha; 2021

Ito S. A study on dutertenomics: drastic policy shift in PPP infrastructure development in the Philippines. Research Center for PPP, Toyo University. 2019. https://toyo.repo.nii.ac.jp/records/10810 . Accessed 24 July 2024.

OECD. Making blended finance work for the sustainable development goals. Paris: OECD Publishing; 2018.

Download references

Disclaimers

The views expressed in this text are those of the authors only and do not purport to reflect the opinions, views or the official positions of any organizations.

This work was supported by the JICA Ogata Sadako Research Institute for Peace and Development.

Author information

Authors and affiliations.

JICA Ogata Sadako Research Institute for Peace and Development JP, Tokyo, Japan

Erasmus University Rotterdam NL, Rotterdam, Netherlands

Jurian Edelenbos & Alberto Gianoli

You can also search for this author in PubMed   Google Scholar

Contributions

Conceptualization and methodology: All authors; Data collection and analysis: K.E.; Writing—original draft preparation: K.E.; Writing—review and editing: J.E. and A.G.; Supervision: J.E. and A.G.

Corresponding author

Correspondence to Kei Endo .

Ethics declarations

Ethics approval and consent to participate.

Ethics approval was exempted according to the Research Ethics Guidelines of JICA Ogata Sadako Research Institute ((DI) No.202203310015 dated March 31, 2022). The guidelines do not require the ethics approval of the research applying the interviews regarding institutional settings and activities (not regarding the participants themselves), which was applied to this research. Verbal informed consent to participate in this study was obtained prior to the interview.

Competing interests

The authors declare no competing interests.

Additional information

Publisher's note.

Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.

Supplementary Information

Supplementary material 1 (pdf 617 kb), rights and permissions.

Open Access This article is licensed under a Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International License, which permits any non-commercial use, sharing, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if you modified the licensed material. You do not have permission under this licence to share adapted material derived from this article or parts of it. The images or other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by-nc-nd/4.0/ .

Reprints and permissions

About this article

Endo, K., Edelenbos, J. & Gianoli, A. Finance arrangements and governance modes toward sustainable infrastructure: the case of urban railway projects in Manila, the Philippines. Discov Sustain 5 , 235 (2024). https://doi.org/10.1007/s43621-024-00405-0

Download citation

Received : 27 September 2023

Accepted : 09 August 2024

Published : 03 September 2024

DOI : https://doi.org/10.1007/s43621-024-00405-0

Share this article

Anyone you share the following link with will be able to read this content:

Sorry, a shareable link is not currently available for this article.

Provided by the Springer Nature SharedIt content-sharing initiative

• Find a journal
• Publish with us
• Track your research

Thank you for visiting nature.com. You are using a browser version with limited support for CSS. To obtain the best experience, we recommend you use a more up to date browser (or turn off compatibility mode in Internet Explorer). In the meantime, to ensure continued support, we are displaying the site without styles and JavaScript.

• View all journals
• Explore content
• About the journal
• Publish with us
• Sign up for alerts
• Open access
• Published: 06 September 2024

Construction simulation and scheme optimisation of complex underground cavities

• Yu-han Ran 1 ,
• Hai-bo Li 1 , 2 ,
• Shun-tong Xu 1 ,
• Zhi-chao Yu 3 &
• Xing-guo Yang 1 , 2  

Scientific Reports volume  14 , Article number:  20879 ( 2024 ) Cite this article

Metrics details

• Civil engineering
• Energy infrastructure

Underground cavities have complex spatial structures and geological settings, their arrangement is dense and crisscrossed. The construction system involves multiple work surfaces, levels, and processes. The close integration of construction simulation with actual production conditions is crucial for enhancing the guidance that simulation results provide for practical engineering. Therefore, from the perspective of optimizing construction organization and management, this article comprehensively considers various factors in the construction process, innovatively introduces the principle of production line balance and the concept of rule cycle, and combines technology and management, an underground cavities construction simulation system (UCCSS) is developed. In UCCSS, a hierarchical model is built and calculation are performed on models with different construction methods by modifying the parameters as per the actual engineering characteristics. The simulation results are comprehensively analysed to determine the optimal construction programme. An application case is proposed based on the construction organisation design of the long and parallel diversion tunnels at the CB Hydropower Station. The results show that the system has good practicality and credibility and can provide guidance for the construction organisation design of underground cavities with various features.

Introduction

The construction of underground cavities in hydraulic and hydropower projects is extremely complex because the arrangement of underground cavities in such projects is dense and crisscrossed (Fig.  1 ). Accordingly, the construction system involves multiple work surfaces, levels, and processes. Further, the construction procedure is affected by many factors, such as the geological settings of the project, construction technology level, corresponding mechanical equipment configuration, traffic conditions, spatial structure of the cavities, support forms, and construction quality, these factors are often random and changeable. Therefore, accurately estimating and evaluating the construction organisation design by using only traditional methods is difficult. However, the construction of underground cavities is both repetitive and linear 1 . Therefore, on a theoretical level, conducting simulations is expected to be an effective tool for planning projects 2 .

Three-dimensional representation of the underground cavities.

Owing to recent developments in computer technology, many international researchers have conducted numerous studies on construction simulation technology. The cycle operation network was first proposed by Halpin 3 , who combined queuing theory with grid technology to simulate the construction process with cyclic characteristics. Accordingly, many influential software programmes were developed, such as INSIGHT 4 , RESQUE 5 , UM-CYCLONE 6 , Micro-CYCLONE 7 , COOPS 8 DISCO 9 , STROBOSCOPE  10 , Simphony 11 , Vitascope 12 , S3 13 , COSYE 14 , and hybrid SD-DES 15 . However, these programmes are mostly used for high-rise buildings, road construction, and pipeline engineering, whose engineering characteristics are significantly different from those of hydropower station underground cavities. Therefore, a more suitable construction simulation software or systems must be developed by considering the construction characteristics of hydropower station underground cavities.

Zhong et al. 16 first used simulation technology to analyze the construction process of underground cavities, and used the cycle operation network simulation model to describe the construction process, which laid a theoretical foundation for tunnel construction simulation. Some scholars have proposed a simulation method for underground cavity construction that is more in line with engineering practive by considering different construction effects and detailed simulation of construction procedures. Liu et al. 17 considered the uncertain geologic conditions and risks and presented an adaptive cyclic operation network simulation (CYCLONE) simulation technique to predict the schedule of TBM. A.Shahim et al. 18 considered the uncertainty of tunnel construction caused by cold weather. The unit activities sensitive to climate in tunnel construction were identified and quantified, and then the simulation model tunnel construction in cold weather was established. Zhong et al. 19 proposed a robustness analysis method that involves underground powerhouse construction simulation based on the Markov Chain Monte Carlo (MCMC) method. The robustness of underground powerhouse construction was quantified, and the time buffer was introduced. The application of this methodology not only considered duration but also robustness, which effectively reduced the interference of construction uncertainty. Yu et al. 2 defined optimal probability distribution for construction activities with BestFit technology, so as to realize fine and effective analysis of ordinary risk factors at the operation level of tunnel construction. And Bayesian network is embedded into simulation program to quantitatively analyze the occurrence probalitity of potential risk events. Finally, a tunnel construction simulation model considering the impact of risks was established. Sharafat et al.  20 presented a novel risk analysis methodology based on a generic bow-tie method for systematic assessment and management of risks associated with tunnel boring machine in difficult ground conditions.

On the basis of improving the accuracy of underground cavities simulation, some studied have combined visualization technology to realize the intuitive expression and visual analysis of simulation results. Zhong et al. 21 developed a two-dimensional progress display system, combining a visualisation technology with a construction simulation technology for the first time, and then developed a three-dimensional visualisation underground cavities construction simulation system based on OpenGL, which displayed the results more vividly. Wang et al. 22 carried out parametric modelling of diversion tunnel through CATIA, which provided a visual simulation of the rapid establishment and modification of the tunnel model. Sharafat et al. 23 proposed a BIM-based multi-model tunnel information modeling (TIM) framework to visualize, manage, and simulate the drill-and-blast tunnel construction process. Moreover, new technologies such as 3D visualization modeling and artificial intelligence (AI) technology have been introduced into construction simulation. These new technologies can not only achieve visualization but also optimize construction project scheduling by considering various factors, analyze historical project data and real-time information to identify potential risks on construction and provide real-time progress tracking by analyzing data from various sources 24 , 25 .

At present, the reaserch theory and implementation of construction simulation for underground cavities have been very perfect, and visualization expression has also been achieved. Most of the above studies are devoted to obtaining more accurate simulation results by considering the influence of construction unfavorable factors on simulation and studying the optimization of simulation parameters. It fails in the perspective of innovating the concept of underground cavern construction organization and management to realize the organic combination of technology and management. It needs to be closely combined with the actual production situation, so as to improve the guiding significance of the simulation results to the actual project. Therefore, this study innovatively introduces the principle of production line balance and the concept of rule cycle, and develops a simulation system that is more suitable for the actual construction organization mode. In the system, a hierarchical model is established to meet the characteristics of complex spatial structure and crisscross of underground cavities. The system includes a variety of excavation and lining method models. Through the modification of construction equipment parameters, construction traffic parameters and engineering parameters, the simulation of different projects is completed. Finally, based on the analysis of the calculation data of construction progress, equipment resources, construction strength and traffic flow, the optimal construction scheme is established. The system was successfully applied in the construction programme design of the CB diversion tunnels.

In order to make the construction simulation of underground cavities more closely combined with the engineering practice, the simulation model can accurately and objectively reflect the actul. The principle of production line balance and rule cycle concept is proposed.

An average distribution of operations is called production line balance. The construction of underground cavities is regarded as a complex production line, and the cavities are divided into multiple unit operations through construction task allocation, such as a diversion tunnel being divided into several sections and an underground powerhouse being divided into several floors. These unit tasks can be appropriately combined into task groups, and each task group is assigned different equipment and construction procedures due to the use of different construction methods. Furthermore, when assigning tasks, efforts should be made to evenly distribute the workload among various equipment or processes. If the allocation of work is uneven, it will result in idle time for equipment or operations.

The rule cycle concept is to consider the objective fact that the natural conditions such as engineering geology and hydrogeology with a certain range of the underground cavities changed little, and the excavation or lining section is also unchanged. The same construction cycle is used to constructed, which not only conforms to the actual construction, but also improves the efficiency of simulation.

Solving process

Simulation systems are generally classified as continuous or discrete systems. The state of a continuous system changes with time, whereas that of a discrete system changes with jumps in finite time. A discrete system is more suitable for simulating underground cavities compared to a contiuous system 26 . The basic concept of discrete system is to use simulation clocks to reflect the running trajectory of simulation time, so the underground cavities construction simulation system (UCCSS) is equipped with both a global and local simulation clock, and its dynamic simulation process is shown in Fig.  2 .

Dynamic simulation flow chart of UCCSS.

The global simulation clock is used to record the simulation trajectory of the overall simulation system, throughout which the time-step method is adopted. The time-step method is called the fixed-time incremental propulsion method, which uses \(\Delta \text{T}\) as an increment to check whether any construction events occurred. If so, the event is considered to occur at the termination of the time increment, and the system state is changed accordingly. Otherwise, the system state is not changed. When a construction event is detected, the global simulation clock retained its current state and the control power is transferred to the local simulation clock. The time-step method is also adopted throughout the local simulation clock, and the local simulation clock is used to record the simulation trajectory of the construction process. Starting time from 0 clock, the local simulation clock is advanced for \(\Delta \text{t}\) to detect whether a construction process occurred and the usage of various resources is tracked. These steps are repeated until the event is completed, then, the control power is returned to the global simulation clock, which advanced the global simulation clock until the project is completed. Subsequently, the simulation results are analysed to obtain the final results. And the construction schedule, construction intensity and resource sets etc. are output.

When the time step method is used to simulate the system, the selection of time step is a very important issue. The smaller the selected time step is, the more refined simulation results will be. However, it will increase the number of state checking and judgment in the simulation process, thereby increasing the simulation running time. On the contrary, when the time step is too large, although it can reduce the running time, it is easy to lose some information of the system behavior and lead to the distortion of the simulation state. The global simulation clock is mainly used to determine the occurrence of construction events. In actual engineering, the working time of workers is usually measured in days. Therefore, the global simulation clock selects days as the step, which not only meets the working rules of humans, but also meets the accuracy of simulation. And the use of local simulation clock is mainly oriented to all aspects of specific construction, such as cavities excavation, slag discharge, lining and other activities. Usually, similar activities are measured in hours. Therefore, taking hours as a step can not only meet the requirements of simulation accuracy, but also meet the requirements of simulation running time.

The simulation is ensured to be in line with the actual construction organisation mode regarding the entire process of underground cavities construction. There are four hierarchical structure models, namely, unit project, units project, division project, and sub-project. The hierarchical structure model construction process for the simulation system is illustrated in Fig.  3 . First, we set the system processing time and build a new project or open an existing project. Next, the unit hierarchical structure is built, and the construction parameters, equipment parameters, traffic parameters, etc. are set. After the appropriate settings were determined, a simulation calculation is performed, and then, the simulation results are viewed. If the simulation results are unsatisfactory, the corresponding parameters are reset.

UCCSS flow chart.

Drilling-blasting excavation model

The drilling-blasting excavation model is adopted for full-section excavation, guide hole method excavation, and guide hole sidewall expansion excavation. The primary construction procedures include drilling, charging, blasting, ventilation, slag transportation, and support. The main parameters of the drill-blasting simulation model are cyclic footage, drilling time, slag transportation time, shotcrete time, daily cycle number, construction period, and cycle volume. These parameters are described as follows.

(1) Cyclic footage

Owing to the role of the rock support, the cyclic footage is generally less than the drilling depth. Because of the different blasting efficiencies, the cyclic footage is not the same as the same drilling depth.

Equation ( 1 ) defines the objective function of cyclic footage, where \({L}_{xh}(n)\) is the footage of the n th cycle, \(h\) is the drilling depth, and \({K}_{bs}(n)\) is the blasting efficiency of the nth cycle.

(2) Drilling time

There is no perfect formula for the theoretical calculation of drilling time, accordingly, it is determined mainly based on previous engineering experience.

Here, \({t}_{zk}\) is the drilling time, \(N\) is the number of designed blast holes, \({V}_{zj}\) is the speed of the drilling, \({n}_{1}\) , \({n}_{2}\) , and \(h\) are the number of drilling rigs configured for a single working face, number of drilling arms of the configured drilling rigs, and drilling depth,respectively, and \(\gamma\) is the average value of the working coefficients for multiple drilling rigs.

(3) Slag transportation time

Owing to the high concentration of dust in the cavity during slag transportation, no other operations are performed during slag removal. During the excavation of cavities, the slag output per cycle is calculated as follows:

Here, \(Z\) is the amount of slag transported in a single cycle, \(\alpha\) is the expansion coefficient of the excavation, \(\beta\) is the over- and under-excavation coefficient, \(S\) is the cavity design excavation area, and, \(d\) is the blasting cyclic footage.

The loading time of the loader is \({t}_{z}\) .

Here, \({V}_{z}\) is the productivity of the loader and \(a\) is the number of loaders.

The slag transportation time, \({t}_{y}\) , for a single dump truck is calculated using the following formula:

Here, \({L}_{1}\) and \({L}_{2}\) are the transport distances inside and outside the cavities, respectively, and \({V}_{1}\) and \({V}_{2}\) are the vehicle speeds inside and outside the cavities, respectively.

The slag transportation time, \({t}_{c}\) , for a single dump truck is calculated using the following formula:

(4) Anchoring and safe handling time.

As this process part can be constructed in parallel with other operations, the temporary support time, \({t}_{zh}\) , to ensure construction safety can be considered as the occupied linear time.

(5) Shotcrete time.

Because no other operations can be carried out during the shotcrete, it is considered an occupied linear time.

Here, \(H\) is the thickness of the shotcrete, \(L\) is the contour line after cavities excavation, \({d}_{s}\) is the upper blasting cyclic footage, \(N\) is the number of sets of shotcrete machines, \({V}_{ph}\) is the effective spraying quantity per hour of a single set of shotcrete machines, and \(\zeta\) is the average value of the working coefficient of the shotcrete machine, for \(N\) =1, \(\zeta\) =1; for \(N\) >1, \(\zeta\) <1.

(6) The single-cycle operating time, \({t}_{xh},\) is calculated using the following formula:

where \({t}_{a}\) is the time of safety inspection and treatment, \({t}_{tf}\) is the ventilation and smoke dispersion time, and \({t}_{fx}\) is the time required to measure the unreeling and hole siting.

(7) Daily cycles

When \({t}_{xh}\le {t}_{r}\) , the rule cycle criterion is used, and the single-day multiple cycles are denoted as n.

When \({t}_{xh}\) > \({t}_{r}\) , a multi-day cycle is used, and the multi-day cycles are denoted as n.

where \({t}_{r}\) is the effective daily working hours.

(8) Circulation engineering quantity.

When \({H}_{cqs}\) ≥ 0 ,

When \({H}_{cqs}\) < 0 ,

In Eqs. ( 11 ), ( 12 ) and ( 13 ) \({H}_{cqs}\) is the over- and under-excavation depth, \({V}_{cw}\) is the over-excavation quantity, \({V}_{qw}\) is the under-excavation quantity, and \(V\) is the unit project excavation quantity.

(9) Unit project construction time

In Eqs. ( 14 ) and ( 15 ), \({d}_{zx}\) is the construction period of the unit project, \({d}_{w}\left(n\right)\) is the last cycle completion time, \({d}_{s}(1)\) is the first cycle start time, \({d}_{y}\) is the entire duration of the unit project, \({d}_{q}\) is the unit project pre-processing time, and \({d}_{h}\) is the unit project post-processing time.

Layered excavation model

The layered excavation model is adopted for the second and lower layers of the layered excavation of a large section. Its construction workflow differs from that of the drilling-blasting excavation method, where, the operation of upper circulation slagging and lower circulation drilling, as well as that of anchoring and lower circulation drilling and slagging are parallel.

(1) Workflow of the layered excavation cycle.

The main processes of the construction procedures are drilling, charging, upper cycle slag transportation, upper cycle anchoring, safety evacuation, blasting, ventilation, safety inspection, slag transportation in this cycle, and lower cycle drilling and loading.

(2) Layered excavation cyclic footage.

The layered excavation method is adopted for the cavern with upper air faces, which is performed by vertical drilling with a down-hole drill, where the cyclic footage is the same as the drilling range.

(3) Layered excavation method cycle operation time.

It includes measuring the unreeling and hole-siting times, drilling time, safety inspection and processing time, slag transportation time, and smoke dispersion time. Its calculation method and shotcrete time are the same as those of the drilling-blasting excavation model. Because the upper circulation of the slag-out procedure is performed simultaneously with the lower circulation drilling, the cycle of operation time, \({t}_{xh}(n)\) , is calculated as follows.

When \(n=1\) ,

When 2  ≤  \(n\) ≤ \(N\) ,

If \({t}_{a}\left(n\right)+{t}_{zk}\left(n\right)\) < \({t}_{c}\left(n-1\right)\) , the upper circulation of the slag-out cannot be completed in the next drilling cycle.

(4) Quantity of layered excavation cycles

Because of the pre-split in the layered excavation, it is not necessary to consider the amount of over- and under-excavations.

Here, \(d\) denotes the cyclic footage, \(H\) is the step height, and \(B\) is the excavation width.

Steel trolley lining model

The steel trolley lining method is widely used in cavern engineering considering the lining sequence and different lining parts, which are divided into full section, top arch, side top arch linings, and other forms. The characteristics of this method are as follows: The lining process adopts a sequential operation, and the lining length of each cycle is the same, except for the last cycle. Its cycle operation processes include wall cleaning, keyways, measurement and placement, steel reinforcement installation, formwork placement, inspection, concrete injection, concrete maintenance, and demolding.

(1) Number of cycles per project unit

Here, L is the length of the unit project lining and L t is the length of the template.

(2) Cycle operation time

The steel trolley cycle operation time mainly includes the unreeling time, steel reinforcement installation time, formwork placement time, inspection time, concrete warehousing time, concrete maintenance time, and demolding time.

The measuring unreeling time, \({t}_{fx}\) , is generally based on an empirical input.

Steel reinforcement installation time is expressed as follows:

Here, \(G\) is the amount of reinforcing steel installed, calculated from the reinforcement ratio, \(p\) is the efficiency of the single-group steel placement, and \({N}_{gj}\) is the number of steel placement groups.

The formwork placement and inspection time, \({t}_{mb}\) , is determined based on experience.

According to construction experience, the concrete warehousing time is generally greater than the concrete loading time. Therefore, the optimal number of vehicle configurations for concrete transportation primarily depends on the transport path length, pump truck speed, and concrete warehousing time. When the last concrete pump truck arrives to the warehouse, the round trip is completed by the first concrete pump truck. The optimal number of pump truck configurations, \({N}_{bc}\) , is determined as follows:

In Eqs. ( 21 ), ( 22 ), and ( 23 ), \({t}_{x}\) is the transport time for a pump truck to complete a round trip, \({t}_{rc}\) is the concrete warehousing time, \({t}_{z}\) is the pump truck concrete loading time, \(L\) is the length of the transport path travelled by the pump truck, \({v}_{b}\) is the transport speed of the pump truck, \(V\) is the amount of concrete loaded into the pump truck, and \(\eta\) is the efficiency of the pump truck in the bin.

Concrete warehousing is considered continuous, accordingly, the total concrete warehousing time, t zr , is expressed as follows:

In Eqs. ( 24 ) and ( 25 ) , \({V}_{z}\) is the amount of concrete required for concrete entry and \(n\) is the number of times the pump truck is loaded.

In the same unit project, the concrete maintenance and demolding time, \({t}_{yh}\) , is kept constant based on engineering experience.

The cycle operation time is.

(3) The cycle time, cycle quantity, and construction period calculation methods are similar to those of the drilling-blasting excavation model, thus, these are not further described.

Sliding block lining model

The sliding block lining model is suitable for lining the bottom board of the cavern and another continuous lining. The sliding distance per hour is often used to describe the lining speed, therefore, a discrete simulation is conducted with a cycle of one hour. In the actual construction process, the lining speed is limited by the concrete supply, and the effective daily working time is set according to the overall rule cycle concept.

Here, \({S}_{z}\) is the total lining length of the unit project and \(L\) is the length of one lining cycle.

(2) Daily lining footage and concrete supply strength assessment

In Eqs. ( 28 ) and ( 29 ), \({S}_{c}\) denotes the lined concrete sectional area, \({L}_{d}\) denotes the daily lining footage, \({t}_{r}\) denotes the daily effective working time, and \({V}_{c}\) denotes the daily lining squared volume.

Concrete pump trucks and belt conveyors are used for the transportation of the sliding block lining to the workbench. When a concrete pump truck is used, the transport time is limited by the concrete condensation time and supply strength. A belt conveyor is used to satisfy the concrete supply strength requirements.

Construction transportation model

Construction traffic characteristics.

The construction traffic at underground cavities has the following characteristics:

(1) Paths are specific. Compared with urban and highway transportation, underground cavities construction transportation has unique characteristics. For a specific construction section, regardless of the number of transportation paths available, only one optimal path is selected for the material transportation path layout, which is generally composed of an open-line road outside the cavern, construction adit, and cross passage. Its road characteristics, such as slope and length, are obvious, which is conducive to a reasonable designation of vehicle speed.

(2) The vehicle type and load capacity are explicit. In general, the construction transportation at underground cavities can be carried out using various ways, such as belt conveyors, track transportation, and trackless transportation. Trackless transportation slag dump tracks are categorised into different models, such as 10t, 15t, 20t, and 25t, concrete pump trucks are categorised into different models, such as 3 m 3 and 6 m 3 , and rail transportation is classified into different models of mine trucks or railroad pump trucks. Underground cavities involve the construction of multiple work surfaces. However, for a specific construction section, to facilitate construction organisation management and maintenance, the same type of vehicle transportation is usually chosen, such that the load capacity is explicit.

(3) The starting points and destinations of transport are explicit. During the excavation of underground cavities, slag materials can be transported to sand-processing factories, waste slag storage sites, slag transfer sites, dam fillings, and other destinations. The lining concrete is typically supplied by the nearest concrete production system. For a specific section, slag utilisation is usually planned, therefore, the slag destination and concrete supply station are explicit.

(4) The concrete warehousing time is stipulated during transportation to prevent the concrete from condensing before it is placed. Regardless of whether rail or trackless transportation is used, the concrete delivery time cannot exceed the condensation time provisions.

Construction traffic flow

(1) Optimal number of vehicles on a working surface.

The number of vehicles configured requires that when the last car in the convoy leaves, the cycle in the conveyor is completed exactly by the first car. When the car is out of slag and actual number of configured vehicles is greater than the optimal, cars need to wait in line to load slag. Conversely, when the actual number of configured vehicles is less than the optimal, the loading system need to wait for cars to load slag.

In Eqs. ( 30 ) and ( 31 ), \({N}_{zj}\) is the optimal number of vehicles in a single working surface, \({t}_{d}\) is the time required for a vehicle round trip, \({t}_{x}\) is the time required for vehicle slag unloading, \({t}_{z}\) is the time required to fill a vehicle, \({t}_{o}\) is the time required for a vehicle to make an adjustment, turn, etc., \({L}_{1}\) is the length of the slag transport route through the construction adit, \({L}_{2}\) is the length of the slag transport route through the cross passage, \({L}_{3}\) is the length of the slag transport route through the open road, \({v}_{d1}\) is the construction adit vehicle speed which is on-load, \({v}_{d2}\) is the construction adit empty vehicle speed, \({v}_{h1}\) is the cross passage vehicle speed which is on-load, \({v}_{h2}\) is the cross passage empty vehicle speed, \({v}_{m1}\) is the open road vehicle speed which is on-load, and \({v}_{m2}\) is the open road empty vehicle speed.

(2) Vehicle transportation time

In Eqs. ( 32 ) and ( 33 ), \({N}_{z}\) is the loading time of a single working face slag discharge, and \({t}_{yz}\) is the slag transport time.

When the first slag transport vehicle drives out of the working face, the one-way hourly vehicle flow is counted, forming a vehicle statistical function \({q}_{t}\) with respect to time. The time node of the vehicle flow is related to the starting time of the working day, vehicle speed, loading time, and construction time before the slag transport.

Here, \({Q}_{t}\left(i,m\right)\) is the \(m\) -hour traffic flow of the \(i\) th construction support hole, and \({q}_{t}(i,j,m)\) is the \(m\) -hour traffic flow of the \(j\) th unit project carried by the \(i\) th construction adit. Similarly, we can determine the real-time traffic flow of the cross-passage and open-line road.

This section discusses the application of the proposed underground cavities construction simulation system. The construction of the diversion tunnel at the CB Hydropower Station is long with deep burial, large cross-section, and complex geological conditions.

Project overview

Engineering conditions.

The CB Hydropower Station is located in the upper gorge section of the Jinsha River, and is the 11 th stage among the planned 13 cascade hydropower stations in the Chuanzang section in the upper reaches of the Jinsha River. The two tunnels and four engines are arranged according to the diversion system of the hydropower station, most are buried at more than 400 m deep, and the maximum buried depth is approximately 1160 m. The single tunnel length of the diversion tunnels is approximately 11.17 km (from the starting point of the 1st diversion tunnel to the surge chamber) (Fig.  4 ), distance between the axes is 51 m, and longitudinal slope of the tunnel ranges between 1.39%–1.41%. The tunnel has a circular cross-section with an inner diameter of 13 m.

CB Hydropower Station Dam site and layout of diversion tunnels.

Based on the rock type, rock integrity, and rock structure type of the diversion tunnel area, the surrounding rock of the 1st diversion tunnel is preliminarily classified (Fig.  5 ). The Type III surrounding rock is mainly composed of medium-thick layered schist, marble and massive granite. The rock is hard, but the joints are developed and the rock mass is more complete. It accounts for approximately 40.4% of the total length of the tunnel. The Type IV surrounding rock is mainly thin layer, phyllite schist, slate, and weathering, fracture development, fault influence tunnel section. The rock is relatively weak and the structure is developed. It accounts for approximately 49.9% of the total length of the tunnel. The Type V surrounding rock is mainly a fault fracture zone, and the rock mass is in a fragmented and clastic structure. The surrounding rock is extremely unstable and the deformation and failure are serious. It accounts for approximately 9.7% of the total length of the tunnel. The specific surrounding rock types and mechanical parameters of the diversion tunnel are shown in Table. 1 .

Classification of surrounding rock of 1 st diversion tunnel.

Main construction characteristics

(1) The construction section is large and cavity is long, accordingly, the project scale is extremely large.

(2) Construction safety issues are prominent. The ground stress is high. The maximum buried depth of the tunnel will reach 1100 m, the vertical stress can reach 30 MPa, and the horizontal stress can reach more than 20 MPa. It can be obtained from the strength stress ratio of surrounding rock Rb/σ m  = (50 ~ 60)/(30 ~ 40MPa) = 1 ~ 2 that there is the possibility of weak rock burst. The rock mass near regional faults such as Wangdalong fault is relatively broken and has strong water permeability, which may connect river water and gully surface water and produce water inrush.

(3) The construction period is relatively short. The scale of the diversion tunnel project is large, and construction traffic, ventilation, drainage, and other related issues are relatively difficult to solve.

(4) The two diversion tunnels are parallel. There are cross-passages between the two diversion tunnels that can be used for workers to enter the 1 st diversion tunnel from the 2nd diversion tunnel. To ensure the adequate construction of the 1 st diversion tunnel and shorten the corresponding construction period, the construction work surface at the 1st diversion tunnel is increased. Then, simultaneous excavation and lining construction of multiple work surfaces can be realised.

(5) Excavation and lining procedures: The excavation of the diversion tunnel is performed by the drilling-blasting excavation method. Considering that the construction section of the diversion tunnel is large, the excavation is conducted in layers. Accordingly, the excavation of the upper layer is completed before the excavation of the lower layer. The lining is performed one month after the tunnel excavation is completed, so that the lining and excavation would not interfere with each other. Both diversion tunnels are first lined with a steel trolley for the arch lining and then for the floor lining.

(6) The single diversion tunnel of the hydropower station is approximately 11 km long with four construction adits (8 m × 7 m), which are of the city gate type. The control section is between the 2nd construction adit and 3 rd construction adit, which is 3.79 km long.

Construction simulation parameters and programme settings

The main parameters selected are the excavation model, lining model, construction machinery equipment, and related construction engineering parameters. The parameters are described as follows:

(1) Excavation model

The upper and lower halves of the diversion tunnel are excavated in layers. The drilling-blasting excavation model is adopted for the excavation of the upper half of the tunnel, whereas the layered excavation model is adopted for the lower part.

(2) Lining model.

The concrete lining of the diversion tunnel should be first applied to the upper 3/4 part of the cavern, the bottom 1/4 part of the cavern should be lined later. The arch ring of the lining should be implemented based on a steel trolley lining model, and the bottom board of the lining should be implemented based on a sliding block lining model.

(3) Selection of the machinery equipment.

The excavation of the upper half of the tunnel should be performed with a three-arm hydraulic drilling rig, whereas that of the lower part should be performed with a down-hole drill. The 20t dump truck should be selected as the slag truck, 6m 3 pump truck should be used as the concrete pump truck, 4.2 M loader should be configured as the loader, and steel trolley should be configured for the arch ring lining.

(4) Construction footage.

Because of the unique engineering, geological, and hydrogeological settings of the project diversion tunnel, the processes on key lines that affect the construction period of the tunnel excavation are listed in Table. 2 . According to the total time spent on the critical processes of different types of surrounding rock, the Type III surrounding rock can complete one cycle every day, and the Type IV and V surrounding rock can complete two cycles every day. The cyclic footage of surrounding rock of Type III, Type IV and Type V is 4m, 1.4m and 0.8m respectively. Considering 25 effective working days per month, the monthly excavation footage of Type III surrounding rock is 100 m/month, that of Type IV surrounding rock is 70 m/month, and that of Type V surrounding rock is 40 m/month.

Due to the inability to concretely consider the risks in construction simulation, this paper chooses to consider the construction risks handling time of 4 months, and allocate the delayed progress to each day.

Based on the actual project characteristics, it is proposed to use a steel trolley for the concrete lining of the arch ring, which is 12 m long. Accordingly, because of the large lining section, the average monthly lining footage is considered to be 120 m.

The bottom board lining of this project is behind the arch lining, and there is less interference in the bottom clearing construction. The speed of the concrete lining of the bottom board is considered to be 300 m/month.

Programme settings

The line of the CB diversion tunnel is long, construction scale is large, and construction term is highly uncertain. To ensure progress, the working surface area is increased by arranging construction adits and cross passages. In general, construction adits are arranged according to the terrain and geological settings along the tunnel. Therefore, the adjustment room is not large. The cross passage is relatively flexible and can be arranged accordingly. Currently, it is often set every few hundred meters, according to the experience of engineering personnel. In actual construction, there will be too much or too little investment, resulting in insufficient optimisation of the construction progress and excessive waste of resources.

Based on these characteristics, the upper and lower halves of the CB diversion tunnel are excavated in layers. To optimise the construction process, the lower half of the tunnel is excavated in advance by arranging a cross passage in the control section. As shown in Fig.  6 , the excavations of the upper half of the two diversion tunnels are conducted simultaneously, and a cross passage is arranged at an appropriate position. When the cross-passage is used, slag-out of the upper half of the 1st diversion tunnel can be carried out through the 1st cross passage—2nd diversion tunnel—construction adit. When the excavation of the lower half of the 1st diversion tunnel is completed, it can be used as a slag-out construction channel. The lower half of the 2nd diversion tunnel is excavated in advance, and slag-out of the upper half of the 2nd diversion tunnel is carried out through the 1st cross passage—1st diversion tunnel—construction adit. Thus, the cross passage can be used to optimise the construction progress of the two diversion tunnels. Setting different numbers of cross passages affects the input of equipment resources and construction process. Hence, five comparison programmes are set up to perform a more comprehensive analysis, as listed in Table 3 .

Construction simulation optimisation schematic for the diversion tunnels.

Analysis of results

The simulation results from the aspects of construction schedule, construction intensity, construction machinery, and construction traffic are analysed in this chapter.

Construction progress

The simulation results for Programmes 1–5 are listed in Table 4 . The diversion tunnel in Programme 5 is able to fulfil the conditions of power generation and water supply the earliest, whereas the diversion tunnel in Programme 1 is able to fulfil the conditions of water supply and power generation the latest. The annual construction progress of Programme 5 is shown in Fig.  7 .

Construction simulation progress chart: ( a ) the construction node in December of the first year; ( b ) the construction node in December of the third year; ( c ) the construction node in December of the fifth year; ( d ) the construction node in May of the sixth year.

Construction traffic

The construction traffic is analysed mainly regarding the control section after the cross-passage became operational. The traffic flow and slag transportation of 2 nd and 3rd construction adits are described as follows.

In the construction simulation of the diversion tunnel, 20t dump trucks are all used for slag-out. The peak period of slag-out vehicles is mainly concentrated after the cross-passage became operational, accordignly, an increase in the construction section leads to an increase in the number of slag-out vehicles. The number of slag-out vehicles during the peak construction period of the 2 nd construction adit is shown in Fig.  8 a. The maximum vehicle flow for Programme 1 is 20 vehicles/h, and that for Programmes 2–5 is 25 vehicles/h. No sustained traffic flow in excess of the control is present.

Construction traffic simulation results for the peak section of 2nd and 3rd construction adit: ( a ) the number of slag-out vehicles with 2nd construction adit; ( b ) the amount of slag-out with 2nd construction adit; ( c ) the number of slag-out vehicles with 3rd construction adit; ( d ) the amount of slag-out with 3rd construction adit.

The monthly amount of slag-out in the peak section of the 2 nd construction adit is shown in Fig.  8 b. The maximum strength of the monthly slag-out in each construction programme is 38,300 m 3 , 52,700 m 3 , 52,700 m 3 , 52,700 m 3 , and 67,200 m 3 , respectively, for Programmes 1–5.

The number of slag-out vehicles in the peak construction period of the 3rd construction adit is shown in Fig.  8 c, the maximum vehicle flows are 16, 21, 23, 24, and 24 vehicles/h for Programmes 1–5, respectively. All vehicle flows are less than 25 vehicles/h.

The monthly amount of slag-out in the peak section of the 3 rd construction adit is shown in Fig.  8 d. The maximum strength of the monthly slag-out in each construction programme is 40,800 m 3 , 55,300 m 3 , 63,800 m 3 , 69,700 m 3 , and 69,800 m 3 , respectively, for Programmes 1–5.

Construction intensity

The construction intensity of the downstream excavation surface of the 2 nd construction adit is shown in Fig.  9 . The maximum construction intensity for Programmes 1–4 is 29,000 m 3 , and that for Programme 5 is 38,200 m 3 .

Maximum excavation intensity at the surface of the control section construction adit.

The construction intensity of the upstream excavation surface of the 3 rd construction adit is shown in Fig.  9 . The maximum construction intensity for Programmes 1–5 is 29,000 m 3 , 29,000 m 3 , 38,100 m 3 , 40,700 m 3 , and 40,800 m 3 , respectively.

Construction machinery equipment

In the construction of the diversion tunnel, a three-arm hydraulic drilling rig and down-hole drill are mainly used for the excavation. The loading equipment adopts a 4.2 M loader, 20t dump truck for slag-out, 6 m 3 pump truck to transport concrete, and steel trolley for lining, the maximum uses of mechanical equipment are reported in Table 5 .

This section focuses on the analysis of the monthly maximum demand plan for down-hole drills and 20t dump trucks.

A down-hole drill is primarily used in the lower-layer excavation. As shown in Fig.  10 a, the maximum monthly demand for Programme 1 is 16 sets for 7 months, that for Programme 2 is 20 sets for 4 months, that for Programme 3 is 22 sets for 3 months, that for Programme 4 is 22 sets for 6 months, and that for Programme 5 is 22 sets for 7 months. Programmes 1 and 5 are more reasonable in terms of resource investment and last up to 7 months, however, the duration of Programme 1 is deemed too long.

Monthly demand of the construction machinery: ( a ) usage of the down-hole drill; ( b ) usage of the 20t dump truck.

The 20t dump truck is mainly used for slag transportation during tunnel excavation. As shown in Fig.  10 b, the maximum monthly demand for Programme 1 is 84 vehicles for 3 months, that for Programme 2 is 90 vehicles for 2 months, that for Programme 3 is 90 vehicles for 6 months, that for Programme 4 is 90 vehicles for 9 months, and that for Programme 5 is 90 vehicles for 10 months. Programme 5 is more reasonable in terms of resource investment and lasts up to 10 months.

Comprehensive analysis

The construction programme design of the CB diversion tunnel group is discussed in this section, mainly based on the layout of cross-passages between the tunnels, effectively increasing the construction surface, and carrying out the excavation of the lower layer of the diversion tunnel in advance to speed up the construction progress.

In this section, a programme for laying 2–5 cross passages in the control section is proposed. Construction simulation is conducted using the UCCSS developed in this study, and comprehensive analysis of each programme is conducted by considering the aspects of construction intensity, construction traffic, machinery and equipment, construction progress, etc.. In terms of construction intensity, the maximum excavation intensity of the control sections for Programmes 1–5 is 58,000 m 3 , 58,000 m 3 , 67,100 m 3 , 69,700 m 3 , and 69,900 m 3 . According to the construction traffic simulation results of Programmes 1–5, the 20t dump truck fully meets the slag-out requirements, resulting in no traffic congestion. From the perspective of the construction period, the beginning of the diversion tunnel excavation is the April of the first year. The construction period of the 1st diversion tunnel for Programmes 1–5 is 74.5 months, 67, 65, 64.5, and 63 months, respectively, and that of the 2nd diversion tunnel is 76, 72, 69, 66.5, and 66 months, respectively.

The construction period of Programme 5 is the shortest, and the equipment resource input is similar to that of the other four programmes, making it more economical. Based on the comprehensive analysis, Programme 5 can be used as the recommended construction programme.

Discussions

Numerous engineering applications show that the UCCSS is practical and reliable and has advantages in terms of parametric design, whole-process system simulation, easy operation, and strong expansion. First, a fully parametric design is adopted for different construction methods and working procedures so that programme adjustments can be easily made by modifying the parameters. Second, a dynamic simulation of construction transportation, resource allocation, period, and intensity during the entire process of excavation and lining construction of different underground cavities space types can be carried out. The traffic flow and transport intensity of each process time under different paths, as well as the excavation and lining intensities at any moment of construction, can be queried using this system. Third, the system model is relatively simple, owing to the functions of technical parameters that prompt, copy, modify, help, automatic update of the entire system, dynamic information queries, and error identification. Finally, owing to the developments in large-scale construction machinery and equipment and progress of tunnelling construction technology, innovations in underground engineering construction technology and updates of organisational management concepts will be effectively promoted by new methods, technologies, and equipment. New models and simulation programmes based on new mathematical models can be added to this system to adapt it for development.

However, in view of the current rapid developments in computer technology and engineering practice and demand for more comprehensive simulation functions, many shortcomings still remain in the UCCSS. First, visualisation technology is not implemented well in the system and the process of real-time simulation is not entirely fulfilled. Therefore, the follow-up needs to be improved based on these two aspects. Implementing 3D animation demonstration technology is suggested to demonstrate the complex construction process with moving images in a realistic manner and provide a visual analysis means for construction management. Second, developing a real-time construction simulation system is recommended for actual construction processes so that the actual situation can be fed back to the system in a timely manner to better guide the actual construction schedule.

Conclusions

The construction of underground cavities in hydraulic and hydropower projects involves many factors and it is an extremely complex process. It is of great significance to closely integrate construction simulation with actual production situations to improve the guidance of simulation results for practical engineering. This article innovatively introduces the principles of production line balance and rule cycle concept, combining technology with management, and a practical, expandable, full-featured, and easy-to-operate UCCSS is developed. The time-step method of the discrete system is adopted to perform hierarchical modelling, which divides the entire project into four levels, namely, unit project, units project, division project, and sub-project. Different excavation, lining, machinery equipment models and construction plans are implemented in the system based on the actual construction characteristics. Accoroding to the analysis of the construction transportation, construction intensity,  and construction progress to obtain the optimal construction scheme of underground cavities construction. The proposed method is an efficient calculation and analysis tool for complex underground cavities construction, improves the modernisation level of construction organisation design to a certain extent, and has broad application prospects. The system is successfully applied to the construction organisation design of the diversion tunnels of the CB Hydropower Station, providing important technical support for the optimisation of the construction programme and decision-making management.

Data availability

All data generated or analysed during this study are included in this article.

Hajjar, D., & AbouRizk, S. Development of an object oriented framework for the simulation of earth moving operations. Proc., Intelligent Information Systems Conf., IEEE, New York, 326-330. https://doi.org/10.1109/iis.1997.645279 . (1997).

Yu, J., Zhong, D., Ren, B., Tong, D. & Hong, K. Probabilistic risk analysis of diversion tunnel construction simulation. Comput.-aided Civil Infrastruct. Eng. 32 (9), 748–771. https://doi.org/10.1111/mice.12276 (2017).

Article   Google Scholar  

Halpin, D. W. Cyclone-Method for modeling job site processes. J. Constr. Div. 103 (3), 489–499. https://doi.org/10.1061/jcceaz.0000712 (1977).

Paulson, B. C. Interactive graphics for simulating construction operations. J. Constr. Div. 104 (1), 69–76. https://doi.org/10.1061/jcceaz.0000758 (1978).

Chang, D. Resque [D] (University of Michigan, 1987).

Google Scholar  

Ioannou, P. G. UM-CYCLONE user’s guide[D] (University of Michigan, 1989).

Halpin, D. W. Micro-CYCLONE User’s Manual (Purdue University, West Lafayette, 1990).

Liu, L. COOPS: Construction object-oriented process simulation system. https://deepblue.lib.umich.edu/handle/2027.42/128820 . (1991).

Huang, R., Grigoriadis, A. M. & Halpin, D. W. Simulation of cable-stayed bridges using disco. Winter Simul. Conf. , 1130-1136.  https://doi.org/10.5555/193201.194680 (1994).

Martinez, J. C. & Ioannou, P. G. General purpose simulation with stroboscope. Winter Simul.Conf. , 1159-1166. https://doi.org/10.5555/193201.194688 (1994).

AbouRizk, S. & Mohamed, Y. Simphony: An integrated environment for construction simulation. Winter Simul.Conf. 2 , 1907–1914. https://doi.org/10.5555/510378.510656 (2000).

Kamat, V. R. & Martinez, J. C. Validating complex construction simulation models using 3D visualization. Syst. Anal. Model. Simul. 43 (4), 455–467. https://doi.org/10.1080/02329290290028507 (2003).

Lu, M., Lam, H. & Dai, F. Resource-constrained critical path analysis based on discrete event simulation and particle swarm optimization. Autom. Constr. 17 (6), 670–681. https://doi.org/10.1016/j.autcon.2007.11.004s (2008).

Article   CAS   Google Scholar  

AbouRizk, S. M., & Hague, S. An overview of the COSYE environment for construction simulation. Proc. 2009 Winter Simulation Conference (WSC). https://doi.org/10.1109/wsc.2009.5429307 . (2009).

Alvanchi, A., Lee, S. & AbouRizk, S. Modeling framework and architecture of hybrid system dynamics and discrete event simulation for construction. Comput.-Aided Civil Infrastruct. Eng. 26 (2), 77–91. https://doi.org/10.1111/j.1467-8667.2010.00650.x (2011).

Denghua, Z. Simulation study of tunnel cycle construction process (in Chinese)[D] (University of Tianjin, 1987).

Liu, D., Xuan, P., Li, S. & Huang, P. Schedule risk analysis for TBM tunneling based on adaptive CYCLONE simulation in a geologic Uncertainty-Aware context. J. Comput. Civil Eng. 29 (6),  https://doi.org/10.1061/(asce)cp.1943-5487.0000441 (2015).

Shahin, A., AbouRizk, S., Mohamed, Y. & Fernando, S. Simulation modeling of weather-sensitive tunnelling construction activities subject to cold weather. Can. J. Civ. Eng. 41 (1), 48–55. https://doi.org/10.1139/cjce-2013-0087 (2014).

Zhong, D., Bi, L., Yu, J. & Zhao, M. Robustness analysis of underground powerhouse construction simulation based on markov Chain monte carlo method. Sci. China. Technol. Sci. 59 (2), 252–264. https://doi.org/10.1007/s11431-015-5859-3 (2015).

Article   ADS   Google Scholar  

Sharafat, A., Latif, K. & Seo, J. Risk analysis of TBM tunneling projects based on generic bow-tie risk analysis approach in difficult ground conditions. Tunn. Undergr. Space Technol. 111 , 103860 . https://doi.org/10.1016/j.tust.2021.103860 (2021).

Denghua, Z., Weibo, Z. & Jiaxiang, Z. Study on Dynamic Visual Simulation System for Complex Construction Processes (in Chinese). Hydroelectricity 12 , 28–30 (2000).

Wang Xiaoling, Qu., Liwen, R. B., Mengqi, Z., Yao, X. & Zhen, L. Dynamic visual simulation of diversion tunnel construction based on CATIA (in Chinese). J. Hydraulic Eng. 49 (03), 369–378. https://doi.org/10.13243/j.cnki.slxb.20170646 (2018).

Sharafat, A., Khan, M. S., Latif, K. & Seo, J. BIM-Based Tunnel Information Modeling framework for visualization, management, and simulation of Drill-and-Blast tunneling projects. J. Comput. Civil Eng. 35 (2).  https://doi.org/10.1061/(asce)cp.1943-5487.0000955 (2021).

Rafsanjani, H. N. & Nabizadeh, A. H. Towards human-centered artificial intelligence (AI) in architecture, engineering, and construction (AEC) industry. Comput. Hum. Behav. Rep.  11 , 100319 . https://doi.org/10.1016/j.chbr.2023.100319 (2023).

Wang, M., Zhou, J., Chen, J., Jiang, N., Zhang, P.,  Li, H. Automatic identification of rock discontinuity and stability analysis of tunnel rock blocks using terrestrial laser scanning. J. Rock Mech. Geotech. Eng. 15 (7), 1810–1825. https://doi.org/10.1016/j.jrmge.2022.12.015 (2023).

Fengju, K. Modern simulation technology and applications (in Chinese) [M] (National Defense Industry Press, 2001).

Download references

Acknowledgements

We gratefully acknowledge the support of the Sichuan Youth Science and Technology Innovation Research Team Project (2020JDTD0006) and the Open Research Fund of Key Laboratory of Reservoir and Dam Safety Ministry of Water Resources (YK323002).

Author information

Authors and affiliations.

College of Water Resource and Hydropower, Sichuan University, Chengdu, 610065, China

Yu-han Ran, Hai-bo Li, Shun-tong Xu & Xing-guo Yang

State Key Laboratory of Hydraulics and Mountain River Engineering, Sichuan University, Chengdu, 610065, China

Hai-bo Li & Xing-guo Yang

Guiyang Engineering CO. LTD., Power China, Guiyang, 550081, China

Zhi-chao Yu

You can also search for this author in PubMed   Google Scholar

Contributions

Yu-han Ran and Hai-bo Li wrote the main manuscript text . Hai-bo Li, Yu-han ran and and Xingguo Yang jointly developed the simulation system. Zhi-chao Yu prepared Figs. 4 and Table 1. All authors reviewed the manuscript.

Corresponding author

Correspondence to Hai-bo Li .

Ethics declarations

Competing interests.

The authors declare no competing interests.

Additional information

Publisher's note.

Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.

Rights and permissions

Open Access This article is licensed under a Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International License, which permits any non-commercial use, sharing, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if you modified the licensed material. You do not have permission under this licence to share adapted material derived from this article or parts of it. The images or other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by-nc-nd/4.0/ .

Reprints and permissions

About this article

Cite this article.

Ran, Yh., Li, Hb., Xu, St. et al. Construction simulation and scheme optimisation of complex underground cavities. Sci Rep 14 , 20879 (2024). https://doi.org/10.1038/s41598-024-71515-y

Download citation

Received : 13 May 2024

Accepted : 28 August 2024

Published : 06 September 2024

DOI : https://doi.org/10.1038/s41598-024-71515-y

Share this article

Anyone you share the following link with will be able to read this content:

Sorry, a shareable link is not currently available for this article.

Provided by the Springer Nature SharedIt content-sharing initiative

• Construction simulation; Underground cavities; Construction simulation system; Construction organszation

By submitting a comment you agree to abide by our Terms and Community Guidelines . If you find something abusive or that does not comply with our terms or guidelines please flag it as inappropriate.

Quick links

• Explore articles by subject
• Guide to authors
• Editorial policies

Sign up for the Nature Briefing newsletter — what matters in science, free to your inbox daily.