literature review management strategy

What Is Strategic Management and Why Do We Need It: Theoretical Foundations of Strategic Management

• First Online: 01 January 2022

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• Andreas Michael Schühly 6  

Part of the book series: MIR Series in International Business ((MIRSIB))

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In the second chapter, a sound understanding of strategic management and its core concepts, definitions, processes, and applications is provided. This is done by a review of relevant strategic management literature. Firstly, the applied methodology for the literature analysis is presented. This section provides an overview on the exhaustive range of approaches and understandings of the strategic management discipline, academic, and practice literature has developed. Included is an overview of historical developments of strategic management from early ancient concepts to modern strategic management. Further, fundamental concepts and three core theories of strategic management, i.e., market-based view, resource-based view, and the institution-based view, are discussed. The chapter also considers arguments opposing and supporting strategic management’s entitlement to exist. Furthermore, the process of strategic management with its four core process steps is introduced. Additionally, the answer to the research question is prepared by introducing factors that affect strategic management, such as institutional factors, market/industry factors, and organizational factors. Eventually, the strategic management process of multinational corporations in the field of tension between internal and external forces is debated along the two dimensions—structure and actors. Furthermore, procedural justice is discussed as organizational response to ensure efficiency in the strategic management process of multinational corporations as well as coordination and control mechanisms as enabler of multinational corporations’ strategic management processes.

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Cf. Bracker ( 1980 , p. 219), Hungenberg ( 2014 , p. 5).

Cf. Bracker ( 1980 , p. 219).

Cf. Mintzberg ( 1987b , p. 11), Talbot ( 2003 , pp. 1ff).

Socrates explained Nichomachides, who lost an election for a position as a general against a businessman, the similarties of a general’s with a businessman’s duties (see Xenophon ( 1994 )).

Cf. Xenophon ( 1994 , pp. 77ff).

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Cf. Bea and Haas ( 2017 , p. 12), Bracker ( 1980 , p. 219), Ortmann and Seidl ( 2010 , p. 354).

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Cf. Ortmann and Seidl ( 2010 , p. 354).

Cf. Bracker ( 1980 , p. 219), Hungenberg ( 2014 , pp. 5f), Hurst ( 1986 , p. 6).

Bracker ( 1980 , p. 219), Hurst ( 1986 , p. 6).

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Mintzberg ( 1990 , p. 171).

Cf. Bracker ( 1980 , p. 221).

Cf. Hurst ( 1986 , p. 6).

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Chandler ( 1962 , pp. 13f).

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Cf. Williams and van Triest ( 2009 , p. 157).

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Cf. Hoskisson et al. ( 1999 , p. 422).

Cf. Guerras-Martín et al. ( 2014 , p. 69), Hoskisson et al. ( 1999 , p. 422).

Learned et al. ( 1969 , p. 15).

Cf. Hurst ( 1986 , pp. 6ff), Ocasio and Joseph ( 2008 , pp. 249ff), Webster et al. ( 1989 , p. 5).

Most notably are the BCG growth-share matrix, GE’s multifactorial analysis also called McKinsey’s 9-box matrix or the Ansoff matrix (Cf. Ali and Shaw 1988 , pp. 112f; Johnson et al. 2008 , p. 315; Ocasio and Joseph 2008 , p. 256; Kiechel III 2010 , pp. 57ff, 109).

Cf. Ali and Shaw ( 1988 , pp. 110ff), Bea and Haas ( 2017 , p. 13), Wolf and Floyd ( 2017 , p. 1763).

Cf. Bea and Haas ( 2017 , p. 13).

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Cf. Bea and Haas ( 2017 , pp. 7, 99).

Cf. Hofer and Schendel ( 1978 , pp. 18ff).

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Cf. Hussey ( 1998 , p. 4), Martinet ( 2010 , p. 1485).

Their approach is based on four pillars “(1) the systematic differentiation between the internal and external perspective, (2) the integration of strategy as a separate element of the organizational lifeworld, (3) the conceptualization of the ‘ongoing process’ as the primary location of the genesis of strategies and (4) the exploration of alternative forms of rationality” Ortmann and Seidl ( 2010 , p. 358).

Cf. Ortmann and Seidl ( 2010 , p. 358).

Cf. Webster et al. ( 1989 , p. 5).

Cf. Wolf and Floyd ( 2017 , pp. 1760ff).

Wolf and Floyd ( 2017 , p. 1756).

Cf. Miller and Cardinal ( 1994 , p. 1662).

See Mintzberg ( 1994b ).

Cf. Wolf and Floyd ( 2017 , p. 1756).

Cf. Darr ( 2011 , p. 7), Pindur et al. ( 1995 , p. 63).

Eichhorn and Towers ( 2018 , p. 264)

Olarewaju ( 2012 , p. 552)

Cf. Eichhorn and Towers ( 2018 , pp. 12f), Saltorato and Benatti ( 2018 , p. 252)

Gopinath and Hoffman ( 1995 , p. 575)

Samiee and Athanassiou ( 1998 , p. 80).

Nag et al. ( 2007 , p. 942).

Judge and Speitzfaden ( 1995 , p. 179).

Gluck et al. ( 1980 , p. 156).

Cf. Ali and Shaw ( 1988 , p. 105), Boyd ( 1991 , p. 353).

Guerras-Martín et al. ( 2014 , p. 70).

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Lorange ( 1980 , p. 1).

Cf. Nag et al. ( 2007 , p. 942).

Hunger and Wheelen ( 2009 , pp. 10f).

Cf. Arend et al. ( 2017 , p. 1741), Veliyath ( 1992 , pp. 86ff).

Cf. Darr ( 2011 , 21), Johnson et al. ( 2008 , pp. 15ff).

Cf. Bea and Haas ( 2017 , pp. 57f).

In the Germano-phone area, the military general von Clausewitz is accredited for the incorporation of strategy in modern times. He described strategy as “the use of combat for the purpose of war ( Die Lehre vom Gebrauch der Gefechte zum Zweck des Krieges ).” (See von Oetinger et al. ( 2016 , p. 106)).

Cf. Eichhorn and Towers ( 2018 , pp. 281f).

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Cf. Porter ( 1985 , p. 8).

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Cf. Mintzberg ( 1973 , pp. 44ff).

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Cf. Hart ( 1992 , pp. 328ff).

Cf. Quinn ( 1978 , pp. 14ff).

Quinn ( 1980 , p. 58).

Cf. Hart ( 1992 , pp. 328ff), Hunger and Wheelen ( 2009 , pp. 6f).

See Simon ( 1957 ).

Douma and Schreuder ( 2002 , p. 147).

Cf. Simon ( 1972 , pp. 173ff).

Cf. Camillus ( 2018 , pp. 920f).

Cf. Mintzberg ( 1973 , p. 52).

Cf. Hungenberg ( 2014 , p. 4).

Cf. Ali and Shaw ( 1988 , pp. 106ff).

Cf. Brock et al. ( 2000 , p. 689).

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Cf. Fredrickson and Mitchell ( 1984 , pp. 401ff).

Cf. Das ( 1991 , p. 52).

Cf. Brock and Barry ( 2003 , p. 543), Ramanujam and Venkatraman ( 1987 , p. 455).

Cf. Ramanujam and Venkatraman ( 1987 , pp. 455, 463), Veliyath and Shortell ( 1993 , pp. 361f).

Cf. Hungenberg ( 2014 , pp. 4,15f).

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Cf. Lorange ( 1980 , pp. 74f).

Cf. Brock and Barry ( 2003 , p. 547), Weidenbaum ( 1966 , pp. 8ff).

Cf. Arend et al. ( 2017 , p. 1741), Barringer and Bluedorn ( 1999 , p. 422), Robinson Jr and Pearce ( 1983 , p. 198), Wolf and Floyd ( 2017 , p. 1768).

Cf. Brock et al. ( 2000 , p. 691), Veliyath and Shortell ( 1993 , p. 361).

Cf. Hopkins and Hopkins ( 1997 , pp. 636f).

Mintzberg and Lampel ( 1999 , p. 22).

Cf. Armstrong ( 1982 , pp. 198f).

Chong and Park ( 2003 , p. 34).

Cf. Dibrell et al. ( 2014 , pp. 2004ff).

Cf. Bachmann et al. ( 2016 , p. 301), Dincer et al. ( 2006 , p. 208), Mintzberg ( 1994a , p. 24), Wolf and Floyd ( 2017 , p. 1772).

Cf. Wolf and Floyd ( 2017 , p. 1772).

Shaw et al. ( 1998 , p. 42).

Cf. Eppler and Platts ( 2009 , pp. 42ff), Shaw et al. ( 1998 , pp. 41f), Wolf and Floyd ( 2017 , pp. 1772).

The agency theory provides insights into the delegation of decision-making from a principal (e.g., owner) to an agent (e.g., management) and resulting issues. It assumes risk aversity and self-interest of actors. Furthermore, it assumes asymmetric information between actors as well as goal incongruence. Through contracts principals hand over decision-making power and try to control agent’s behavior; however, they still bear uncertainty about the actual behavior of agents See Chang and Taylor ( 1999 , p. 543), Zajac ( 1990 , p. 217).

Cf. Zajac ( 1990 , pp. 218, 227).

Moisander and Stenfors ( 2009 , p. 228).

Cf. Oliver and Parrett ( 2018 , p. 340).

Cf. Moisander and Stenfors ( 2009 , p. 243).

Cf. Arend et al. ( 2017 , pp. 1741ff), Moisander and Stenfors ( 2009 , pp. 241f).

Cf. Ali and Shaw ( 1988 , p. 124).

Cf. Jennings ( 2000 , pp. 213ff).

Cf. Brock et al. ( 2000 , p. 689), Hunger and Wheelen ( 2009 , p. 3).

Cf. Hunger and Wheelen ( 2009 , p. 3).

Cf. Jocumsen ( 2004 , 669f), Johnson et al. ( 2008 , p. 607), Miller and Cardinal ( 1994 , p. 1651), Moisander and Stenfors ( 2009 , pp. 228ff).

Darr ( 2011 , p. 20).

Wolf and Floyd ( 2017 , p. 1764).

Cf. Gluck et al. ( 1982 , p. 9).

Cf. Ansoff ( 1979 , pp. 5ff).

Cf. Wernham ( 1985 , p. 636).

Hussey ( 1998 , p. 12).

Cf. Hart and Banbury ( 1994 , p. 251).

Cf. Bea and Haas ( 2017 , pp. 13f).

Cf. Hungenberg ( 2014 , pp. 6f), Mintzberg ( 1987b , pp. 11f).

Cf. Porter ( 1985 , pp. 482ff).

Cf. Hungenberg ( 2014 , pp. 6f), Mintzberg ( 1987b , pp. 11ff), Mintzberg and Waters ( 1985 , pp. 259ff).

See Boyd ( 1991 ), Brews and Hunt ( 1999 ), Hoffman ( 2007 ), Miller and Cardinal ( 1994 ).

Cf. Brews and Hunt ( 1999 , pp. 890f), Hoffman ( 2007 , p. 28), Parnell et al. ( 2000 , p. 521).

Cf. Brews and Hunt ( 1999 , 891f), Hoffman ( 2007 , 28f).

Cf. Brews and Hunt ( 1999 , pp. 890ff), Hoffman ( 2007 , pp. 28f), Parnell et al. ( 2000 , p. 521).

Cf. Mintzberg ( 1987b , pp. 14ff), Mintzberg and Waters ( 1985 , pp. 257ff).

Mintzberg and McHugh ( 1985 , p. 161).

Cf. Mintzberg and Waters ( 1985 , pp. 268f).

Cf. Mintzberg ( 1994b , p. 111).

Cf. Porter ( 1994 , pp. 273ff).

Cf. Martinet ( 2010 , p. 1486).

Cf. Mauri and Michaels ( 1998 , p. 217).

Cf. Camillus ( 2018 , p. 920).

Cf. Slevin and Covin ( 1997 , pp. 201ff).

Cf. Burgelman ( 1983 , pp. 62ff), Samiee and Athanassiou ( 1998 , p. 89).

Cf. Acar and Acar ( 2012 , p. 684), Porter ( 1985 , pp. 268f).

Cf. Burgelman ( 1983 , p. 61).

Luo et al. ( 2011 , pp. 190f).

See Porter ( 1980 , 1985 ).

Cf. Ali and Shaw ( 1988 , p. 124), Idenburg ( 1993 , p. 133), Porter ( 1985 , pp. 25f), Wolf and Floyd ( 2017 , p. 1767).

See Ansoff ( 1987 ).

See Mintzberg and Waters ( 1985 ).

Cf. Hart ( 1992 , pp. 330ff).

Cf. Hart ( 1992 , pp. 332).

Cf. Nonaka ( 1988 , pp. 13ff).

Cf. Crook et al. ( 2006 , p. 409), Degravel ( 2015 , p. 13).

See Porter ( 1980 ).

See Barney ( 1991 ). Wernerfelt ( 1984 ).

While literature uses both market- and industry-based views, the following thesis is using market-based view; however, verbal quotes might also use industry-based view, which can therefore be seen as a synonym.

Cf. Peng et al. ( 2008 , pp. 920ff), Zahn ( 1999 , p. 1).

Cf. Hungenberg ( 2014 , pp. 71f).

Wernerfelt ( 1984 , p. 171).

Cf. Bamberger and Wrona ( 1996 , p. 147), Kraaijenbrink et al. ( 2010 , p. 350).

Cf. Hoskisson et al. ( 1999 , pp. 420ff).

Cf. Johnson et al. ( 2008 , pp. 116ff).

Cf. Peng et al. ( 2008 , pp. 920f).

Cf. Peng ( 2002 , pp. 251ff).

Peng et al. ( 2008 , p. 923).

Cf. Peng ( 2002 , pp. 252f).

See Porter ( 1980 ), (1985).

Cf. Powell ( 1992 , p. 552).

Cf. Mintzberg ( 1987b , pp. 15f).

Cf. Hoskisson et al. ( 1999 , pp. 419, 425).

Cf. Bea and Haas ( 2017 , pp. 29f), McWilliams and Smart ( 1993 , pp. 63ff).

Cf. Porter ( 1980 , pp. ix ff).

Cf. Hungenberg ( 2014 , pp. 59ff).

It is composed of the forces: threat of new entrants, bargaining power of buyers, threat of substitute products or services, bargaining power of suppliers, and rivalry among existing firms (see Porter ( 1980 , pp. 6ff)).

Cf. Porter ( 1980 , pp. 6ff).

Cf. Bea and Haas ( 2017 , pp. 109ff).

Porter ( 1985 , pp. 4ff).

Cf. Porter ( 1985 , pp. 4ff).

Cf. Grundy ( 2006 , pp. 213ff).

Cf. Porter ( 1980 , pp. 35ff).

See Acar and Acar ( 2012 , p. 684), Brock and Barry ( 2003 , p. 549).

Cf. Porter ( 1980 , pp. 38ff).

Cf. Brock and Barry ( 2003 , p. 549).

Cf. Miller ( 1986 , pp. 239f, 1988 , pp. 284f).

Cf. Porter ( 1985 , pp. 11f, 15f).

Porter ( 1980 , p. 38).

Porter ( 1985 , p. 16).

Cf. Miller ( 1989 , p. 242), Parnell et al. ( 2000 , p. 521).

Cf. Porter ( 1980 , pp. 9ff).

Porter ( 1985 , p. 7).

Cf. Porter ( 1985 , p. 7).

Cf. Johnson et al. ( 2008 , pp. 242ff; 624).

Cf. McWilliams and Smart ( 1993 , pp. 68f).

Cf. Knecht ( 2014 , p. 19).

See Wernerfelt ( 1984 ).

Cf. Hoskisson et al. ( 1999 , pp. 419ff), Zubac et al. ( 2010 , p. 516).

Cf. Powell et al. ( 2010 , p. 318).

Cf. Zubac et al. ( 2010 , p. 515).

Wolf and Floyd ( 2017 , p. 1773).

See Barney ( 1991 , pp. 105ff), Hart and Banbury ( 1994 , pp. 265f), Wernerfelt ( 1984 , pp. 172ff).

Birkinshaw ( 2000 , p. 102).

Birkinshaw ( 2000 , p. 107).

Cf. Birkinshaw ( 2000 , pp. 105ff).

Cf. Collis and Montgomery ( 1995 , p. 119), Degravel ( 2015 , pp. 13f)., Powell ( 1992 , p. 552), Vega-Jurado et al. ( 2008 , p. 617), Zubac et al. ( 2010 , 517ff).

Cf. Eisenhardt and Martin ( 2000 , pp. 1106f).

Cf. Barney ( 1991 , pp. 105ff), Hoskisson et al. ( 1999 , pp. 418ff), Powell ( 1992 , pp. 552f).

Cf. Acar and Acar ( 2012 , p. 684), Li et al. ( 2001 , p. 116), Vega-Jurado et al. ( 2008 , p. 617).

Cf. Conner ( 1991 , p. 121).

Cf. Helfat and Peteraf ( 2003 , pp. 998f), Sirmon et al. ( 2007 , p. 274).

Cf. Barney ( 1991 , pp. 101ff).

Cf. Barney ( 2001 , p. 648).

Cf. Barney ( 1991 , p. 102), Degravel ( 2015 , p. 13).

Cf. Ambrosini et al. ( 2009 , p. 9f), Barney ( 1991 , pp. 105ff), Powell ( 1992 , pp. 552f), Priem and Butler ( 2001 , p. 23), Sirmon et al. ( 2007 , p. 274).

Cf. Peteraf ( 1993 , pp. 183ff).

Teece ( 2007 , p. 1325).

Cf. Barney ( 1991 , pp. 102ff), Ghoshal ( 1988 , pp. 83f), Teece ( 2007 , pp. 1319ff).

Cf. Teece et al. ( 1997 , pp. 516ff), Teece ( 2007 , p. 1319).

Eisenhardt and Martin ( 2000 , p. 1106).

Cf. Helfat and Peteraf ( 2003 , pp. 998f), Teece et al. ( 1997 , pp. 517ff).

Cf. Teece et al. ( 1997 , p. 528).

Cf. Teece ( 2007 , pp. 1322ff).

Eisenhardt and Martin ( 2000 , p. 1117).

Cf. Eisenhardt and Martin ( 2000 , p. 1106).

Cf. Brews and Hunt ( 1999 , pp. 905f).

Cf. Hart and Banbury ( 1994 , p. 256).

Cf. Powell ( 1992 , p. 553).

Cf. Campbell ( 1999 , pp. 41ff).

Cf. Acar and Acar ( 2012 , p. 684).

Cf. Wolf and Floyd ( 2017 , p. 1771).

Cf. Barney ( 1986 , pp. 656ff), Fiol ( 1991 , pp. 191ff), Hamel and Prahalad ( 1990 , pp. 87ff), Hansen and Wernerfelt ( 1989 , p. 401), Powell ( 1992 , p. 552).

Cf. Bea and Haas ( 2017 , pp. 30ff).

Cf. Hamel and Prahalad ( 1990 , pp. 86ff).

Cf. Javidan ( 1998 , pp. 61ff).

Cf. Nonaka and Toyama ( 2003 , p. 4).

Cf. Bea and Haas ( 2017 , p. 33).

Cf. Grant ( 1996 , p. 111).

Cf. Zahn and Foschiani ( 2001 , p. 417).

Cf. Nonaka et al. ( 2000 , pp. 10ff).

The transfer of tacit knowledge through shared experiences is called socialization. Externalization describes the transfer from tacit knowledge into explicit knowledge to serve as the basis of new knowledge. Combination covers when existing explicit knowledge that can originate from inside or outside the organization is combined, edited, or processed to gain new knowledge that is more complex and systematic. The internalization is transferring explicit knowledge into tacit knowledge (see Nonaka et al. ( 2000 , pp. 8ff), Nonaka and Toyama ( 2003 , pp. 4f)).

Cf. Nonaka et al. ( 2000 , pp. 8ff), Nonaka and Toyama ( 2003 , pp. 4f).

Cf. Degravel ( 2015 , p. 13), Eisenhardt and Martin ( 2000 , p. 1106), Kraaijenbrink et al. ( 2010 , p. 351), Priem and Butler ( 2001 , 27ff).

Kraaijenbrink et al. ( 2010 , p. 351).

Cf. Kraaijenbrink et al. ( 2010 , pp. 351, 361).

Peng et al. ( 2008 , p. 929).

Cf. Peng ( 2002 , pp. 251ff), Peng et al. ( 2008 , pp. 920ff).

North ( 1990 , p. 3).

Scott ( 1995 , p. 33).

Cf. Peng et al. ( 2008 , pp. 921f).

Davis and North ( 1971 , p. 6).

Cf. Peng ( 2002 , p. 252).

Cf. Holmes et al. ( 2013 , pp. 533ff), North ( 1990 , pp. 3ff), Peng et al. ( 2008 , pp. 921ff), Scott ( 1995 , pp. 35ff).

Cf. Barley and Tolbert ( 1997 , pp. 93ff), Holmes et al. ( 2013 , pp. 533).

Cf. Powell ( 1991 , pp. 183ff), Witt and Redding ( 2009 , pp. 859ff).

Cf. Holmes et al. ( 2013 , p. 535).

Cf. North ( 1991 , p. 97, 1993 , p. 7).

See Coase ( 1937 ).

See Williamson ( 1973 , 1979 , 1994 ).

Cf. North ( 1987 , pp. 419ff), Williamson ( 2000 , pp. 599ff).

Cf. Bea and Haas ( 2017 , pp. 28ff), Williamson ( 1994 , pp. 81ff, 2000 , p. 599).

See Sect. 2.2.2 .

Cf. Chen et al. ( 2002 , p. 567), Douma and Schreuder ( 2002 , p. 145), Simon ( 1972 , pp. 163ff), Williamson ( 1994 , p. 107).

Cf. Chen et al. ( 2002 , pp. 569ff), Ghoshal and Moran ( 1996 , p. 14), Sheng et al. ( 2018 , pp. 2ff).

Williamson ( 1993 , p. 476).

Cf. Chen et al. ( 2002 , p. 568).

Cf. Peng et al. ( 2008 , p. 930), Williamson ( 1994 , pp. 77ff).

Cf. Peng ( 2002 , pp. 252f, 2003 , pp. 275ff), Peng et al. ( 2008 , pp. 922f).

Cf. Peng ( 2002 , pp. 256f), Peng et al. ( 2008 , p. 923).

Cf. Peng ( 2002 , p. 261), Peng et al. ( 2008 , p. 930).

Schendel ( 1992 , p. 3).

See Ansoff et al. ( 1970 ). Chandler ( 1962 ), Learned et al. ( 1969 ), Thune and House ( 1970 ).

Cf. Powell ( 1992 , p. 551).

See Mintzberg et al. ( 1986 ), Quinn ( 1980 ). Sarrazin et al. ( 1977 ).

See Boyd ( 1991 ). Fredrickson and Mitchell ( 1984 ), Pearce et al. ( 1987a ), Powell ( 1992 ).

See Bresser and Bishop ( 1983 ), Mintzberg ( 1987c ).

Cf. Ali ( 2018 , p. 11), Arend et al. ( 2017 , p. 1743), Miller and Cardinal ( 1994 , pp. 1650f).

Hurst ( 1986 , pp. 24f).

See Grinyer and Norburn ( 1975 ). Rhenman ( 1973 ).

Miller and Cardinal ( 1994 , p. 1651).

Cf. Pearce et al. ( 1987a , pp. 670ff).

Cf. Boyd ( 1991 , pp. 362f).

Cf. O’Gorman and Doran ( 1999 , p. 65).

See Ansoff ( 1991 ). Armstrong ( 1982 ), Barringer and Bluedorn ( 1999 ), Hoffman ( 2007 ), Miller and Cardinal ( 1994 ), Pearce et al. ( 1987b ).

Cf. Ansoff ( 1991 , pp. 455ff).

Cf. Salomo et al. ( 2007 , pp. 297f).

Cf. Armstrong ( 1982 , pp. 199f).

Cf. Ansoff ( 1991 , p. 456).

Cf. Smith and Grimm ( 1987 , pp. 363ff).

Cf. Pearce et al. ( 1987b , pp. 125ff).

Cf. Schwenk and Shrader ( 1993 , pp. 53ff).

Cf. Miller and Cardinal ( 1994 , pp. 1660f).

Cf. Barringer and Bluedorn ( 1999 , pp. 433ff).

Cf. Hoffman ( 2007 , p. 42).

Cf. Rudd et al. ( 2008 , pp. 99f, 104).

Cf. Rudd et al. ( 2008 , p. 100).

Cf. Glaister et al. ( 2008 , p. 370).

Cf. Glaister et al. ( 2008 , pp. 377ff).

Cf. Arend et al. ( 2017 , pp. 1748f).

Cf. Mueller et al. ( 2007 , pp. 854ff).

Cf. Veliyath and Shortell ( 1993 , p. 359).

Cf. Capon et al. ( 1994 , p. 108).

Cf. Boyd ( 1991 , pp. 362f), Hart and Banbury ( 1994 , pp. 252f), Miller and Cardinal ( 1994 , pp. 1662f), Powell ( 1992 , pp. 554ff).

Cf. Lyles et al. ( 1993 , pp. 47f).

Cf. Falshaw et al. ( 2006 , pp. 23f).

Cf. Ali and Shaw ( 1988 , pp. 112f).

Cf. Ireland et al. ( 1987 , pp. 481f).

Cf. Miller and Cardinal ( 1994 , pp. 1652ff), Parnell et al. ( 2000 , pp. 521).

Cf. Peterson et al. ( 2002 , p. 252), Zahn and Foschiani ( 2006 , p. 82f), Zuckerman ( 2011 , pp. 1ff).

Mintzberg ( 1990 , p. 184).

Cf. Mintzberg ( 1990 , p. 184).

Cf. Armstrong ( 1982 , p. 202).

Cf. Zahn and Foschiani ( 2006 , p. 83).

See Ansoff ( 1991 ), Baum and Wally ( 2003 ). Miller and Friesen ( 1983 ), Pearce et al. ( 1987a ).

Cf. Brews and Hunt ( 1999 , pp. 889ff).

Cf. Brews and Purohit ( 2007 , pp. 64ff).

Cf. Yusuf and Nyomori ( 2002 , pp. 11ff).

See Brews and Hunt ( 1999 ). Goll and Rasheed ( 1997 ).

Cf. Hoffman ( 2007 , p. 27).

Cf. Hungenberg ( 2014 , pp. 86f).

Cf. Ansoff ( 1991 , p. 457), Armstrong ( 1982 , pp. 202f), Miller and Cardinal ( 1994 , p. 1652).

Cf. Courtney et al. ( 1997 , pp. 67ff), Parnell et al. ( 2000 , p. 521).

Cf. Armstrong ( 1982 , p. 203).

Cf. Hutzschenreuter and Kleindienst ( 2006 , p. 676).

Cf. Ashmore ( 1992 , pp. 57ff).

Souitaris and Marcello Maestro ( 2010 , p. 658).

Cf. Baum and Wally ( 2003 , pp. 1107f, 1125).

Cf. Forbes ( 2005 , pp. 360ff), Perlow et al. ( 2002 , pp. 947f).

Cf. Miller and Cardinal ( 1994 , pp. 1649f).

Cf. Arend et al. ( 2017 , p. 1741), Wolf and Floyd ( 2017 , p. 1767).

Cf. Leonard-Barton ( 1992 , pp. 118ff), Slotegraaf and Dickson ( 2004 , pp. 380f).

Cf. Arend et al. ( 2017 , pp. 1743, 1743).

Cf. Arend et al. ( 2017 , p. 1741), Grant ( 2003 , p. 509).

Cf. Griffin ( 1997 , pp. 30ff).

Cf. Brown and Eisenhardt ( 1995 , pp. 372ff).

Ali and Shaw ( 1988 , p. 107).

Cf. Brock and Barry ( 2003 , p. 555).

Cf. Brock and Barry ( 2003 , p. 548), Lorange ( 1980 , pp. 2ff), Miller and Cardinal ( 1994 , p. 1651), Robinson Jr and Pearce ( 1983 , pp. 197ff).

Cf. Brock and Barry ( 2003 , p. 548).

Brock and Barry ( 2003 , p. 544).

Please refer to Sect. 2.2.2 .

Cf. Ansoff ( 1987 , p. 505), Camillus ( 2018 , pp. 920f), Quinn ( 1980 , pp. 97ff).

van Maanen and Schein ( 1977 , pp. 1f).

Cf. Griffeth et al. ( 2000 , pp. 483ff).

Cf. Kaplan and Minton ( 2012 , p. 81).

Cf. Palomino and Peyrache ( 2013 , pp. 1301f).

Cf. Brews and Purohit ( 2007 , pp. 78f), Burgelman et al. ( 2018 , pp. 535f).

Cf. Hutzschenreuter and Kleindienst ( 2006 , pp. 702ff).

Brock et al. ( 2000 , p. 689).

Mintzberg ( 1973 , p. 53).

Hamel ( 1996 , p. 70).

See Lyles et al. ( 1993 ), Nadler ( 1994 ).

Cf. Greenley ( 1994 , p. 384).

Cf. Nadler ( 1994 , p. 30).

See Ansoff ( 1991 ). Armstrong ( 1982 ), Grinyer et al. ( 1986 ).

Cf. Miller and Cardinal (p. 1650).

Eichhorn and Towers ( 2018 , p. 2).

Cf. Falshaw et al. ( 2006 , p. 11).

Cf. Bromiley and Rau ( 2016 , p. 174).

See Gluck et al. ( 1982 ), Hax and Majluf ( 1984 ), Hunger and Wheelen ( 2009 ), Hurst ( 1986 ).

Cf. Hungenberg ( 2014 , pp. 19f).

Cf. Hunger and Wheelen ( 2009 , pp. 4ff).

Cf. Barr and Glynn ( 2004 , p. 65).

Cf. Barkema et al. ( 2015 , p. 463), Barringer and Bluedorn ( 1999 , p. 423).

Cf. Aldehayyat ( 2011 , pp. 193ff, 2015 , pp. 459ff), Ginter and Duncan ( 1990 , pp. 91ff), Hambrick ( 1982 , pp. 159ff).

Cf. Aldehayyat ( 2011 , pp. 193ff, 2015 , pp. 459ff), Bérard and Delerue ( 2010 , p. 168), Ghoshal ( 1988 , p. 69), Hambrick ( 1982 , pp. 159ff), Jain ( 1984 , pp. 117ff), Porter ( 1985 , p. 451).

Aguilar ( 1967 , p. 1).

Classical decision theory assumes a sequential three-step process starting by “ask[ing] the right questions, continues by discovering creative answers and finishes by making sure that the chosen solution is valuable and useful” and thereby assumes fully rational decision-makers who base their decisions on full certainty and with a complete set of information (Li 2008 , p. 151).

Cf. Feldman and March ( 1981 , p. 182).

Cf. Feldman and March ( 1981 , p. 175).

Daft and Weick ( 1984 , p. 286).

Cf. Choo ( 2001 , n.p.), Daft et al. ( 1988 , pp. 126ff).

Cf. Daft and Weick ( 1984 , pp. 286ff).

Cf. Choo ( 2001 , n.p.).

Cf. Daft and Weick ( 1984 , pp. 285ff), Sirmon et al. ( 2007 , pp. 274ff), Vecchiato ( 2015 , pp. 257ff).

Cf. Barringer and Bluedorn ( 1999 , p. 423).

Cf. Hunger and Wheelen ( 2009 , pp. 6; 49f).

Cf. Ebrahimi ( 2000 , pp. 68f).

Cf. Daft et al. ( 1988 , pp. 135f).

Cf. Choo ( 2001 , n.p.), Ebrahimi ( 2000 , p. 76), Hungenberg ( 2014 , pp. 87ff).

Cf. Barron et al. ( 2015 , 601ff).

Cf. Miller and Friesen ( 1983 , p. 223).

Cf. Bachmann et al. ( 2016 , p. 299).

Cf. Barringer and Bluedorn (pp. 433ff).

Cf. Rogers et al. ( 1999 , pp. 567ff).

Cf. Aldehayyat ( 2015 , p. 475).

Please refer to section “Market-Based View”.

Cf. Jennings and Lumpkin ( 1992 , p. 799).

Cf. Jain ( 1984 , pp. 117ff), Thomas ( 1980 , pp. 20ff).

Cf. Ebrahimi ( 2000 , p. 68).

Cf. Chattopadhyay et al. ( 2001 , p. 952).

Cf. O’Regan et al. ( 2007 , pp. 6ff).

Cf. Sallivan and Nonaka ( 1988 , pp. 6ff).

Cf. Daft et al. ( 1988 , pp. 135ff).

Cf. Schneider and De Meyer ( 1991 , pp. 307ff).

Cf. Hambrick and Mason ( 1984 , p. 193).

Cf. Ireland et al. ( 1987 , p. 470), Knight et al. ( 1999 , pp. 445ff), Souitaris and Marcello Maestro ( 2010 , pp. 653ff), Wang et al. ( 2012 , pp. 572ff).

Cf. Hutzschenreuter and Kleindienst ( 2006 , pp. 676f).

Cf. Hambrick and Mason ( 1984 , pp. 197ff), Peterson et al. ( 2002 , pp. 245f).

Cf. Hambrick and Mason ( 1984 , pp. 197ff), Knight et al. ( 1999 , pp. 445ff), Peterson et al. ( 2002 , p. 247)

Wang et al. ( 2012 , p. 572).

Cf. Souitaris and Marcello Maestro (p. 654).

Cf. López-Duarte et al. ( 2016 , pp. 411ff).

Cf. Aldehayyat ( 2015 , pp. 459ff), Daft et al. ( 1988 , pp. 124f), Ebrahimi ( 2000 , p. 68).

Cf. Aldehayyat ( 2015 , pp. 459ff), Ebrahimi ( 2000 , pp. 68f), Hungenberg ( 2014 , pp. 88ff).

Cf. Johnson et al. ( 2008 , p. 65).

Cf. Burgelman et al. ( 2018 , p. 537), Eichhorn and Towers ( 2018 , p. 284), Johnson et al. ( 2008 , p. 102), Wolf and Floyd ( 2017 , p. 1772).

Schneider and De Meyer ( 1991 , p. 307).

Cf. Hungenberg ( 2014 , p. 85).

Cf. Bachmann et al. ( 2016 , p. 300), Gopinath and Hoffman ( 1995 , p. 577), Hungenberg ( 2014 , p. 9).

Cf. Schneider and De Meyer ( 1991 , p. 307).

Cf. Waddock and Isabella ( 1989 , pp. 626ff).

Cf. Newgren et al. ( 1984 , pp. 352ff).

Cf. West ( 1990 , pp. 87ff).

Cf. Subramanian et al. ( 1993 , pp. 271ff).

Cf. Costa ( 1995 , pp. 4ff).

Cf. Bachmann et al. ( 2016 , p. 299), Barringer and Bluedorn ( 1999 , 432ff).

Cf. Aldehayyat ( 2015 , pp. 474f).

Cf. Lenz and Engledow ( 1986 , pp. 70f).

Hunger and Wheelen ( 2009 , p. 6).

Cf. Palich and Gomez-Mejia ( 1999 , p. 596).

Cf. Schneider ( 1989 , pp. 149ff).

Cf. Parnell et al. (p. 525).

Cf. Ali and Shaw ( 1988 , p. 110), Hay and Usunier ( 1993 , pp. 317ff).

Hoffman ( 2007 , p. 28).

Cf. Mintzberg ( 1993 , p. 32).

Cf. Armstrong ( 1982 , p. 199).

Cf. Bea and Haas ( 2017 , pp. 70ff), Hay and Usunier ( 1993 , pp. 315ff), Hungenberg ( 2014 , pp. 9ff), Hunger and Wheelen ( 2009 , pp. 6ff), Johnson et al. ( 2008 , p. 209), Pasha and Poister ( 2017 , pp. 504ff).

Cf. Hunger and Wheelen ( 2009 , p. 9).

Cf. Clercq et al. ( 2010 , pp. 87ff).

Cf. Armstrong ( 1982 , pp. 198ff), Idenburg ( 1993 , p. 133f).

Cf. Hungenberg ( 2014 , p. 10).

Singh ( 1998 , p. 146).

Cf. Hrebiniak ( 2006 , pp. 12, 14), Li et al. ( 2008 , pp. 3ff).

Cf. Hungenberg ( 2014 , p. 10), Hunger and Wheelen ( 2009 , p. 9).

Cf. Li et al. ( 2008 , pp. 18ff), Powell ( 1992 , p. 552).

Cf. Judge and Stahl ( 1995 , p. 105).

Cf. Alexander ( 1985 , pp. 91ff), Allio ( 2005 , pp. 12ff).

Cf. Kim and Mauborgne ( 1995 , pp. 44ff), Singh ( 1998 , pp. 160ff).

Cf. Alexander ( 1985 , pp. 91ff), Hrebiniak ( 2006 , p. 13), Li et al. ( 2008 , pp. 11ff).

Allio ( 2005 , p. 13).

Cf. Bourgeois and Eisenhardt ( 1988 , p. 833).

Cf. Mufudza et al. ( 2013 , pp. 24ff).

Cf. Hunger and Wheelen ( 2009 , p. 2).

Cf. Hungenberg ( 2014 , pp. 10f), Palich and Gomez-Mejia ( 1999 , p. 598).

Cf. Bea and Haas ( 2017 , pp. 19ff), Hunger and Wheelen ( 2009 , pp. 10f), Palich and Gomez-Mejia ( 1999 , p. 598).

Cf. Miller and Cardinal ( 1994 , p. 1651).

Cf. Chandler ( 1962 , pp. 13f), Hungenberg ( 2014 , pp. 9f).

Cf. Schreyögg and Steinmann ( 1987 , p. 91).

Cf. Argyris ( 1977 , p. 114).

Cf. de Waal and de Boer ( 2017 , p. 150).

Armstrong ( 1982 , p. 198).

Cf. Armstrong ( 1982 , p. 200), Hunger and Wheelen ( 2009 , pp. 10f).

Cf. Barringer and Bluedorn ( 1999 , pp. 426f).

Hofstede ( 1980b , p. 49).

Cf. Bracker ( 1980 , p. 219), Hofstede ( 1983 , 75ff, 1993, p. 93), Holt ( 2011 , pp. 80f), Samiee and Athanassiou ( 1998 , p. 86).

Cf. Bird and Mendenhall ( 2016 , p. 116).

Between 2000 and 2015, the number of US companies in the Fortune Global 500 list declined from 179 to 128, while the number of Chinese firms grew from 10 to 98. Similarly in the year 2000, 17 of the top 20 business schools in the Financial Times Full-time MBA ranking were located in the USA, while this number declined to 10 business schools in 2015 (see Whittington ( 2017 , p.34)).

Cf. Whittington ( 2017 , p. 34).

Cf. Adegboye ( 2013 , p. 206), Harzing et al. ( 2009 , p. 418), Hoffman ( 2007 , p. 27), Parnell et al. ( 2000 , p. 520).

Cf. Ang and Massingham ( 2007 , p. 16).

Cf. Peng et al. ( 2008 , p. 921).

Cf. Ansoff ( 1987 , pp. 505ff), Holt ( 2011 , p. 83), Schneider and De Meyer ( 1991 , p. 308).

Cf. Elbanna and Child ( 2007 , pp. 569f, 577), Iaquinto and Fredrickson ( 1997 , pp. 66f).

Cf. Amason and Sapienza ( 1997 , p. 499), Haleblian and Finkelstein ( 1993 , pp. 845ff, 855ff), Iaquinto and Fredrickson ( 1997 , pp. 66f), Yoon et al. ( 2016 , pp. 762f, 772ff).

Cf. Ferrier ( 2001 , p. 862), Rao and Tilt ( 2016 , 333ff), Yoon et al. ( 2016 , pp. 764ff, 772).

Cf. Chen and Li ( 2005 , pp. 626f, 630ff), Hitt et al. ( 1997 , p. 160).

Cf. Ferrier ( 2001 , p. 862), Iaquinto and Fredrickson ( 1997 , pp. 66f), Tulung and Ramdani ( 2016 , p. 164).

Please refer to section “Factors Influencing Environmental Scanning”.

Cf. Schneider and De Meyer ( 1991 , p. 308).

Cf. Dean Jr and Sharfman ( 1993 , p. 589), Dutton ( 1993 , p. 339), Dutton and Ashford ( 1993 , p. 397), Rindova ( 1999 , p. 954).

Ali and Shaw ( 1988 , p. 125).

Cf. Huang ( 2009 , pp. 2ff).

Cf. Bartlett and Ghoshal ( 1991 , p. 9).

Cf. Meyer and Rowan ( 1977 , p. 346), Peng et al. ( 2008 , p. 923).

Ingram and Silverman ( 2002 , p. 20).

Cf. Gerhart ( 2008 , pp. 259f).

Cf. Hofstede ( 1980b , p. 62).

Cf. Li et al. ( 2001 , p. 117), Tutar et al. ( 2014 , p. 351).

Cf. Singh ( 2007 , p. 425).

Cf. Holmes et al. ( 2013 , pp. 535ff), March and Olsen ( 1983 , pp. 734ff).

Cf. Holmes et al. ( 2013 , p. 535), Jackson and Deeg ( 2008 , pp. 541, 555), Levy and Pablo ( 1993 , pp. 215ff), Richter et al. ( 2016 , p. 65).

Cf. Holmes et al. ( 2013 , pp. 535ff), Lozano and Rodríguez ( 2011 , pp. 206ff).

Cf. Barkema et al. ( 2015 , p. 462), Peng et al. ( 2008 , p. 921).

Cf. Peterson et al. ( 2002 , p. 252).

Cf. Peng ( 2002 , pp. 259ff), Peng et al. ( 2008 , pp. 921f), Peng et al. ( 2009 , pp. 69f).

Cf. Luo et al. ( 2011 , p. 195).

Cf. Zhu et al. ( 2012 , p. 1135).

Cf. Helpman ( 1993 , pp. 1247f), Soete ( 2007 , 274ff).

Cf. Hill ( 1995 , pp. 119ff).

Cf. Chavance ( 2008 , pp. 57ff), Powell ( 1991 , pp. 183ff).

Cf. Fan ( 1998 , p. 208).

Hofstede et al. ( 2010 , p. 24).

Cf. Holmes et al. ( 2013 , p. 533), North ( 1990 , p. 42), Peng et al. ( 2008 , p. 922), Richter et al. ( 2016 , p. 65), Scott ( 1995 , pp. 38ff).

Dwyer et al. ( 2005 , p. 19).

Cf. Beugelsdijk et al. ( 2017 , pp. 30f).

Cf. Flatten et al. ( 2015 , p. 521), House et al. ( 2002 , p. 3), Kirkman et al. ( 2017 , pp. 13f), Rohlfer and Zhang ( 2016 , p. 41), Tutar et al. ( 2014 , p. 345).

Hofstede ( 1980b , p. 43).

Cf. Matsumoto et al. ( 2008 , p. 926).

Richter et al. ( 2016 , p. 65).

Cf. Cooke and Rousseau ( 1988 , pp. 247ff).

Cf. Hofstede ( 1980a , 6f).

Cf. Schein ( 1996 , p. 9).

Cf. DiMaggio ( 1997 , pp. 267f), Holmes et al. ( 2013 , p. 534).

Cf. Fu et al. ( 2004 , pp. 288f), Tuomela ( 2003 , pp. 123ff).

Cf. Holmes et al. ( 2013 , p. 534).

Cf. Peng et al. ( 2008 , p. 922).

Cf. Peng and Heath ( 1996 , p. 505).

Cf. Elg et al. ( 2008 , pp. 674ff), Michailova and Worm ( 2003 , pp. 509ff).

Cf. Peng ( 2003 , p. 284).

Cf. Ayoun and Moreo ( 2008 , p. 65).

See Ansoff ( 1965 ), Mintzberg ( 1987b ), Porter ( 1980 ).

Cf. Hutzschenreuter and Kleindienst ( 2006 , p. 694).

Cf. Ayoun and Moreo ( 2008 , p. 67).

Cf. Calabretta et al. ( 2017 , pp. 366ff), Degravel ( 2015 , pp. 12ff), Eldar et al. ( 2016 , pp. 16ff).

Cf. Degravel ( 2015 , pp. 14f; 18f), Gilbert-Saad et al. ( 2018 , pp. 75ff).

See Hofstede ( 1980a ), House et al. ( 2002 ).

Cf. Gerhart ( 2008 , p. 260).

Cf. Kirkman et al. ( 2006 , p. 285).

Cf. Ayoun and Moreo ( 2008 , p. 66), Degravel ( 2015 , p. 15), Gannon et al. ( 2006 , p. 40), Geletkanycz ( 1997 , pp. 615ff), Lin et al. ( 2019 , p. 3115).

Hitt and Tyler ( 1991 , p. 332).

Cf. Pant and Lachman ( 1998 , p. 195).

Cf. Harzing ( 1997 , pp. 654ff), Hofstede ( 1993 , pp. 91ff), Holt ( 2011 , pp. 80f).

Cf. Leung et al. ( 2005 , p. 368).

Hofstede ( 1983 , p. 88).

Cf. Ayoun and Moreo ( 2008 , pp. 66f).

Cf. Maruyama ( 1985 , pp. 125ff).

Cf. Pisani et al. ( 2009 , p. 1135).

Cf. Degravel ( 2015 , pp. 13f, 20).

Cf. Ghoshal and Bartlett ( 1998 , pp. 110f).

Cf. Grinyer et al. ( 1986 , pp. 3ff), Miller and Cardinal ( 1994 , pp. 1651f).

Cf. Mauri and Michaels (pp. 214ff).

Cf. Armstrong ( 1982 , pp. 202f).

See Mauri and Michaels ( 1998 ), McGahan and Porter ( 1997 , 2003 ), Rumelt ( 1991 ).

Cf. Mauri and Michaels ( 1998 , pp. 213ff).

Cf. Yasai-Ardekani and Haug ( 1997 , 729ff).

Cf. Barney ( 1991 , pp. 105ff), Wernerfelt ( 1984 , pp. 172ff).

Cf. Godfrey and Hill ( 1995 , pp. 519ff).

Cf. Hart and Banbury ( 1994 , 256), Holt ( 2011 , 81f).

Cf. Holt ( 2011 , p. 81).

Cf. Fredrickson and Mitchell ( 1984 , pp. 401ff), Robinson Jr and Pearce ( 1983 , pp. 197ff).

Cf. Ali ( 2018 , p. 13).

Cf. Hutzschenreuter and Kleindienst ( 2006 , p. 693).

Hickson et al. ( 1974 , p. 64).

Cf. Wolf and Floyd ( 2017 , pp. 1760, 1763).

Cf. Ferrier ( 2001 , p. 872), Greckhamer et al. ( 2008 , p. 719), McCaskey ( 1974 , p. 288).

Cf. Eddleston et al. ( 2013 , p. 1187), Lester et al. ( 2003 , pp. 339ff), McCaskey ( 1974 , p. 287), Withane ( 1997 , pp. 689ff).

Cf. Anderson and Zeithaml ( 1984 , pp. 5ff).

Cf. Marginson ( 2002 , pp. 1019ff), Simons ( 1990 , p. 127).

Cf. Bloom and van Reenen ( 2007 , p. 1352).

Cf. Ferrier ( 2001 , p. 871), Fredrickson ( 1985 , p. 821), Lant et al. ( 1992 , pp. 585ff), Talaulicar et al. ( 2005 , p. 526).

Cf. Dutton ( 1993 , pp. 341ff).

Cf. Miller ( 1993 , pp. 116ff).

Cf. Papadakis et al. ( 1998 , 116ff).

Cf. Bloom and van Reenen (p. 1357).

Cf. Baum and Wally ( 2003 , pp. 1112f), Elenkov ( 1997 , pp. 294ff), Khatri and Ng ( 2000 , pp. 59ff).

Cf. Yasai-Ardekani and Haug ( 1997 , p. 732).

Cf. Bloom and van Reenen ( 2007 , pp. 1356f).

Cf. Mauri and Michaels ( 1998 , pp. 215ff), Rumelt ( 1991 , pp. 176ff).

Cf. Ghoshal and Bartlett ( 1990 , p. 604), Sageder and Feldbauer-Durstmüller ( 2019 , p. 876), Schuler et al. ( 1993 , p. 420), Vora et al. ( 2007 , p. 596).

Cf. Ghoshal and Bartlett ( 1998 , pp. 6ff), Harzing ( 2000 , pp. 102f), Lin and Hsieh ( 2010 , p. 53).

Cf. Ambos and Mueller-Stewens ( 2017 , p. 12), Gupta and Govindarajan ( 1991 , p. 768), Lin and Hsieh ( 2010 , p. 53), Sageder and Feldbauer-Durstmüller ( 2019 , p. 876).

Porter ( 1986 , p. 17).

Cf. Alfoldi et al. ( 2012 , p. 281), Birkinshaw et al. ( 1998 , p. 222), Hungenberg ( 2014 , pp. 15ff), Jarzabkowski and Kaplan ( 2015 , p. 544), Ketchen and Shook ( 1996 , p. 441), Kutschker and Schmid ( 2004 , pp. 483), Taggart ( 1996 , p. 542).

Cf. Ayoun and Moreo ( 2008 , p. 67), Bachmann et al. ( 2016 , p. 297), Hunger and Wheelen ( 2009 , pp. 7f), Wolf and Floyd ( 2017 , pp. 1765ff).

Cf. Goold et al. ( 1998 , pp. 308ff), Hungenberg ( 2014 , pp. 15f), Hunger and Wheelen ( 2009 , pp. 7f), Johnson et al. ( 2008 , pp. 303ff).

Cf. Hungenberg ( 2014 , pp. 15f), Hunger and Wheelen ( 2009 , pp. 7f).

Cf. Hunger and Wheelen ( 2009 , pp. 7f), Luo et al. ( 2011 , p. 190), Ondrack ( 1985 , pp. 1f).

Cf. Hungenberg ( 2014 , p. 17).

Cf. Jarzabkowski and Kaplan ( 2015 , p. 544).

Cf. Bartlett and Ghoshal ( 1991 , p. 9), Birkinshaw and Morrison ( 1995 , pp. 730f).

Cf. Kim and Mauborgne ( 1993 , p. 420), Palich and Gomez-Mejia ( 1999 , p. 597).

Cf. Gammelgaard et al. ( 2012 , p. 1158).

Cf. Gammelgaard et al. ( 2012 , pp. 1158ff), Kirkman et al. ( 2006 , pp. 306f), Michailova and Mustaffa ( 2012 , p. 383), Paterson and Brock ( 2002 , pp. 141f), Young and Tavares ( 2004 , pp. 218ff).

Cf. Ali and Shaw ( 1988 , p. 120), Rosenzweig and Singh ( 1991 , p. 342).

Spotify has established an agile organizational structure focusing on autonomy and alignment simultaneously (please refer to Kniberg and Ivarsson ( 2012 ) for further information).

Cf. Bartlett and Ghoshal ( 1987 , p. 14), Harzing ( 2000 , pp. 101f), Kutschker and Schmid ( 2004 , p. 299), Smite et al. ( 2019 , pp. 51f).

Cf. Kim and Mauborgne ( 1993 , p. 420), Palich and Gomez-Mejia ( 1999 , p. 597), Sageder and Feldbauer-Durstmüller ( 2019 , p. 884).

Cf. Narula ( 2014 , p. 4), Yeung et al. ( 2001 , p. 165).

Cf. Idenburg ( 1993 , p. 133).

Cf. Alfoldi et al. ( 2012 , p. 279), Ciabuschi et al. ( 2012 , p. 215), Herbert ( 1999 , p. 81f), Kim and Mauborgne ( 1993 , p. 420), Kutschker and Schmid ( 2004 , p. 292), Narula ( 2014 , p. 4), Veliyath and Shortell ( 1993 , pp. 366f).

Cf. Yeung et al. ( 2001 , p. 165).

Cf. Gupta and Govindarajan ( 1991 , p. 769).

Cf. Arenas and Ayuso ( 2016 , p. 220).

Cf. Herbert ( 1999 , p. 81), Kim and Mauborgne ( 1993 , p. 424), Meyer and Rowan ( 1977 , p. 344), Rabbiosi ( 2011 , p. 97), Smelser and Baltes ( 2001 , p. 10197).

Cf. Kutschker and Schmid ( 2004 , p. 292), Narula ( 2014 , p. 4), Yeung et al. ( 2001 , p. 165).

Cf. Hout et al. ( 1982 , p. 98).

Cf. Bartlett and Ghoshal ( 1987 , p. 7), Ghoshal and Bartlett ( 1998 , pp. 16ff; 79f), Harzing ( 2000 , p. 107f), Svensson ( 2001 , p. 9).

Cf. Trefry ( 2006 , pp. 563ff), Tutar et al. ( 2014 , p. 345).

Cf. Young and Tavares ( 2004 , p. 218).

Cf. Taggart and Hood ( 1999 , p. 228).

Cf. Herbert ( 1999 , pp. 81f).

Cf. Chow et al. ( 1999 , pp. 561f), Dimitratos et al. ( 2009 , p. 412).

Cf. Birkinshaw et al. ( 2000 , pp. 323).

As introduced in Sect. 2.2.2 .

Cf. Alfoldi et al. ( 2012 , p. 282), Chang and Taylor ( 1999 , pp. 544, 557), Liu et al. ( 2014 , p. 221), Nobel and Birkinshaw ( 1998 , p. 483).

Cf. Kim and Mauborgne ( 1993 , p. 424).

Cf. Ghoshal and Bartlett ( 1998 , p. 16), Kim and Mauborgne ( 1993 , p. 424), Lin and Hsieh ( 2010 , p. 53), Narula ( 2014 , p. 10).

Scott et al. ( 2010 , pp. 328ff), Wolf and Egelhoff ( 2010 , p. 144).

Cf. Birkinshaw and Morrison ( 1995 , pp. 737f), Hedlund ( 1986 , pp. 9ff).

Cf. Gammelgaard et al. ( 2012 , p. 1160), Gupta and Govindarajan ( 1991 , p. 770).

Cf. Hedlund ( 1986 , pp. 24f).

Cf. Persson ( 2006 , p. 548), Rabbiosi ( 2011 , p. 97), Scott et al. ( 2010 , pp. 329f), Taggart ( 1996 , p. 533).

Cf. Fang et al. ( 2013 , p. 30).

Cf. Hedlund ( 1986 , pp. 21;24).

Cf. Hedlund ( 1986 , p. 21), Macharzina ( 2009 , p. 47).

Cf. Yeniyurt ( 2003 , pp. 137f).

Cf. Birkinshaw et al. ( 2000 , p. 321).

Cf. Andersson and Pahlberg ( 1997 , p. 320).

Cf. Ghoshal and Nohria ( 1989 , pp. 324f).

Cf. Gammelgaard et al. ( 2012 , pp. 1160f), Schmid et al. ( 2014 , p. 215), Taggart ( 1999 , pp. 237f), Taggart and Hood ( 1999 , pp. 227f).

Cf. Gammelgaard et al. ( 2012 , pp. 1159ff), Madhok ( 2015 , p. 628), Rabbiosi ( 2011 , p. 97), Scott et al. ( 2010 , pp. 329ff), Taggart and Hood ( 1999 , p. 228), Williams and van Triest ( 2009 , p. 157).

Cf. Williams and van Triest ( 2009 , p. 158).

Cf. Kim and Mauborgne ( 1993 , p. 424), Taggart ( 1996 , p. 542), Young and Tavares ( 2004 , pp. 218ff).

Cf. Taggart ( 1999 , p. 247).

Cf. Taggart and Hood ( 1999 , p. 227).

Cf. Paterson and Brock ( 2002 , pp. 141f), Taggart and Hood ( 1999 , p. 227), Wolf and Floyd ( 2017 , p. 1768).

Cf. Williams and van Triest ( 2009 , p. 156).

Cf. Kawai and Strange ( 2014 , pp. 510ff).

Cf. Narula ( 2014 , p. 10).

Cf. Ghoshal and Bartlett ( 1998 , p. 287).

Cf. Feurer and Chaharbaghi ( 1995 , p. 19), Hodgkinson et al. ( 2006 , pp. 480f).

Cf. Palich and Gomez-Mejia ( 1999 , p. 598).

Cf. Scott et al. ( 2010 , pp. 329f).

Cf. Feurer and Chaharbaghi ( 1995 , p. 18).

Cf. Andersson and Pahlberg ( 1997 , p. 319), Birkinshaw et al. ( 1998 , p. 222), Ciabuschi et al. ( 2012 , p. 217), Paterson and Brock ( 2002 , p. 141).

Cf. Bartlett and Ghoshal ( 1986 , pp. 90ff), Kutschker and Schmid ( 2004 , p. 338).

Cf. Andersson and Pahlberg ( 1997 , p. 320), Ayoun and Moreo ( 2008 , p. 67), Ciabuschi et al. ( 2012 , p. 215), Hodgkinson et al. ( 2006 , p. 480), Veliyath and Shortell ( 1993 , p. 365).

Cf. Wolf and Floyd ( 2017 , p. 1768).

Cf. Armstrong ( 1982 , p. 201).

A mental model can be defined as an individual’s cognitive structure to interpret situations. The structure is consisting of different elements and relations (see Zahn and Foschiani ( 2006 , p. 85)).

Cf. Meyer and Rowan ( 1977 , p. 341), Whittington ( 2017 , p. 34), Zahn and Foschiani ( 2006 , pp. 84f).

Cf. Hedlund ( 1986 , p. 21), Scott et al. ( 2010 , pp. 329f).

Cf. Kutschker and Schmid ( 2004 , pp. 670ff; 780f), Viegas-Pires ( 2013 , p. 363).

Donthu and Yoo ( 1998 , p. 183).

Cf. Ambos and Mueller-Stewens ( 2017 , p. 14), Herbert ( 1999 , p. 82).

Cf. Peng ( 2002 , p. 256).

Cf. Barkema et al. ( 2015 , p. 462), Brouthers et al. ( 2000 , p. 864).

Cf. Chong and Park ( 2003 , p. 33).

Cf. Herbert ( 1999 , pp. 82ff), Paterson and Brock ( 2002 , pp. 155ff).

Cf. Chow et al. ( 1999 , p. 579).

Cf. Ambos and Mueller-Stewens ( 2017 , p. 14), Herbert ( 1999 , pp. 85ff), Whittington ( 2017 , p. 34).

Cf. Oesterle and Weikum ( 2019 , pp. 13f).

Cf. Meyer and Rowan ( 1977 , p. 355).

Cf. Brock et al. ( 2008 , pp. 1294f).

Cf. Ambos and Mueller-Stewens ( 2017 , p. 13), Herbert ( 1999 , p. 81), Whittington ( 2017 , p. 33).

Ahlvik and Björkman ( 2015 , p. 498).

Cf. Brock and Barry ( 2003 , p. 546).

Hedlund ( 1986 , p. 26).

Cf. Feurer and Chaharbaghi ( 1995 , p. 19), Hedlund ( 1986 , p. 29), Zahn and Foschiani ( 2001 , p. 417).

Cf. Williams and Lee ( 2011 , p. 261).

de Geus ( 1988 , p. 71).

Cf. Ali and Shaw ( 1988 , pp. 116ff), Gammelgaard et al. ( 2012 , p. 1161), Madhok ( 2015 , p. 628), Scott et al. ( 2010 , p. 329f), Taggart ( 1999 , p. 233ff), Wolf and Floyd ( 2017 , pp. 1768f).

Cf. Cattani et al. ( 2011 , pp. XVIff), Grabher ( 2004 , p. 1491), Turner and Müller ( 2003 , pp. 2ff).

Please refer to Sect. 2.4.1 .

Cf. Veliyath and Shortell ( 1993 , pp. 365f).

Williams and Lee ( 2011 , p. 255).

Cf. Bartlett and Ghoshal ( 1987 , p. 7), Kutschker and Schmid ( 2004 , p. 292).

Cf. Persson ( 2006 , p. 547), Rabbiosi and Santangelo ( 2013 , p. 160).

Fang et al. ( 2013 , p. 31).

Cf. Williams and Lee ( 2011 , p. 259).

Cf. Cohen and Levinthal ( 1990 , p. 128), Fang et al. ( 2013 , p. 30).

Cf. Williams and Lee ( 2011 , p. 260).

Cf. Narula ( 2014 , p. 11), Rabbiosi and Santangelo ( 2013 , p. 163).

Cf. Chandler ( 1962 , p. 383), Mauri and Michaels ( 1998 , pp. 211f).

Cf. Kim and Mauborgne ( 1993 , pp. 443f).

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Cf. Kim and Mauborgne ( 1993 , p. 422).

Cf. Rahim et al. ( 2000 , pp. 13f).

Kim and Mauborgne ( 1993 , p. 422).

Cf. Cropanzano and Mitchell ( 2005 , p. 874).

Cf. Cropanzano and Mitchell ( 2005 , pp. 875ff), Kim and Mauborgne ( 1993 , p. 423).

Cf. Kim and Mauborgne ( 1993 , pp. 424f).

Cf. Egelhoff ( 1991 , pp. 345ff).

Cf. Alfoldi et al. ( 2012 , p. 281).

Cf. Kim and Mauborgne ( 1993 , pp. 422f).

Cf. Lin and Hsieh ( 2010 , pp. 52, 54), Mirchandani and Lederer ( 2014 , p. 30).

Cf. Birkinshaw et al. ( 2000 , pp. 321f), Ghoshal and Bartlett ( 1990 , p. 604).

Liu et al. ( 2014 , p. 219).

Cf. Chang and Taylor ( 1999 , p. 542), Liu et al. ( 2014 , p. 219).

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Cf. Martinez and Jarillo ( 1989 , p. 491).

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Cf. Birkinshaw and Morrison ( 1995 , p. 738), Michailova and Mustaffa ( 2012 , p. 383), Scott et al. ( 2010 , p. 331).

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Cf. Kim and Mauborgne ( 1993 , p. 420).

Cf. Persson ( 2006 , pp. 561f), Rabbiosi ( 2011 , p. 108).

Cf. Rabbiosi ( 2011 , p. 98), Williams and van Triest ( 2009 , p. 164).

Cf. Prahalad and Doz ( 1981 , p. 5).

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Schühly, A.M. (2022). What Is Strategic Management and Why Do We Need It: Theoretical Foundations of Strategic Management. In: Cultural Influences on the Process of Strategic Management. MIR Series in International Business. Springer, Cham. https://doi.org/10.1007/978-3-030-86660-0_2

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Rapid literature review: definition and methodology

Beata smela.

a Assignity, Cracow, Poland

Mondher Toumi

b Public Health Department, Aix-Marseille University, Marseille, France

Karolina Świerk

Clement francois, małgorzata biernikiewicz.

c Studio Slowa, Wroclaw, Poland

Emilie Clay

d Clever-Access, Paris, France

Laurent Boyer

Introduction: A rapid literature review (RLR) is an alternative to systematic literature review (SLR) that can speed up the analysis of newly published data. The objective was to identify and summarize available information regarding different approaches to defining RLR and the methodology applied to the conduct of such reviews.

Methods: The Medline and EMBASE databases, as well as the grey literature, were searched using the set of keywords and their combination related to the targeted and rapid review, as well as design, approach, and methodology. Of the 3,898 records retrieved, 12 articles were included.

Results: Specific definition of RLRs has only been developed in 2021. In terms of methodology, the RLR should be completed within shorter timeframes using simplified procedures in comparison to SLRs, while maintaining a similar level of transparency and minimizing bias. Inherent components of the RLR process should be a clear research question, search protocol, simplified process of study selection, data extraction, and quality assurance.

Conclusions: There is a lack of consensus on the formal definition of the RLR and the best approaches to perform it. The evidence-based supporting methods are evolving, and more work is needed to define the most robust approaches.

Introduction

A systematic literature review (SLR) summarizes the results of all available studies on a specific topic and provides a high level of evidence. Authors of the SLR have to follow an advanced plan that covers defining a priori information regarding the research question, sources they are going to search, inclusion criteria applied to choose studies answering the research question, and information regarding how they are going to summarize findings [ 1 ].

The rigor and transparency of SLRs make them the most reliable form of literature review [ 2 ], providing a comprehensive, objective summary of the evidence for a given topic [ 3 , 4 ]. On the other hand, the SLR process is usually very time-consuming and requires a lot of human resources. Taking into account a high increase of newly published data and a growing need to analyze information in the fastest possible way, rapid literature reviews (RLRs) often replace standard SLRs.

There are several guidelines on the methodology of RLRs [ 5–11 ]; however, only recently, one publication from 2021 attempted to construct a unified definition [ 11 ]. Generally, by RLRs, researchers understand evidence synthesis during which some of the components of the systematic approach are being used to facilitate answering a focused research question; however, scope restrictions and a narrower search strategy help to make the project manageable in a shorter time and to get the key conclusions faster [ 4 ].

The objective of this research was to collect and summarize available information on different approaches to the definition and methodology of RLRs. An RLR has been run to capture publications providing data that fit the project objective.

To find publications reporting information on the methodology of RLRs, searches were run in the Medline and EMBASE databases in November 2022. The following keywords were searched for in titles and abstracts: ‘targeted adj2 review’ OR ‘focused adj2 review’ OR ‘rapid adj2 review’, and ‘methodology’ OR ‘design’ OR ‘scheme’ OR ‘approach’. The grey literature was identified using Google Scholar with keywords including ‘targeted review methodology’ OR ‘focused review methodology’ OR ‘rapid review methodology’. Only publications in English were included, and the date of publication was restricted to year 2016 onward in order to identify the most up-to-date literature. The reference lists of each included article were searched manually to obtain the potentially eligible articles. Titles and abstracts of the retrieved records were first screened to exclude articles that were evidently irrelevant. The full texts of potentially relevant papers were further reviewed to examine their eligibility.

A pre-defined Excel grid was developed to extract the following information related to the methodology of RLR from guidelines:

• Definition,
• Research question and searches,
• Studies selection,
• Data extraction and quality assessment,
• Additional information.

There was no restriction on the study types to be analyzed; any study reporting on the methodology of RLRs could be included: reviews, practice guidelines, commentaries, and expert opinions on RLR relevant to healthcare policymakers or practitioners. The data extraction and evidence summary were conducted by one analyst and further examined by a senior analyst to ensure that relevant information was not omitted. Disagreements were resolved by discussion and consensus.

Studies selection

A total of 3,898 records (3,864 articles from a database search and 34 grey literature from Google Scholar) were retrieved. After removing duplicates, titles and abstracts of 3,813 articles were uploaded and screened. The full texts of 43 articles were analyzed resulting in 12 articles selected for this review, including 7 guidelines [ 5–11 ] on the methodology of RLRs, together with 2 papers summarizing the results of the Delphi consensus on the topic [ 12 , 13 ], and 3 publications analyzing and assessing different approaches to RLRs [ 4 , 14 , 15 ].

Overall, seven guidelines were identified: from the World Health Organization (WHO) [ 5 ], National Collaborating Centre for Methods and Tools (NCCMT) [ 7 ], the UK government [ 8 ], the Oxford Centre for Evidence Based Medicine [ 9 ], the Cochrane group [ 6 , 11 ], and one multi-national review [ 10 ]. Among the papers that did not describe the guidelines, Gordon et al. [ 4 ] proposed 12 tips for conducting a rapid review in the right settings and discussed why these reviews may be more beneficial in some circumstances. The objective of work conducted by Tricco et al. [ 13 ] and Pandor et al. [ 12 ] was to collect and compare perceptions of rapid reviews from stakeholders, including researchers, policymakers, industry, journal editors, and healthcare providers, and to reach a consensus outlining the domains to consider when deciding on approaches for RLRs. Haby et al. [ 14 ] run a rapid review of systematic reviews and primary studies to find out the best way to conduct an RLR in health policy and practice. In Tricco et al. (2022) [ 15 ], JBI position statement for RLRs is presented.

From all the seven identified guidelines information regarding definitions the authors used for RLRs, approach to the PICOS criteria and search strategy development, studies selection, data extractions, quality assessment, and reporting were extracted.

Cochrane Rapid Reviews Methods Group developed methods guidance based on scoping review of the underlying evidence, primary methods studies conducted, as well as surveys sent to Cochrane representative and discussion among those with expertise [ 11 ]. They analyzed over 300 RLRs or RLR method papers and based on the methodology of those studies, constructed a broad definition RLR, one that meets a minimum set of requirements identified in the thematic analysis: ‘ A rapid review is a form of knowledge synthesis that accelerates the process of conducting a traditional systematic review through streamlining or omitting a variety of methods to produce evidence in a resource-efficient manner .’ This interpretation aligns with more than 50% of RLRs identified in this study. The authors additionally provided several other definitions, depending on specific situations or requirements (e.g., when RLR is produced on stakeholder’s request). It was additionally underlined that RLRs should be driven by the need of timely evidence for decision-making purposes [ 11 ].

Rapid reviews vary in their objective, format, and methods used for evidence synthesis. This is a quite new area, and still no agreement on optimal methods can be found [ 5 ]. All of the definitions are highlighting that RLRs are completed within shorter timeframes than SLRs, and also lack of time is one of the main reasons they are conducted. It has been suggested that most rapid reviews are conducted within 12 weeks; however, some of the resources suggest time between a few weeks to no more than 6 months [ 5 , 6 ]. Some of the definitions are highlighting that RLRs follow the SLR process, but certain phases of the process are simplified or omitted to retrieve information in a time-saving way [ 6 , 7 ]. Different mechanisms are used to enhance the timeliness of reviews. They can be used independently or concurrently: increasing the intensity of work by intensifying the efforts of multiple analysts by parallelization of tasks, using review shortcuts whereby one or more systematic review steps may be reduced, automatizing review steps by using new technologies [ 5 ]. The UK government report [ 8 ] referred to two different RLRs: in the form of quick scoping reviews (QSR) or rapid evidence assessments (REA). While being less resource and time-consuming compared to standard SLRs, QSRs and REAs are designed to be similarly transparent and to minimize bias. QSRs can be applied to rather open-ended questions, e.g., ‘what do we know about something’ but both, QSRs and REAs, provide an understanding of the volume and characteristics of evidence on a specific topic, allowing answering questions by maximizing the use of existing data, and providing a clear picture of the adequacy of existing evidence [ 8 ].

Research questions and searches

The guidelines suggest creating a clear research question and search protocol at the beginning of the project. Additionally, to not duplicate RLRs, the Cochrane Rapid Reviews Methods Group encourages all people working on RLRs to consider registering their search protocol with PROSPERO, the international prospective register of reviews; however, so far they are not formally registered in most cases [ 5 , 6 ]. They also recommend involving key stakeholders (review users) to set and refine the review question, criteria, and outcomes, as well as consulting them through the entire process [ 11 ].

Regarding research questions, it is better to structure them in a neutral way rather than focus on a specific direction for the outcome. By doing so, the researcher is in a better position to identify all the relevant evidence [ 7 ]. Authors can add a second, supportive research question when needed [ 8 ]. It is encouraged to limit the number of interventions, comparators and outcomes, to focus on the ones that are most important for decision-making [ 11 ]. Useful could be also reviewing additional materials, e.g., SLRs on the topic, as well as conducting a quick literature search to better understand the topic before starting with RLRs [ 7 ]. In SLRs researchers usually do not need to care a lot about time spent on creating PICOS, they need to make sure that the scope is broad enough, and they cannot use many restrictions. When working on RLRs, a reviewer may spend more or less time defining each of the components of the study question, and the main step is making sure that PICOS addresses the needs of those who requested the rapid review, and at the same time, it is feasible within the required time frame [ 7 ]. Search protocol should contain an outline of how the following review steps are to be carried out, including selected search keywords and a full strategy, a list of data sources, precise inclusion and exclusion criteria, a strategy for data extraction and critical appraisal, and a plan of how the information will be synthesized [ 8 ].

In terms of searches running, in most cases, an exhaustive process will not be feasible. Researchers should make sure that the search is effective and efficient to produce results in a timely manner. Cochrane Rapid Reviews Methods Group recommends involving an information specialist and conducting peer review of at least one search strategy [ 11 ]. According to the rapid review guidebook by McMaster University [ 7 ], it is important that RLRs, especially those that support policy and program decisions, are being fed by the results of a body of literature, rather than single studies, when possible. It would result in more generalizable findings applied at the level of a population and serve more realistic findings for program decisions [ 7 ]. It is important to document the search strategy, together with a record of the date and any date limits of the search, so that it can easily be run again, modified, or updated. Furthermore, the information on the individual databases included in platform services should always be reported, as this depends on organizations’ subscriptions and must be included for transparency and repeatability [ 7 , 8 ]. Good solution for RLRs is narrowing the scope or searching a limited number of databases and other sources [ 7 ]. Often, the authors use the PubMed/MEDLINE, Cochrane Library, and Embase databases. In most reviews, two or more databases are searched, and common limits are language (usually restricted to English), date, study design, and geographical area. Some RLRs include searching of grey literature; however, contact with authors is rather uncommon [ 5 , 8 ]. According to the flexible framework for restricted systematic review published by the University of Oxford, the search should be run in at least one major scientific database such as PubMed, and one other source, e.g., Google Scholar [ 9 ]. Grey literature and unpublished evidence may be particularly needed and important for intervention questions. It is related to the fact that studies that do not report the effects of interventions are less likely to be published [ 8 ]. If there is any type of evidence that will not be considered by the RLRs, e.g., reviews or theoretical and conceptual studies, it should also be stated in the protocol together with justification [ 8 ]. Additionally, authors of a practical guide published by WHO suggest using a staged search to identify existing SLRs at the beginning, and then focusing on studies with other designs [ 5 ]. If a low number of citations have been retrieved, it is acceptable to expand searches, remove some of the limits, and add additional databases and sources [ 7 ].

Searching for RLRs is an iterative process, and revising the approach is usually needed [ 7 ]. Changes should be confirmed with stakeholders and should be tracked and reflected in the final report [ 5 ].

The next step in the rapid review is the selection of studies consisting of two phases: screening of titles and abstracts, and analysis of full texts. Prior to screening initiation, it is recommended to conduct a pilot exercise using the same 30–50 abstracts and 5–10 full-texts for the entire screening team in order to calibrate and test the review form [ 11 ]. In contrast to SLRs, it can be done by one reviewer with or without verification by a second one. If verification is performed, usually the second reviewer checks only a subset of records and compares them. Cochrane Group, in contrast, recommends a stricter approach: at least 20% of references should be double-screened at titles and abstracts stage, and while the rest of the references may be screened by one reviewer, the excluded items need to be re-examined by second reviewer; similar approach is used in full-text screening [ 11 ]. This helps to ensure that bias was reduced and that the PICOS criteria are applied in a relevant way [ 5 , 8 , 9 , 11 ]. During the analysis of titles and abstracts, there is no need to report reasons for exclusion; however, they should be tracked for all excluded full texts [ 7 ].

Data extraction and quality assessment

According to the WHO guide, the most common method for data extraction in RLRs is extraction done by a single reviewer with or without partial verification. The authors point out that a reasonable approach is to use a second reviewer to check a random sample of at least 10% of the extractions for accuracy. Dual performance is more necessary for the extraction of quantitative results than for descriptive study information. In contrast, Cochrane group recommends that second reviewer should check the correctness and completeness of all data [ 11 ]. When possible, extractions should be limited to key characteristics and outcomes of the study. The same approach to data extraction is also suggested for a quality assessment process within rapid reviews [ 5 , 9 , 11 ]. Authors of the guidebook from McMaster University highlight that data extraction should be done ideally by two reviewers independently and consensus on the discrepancies should always be reached [ 7 ]. The final decision on the approach to this important step of review should depend on the available time and should also reflect the complexity of the research question [ 9 ].

For screening, analysis of full texts, extractions, and quality assessments, researchers can use information technologies to support them by making these review steps more efficient [ 5 ].

Before data reporting, a reviewer should prepare a document with key message headings, executive summary, background related to the topic and status of the current knowledge, project question, synthesis of findings, conclusions, and recommendations. According to the McMaster University guidebook, a report should be structured in a 1:2:20 format, that is, one page for key messages, two pages for an executive summary, and a full report of up to 20 pages [ 7 ]. All the limitations of the RLRs should be analyzed, and conclusions should be drawn with caution [ 5 ]. The quality of the accumulated evidence and the strength of recommendations can be assessed using, e.g., the GRADE system [ 5 ]. When working on references quoting, researchers should remember to use a primary source, not secondary references [ 7 ]. It would be worth considering the support of some software tools to automate reporting steps. Additionally, any standardization of the process and the usage of templates can support report development and enhance the transparency of the review [ 5 ].

Ideally, all the review steps should be completed during RLRs; however, often some steps may need skipping or will not be completed as thoroughly as should because of time constraints. It is always crucial to decide which steps may be skipped, and which are the key ones, depending on the project [ 7 ]. Guidelines suggest that it may be helpful to invite researchers with experience in the operations of SLRs to participate in the rapid review development [ 5 , 9 ]. As some of the steps will be completed by one reviewer only, it is important to provide them with relevant training at the beginning of the process, as well as during the review, to minimize the risk of mistakes [ 5 ].

Additional information

Depending on the policy goal and available resources and deadlines, methodology of the RLRs may be modified. Wilson et al. [ 10 ] provided extensive guidelines for performing RLR within days (e.g., to inform urgent internal policy discussions and/or management decisions), weeks (e.g., to inform public debates), or months (e.g., to inform policy development cycles that have a longer timeline, but that cannot wait for a traditional full systematic review). These approaches vary in terms of data synthesis, types of considered evidence and project management considerations.

In shortest timeframes, focused questions and subquestions should be formulated, typically to conduct a policy analysis; the report should consist of tables along with a brief narrative summary. Evidence from SLRs is often considered, as well as key informant interviews may be conducted to identify additional literature and insights about the topic, while primary studies and other types of evidence are not typically feasible due to time restrictions. The review would be best conducted with 1–2 reviewers sharing the work, enabling rapid iterations of the review. As for RLRs with longer timeline (weeks), these may use a mix of policy, systems and political analysis. Structure of the review would be similar to shorter RLRs – tabular with short narrative summary, as the timeline does not allow for comprehensive synthesis of data. Besides SLRs, primary studies and other evidence may be feasible in this timeframe, if obtained using the targeted searches in the most relevant databases. The review team should be larger, and standardized procedures for reviewing of the results and data extraction should be applied. In contrast to previous timeframe, merit review process may be feasible. For both timeframes, brief consultations with small transdisciplinary team should be conducted at the beginning and in the final stage of the review to discuss important matters.

For RLRs spanning several months, more comprehensive methodology may be adapted in terms of data synthesis and types of evidence. However, authors advise that review may be best conducted with a small review team in order to allow for more in-depth interpretation and iteration.

Studies analyzing methodology

There have been two interesting publications summarizing the results of Delphi consensus on the RLR methodology identified and included in this review [ 12 , 13 ].

Tricco et al. [ 13 ] first conducted an international survey and scoping review to collect information on the possible approaches to the running of rapid reviews, based on which, they employed a modified Delphi method that included inputs from 113 stakeholders to explore the most optimized approach. Among the six most frequent rapid review approaches (not all detailed here) being evaluated, the approach that combines inclusion of published literature only, a search of more than one database and limitations by date and language, study selection by one analyst, data extraction, and quality assessment by one analyst and one verifier, was perceived as the most feasible approach (72%, 81/113 responses) with the potentially lowest risk of bias (12%, 12/103). The approach ranked as the first one when considering timelines assumes updating of the search from a previously published review, no additional limits on search, studies selection and data extraction done by one reviewer, and no quality assessment. Finally, based on the publication, the most comprehensive RLRs can be made by moving on with the following rules: searching more than one database and grey literature and using date restriction, and assigning one reviewer working on screening, data extraction, and risk of bias assessment ( Table 1 ). Pandor et al. [ 12 ] introduced a decision tool for SelecTing Approaches for Rapid Reviews (STARR) that were produced through the Delphi consensus of international experts through an iterative and rigorous process. Participants were asked to assess the importance of predefined items in four domains related to the rapid review process: interaction with commissioners, understanding the evidence base, data extraction and synthesis methods, and reporting of rapid review methods. All items assigned to four domains achieved > 70% of consensus, and in that way, the first consensus-driven tool has been created that supports authors of RLRs in planning and deciding on approaches.

Six most frequent approaches to RLRs (adapted from Tricco et al. [ 13 ]).

Haby et al. [ 14 ] run searches of 11 databases and two websites and developed a comprehensive overview of the methodology of RLRs. With five SLRs and one RCT being finally included, they identified the following approaches used in RLRs to make them faster than full SLRs: limiting the number and scope of questions, searching fewer databases, limited searching of grey literature, restrictions on language and date (e.g., English only, most recent publications), updating the existing SLRs, eliminating or limiting hand searches of reference lists, noniterative search strategies, eliminating consultation with experts, limiting dual study selection, data extraction and quality assessment, minimal data synthesis with short concise conclusions or recommendations. All the SLRs included in this review were consistent in stating that no agreed definition of rapid reviews is available, and there is still no final agreement on the best methodological rules to be followed.

Gordon et al. [ 4 ] explained the advantages of performing a focused review and provided 12 tips for its conduction. They define focused reviews as ‘a form of knowledge synthesis in which the components of the systematic process are applied to facilitate the analysis of a focused research question’. The first tip presented by the authors is related to deciding if a focused review is a right solution for the considered project. RLRs will suit emerging topics, approaches, or assessments where early synthesis can support doctors, policymakers, etc., but also can direct future research. The second, third, and fourth tips highlight the importance of running preliminary searches and considering narrowing the results by using reasonable constraints taking into account the local context, problems, efficiency perspectives, and available time. Further tips include creating a team of experienced reviewers working on the RLRs, thinking about the target journal from the beginning of work on the rapid review, registering the search protocol on the PROSPERO registry, and the need for contacting authors of papers when data available in publications are missing or incongruent. The last three tips are related to the choice of evidence synthesis method, using the visual presentation of data, and considering and describing all the limitations of the focused review.

Finally, a new publication by Tricco et al. from 2022, describing JBI position statement [ 15 ] underlined that for the time being, there is no specific tool for critical appraisal of the RLR’s methodological quality. Instead, reviewers may use available tools to assess the risk of bias or quality of SLRs, like ROBIS, the JBI critical appraisal tools, or the assessment of multiple systematic reviews (AMSTAR).

Inconsistency in the definitions and methodologies of RLR

Although RLR was broadly perceived as an approach to quicken the conduct of conventional SLR, there is a lack of consensus on the formal definition of the RLR, so as to the best approaches to perform it. Only in 2021, a study proposing unified definition was published; however, it is important to note that the most accurate definition was only matching slightly over 50% of papers analysed by the authors, which underlines the lack of homogeneity in the field [ 11 ]. The evidence-based supporting methods are evolving, and more evidence is needed to define the most robust approaches [ 5 ].

Diverse terms are used to describe the RLR, including ‘rapid review’, focused systematic review’, ‘quick scoping reviews’, and ‘rapid evidence assessments’. Although the general principles of conducting RLR are to accelerate the whole process, complexity was seen in the methodologies used for RLRs, as reflected in this study. Also, inconsistencies related to the scope of the questions, search strategies, inclusion criteria, study screening, full-text review, quality assessment, and evidence presentation were implied. All these factors may hamper decision-making about optimal methodologies for conducting rapid reviews, and as a result, the efficiency of RLR might be decreased. Additionally, researchers may tend to report the methodology of their reviews without a sufficient level of detail, making it difficult to appraise the quality and robustness of their work.

Advantages and weaknesses of RLR

Although RLR used simplified approaches for evidence synthesis compared with SLR, the methodologies for RLR should be replicable, rigorous, and transparent to the greatest extent [ 16 ]. When time and resources are limited, RLR could be a practical and efficient tool to provide the summary of evidence that is critical for making rapid clinical or policy-related decisions [ 5 ]. Focusing on specific questions that are of controversy or special interest could be powerful in reaffirming whether the existing recommendation statements are still appropriate [ 17 ].

The weakness of RLR should also be borne in mind, and the trade-off of using RLR should be carefully considered regarding the thoroughness of the search, breadth of a research question, and depth of analysis [ 18 ]. If allowed, SLR is preferred over RLR considering that some relevant studies might be omitted with narrowed search strategies and simplified screening process [ 14 ]. Additionally, omitting the quality assessment of included studies could result in an increased risk of bias, making the comprehensiveness of RLR compromised [ 13 ]. Furthermore, in situations that require high accuracy, for example, where a small relative difference in an intervention has great impacts, for the purpose of drafting clinical guidelines, or making licensing decisions, a comprehensive SLR may remain the priority [ 19 ]. Therefore, clear communications with policymakers are recommended to reach an agreement on whether an RLR is justified and whether the methodologies of RLR are acceptable to address the unanswered questions [ 18 ].

Disclosure statement

No potential conflict of interest was reported by the author(s).

Strategic Planning and Management in Transit Agencies (2005)

Chapter: chapter two - literature review.

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

4OVERVIEW The literature review revealed that strategic planning is a popular and widespread practice in both the private and pub- lic sectors. It is a leadership and management tool that has been successfully used for decades to help organizations bet- ter prepare for the future and improve long-term performance. There is increased recognition that strategic planning is not enough by itself and that too many good strategic plans have been left to gather dust. Effective leadership is required to both develop and implement strategic plans. This has led to the concept of “strategic management,” which includes the implementation and ongoing management of strategic plans, not just their development. Another trend has been to make the strategic planning process briefer and more flexible. Part of the problem in the past has been that formal and elaborate planning processes have often led to the development of comprehensive and thor- ough plans that are out of date by the time they are produced. Today’s more turbulent and uncertain times require that less emphasis be given to the form of the plan and more to the substance and timeliness of the results. Henry Mintzberg has suggested that strategic planning is quite different than “strategic thinking,” the creative synthe- sis of visionary new business strategies. He goes further by suggesting that strategic planning, essentially analytical in nature, may even be antithetical to strategic thinking. He believes that strategic planning is more appropriately thought of as “strategic programming.” As such, it may be quite suit- able for relatively stable public transportation systems. Although it began in the military, the early nonmilitary use of strategic planning was primarily in the private sector. How- ever, its use in the public and nonprofit sectors has increased substantially and there are now several good sources of infor- mation on performing strategic planning in these sectors. Sev- eral reports and articles that pertain specifically to public- sector transportation are also reviewed. Effective strategic planning and management requires not only deciding what an organization should do, but also its having the knowledge and skills required to do it. With this in mind, the tools of organization development are discussed as a factor that could increase an organization’s capability to develop and implement strategic plans. This includes devel- oping and retaining a workforce with the requisite knowledge and skills. Finally, a recent TCRP study about “emerging new para- digms” in transit has suggested that fundamental changes will be required if transit is to succeed in a world of increasing social, economic, political, and technological change. If so, it could well be that strategic planning and management will be a crucial tool toward this end. INTRODUCTION As would be expected, there is a significant amount of liter- ature on the subject of strategic planning in general, particu- larly in the private sector. There is also a fair amount written on strategic planning in the public and nonprofit sectors. How- ever, much less has been written specifically about strategic planning in public transportation. This literature review will be selective rather than exhaus- tive. It will cover strategic planning in the private sector; how- ever, it will primarily focus on strategic planning in the public sector and in public transportation. HISTORY Strategic planning has a long history in organizations. Its ori- gins are often thought to have been in the military, where there was a need to develop comprehensive, long-term strate- gies to win a war as opposed to the shorter-term, more limited tactical planning needed to win battles or skirmishes. An early form of strategic planning, the SWOT analysis (strengths, weaknesses, opportunities, and threats), came out of the Har- vard Business School in the 1950s as part of their efforts in regard to business policy development and the analysis of business strategies in relation to an organization’s internal and external environments. The practice of strategic planning achieved considerable popularity in private-sector organizations in the 1960s and 1970s. In the 1980s, it became more and more prevalent in the public and nonprofit sectors. Unlike other management fads that have quickly disappeared, strategic planning is a management technique or practice that has demonstrated staying power and broad usage across a variety of organiza- tions in both the private and public sectors. STRATEGIC PLANNING IN GENERAL Early on, strategic planning was a relatively formal, elabo- rate, and often lengthy process. In addition, because times CHAPTER TWO LITERATURE REVIEW

5were more stable, a strategic plan was intended to last for several years. More recently, largely in response to these more rapidly changing and turbulent times, there has been a clear trend in the private sector to • Shorten the strategic planning cycle so that the plan is not out of date by the time it is finished. (However, it should also be noted that there has been a countervail- ing trend to open up the process and involve as many participants as feasible, rather than having it be a “top- down” plan developed largely by top management and imposed on the organization. The effect of this has been to lengthen the process.) • Make the planning process less formal and more flexible. • Make the process relatively continuous rather than some- thing undertaken only every 2 to 5 years. • Link it to other important business processes such as budgeting and performance measurement. An example of this is found in Strategic Readiness: The Making of the Learning Organization (1) in which the authors suggest a shift from strategic planning to strategic learning through a regular process of • Continuous planning—wherein the organization focuses on questioning and quickly adjusting existing plans; • Improvised implementation—that is, both experimental and evolving, and that provides good information for learning; and • Deep reflection about original assumptions—what has changed and what has been learned. The authors maintain that “most organizational change results not from formal plans and fixed programs for change but from a process of learning—and not just from the learning of indi- viduals but, more importantly, from the collective learning of entire organizations” (1, p. xi). The 1994 publication of The Rise and Fall of Strategic Planning by Mintzberg (2) presented a very comprehensive, complex, and contrarian view of the practice of strategic plan- ning. His central argument is that strategic planning by its very nature is the antithesis of “strategic thinking.” He views strategic thinking as a creative act of synthesis, and strategic planning as a process that is essentially one of analysis. (An analogy might be right brain versus left brain thinking, in which the right brain is considered to be more creative and holistic and the left brain is considered to be more linear and logical.) Mintzberg believes that “strategic planning often spoils strategic thinking, causing managers to confuse real vision with the manipulation of numbers” (3, p. 107). Mintzberg goes on to argue that “Strategic planning, as it has been practiced, has really been strategic programming, the articulation and elaboration of strategies, or visions, that already exist” (3, p. 107). He asserts that strategic planning does not fail because of such commonly mentioned pitfalls as a lack of commitment from top management or resistance to change, but instead because of its fundamental nature of being too analytical, too formalized, and too detached from the functions and interests of the business’s line managers. In spite of his belief that strategic planning is not effective at creating business strategies (strategic thinking), he believes that it can play important roles including: • Strategic planning as strategic programming—Instead of trying to use strategic planning to generate strategies or visions, use it to program them. This can be done through a process of “codification” (expressing the strate- gies in ways that are clear and operational), by “elab- oration” (breaking strategies down into substrategies and action plans), and “conversion” (identifying the impacts of the strategies on operations; e.g., on budgets and performance controls). • Strategic plans as tools to communicate and control— Plans can be an important way of communicating the organization’s intentions both internally (helping to ensure that everyone in the organization is pulling in the same direction) and externally. • Strategic planners as analysts—Planners can use their analytical skills and orientation by performing special studies and by offering new perspectives. • Strategic planners as catalysts—In this role, planners do not try to enter the “black box” of strategy making, but instead encourage and assist line managers to think in creative ways about the future (3, pp. 112–114). In Mintzberg’s words, “Planners shouldn’t create strategies, but they can supply data, help managers think strategically, and program the vision” (3, p. 107). Although insightful, Mintzberg’s distinction between strategic thinking and strategic planning may be more rele- vant to the private sector, where the environment tends to be more volatile and where businesses must constantly be on the lookout for new business strategies and opportunities. Gen- erally, in the public sector, and in public transportation more specifically, the situation is usually more constrained. For example, the purpose and geographic jurisdiction of public transportation agencies is usually prescribed by state legisla- tion. For the most part, public transportation agencies are not going to be pursuing business opportunities outside of the area of public transportation. In addition, their financial struc- ture is often defined or controlled in large part by their enabling legislation or funding bodies. It might therefore be argued that strategic planning, when thought of as strategic programming as described by Mintzberg, may be the primary role it should play in public transportation. Mintzberg implies this when he states that “Only when an organization is sure of the relative stability of

its environment and is in need of the tight coordination of a myriad of intricate operations (as is typically the case of air- lines with their needs for complicated scheduling), does such strategic programming make sense” (3, p. 112). The more creative strategic thinking described by Mintzberg might be used only infrequently, when there is a need for more trans- formative organizational or institutional change. Another valuable perspective on strategic planning, that appeared in the mid-1990s, was the concept of the “balanced scorecard,” as developed by Kaplan and Norton in response to their belief that strategic planning and management as practiced in the private sector gave too much weight to financial matters (4). To remedy this, they developed the balanced scorecard idea, an approach that provides a frame- work for helping an organization achieve its long-term strate- gic goals by viewing the organization from four key per- spectives: (1) the customer, (2) internal business processes, (3) learning and growth, and (4) financial performance. The balanced scorecard system involves the development, utilization, and analysis of performance metrics that are devel- oped for each of these perspectives. STRATEGIC PLANNING IN THE PUBLIC SECTOR One of the “bibles” of strategic planning in the public (and nonprofit) sector has been John Bryson’s Strategic Planning for Public and Nonprofit Organizations: A Guide to Strength- ening and Sustaining Organizational Achievement (5). This book was first published in 1988, and then substantially revised in 1995. Bryson defines strategic planning as “a disciplined effort to produce fundamental decisions and actions that shape and guide what an organization is, what it does, and why it does it” (5, pp. 4–5). He offers a generic strategic planning model that has been successfully used by many public and nonprofit agencies. This model consists of 10 steps that he refers to as the Strategy Change Cycle (5, p. 23): 1. Initiate and agree on a strategic planning process (including who should be involved, and their roles and responsibilities). 2. Identify organizational mandates (e.g., enabling legislation). 3. Clarify organizational mission and values (this step should include an analysis of key “stakeholders”). 4. Assess the organization’s external and internal envi- ronments to identify strengths, weaknesses, opportu- nities, and threats (SWOT analysis). 5. Identify the strategic issues facing the organization. 6. Formulate strategies to manage these issues. 7. Review and adopt the strategic plan or plans. 8. Establish an effective organizational vision. 9. Develop an effective implementation process. 10. Reassess strategies and the strategic planning process. 6 Note that Steps 1–8 focus primarily on the planning process, whereas Steps 9 and 10 shift the emphasis from strategic planning to strategic management. There are some lessons to be learned in the revisions the author made to the book in 1995. For example, Steps 7, 9, and 10 were added, reflecting the need to not just produce a plan but to effectively implement it, and also to reassess the planning process as a prelude to another round of planning. The emphasis is on strategic management, not just strategic planning. In addition, the author places more emphasis on the recognition that strategic planning is different than strategic thought and action (a point strongly made by Mintzberg and noted previously). In summary, the 1995 edition makes a more explicit linkage between leadership, strategic planning, and management. Bryson is clearly a strong believer in the benefits of strate- gic planning, including the promotion of strategic thought and action, improved decision making, and enhanced orga- nizational responsiveness and performance (5, p. 7). However, he also recognizes that strategic planning has limitations and should not be considered a panacea for all organizational problems or situations. For example, strategic planning is most likely not an appropriate response to extreme adverse circumstances; if the organization does not have the necessary people, skills, or management commitment to pro- duce a good plan; or if the likelihood of plan implementation is low. Bryson believes that strategic planning is here to stay because it effectively deals with substantive issues and con- cerns as well as the reality of political decision making. In 1993, the U.S. Congress passed the Government Per- formance and Results Act (GPRA). This act requires that federal agencies take a number of steps to operate in a more businesslike manner and that they become more accountable to taxpayers. These steps require agencies to • Define their missions and desired outcomes, use strate- gic planning, involve their stakeholders, assess their environments, and align their activities, core processes, and resources in support of mission-related outcomes; • Measure their performance to ensure that goals are being met; and • Use the performance data to improve organizational processes, identify performance gaps, and set improve- ment goals. Under the GPRA, agencies were instructed to develop mul- tiyear strategic plans, annual performance plans, and annual performance reports. As a result, in 1996, the FTA published its first strategic plan, covering the period from 1997 to 2001. An executive guide for implementing the GPRA, pub- lished by the Government Accounting Office, pointed out that

7the success of the GPRA “depends on strong leadership prac- tices that devolve decision-making authority with account- ability, create incentives, build expertise, and integrate man- agement reforms” (6). STRATEGIC PLANNING IN PUBLIC-SECTOR TRANSPORTATION In the mid-1980s, the University Research and Training Program of the Urban Mass Transportation Administration (UMTA) (currently the FTA) funded a project that examined strategic planning in small- and medium-size transit agen- cies (7). The study report included a discussion of strategic planning and its benefits, a survey of 104 transit agencies, and a case study of a small transit system in Missouri (South- east Missouri Transportation Services, Inc.). The author observed that the crux of strategic planning is to create a process that answers three basic questions (7, p. 5): 1. Where are we? 2. Where do we want to go? 3. How can we get there? In the survey of transit properties, the following percent- ages of respondents answered that they conduct a formal strategic planning process: • Small systems (fewer than 50 vehicles) 42% • Medium systems (50–99 vehicles) 68% • Big systems (100–500 vehicles) 62% • Large systems (more than 500 vehicles) 93% The average for the four sizes was 59%. However, when responses were analyzed more closely, it was noted that more than half (57%) were actually referring to long-range service and capital plans as required by the fed- eral UMTA, short-range service plans, or to the annual bud- geting process. In short, there appeared to be a great deal of confusion as to what actually constitutes strategic planning. The study identified the following managerial tools used by transit agencies that might become part of a strategic plan- ning process: • Strategic-type special studies (e.g., performance audits), • Performance indicators, • Management by objectives, and • Strategy retreats. It found that there were a number of obstacles to con- ducting strategic planning in agencies, and that these obsta- cles differed according to the size of the agency. For exam- ple, inadequate staff resources was regarded as a significant obstacle by small agencies, but much less so by large ones. Conversely, a lack of good information was regarded as a serious problem by large agencies, but not so serious by small agencies. Large agencies cited the “fish-bowl” envi- ronment of public agencies as a problem and also changing state policies. Other obstacles cited by respondents included: • Operating pressures, • A short-term orientation inside and outside the agency (“fire-fighting”), • The annual budget process, and • An inability to enter new markets or alter the agency’s external environment. The study also found that small agencies in particular have difficulty in regard to strategic planning. In general, these dif- ficulties had to do with inadequate resources, including staff, expertise, data, and the money needed to hire outside exper- tise. Three key conclusions emerged from the study: 1. The need to reinterpret the concept of strategic planning. 2. The importance of organizational readiness. 3. The need to mold strategic planning to the specific context of the organization. In regard to the need to reinterpret the concept of strate- gic planning, the study noted that conducting a comprehen- sive and formal strategic planning process (the “classical” strategic planning model) may be beyond the capability of most transit agencies. Moreover, it may be more than is nec- essary. Five strategies are suggested in regard to this issue: 1. The formality of the process needs to be de-emphasized. 2. The level of data and analysis should be kept in rea- sonable relationship to the capabilities of the agency. 3. The cost of the process should be kept in some reason- able relationship with the likely benefits. 4. There needs to be a better understanding that long- range planning is not the same as strategic planning. Long-range planning may be necessary and useful; how- ever, it does not fulfill the same purposes. 5. Strategic planning might best be performed by seg- menting it. Rather than implementing a single, rigid process, it might be more effective if it is kept more flex- ible and if it uses various tools for specific purposes (e.g., special strategic studies). The second conclusion was the importance of organiza- tional readiness; some organizations may just not be ready to undertake strategic planning. Key factors in whether an orga- nization is ready include organizational sophistication and stamina, the flexibility and commitment of management, and the skills and expertise of the participants. Finally, in regard to adapting strategic planning to the orga- nizational context, management is encouraged to be realistic about the capabilities of the agency, set priorities and clearly define objectives for the process, design a process that reflects

these considerations, and build on what already exists in the agency. In 1985, an article was published about a case study of the development of a strategic management process in the Penn- sylvania Department of Transportation (8). This study made clear the importance of not just developing a strategic plan but of also creating a management process to implement and man- age the plan. There were several factors that distinguished this effort from typical strategic planning processes at the time. For example, several key structural changes were made. A strategic management committee made up of the agency’s six top managers was formed to direct and manage the change process. Seven substantive subcommittees were also formed to help manage the effort. Organization-wide planning was centralized and program and project planning were decentral- ized. A concept of “business groups” was used to create a new way of thinking about the primary products and services pro- vided by the agency (as opposed to the more traditional way of thinking about the functions performed). Four-year plans were developed for each of the agency’s operating districts. Finally, the strategic planning process was tightly linked to the budget process to ensure that the agency’s resources were being aligned with the plans. All of these actions served to institutionalize the strategic planning process throughout the agency. In 1988, the same year that Bryson published his book on strategic planning in the public sector, the UMTA published A Guide to Strategic Planning for Transit Properties (9). Considered by some in the transit industry to be a classic text, this report provided an early guide or framework for strate- gic planning in transit. The authors define strategic planning as “the analysis of environmental change, the formulation of organizational objectives, and the establishment of priorities for resource allocation” (9, p. 1). The report goes on to describe why it is important to do strategic planning, and presents several case studies as examples of how to do it effectively. (The case studies were Alameda–Contra Costa Transit, NJ Transit, Port Authority of Allegheny County Transit, Seattle Metro, and the Utah Transit Authority.) In addition, the report discusses the following key differences between planning in the public and private sectors (9, pp. 3–4): • The private sector is primarily driven by the financial bottom line, whereas public agencies generally have multiple and often ambiguous goals and a variety of key stakeholders. • Public agencies are more often subject to public scrutiny and political pressures. • Mandates in the public sector are often legislated and are not up to management prerogative. Key conclusions of the study were: 8 • Upper management must be seriously committed to and participate in the strategic planning process. • The development of a mission, goals, and objectives should be based on a careful analysis of the environ- ment (both internal and external) and should emphasize a marketing perspective. Objectives should be stated in ways that are measurable. • There should be linkages between strategic planning, program planning, and budgeting, and between achieve- ment of strategic planning objectives and personnel appraisals and compensation. • Indicators should be developed that measure the effi- ciency and effectiveness of transit services. • Good communication is a crucial ingredient of an effec- tive strategic planning and implementation process. • “Strategy champions” with appropriate responsibilities and incentives are needed for successful implementation. • Environmental change should be regularly monitored. • The process should be flexible, iterative, and continuous. • Based on the case studies, there are clearly different ways that strategic planning can be conducted in terms of levels of detail and formality, how the process is organized, who participates, and the degree of analysis and documentation. The report ends with a recommended strategic planning framework that includes the following seven steps: 1. Organize management team and planning staff. 2. Undertake an environmental or situation audit. 3. Establish mission, goals, and objectives. 4. Develop broad strategies. 5. Establish programs and budgets. 6. Monitor program results—measure. 7. Monitor the environment. In 1990, the NCHRP published Strategic Planning and Management Guidelines for Transportation Agencies (10). This study looked at the current environment for strategic planning and management in a variety of publicly funded transportation agencies, provided a definition of strategic man- agement and its components, and recommended guidelines for successfully institutionalizing strategic management. The report distinguished strategic management from other traditional management practices by noting that the tradi- tional practices ask “How do we keep doing what we are doing, only do it better?’ Strategic management focuses instead on an overall vision of where the organization should be heading, i.e., what it plans to accomplish and how it can get it accomplished. It provides for the involvement of the entire organization in managing its people, processes, and products toward successful accomplishment of its goals and objec- tives” (10, p. 1). The report went on to delineate the following minimum components of a strategic management process (10, p. 2):

9• Mission statement (including goals and objectives), • Environmental scan, • Strategy development, • Action plan development, • Resource allocation, and • Performance measurement. An environmental scan generally involves an analysis or assessment of both the external and internal issues that are likely to affect an organization. It is sometimes referred to as a “situation audit.” It concluded that in the various transportation agencies stud- ied, a “strategic management process and its benefits are pres- ent and understood in less than a dozen state departments of transportation” and that “many of the remainder—plus many transit, airport, port authorities, and other publicly funded transportation agencies—seem to have insufficient interest in, or understanding of, strategic management” (10, p. 1). The report included a set of guidelines for instituting strate- gic management comprised of four primary stages: Stage I. Identifying the Need for Strategic Management • Determine the current status of strategic management in the agency. Stage II. Establishment or Enhancement of Key Strategic Management Elements • Define the agency’s business. • Develop plans for implementing strategic management initiatives. Stage III. Integration of the Key Elements into a Functioning System • Ensure that the agency mission statement and goal structure are in place. • Obtain chief administrative officer and senior management commitment to the strategic management process. • Establish a clearly understood division of responsibility for strategic management implementation, including the selec- tion of implementation managers or facilitators. • Develop an accurate information base and maintain its timeliness. Stage IV. Ongoing Use and Refinement of the Strategic Management System • Monitor the strategic management system. • Develop a reward and recognition program. In a 2003 article, “How to Develop a Strategic Plan That Won’t Gather Dust” (11), Richard Simonetta (CEO of Val- ley Metro Rail, Inc., in Phoenix, Arizona) recognized that there is often a significant gap or breakdown between com- pleting a strategic plan and implementing its recommenda- tions. Too often the focus is on the production of a plan doc- ument and not enough emphasis is placed on its execution. He outlined several principles to ensure that the strategic planning effort is successful (11, p. 80): • The process needs to be ongoing, with broad input for development and specific responsibility for effective implementation. • The plan needs to have milestones and performance metrics to measure progress and celebrate achievements. • The plan needs to involve stakeholders in the develop- ment, deployment, and refinement stages. • Finally, a strategic plan must be a living document that evolves over time as the public transit system becomes more successful at achieving its short- and long-range goals. A similar case, that is, that strategic plans often fail to achieve full-scale implementation and significant service improvements, is made in “Segmented Strategic Planning: An Incremental Approach to Transit Planning and Implemen- tation” (12). The authors propose a segmented approach— rather than attempting a comprehensive organization-wide strategic planning effort, they recommend a “series of orches- trated, low-level strategic plans” (12, p. 1). The report describes such an approach in Knoxville, Tennessee, where only the downtown and university campus trolley service was the focus of a recent strategic planning effort. This segmentation made it much more manageable and helped to avoid many of the obstacles that often arise from a larger-scale planning effort. In December 2001, recognizing the potential of strategic planning to improve the effectiveness of transit systems, APTA produced a Strategic Planning Resource Kit (avail- able on CD) (13). Basically, the kit contains copies of the strategic plans of 28 transit systems. STRATEGIC PLANNING AND PERFORMANCE MEASUREMENT Almost all of the literature on strategic planning and man- agement emphasizes the need for linking the process to per- formance measurement. This is necessary to be able to mon- itor whether plans are being achieved and whether corrective action needs to be taken. There is a great deal of literature on the general subject of performance measurement. An excellent and very compre- hensive study of the issue that pertains directly to transit is the 2003 TCRP Report 88: A Guidebook for Developing a Transit Performance-Measurement System (14). This report provides detailed guidance for developing a system using tra- ditional and nontraditional measures that address both cus- tomer and community issues.

STRATEGIC PLANNING AND ORGANIZATION DEVELOPMENT One of the strengths of strategic management is that it recog- nizes that strategic planning by itself often does little to change an organization’s direction, because it does not deal with the significant structural, political, and behavioral forces that tend to resist change. This point is made in two articles that argue for the blending or “marriage” of strategic planning and management and “Organization Development” (15, 16). Organization development (OD) seeks to develop and implement planned change strategies aimed at improving an organization’s effectiveness. It uses many tools or techniques to ensure that an organization has the internal capability to effectively achieve its goals and objectives. These include such activities as goal setting, leadership development, team building, employee feedback surveys, education and train- ing, organizational design, process consultation, coaching and counseling, and development of appropriate reward and recog- nition programs. In “For Successful Strategic Change: Blend OD Practices with Strategic Management” (15, p. 43), Buller suggests that OD tools can be helpful in the following phases of a typical strategic planning process: • Assessing and developing the organization’s readiness for change, • Facilitating the strategic planning process, • Helping with strategy implementation, and • Developing leadership skills. A similar point is made by Eadie and Steinbacher in “Strategic Agenda Management: A Marriage of Organiza- tional Development and Strategic Planning”; that is, that tra- ditional strategic planning too often results in “unimple- mentable strategies” (16, p. 424). In this article, the authors describe a case study of a large and complex public-sector organization in Ohio. They argue that strategic management can be one of the tools in the larger strategy of OD. More specifically they describe a concept of “strategic agenda management.” Strategic agenda management basically involves the “col- lective management of a strategic agenda, which changes as an organization’s problems and opportunities change.” The authors state that “effective strategic agenda management requires intensive, continuous, and collective involvement of senior management,” and that a strategic agenda must be highly selective if it is not to overtax the organization’s abil- ity to manage strategic issues (16, p. 425). The important point is that strategic planning and man- agement must pay close attention to not only the development of strategic initiatives but also to the organization’s capabil- ity to implement the initiatives. OD tools can be an important resource for developing or enhancing this capability. 10 NEW PARADIGMS IN PUBLIC TRANSPORTATION In the late 1990s, a group of transit industry leaders gathered under the aegis of the TCRP. The reason for this gathering was a shared concern that unless fundamental changes were made, the future of the transit industry was in jeopardy, owing to the significant changes taking place in the world and the inability of the transit industry to adapt to them (e.g., fundamental social and economic changes in this country, an emerging global economy, and the increasing significance of rapid advances in information technology). In 1997, a “future search conference” was organized by TCRP and the Eno Foundation to explore this issue. The con- ference included approximately 80 individuals representing transit managers, riders, drivers, labor leaders, political lead- ers, community residents and other important public trans- portation stakeholders. The effort led to a TCRP project that in 2003 culminated in a report that described emerging “new paradigms” that might affect the industry and that outlined a number of suggested responses (17). Many of the responses are such that strategic planning and management would be a key tool for developing and implementing them. The report points out that the transit industry has not changed its basic business model for more than 40 years. It also notes that although in recent years transit ridership has reached post-World War II highs, its market share of trips remains quite small. Moreover, increasing levels of automo- bile traffic are far outpacing the capacity of the street and highway system, thus leading to severe congestion and grid- lock in many areas. The project studied transportation in three key arenas else- where in transportation industries in search of lessons, or new models, for transit. 1. The “logistics revolution” in intermodal freight. 2. The rise of airline “alliances.” 3. New models for organizing and managing transit in Europe. In the freight arena, companies are finding ways to inte- grate their operations to better serve the door-to-door needs of their customers, encourage customer loyalty, and increase efficiency. This involves use of a logistics manager, who coordinates the movement of items from start to finish, and the use of powerful information technologies that allow uni- fied dispatching and tracking. Airlines have followed a very similar strategy, forming alliances with other carriers so that passengers can book trips through a single airline and so that the quality of service can be better tracked. Information tech- nology again plays a key role. Much the same is occurring in European transit. For exam- ple, even though there are a variety of operators that provide service in metropolitan London, London Transport has been empowered to set broad policy on fares, service coverage, and

11 service quality. It tracks efficiency and quality from the cus- tomer’s viewpoint. More recently, organizational changes are being made that give multimodal responsibility (buses, taxis, rail systems, ferries, and traffic control) to a new agency— Transport for London. The report goes on to identify four key elements of “the emerging paradigm”: 1. Emphasis on monitoring service quality and customer satisfaction across the entire network is replacing the previous emphasis on the operation of a particular agency’s vehicles and facilities. 2. New collaborative relationships or alliances are replac- ing independent agency operations and head-to-head competition. 3. Traditional assets such as vehicles, passenger terminals, and maintenance facilities are being jointly managed. 4. State-of-the-art information technology is being used to better manage operations, evaluate service quality, and provide customer information. A key theme of the emerging paradigm is that of “mobil- ity management,” the function of meeting the door-to-door travel needs of the customer no matter whose transportation assets are being used. This concept should be a central focus of the strategic planning efforts of transportation agencies. One of the new paradigm project reports includes as an appendix a guide that organizations can use for managing the change process (18). This includes strategies for • Recognizing the need for change, • Leading and planning change, • Making change happen, and • Institutionalizing new approaches. Most of the strategies described would be excellent com- ponents of an effective strategic planning and management process. The final report points out that transit agencies cannot do this alone, and that public policy decisions and public invest- ment must be coordinated in other key areas such as land use strategies, other public infrastructure investments (water, sew- ers, parking facilities, etc.), environmental measures (clean air and energy conservation), and other public policies such as tax incentives and economic development strategies. Because transit agencies have little or no control over these areas, they must work indirectly to encourage such coordination.

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

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• Open access
• Published: 27 November 2021

Strategic management accounting and performance implications: a literature review and research agenda

• Jafar Ojra 1 ,
• Abdullah Promise Opute   ORCID: orcid.org/0000-0001-6221-1856 2 , 3 &
• Mohammad Mobarak Alsolmi 4  

Future Business Journal volume  7 , Article number:  64 ( 2021 ) Cite this article

38k Accesses

10 Citations

Metrics details

The important role that management accounting plays in driving organisational performance has been reiterated in the literature. In line with that importance, the call for more effort to enhance knowledge on strategic management accounting has increased over the years. Responding to that call, this study utilised a qualitative approach that involved a systematic review to synthesise existing literature towards understanding the strategic management accounting foundation, contingency factors, and organisational performance impact. Based on the evidence in reviewed literature, we flag key directions for advancing this theoretical premise towards providing further insights that would enable practitioners strategically align their strategic management accounting practices for optimal organisational performance. The limitations of this study have been acknowledged.

Introduction

Successful managerial decisions enable organisational profitability and accounting aids effective managerial decisions [ 75 ]. Aimed at optimising the decision-enabling substance of accounting, management was criticised in 1980s as being too focused on internal operational issues that offer little to management from the point of strategy formulation and sustaining competitive advantage (CIMA Report Footnote 1 ). Recognising the importance for a broader impact of accounting on managerial decision-making, Simmonds [ 82 , p. 26] introduced and defined strategic management accounting (SMA) as “the provision and analysis of management accounting data about a business and its competitors, for use in developing and monitoring business strategy” .

Subsequently there has been increasing efforts that stress the importance for organisations to embrace strategic management accounting theory towards boosting strategic decision-making and organisational performance (e.g. [ 4 , 8 , 9 , 17 , 23 , 53 , 58 , 86 , 90 , 48 ], amongst others). As rightly noted by Turner et al. [ 86 ], organisations that aim to enhance their competitiveness and performance, must not only develop but also “implement internal policies and procedures such as strategic management accounting that are consistent with their business strategies and account for changing competitive demands” (p. 33). Doing that will enable the strategic management accounting tool to be effectively used to drive corporate success. This is the underlying argument in this study.

The task of profitably satisfying customers is becoming more challenging [ 61 , 65 , 67 ]. Meeting that challenge requires that organisations recognise the importance for effective decision-making. Accountants play a significant role in enabling effective decision-making in organisations (e.g. [ 21 , 23 , 27 ]). Accounting information enables the organisation determine the going concern [ 6 , 36 ]. Accounting provides the management with relevant information for ensuring and sustaining growth and profitability. The strategic management accounting foundation emphasises that in order to fully fulfil its management decision-making enabling function, accounting practices must not only focus on the internal but also on the external components relating to the organisation's operations. In other words, accounting should embrace a much broader and market-oriented approach and focus on costing (e.g. [ 8 , 17 , 58 , 78 ]); planning, control and performance measurement (e.g. [ 17 , 58 ]), strategic decision-making (e.g. [ 8 , 58 ]), customer accounting (e.g. [ 58 , 86 ]) and competitor accounting (e.g. [ 17 , 58 , 86 ]).

Given the importance of strategic management accounting to effective management decision-making and corporate success, there remains a growing interest in understanding the topic. Little wonder therefore that the advocacy for more research towards a better understanding of what strategic management accounting practices organisations adopt and what motivates their preference for one technique over the other (e.g. [ 4 , 53 , 58 , 86 , 90 ]) remains current. While embracing strategic management accounting is a critical path for enabling effective managerial decision-making and boosting organisational performance (e.g. [ 3 , 9 , 58 ]), the enablement outcome of strategic management accounting practice would hinge on the effectiveness of the organisation in tailoring its strategic management accounting practices to its strategy and environment [ 9 , 11 , 58 ].

Following that contingency logic, this research is a response to the aforementioned call and the aim in this study is to contribute to strategic management accounting discourse by critically analysing the body of knowledge towards enhancing the understanding of how knowledge has evolved in this theoretical domain and also to contribute to knowledge by flagging directions for further knowledge development. To achieve the aim of this study, the theoretical focus in this study is premised along three questions:

What strategic management accounting techniques can organisations use towards driving organisational performance?

What factors would influence strategic management accounting techniques usage and performance association? and

What future research gaps exist based on the explored literature?

Literature review

This study follows the theoretical foundation that strategic management accounting would aid effective management decision-making, and ultimately boost organisational performance. In line with the aim of this study, relevant literature is reviewed to explain the theoretical premise of this study. The literature review is organised along three core themes in strategic management accounting discourse, namely, strategic management accounting techniques, contingency factors of strategic management accounting usage, and the impact of strategic management accounting on organisational performance.

Strategic management accounting: definition and techniques

Management accounting is noted to involve the “generation, communication, and use of financial and non-financial information for managerial decision-making and control activities” ([ 28 ] p. 3). One major criticism of accounting in the 1980s relates to the fact that accountants have hardly taken a proactive role in the strategic management process [ 7 , 8 ]. According to Nixon and Burns [ 55 , p. 229], although strategic management has been variously defined, there is “broad consensus that the key activities are (1) development of a grand strategy, purpose or sense of direction, (2) formulation of strategic goals and plans to achieve them, (3) implementation of plans, and (4) monitoring, evaluation and corrective action”. The role of management accounting is to enable effective decision-making, and it involves typically information gathering and analysis, identifying options, implementation, monitoring and evaluation [ 16 ]. Thus, the focus in strategic management accounting, rephrased also as accounting for strategic positioning [ 73 , 74 ], is to embrace a broader approach that incorporates a strategic management focus into its dynamics towards effectively enabling management decision-making and organisational performance [ 8 , 80 ]).

Since the first attempt by Simmonds [ 82 , p. 26] who defined strategic management accounting as “the provision and analysis of management accounting data about a business and its competitors, for use in developing and monitoring business strategy” , there have been numerous attempts to enhance that definition and identify core techniques of strategic management accounting. For example, CIMA [ 16 ] describes strategic management accounting as a management accounting form that emphasises focusing on information relating to external factor of the entity and also on non-financial information as well as information that is generated internally. In a much earlier contribution, Bromwich [ 7 , p. 28] offers a description of strategic management accounting as involving “the provision and analysis of financial information on the organisation’s product markets and competitors’ costs and cost structures and the monitoring of the organisation’s strategies and those of its competitors in the market over a number of periods” (Cited in [ 56 , p. 14]).

In their 2008 study, Cadez and Guilding asked the question “what is strategic management accounting?” (p. 838). In that same study, they conclude, based on evidence from reviewed literature, that there are two perspectives of strategic management accounting. While one perspective focuses on strategically oriented accounting techniques, the other focuses on the actual involvement of accountants in the strategic decision-making process. Following the former perspective (e.g. [ 8 , 9 , 17 , 58 ]), existing literature distils sixteen (16) strategic management accounting techniques that are categorised under five SMA themes (e.g. [ 9 , 11 , 58 ]):

Strategic costing;

Strategic planning, control and performance measurement;

Strategic decision-making;

Competitor accounting; and

Customer accounting.

Strategic costing

According to literature (e.g. [ 8 , 11 , 23 ]), strategic and marketing information-based cost data can be leveraged by organisations to ensure effective strategies for achieving sustainable competitive advantage. Thus, organisations must recognise the importance of integrating cost strategies and undertake multiple strategic cost analyses. Literature distils five key costing techniques: attribute costing (e.g. Roslender and Hart 2003), life-cycle costing (e.g. [ 8 , 17 ]), quality costing (e.g. [ 17 ]), target costing (e.g. [ 8 , 17 ]) and value chain costing (e.g. [ 8 ]).

Strategic planning, control and performance measurement

Literature has also underlined the need for organisations to give due attention to planning, control and performance measurement features of the strategic management accounting, as doing that is important in the pro-active market orientation approach for competing effectively in the marketplace (e.g. [ 8 , 58 ], Chenhall 2005). Core components under the strategic planning, control and performance measurement tool includes benchmarking (e.g. [ 8 , 17 ]) and integrated performance management (Balanced Scorecard) (e.g. [ 8 , 17 ]).

Strategic decision-making

As a strategic management accounting tool, strategic decision-making is a critical tool for supporting strategic choice [ 11 ]. Core strategic decision-making options include strategic costing (e.g. [ 58 ]), strategic pricing (e.g. [ 11 , 58 ]) and brand valuation (e.g. [ 11 , 58 ]).

The importance of addressing strategic costing as a key strategic decision-making element has been emphasised in the literature (e.g. [ 58 , 78 , 79 ]). In this discourse, it is underlined that effectively driving competitive advantage requires cost analysis that explicitly considers strategic issues. In line with that viewpoint, Cadez and Guilding [ 8 ] note that strategic costing involves “the use of cost data based on strategic and marketing information to develop and identify superior strategies that will produce a sustainable competitive advantage” (p. 27).

In the literature too, strategic pricing is underlined as another core element the strategic decision-making typology of strategic management accounting (e.g. [ 8 , 58 ], Simmonds 1982). According to scholars, understanding market competition level, which as noted by Guilding et al. [ 29 , p. 120] entails the appraisal of the following factors: “competitor price reaction, price elasticity; projected market growth; and economies of scale and experience”, is important (e.g. [ 8 , 11 , 58 ]).

Within the strategic management accounting literature, brand valuation is the third element of the strategic decision-making technique. The brand valuation component “involves combining projected brand earnings (an accounting-orientated measure) with a multiple derived from the brand’s strength on strategic factors such as the nature of the brand’s market, its position in that market and its level of marketing support” [ 29 , p. 118]. In the view of Cescon et al. [ 11 ], brand valuation enables organisations to understand market reputation trends over time and potential implications for marketing executives and strategic accounting. Cescon et al. [ 11 ] contend that organisations would achieve a variable brand valuation that would provide a potential measure of marketing achievement when perceived quality and branded products are considered, while Guilding et al. [ 29 ] remind that achievable impact of brand valuation would hinge, amongst others, on the valuation method used.

Competitor accounting

According to Porter [ 72 ], strategy involves developing appropriate tools that enable a firm to analyse and determine its position in a competitive market. Thus, a firm selects suitable strategies that enables it compete more effectively over its rivals. To effectively do that, a firm needs to collect competitor accounting information. The importance of giving due attention to competitor accounting has been underlined in the literature (e.g. [ 11 , 17 , 58 ]). Three forms of competitor accounting tools are described in the literature, namely, competitor cost assessment (e.g. [ 11 , 17 , 58 ]), competitor position monitoring (e.g. [ 11 , 58 ]) and competitor performance appraisal (e.g. [ 11 , 17 , 58 ]).

Customer accounting

The fifth cluster of strategic management accounting techniques described in the literature relates to customer accounting (e.g. [ 49 , 58 ]). Customer accounting concerns practices aimed at appraising profit, sales or costs related to customers or customer segments [ 58 ]. Core customer accounting techniques include customer profitability analysis (e.g. [ 30 , 58 ]), lifetime customer profitability analysis (e.g. [ 58 ]) and valuation of customers as assets (e.g. [ 30 , 58 ]).

The contingency factors of strategic management accounting

According to management accounting discourse, when organisations carefully embrace appropriate strategic management accounting practices, they would ensure successful managerial decisions that would ultimately lead to optimising organisational performance (e.g. [ 48 , 53 , 56 , 58 ]). Thus, the extent of improved performance that an organisation would achieve would depend on its careful utilisation of appropriate strategic management techniques. As noted by Roslender and Hart (2003), p. 4 and further supported by subsequent literature (e.g. [ 34 , 58 ]), “the adoption of strategically oriented management accounting techniques and accountants’ participation in strategic management processes”, is a core research premise. In line with the carefulness notion mentioned above, the contingency perspective has been widely utilised in the effort to understand strategic management accounting practices and performance impact (e.g. [ 8 , 12 , 30 , 34 , 58 ]). The underlying foundation in the contingency perspective is based on the notion “that an organisation maximises its efficiency by matching between structure and environment” [ 22 , p. 49]. According to Otley [ 68 ]:

The contingency approach to management is based on the premise that there is no universally appropriate accounting system that applies equally to all organisations in all circumstances. Rather, it is suggested that particular features of an appropriate accounting system will depend on the specific circumstances in which an organisation finds itself. Thus, a contingency theory must identify specific aspects of an accounting system which are associated with certain defined circumstances and demonstrate an appropriate matching (p. 413).

Thus, the central foundation in the contingency perspective is that no one single accounting system is universally fit for all organisation in all circumstances (e.g. [ 41 ]). No one accounting control system can be seen as “best” for all situations; rather, the appropriateness of any control system would depend on the organisation's ability to adapt effectively to the environment surrounding its operations [ 41 , 58 , 86 ].

From reviewed literature, numerous researchers have flagged key contingency factors that should be considered in relation to strategic management accounting practice. Four factors were identified as critical contingency factors in the strategic management accounting systems design in Cadez and Guilding's [ 8 ] study, namely: business strategy, strategy formulation pattern, market orientation and firm size. On their part, Islam and Hu [ 41 ] identify core organisational effectiveness factors to include technology, environmental volatility, organisational structure, information system and size of the organisation.

Analysed together, the conceptualisation in the aforementioned studies [ 8 , 41 ] reflect perspectives that have been recognised in the 1980s. For example, Merchant [ 50 ] describe contingency factors to include firm size, product diversity, extent of decentralisation and budgetary information use. In their study of accounting information systems, Gordon and Narayanan [ 26 ] classify three core contingency factors to include perceived environmental uncertainty, information characteristics and organisational structure. Based on a study that examined the extent to which accountants were involved in the strategic management process, CIMA Footnote 2 reports three key contingency factors: “organisational influences, accountant led influences and practicalities” (p. 12). Exploring strategic management accounting practices in the Palestinian context, Ojra [ 58 ] conceptualised a comprehensive contingency perspective that considered (1) organisational structure (involving formalisation and decentralisation), (2) organisational size, (3) technology and (4) organisational strategy. In more recent literature, Pavlatos [ 70 ] suggests seven factors that affect strategic management accounting usage in the hospitality industry (hotels) in Greece, namely, “perceived environmental uncertainty, structure, quality of information systems, organisational life cycle stage, historical performance, strategy and size” (p. 756).

The contingency framing in this study draws from the theoretical guideline which suggests that both the internal and external environments of organisations should be considered in the effort to advance strategic management accounting literature (e.g. [ 58 , 70 ]). The conceptual framing in this study includes two external (perceived environmental uncertainty—competitive intensity, and market turbulence) and three internal (organisational structure—formalisation, and decentralisation, and organisational strategy) factors.

Perceived environmental uncertainty and strategic management accounting usage

From the perceptual lens, the environment could be viewed as certain or uncertain only to the extent that decision makers perceive it to be (e.g. [ 1 , 11 ]). Perceived environmental uncertainty is described as the absence of information relating to organisations, activities and happenings in the environment [ 20 ]. According to Cescon et al. [ 11 ], organisations must give due attention to their operational environment because engaging with environmental uncertainty factors would enable them identify key change drivers.

Prior literature has documented that perceived uncertainty significantly influences the extent to which firms would embrace strategic management accounting practices (e.g. [ 49 , 58 , 70 ]). According to that foundation, how firms respond from the point of strategic management accounting practices that they would endorse would depend on the nature of environmental uncertainties that surround their operational activities.

Studying the hotel property setting, Pavlatos [ 70 ] documents a positive correlation between the degree of environmental uncertainty and the use of strategic management accounting tools. In other words, the higher the perceived environmental uncertainty, the higher the need for use of strategic management accounting tools. Intensified use of strategic management accounting tools is essential because that will enable the hotels to manage the uncertainties, and be more effective in managerial decision-making, and ultimately improves organisational performance [ 70 ]. The notion of a significant influence of environmental uncertainty on strategic management accounting practices is supported by prior literature (e.g. [ 15 ]). According to them, managers who operate in highly uncertain environments would require information that is timely, current and frequent. Other scholars have also argued that environmental uncertainty would be associated with more pro-active and externally focused accounting systems (e.g. [ 32 , 38 ]).

In their study of Italian manufacturing companies, Cescon et al. [ 11 ] found a positive association of perceived environmental uncertainty and strategic pricing usage as a feature of the strategic decision-making SMA technique. In other words, the more the perceived environmental uncertainty, the higher the usage of the strategic pricing feature of the strategic decision-making SMA component.

In the perceived environmental uncertainty literature, two core dimensions have been distilled, namely competitive intensity and market turbulence (e.g. [ 30 , 58 ]). Market turbulence—a subset of environmental turbulence [ 47 ], is defined by Calantone et al. [ 10 ] as characterised by continuous changes in customers’ preference/demands, in price/cost structures and in the composition of competitors. In settings where there is high market turbulence, organizations would need to modify their products and approaches to the market more frequently [ 44 ]. On the other hand, the notion of competitive intensity relates to the logic that organisations compete for numerous resources, such as raw materials, selling and distribution channels, as well as quality, variety and price of products [ 26 , 46 ]. Achieving organisation-environment alignment in highly competitive environments requires that organisations have the capacity to effectively detect environmental signals and timely communicate environmental information (e.g. [ 88 ]).

Exploring Australian hospitality industry, McManus [ 49 ] examined the association of competition intensity and perceived environmental uncertainty on customer accounting techniques usage. The study suggests that competition intensity positively associates with customer accounting practices but also found that higher perceived environmental uncertainty would not lead to greater usage of customer accounting techniques in the explored hotels. In a much similar conceptualisation, Cescon et al. [ 11 ] examined the association of environmental uncertainty and competitive forces on strategic management accounting techniques usage in large Italian manufacturing firms. Empirically, that study found that external factors (environmental uncertainty and competitive forces) positively associate with SMA usage (strategic pricing, balanced scorecard, risk analysis, target costing, life-cycle costing). Based on the two-dimensional conceptualisation, Ojra [ 58 ] examined the relationship between perceived environmental uncertainty and SMA usage in Palestinian firms. Ojra [ 58 ] hypothesised a positive correlation of perceived environmental uncertainty (conceptualised to include competition intensity and market turbulence) but found no support. To the contrary, Ojra [ 58 ] documents a potential for negative influence of perceived environmental uncertainty on strategic management accounting techniques usage, however only significant for the market turbulence dimension. In other words, Ojra [ 58 ] suggests that market turbulence associates negatively with strategic management accounting techniques usage in medium Palestine firms.

Organisational structure (formalisation) and strategic management accounting usage

Across the various streams of management, formalisation has been mentioned as a key contingency factor in understanding the operational dynamics of organisations (e.g. [ 58 , 63 , 64 ]). With regard to strategic management accounting discourse, this notion has been numerously supported (e.g. [ 26 , 58 , 85 ]).

Studying the influence of formalisation in the functional relationship between the accounting and marketing departments, Opute et al. [ 64 ] suggest a positive association. In other words, they argue that the more formalised the processes in the firm, the higher the achieved integration between both functional areas. However, Opute et al. [ 64 ] note that whether this positive association is achieved would depend on the integration component (information sharing, unified effort and involvement) considered.

In the strategic management accounting domain, there is mixed evidence of the association of organisational structure on strategic management accounting usage. For example, Ojra [ 58 ] hypothesised that less formalised organisational structure would lead to higher use of strategic management accounting techniques in Palestinian firms but found no support for that hypothesis. In that study, no support was found for the notion that less formalised structures would lead to higher use of strategic management accounting techniques, both for total SMA as well as for all the dimensions of SMA. Thus, that study concludes that formalisation has no significant influence on strategic management accounting techniques usage in Palestinian firms. That conclusion supports the findings in Gordon and Narayanan [ 26 ], but contrast the view in Tuan Mat’s [ 85 ] exploration of management accounting practices.

Organisational structure (decentralisation) and strategic management accounting usage

Similar to formalisation, management scholars have noted decentralisation as a core organisational structure factor that should be given due attention in the drive to enhance the understanding of contingency theory (e.g. [ 58 , 62 , 63 ]). Organisational structure has been noted to influence the strategic management accounting practices of a firm (e.g. [ 58 , 70 ]). Within that foundation, decentralisation (or its opposite) has been flagged as a major factor. A contention that has been underlined numerously in the discourse is that strategic management accounting usage would be higher in organisations that embrace decentralised structure. Following that foundation, Pavlatos [ 70 ] hypothesised that SMA usage is higher in decentralised hotels than in centralised hotels in Greece. The results support the hypothesis: there is higher need for strategic management accounting practices in decentralised firms, as lower-level managers require more information to aid decision-making.

The above conclusion supports as well as contrasts prior literature, namely Chenhall [ 14 ] and Verbeeten [ 87 ], respectively. According to Chenhall [ 14 , p. 525], “strategic management accounting has characteristics related to aspects of horizontal organisation as they aim to connect strategy to the value chain and link activities across the organisation…”. Chenhall [ 14 ] adds that a typical approach in horizontal organisation is identifying customer-oriented strategic priorities and then exploiting process efficiency, continuous improvements, flattened structures and team empowerment, to initiate change, a conclusion that suggests that higher use of strategic management accounting practices would seem ideal in such decentralised organisational structure. The reason for that outcome is that in decentralised structure, lower-level managers can adapt their MACS as necessary to meet requirements [ 52 ], a logic that finds support in McManus [ 49 ] who found that customer accounting usage is higher in Australian hotels that are decentralised than those that are centralised. In contrast to that logic, Verbeeten [ 87 ] found decentralisation to associate negatively with major changes in the decision-influencing components of MACS.

Insight about the less developed context, namely about Palestinian firms lend support to, as well as contrast past literature. According to Ojra [ 58 ], decentralisation has a tendency to associate negatively with strategic management accounting usage. Therefore, although statistically insignificant, the results indicate that explored Palestinian firms that endorse decentralised decision-making process would seemingly have lesser need for strategic management accounting practices. On the evidence that decentralisation may have a negative influence on strategic management accounting usage, Ojra [ 58 ] supports Verbeeten [ 87 ] but contrasts Pavlatos [ 70 ].

Organisational strategy and strategic management accounting usage

An internal organisational factor that has been considered important in the understanding of contingency perspective of management accounting relates to organisational strategy (e.g. [ 8 , 17 , 58 ]). Hambrick [ 33 ] defined strategy as:

A pattern of important decisions that guides the organisation in its relationship with its environment; affects the internal structure and processes of the organisation; and centrally affects the organisation’s performance (p.567).

In the strategic management accounting discourse, organisational strategy has been mentioned as one of the key factors that would condition strategic management accounting practices of a firm (e.g. [ 9 , 58 , 70 , 86 ]). For example, Turner et al. [ 86 ] note that in hotel property setting, strategic management accounting use would hinge on the market orientation business strategy of the firm. Given the notion that strategic management accounting would aid management decision-making and lead ultimately to improved organisational performance, there is some legitimacy in expecting that organisations that align their strategic management accounting practices to the strategic orientation of the firm would achieve a higher organisational performance.

Following Miles and Snow’s [ 51 ] strategy typology (prospector, defender, analyser, and reactor), efforts to understand the association of strategy to strategic management accounting tools usage have also tried to understand how the various strategy typologies play out in this association. For example, Cadez and Guilding [ 9 ] considered the prospector, defender and analyser typologies in the Slovenian context, while Ojra [ 58 ] considered the prospector and defender typologies in the Palestinian contexts.

Cadez and Guilding [ 9 ] report that companies that endorse the analyser strategy, which is a deliberate strategy formulation approach, are not highly market oriented, but tend to show high usage of SMA techniques, except for competitor accounting technique. Further, they report that prospector strategy-oriented companies also pursue a deliberate strategy formulation approach, but are highly market oriented, and SMA techniques usage is fairly high (for competitor accounting) and averagely high (for strategic costing). For very high prospector-oriented companies, they are highly market oriented, have a strong strategy drive and a very high SMA techniques usage. For the defender strategy-type companies, they suggest that such companies are not only average in their market orientation, but also in their usage of SMA techniques.

In the study of Palestinian companies, Ojra [ 58 ] offers insights that resonate relatively with the findings in Cadez and Guilding [ 9 ]. Ojra [ 58 ] suggests that prospector companies have a higher usage of SMA techniques than defender-type companies. So, SMA technique usage is positively associated to prospector strategy (see also [ 8 ]. Elaborating the findings, Ojra [ 58 ] reports that prospector-type companies focused more on four SMA techniques (mean values reported), namely SMAU-Planning, Control and Performance Measurement (4.601), SMAU-Strategic Decision Making (4.712), SMAU-Competitor Accounting (4.689) and SMAU-Customer Accounting (4.734), statistical results that are significantly higher than the results for 'defender'-type companies. Cinquini and Tenucci [ 17 ] lend support to Ojra [ 58 ]: 'defender'-type companies give more attention to the Costing dimension of SMA.

Without emphasising the strategy typologies, Pavlakos (2015) comments that organisational strategy affects SMA usage in the Greek hotel industry.

Strategic management accounting and organisational performance

A central tenet in the strategic management accounting foundation is that management accounting would significantly aid organisations to achieve sustained competitiveness [ 7 , 82 ]. Implicitly, these scholars argue that in order to stay competitive in the marketplace, organisations should not only focus on cost-volume-profit issues, but rather embrace a broad externally focused management accounting approach that is strategically driven and provides financial information that enables management to effectively formulate and monitor the organisation's strategy. Thus, management accounting should also focus on competitor information as that will enable management effectively organise the firm's strategic structure.

Over the years, there is growing recognition of the importance of strategic management accounting to organisations, leading therefore to increasing research attention. One area that has received attention in the strategic management accounting discourse relates to the organisational performance enhancement notion (e.g. [ 23 , 56 , 58 , 77 , 86 ]).

Insights from Malaysia also add to the discourse on the impact of strategic management accounting usage on organisational performance. In their study of Malaysian electrical and electronic firms, Noordin et al. [ 56 ] examined the extent of usage of strategic management accounting and influence on the performance of the participating firms. The study found that in explored Malaysian companies, the extent of strategic management accounting usage was significantly related to organisation’s performance. That conclusion supports Cadez and Guilding [ 8 ] who contend that there is a positive association between strategic management accounting usage and organisational performance.

In a performance perspective that considers the ISO 9000 Quality Management System (QMS) aspect, Sedevich-Fons [ 77 ] examined the connection between strategic management accounting and quality management systems performance. The findings show that strategic management accounting and quality management are complementary and their effective implementation would enhance overall performance. Sedevich-Fons [ 77 ] notes further that when both are used in conjunction that would spread SMA techniques and enable full exploitation of Quality Management Systems.

Insights from the less developed economy context also associate organisational performance to the implementation of strategic management accounting practices (e.g. [ 3 , 57 , 58 ]). In a conceptual approach that aimed to address one major gap in previous literature, Ojra [ 58 ] examined both the financial and non-financial dimensions of organisational performance. According to Ojra [ 58 ], strategic management accounting usage does not impact the financial dimension of organisational performance but exerts significant positive impact on non-financial performance. That finding resonates with Perera et al. [ 71 ] conclusion that various forms of management accounting associate positively with the use of non-financial measures.

On their part, Oboh and Ajibolade [ 57 ], in their investigation of the association between strategic management accounting practices and strategic decision-making in Nigerian banks, found that explored Nigerian banks “practice SMA not as a concept, but as a principle of operation, and that SMA contributes significantly to strategic decision-making in the area of competitive advantage and increased market share” (p.119).

Alabdullah [ 3 ] offers evidence that adds support to the insights in the aforementioned studies [ 57 , 58 ]. In a study that explored the Jordanian service sector, Alabdullah [ 3 ] found that strategic management accounting enables performance in the service sector in Jordan. If strategic management accounting is effectively implemented, that will enable optimal strategic decision-making and ultimately improve organisational performance.

Research methodology

Research design.

Qualitative research method [ 18 , 76 ] is used in this study to achieve the objectives of this research. Following the methodological approach, as well as responding to the research call, in a past study on the contingency perspective of strategic management accounting [ 41 ], a study which was literature review-based, literature review-based qualitative research approach was deemed fit in this study.

A systematic review approach (e.g. [ 5 , 39 , 81 ]) is used in this research on the topic of strategic management accounting. Using the systematic review approach in this study is appropriate because it enables a systematic and transparent approach in identifying, selecting, and evaluating relevant published literature on a specific topic or question [ 42 , 83 ]. Furthermore, systematic review approach was deemed appropriate for this study as it has been documented to aid core research gaps identification and steering future research (e.g. [ 40 , 59 , 66 ]).

Alves et al. [ 5 ] forward a two-stage guideline for systematic review of literature: planning the review and conducting the review and analysis. As they noted, researchers should describe how the systematic approach was planned (in the former) and also describe the phases of the review and selection of literature (in the latter). In this research, effort was made to combine the best evidence: careful planning was used to determine literatures for inclusion or exclusion (e.g. [ 5 , 65 , 67 ]). The planning was focused at identifying relevant publications in various academic journals on the topic of strategic management accounting. First, the theoretical themes to be considered in the conceptual premise of this study were confirmed and academic resource for tracking relevant publications determined [ 5 , 66 , 83 ].

In the preliminary stage of the literature review, electronic search was carried out to identify relevant literature relating to strategic management accounting. Three steps were taken in the systematic review: we searched the literature, analysed and synthesised the literature, and wrote the review. Several databases were scanned using key search terms to capture relevant literature [ 81 ]. Core search terms were used, such as strategic management accounting, historical aspects of strategic management accounting, contingencies of strategic management accounting practices, strategic management accounting and organisational strategy, strategic management accounting and organisational performance, amongst others. Relevant publications were also found using data extraction tools such as Google Scholar, Emerald Insight and Research Gate.

Using the aforementioned methodological approach, a collection of relevant articles published in academic journals was identified. Identifying the relevant literature in this study followed methodological guideline [ 69 ]: criteria of language, relevance and type of research to identify relevant studies were embraced, and articles that contained non-English contents and also articles that did not fit closely to the thematic premise of this study were excluded. It is important to emphasise here that this study recognises that not all publications relating to the topic of strategic management accounting may have been considered in this research. However, for the scope of this piece of research, the body of literature covered in this study was deemed adequate for the conceptual framing.

Table 1 shows a sample of selected literature covered in this piece of research, pinpointing clearly the focus, context of the studies and findings from the studies.

The analysis

The interpretive approach of analysis was followed in processing the qualitative data to achieve reliable meaning in this study (e.g. [ 59 , 65 , 67 , 84 ]). Following that precedence, an iterative approach that involved reading reviewed literature back and forth, was used in this study. Using that approach, a synthesis of literature was undertaken to capture the core threads, debates and themes in the literature (e.g. [ 65 , 67 ]). Guided also by that methodological approach, relevant directions for future research have been flagged towards enhancing the knowledge about strategic management accounting and performance association.

Subjectivity is a major concern in qualitative researches (e.g. [ 18 , 76 ]). To address that concern, steps taken in this research to validate the articles incorporated into this research include rigor of conduct and strength of evidence by cross-referencing, as well as undertaking a duplicate check (e.g. [ 76 , 81 ]).

The findings

Prompted by the central threads that emerged from the analysis of the selected literature, the findings from this study are organised along three core themes: strategic management accounting techniques, contingencies of strategic management accounting techniques usage and the organisational performance implications of strategic management accounting usage.

The importance of management accounting, and in particular the strategic management accounting element as a tool for enabling top management to make effective decisions that enable organisation compete effectively in the marketplace, is gaining increasing mention in management discourse. In that discourse, five core categorisations of SMA techniques: strategic costing; strategic planning, control and performance measurement; strategic decision-making; competitor accounting; and customer accounting. While literature distils numerous forms of strategic management accounting techniques that organisations may embrace towards enabling effective management decision-making and organisational performance, evidence was found in reviewed literature that in some organisations, practitioners do not believe that strategic management accounting as a separate concept is a notion they subscribe to (e.g. CIMA Footnote 3 ; [ 48 , 55 ]). For example, CIMA Footnote 4 documents that participants unanimously do not subscribe to the notion, a conclusion which lends support to prior literature [ 48 , 55 ] that notes that strategic management accounting as a term, did not exist in the lexicon of accounting practitioners.

Grounded on the substance that effective use of the SMA techniques would improve organisational performance, immense research effort has focused on how organisations can effectively align the SMA usage towards achieving desired performance improvement. Premised in that theoretical domain, this study examined existing literature on the contingency factors of competitive intensity, market turbulence, formalisation, decentralisation and organisational strategy and SMA usage. Cumulative evidence obtained from the review of literature reinforces the need for organisations to pay particular attention to their operational environment in their use of SMA techniques. Reinforcing the fit principle, the cummulative evidence underlines that optimising the benefits of the strategic management accounting techniques in enabling effective customer orientation and boosting organisational performance is dependent on the organisation's ability to effectively align strategic management accounting practices to its operational environment. In other words, what works for an organisation would depend on the organisational dynamics, internal, as well as external. For example, formalisation may work for some but not for some, as decentralisation could work for some but not for some. Similarly, the utility of SMA techniques would hinge on the competitive intensity and market turbulence features of an organisation. Thus, aligning SMA practices to the internal and external features of an organisation is essential to enable them adapt effectively to their circumstances, make rational decisions and optimise their performance. So, alignment is critical because there is no one-size fits all approach for achieving customer orientation and organisational performance goals.

The third focal point of this study relates to the association of SMA techniques usage to organisational performance. Reviewed literature shows that organisations are achieving higher performance through the use of SMA techniques. In other words, effective use of SMA techniques would improve organisational performance. The plausibility in that performance outcome lies in the fact that organisations are able to utilise appropriate SMA measures to ensure effective, customer, competitor, strategic decision-making, costing, and planning and control orientation in their operational activities. Further on the performance point, literature also suggests that management control systems (MCS)–performance relationship is mediated by business strategy (e.g. [ 2 ]). Also, that study documents that the impacts (both indirect and total) of MCS on performance are stronger for family businesses than non-family businesses.

Conclusions

Conclusions and implications.

One of the major challenges that organisations are facing in today's dynamic marketplace is to steer their organisations in a way that they can stay competitive. In the contemporary world, where globalisation and technological evolution have expanded the options that customers have (e.g. [ 31 , 61 , 65 , 67 ]), organisations must strive hard to win the loyalty of customers. For organisations wishing to achieve that, strategic management accounting practices offer a strategic pathway. Organisations must embrace strategic management accounting practices that would enable them understand the market, their competitors, and the customers and leverage the intelligence from that knowledge to organise their operations towards profitably satisfying the customer. To effectively do that, organisations must avoid the mistake of focusing only on the internal issues; rather, their effort must be tailored towards embracing strategic management accounting practices that would enable them to be fully informed of the market trends, customer dynamics and competitor trends. Thus, organisations must ensure that good costing, planning, control and performance measurement; strategic decision-making, customer accounting and competitor accounting measures are embraced to enable them compete effectively.

Furthermore, in that drive to compete effectively in the market and profitably satisfy customers, organisations would not only need to embrace appropriate strategic management accounting techniques but also do that bearing in mind the environments that surround the operational activities. In other words, organisations must give due attention to the contingencies of their operational setting. Organisations must ensure a good blend of critical factors that would enable their optimal operation. Due attention must be given to organisational structure (centralisation or decentralisation of decision-making process), external environment (dynamism and turbulence), technological development, strategic approach, size of the organisation, amongst others. Doing that is critical for corporate success because there is no one size fits all approach—the outcome achieved would depend significantly on the dynamics surrounding the operational activities of the firm.

Thirty-three months on after Covid 19 was documented, Footnote 5 the pandemic is still ever present and has remained a daunting global challenge. Competing effectively in the dynamic marketplace is a major challenge for organisations, and with the Corona pandemic exerting unprecedent effects on organisations globally, most organisations are facing a more daunting challenge to survive (e.g. [ 65 , 67 ]). Organisations must strive to strategically orientate their management accounting practices to enable them find ways to effectively navigate the daunting challenges they face in this Corona era.

Implications of this study

The implications of this study are organised along managerial and theoretical implications.

Managerial Implications —Managers are reminded that optimal use of strategic management accounting techniques would boost organisational performance. Achieving high levels of organisational performance would however hinge on an organisation's ability to effectively align its SMA techniques usage to its internal and external dynamics. In other words, managers must bear in mind that there is no one-size fits all approach; therefore, they should endorse SMA techniques usage that fits their operational dynamics.

Theoretical Implications —In line with the central objective of this paper to sensitise the need for enhancing the understanding of the contingency perspective of strategic management accounting, the theoretical implications of this study are tailored towards specifying core gaps in the reviewed literature.

Overall, evidence from reviewed literature underlines the criticality of SMA techniques usage to organisational performance. Thus, if organisations strategically align SMA techniques usage to their operational setting, this would positively impact organisational performance. Within the goal of enhancing the literature on how to optimise the performance impact, much gaps still exist from the point off illuminating how differences in marketing and national culture differentiate SMA acceptance, usage, contingencies and performance impact.

Finally, on the point of performance, reviewed literature documents an obvious gap in the literature from the point of illuminating SMA techniques usage impact along the performance dimensions. As noted by Ojra [ 58 ], for some societies (especially ones that are Islamic cultured), non-financial performance is of central importance. Theoretical development from the point of SMA techniques usage, contingencies and non-financial performance impact is scanty.

Limitations of the study

Based on systematic review approach, this study aimed to drive further knowledge development on the contingency perspective of strategic management accounting, drawing on the evidence from reviewed literature to understand the core debates in the literature and pinpoint directions for future research. Two core limitations of this research relate to the conceptual framework and volume of literature reviewed.

The conceptual framing of this study embraced only three themes in the SMA discourse, namely perceived environmental uncertainty, organisational structure and organisational strategy. Elaborated, the contingency premise considered in this study relates to perceived environmental uncertainty (competitive intensity, and market turbulence), organisational structure (formalisation and decentralisation), and organisational strategy. This study recognises that there are other contingencies of strategic management accounting practices that have not been included in the conceptual framing of this study.

To capture the central debates in the SMA discourse, extant literature was reviewed. It is however important to acknowledge that this study may have ignored some literature relevant to the conceptual premise of this study. Finally, although efforts were made by the researchers to ensure validity in this research by adopting an analytical approach that involved thorough reading of literature to ensure valid meaning in the interpretation, it must be reminded that subjectivity is a concern in every qualitative research.

Future research directions

In explaining the theoretical implications of this study, core gaps in the literature were underlined (Section “ Implications of this study ”), while the limitations of this study were acknowledged in Section “ Limitations of the study ”. Building on these, this Section “ Future research directions ” extends the contribution of this study by specifying core directions for further knowledge development on the contingency perspective of strategic management accounting.

No doubt, this study has limitations, amongst which are the conceptual framework and the literature review scope. In their study, Naranjo-Gil et al. [ 54 , p. 688] note that “future research is needed to examine other factors to add a more comprehensive view of management accounting”. Given the conceptual limitation of this study, this study reinforces the research call by Naranjo-Gil et al. [ 54 ]. Future research could expand the work done in this research and knowledge development by incorporating contingency factors that have not been considered in the conceptual framing of this study. More research is required in that regard, both from the point of a systematic literature review approach, as well as from the point of empirical investigations that seek to illuminate the contextual (industrial sectors and geographical settings) differentiators to the contingency impacts on the use of strategic management accounting techniques.

Furthermore, more research effort is required from the point of gaining deeper understanding of the various strategic management accounting techniques. Marketing dynamics (e.g. [ 62 ]) and national culture [ 35 , 60 ] differ from one setting to another, therefore exploring the nature of strategic management accounting techniques that organisations endorse and why are core premises for research.

As flagged in the findings, there is a growing support of the notion that accounting practitioners do not subscribe to the use of the term strategic management accounting (e.g. CIMA Footnote 6 ; [ 48 , 55 ]). Further research could help to shed more light not only on why practitioners may not subscribe to the use of the term strategic management accounting, but also on the understanding of how practitioners would prefer to describe the management accounting practices that they embrace, and also why the specific practices are prioritised.

Furthermore, on the point of the content of strategic management accounting, researchers have also noted that not much effort is given to highlighting clearly the accounting information that organisations should give much attention to towards boosting organisational performance (e.g. [ 53 , 89 ]). Future research should aim to fill this gap. Doing that is critical to fully optimising the performance benefits of strategic management accounting [ 56 ].

Reviewed literature has documented that the extent to which strategic management accounting practices would aid management decision-making and organisational performance would depend on the contingency dynamics of the organisation (e.g. [ 11 , 58 ]). Understanding the contingency premise of strategic management accounting utility in driving effective management decision-making and organisational performance is a critical research premise, and future research should aim to shed more light on that. No one size fits all approach that works for all organisations in all contexts. Therefore, future research should seek to enhance the 'fit' foundation of strategic management accounting relevance and performance outcome. In that regard, future research should seek to illuminate further how perceived environmental uncertainty, decentralisation, formalisation, strategy and other contingency factors not considered in this study, would influence strategic management accounting techniques usage and organisational performance impact. In the particular case of perceived environmental uncertainty, more research is not only required from the point of understanding the influence of the construct, but also clarifying the competitive intensity and market turbulence associations.

An insight that emerged from the reviewed literature relates to the fact that majority of efforts to improve strategic management accounting discourse have considered mainly financial aspects of organisational performance (e.g. [ 58 , 86 ]). Focusing only on financial performance is inadequate as the customer perspective of performance is neglected [ 45 , 58 ]. The importance of focusing on customer performance has been re-echoed in further literature: organisational-level customer satisfaction associates positively to financial performance (e.g. [ 24 , 86 ]), and customer performance enables business strategy and an organisation's ability to deliver value to its shareholders as well as customers [ 25 ]. Supporting prior research (e.g. [ 49 , 58 , 86 ]), this study underlines the need for more studies that illuminate non-financial performance aspects and strategic management accounting association.

Finally, the Corona pandemic, which remains a global crisis, has exerted unprecedent global economic damage. Organisations are facing daunting challenges as a result of the Corona pandemic and are still seeking ways to successfully navigate these challenges. Future research should illuminate what strategic management accounting practices organisations are endorsing in the effort to effectively navigate the Corona-crisis-induced challenges.

Availability of data and materials

This study is based on the review of literature.

Management Accounting in support of the strategic management process. https://www.cimaglobal.com/Documents/Thought_leadership_docs/Management%20and%20financial%20accounting/Academic-Research-Report-Strategic-Management-Process.pdf .

January 9—WHO Announces Mysterious Coronavirus-Related Pneumonia in Wuhan, China.

Abbreviations

• Strategic management accounting

Strategic management accounting usage

Chartered Institute of Management Accountants

Management accounting and control system

Management control systems

Quality management system

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• Competition intensity
• Market turbulence
• Formalisation
• Decentralisation
• Organisational strategy
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• Published: 21 May 2024

A scoping review on bovine tuberculosis highlights the need for novel data streams and analytical approaches to curb zoonotic diseases

• Kimberly Conteddu   ORCID: orcid.org/0000-0002-3883-4137 1 ,
• Holly M. English 1 ,
• Andrew W. Byrne 2 ,
• Bawan Amin 1 ,
• Laura L. Griffin 1 ,
• Prabhleen Kaur 3 ,
• Virginia Morera-Pujol 1 ,
• Kilian J. Murphy 1 ,
• Michael Salter-Townshend 3 ,
• Adam F. Smith 4 , 5 , 6 &
• Simone Ciuti 1  

Veterinary Research volume  55 , Article number:  64 ( 2024 ) Cite this article

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Zoonotic diseases represent a significant societal challenge in terms of their health and economic impacts. One Health approaches to managing zoonotic diseases are becoming more prevalent, but require novel thinking, tools and cross-disciplinary collaboration. Bovine tuberculosis (bTB) is one example of a costly One Health challenge with a complex epidemiology involving humans, domestic animals, wildlife and environmental factors, which require sophisticated collaborative approaches. We undertook a scoping review of multi-host bTB epidemiology to identify trends in species publication focus, methodologies, and One Health approaches. We aimed to identify knowledge gaps where novel research could provide insights to inform control policy, for bTB and other zoonoses. The review included 532 articles. We found different levels of research attention across episystems, with a significant proportion of the literature focusing on the badger-cattle-TB episystem, with far less attention given to tropical multi-host episystems. We found a limited number of studies focusing on management solutions and their efficacy, with very few studies looking at modelling exit strategies. Only a small number of studies looked at the effect of human disturbances on the spread of bTB involving wildlife hosts. Most of the studies we reviewed focused on the effect of badger vaccination and culling on bTB dynamics with few looking at how roads, human perturbations and habitat change may affect wildlife movement and disease spread. Finally, we observed a lack of studies considering the effect of weather variables on bTB spread, which is particularly relevant when studying zoonoses under climate change scenarios. Significant technological and methodological advances have been applied to bTB episystems, providing explicit insights into its spread and maintenance across populations. We identified a prominent bias towards certain species and locations. Generating more high-quality empirical data on wildlife host distribution and abundance, high-resolution individual behaviours and greater use of mathematical models and simulations are key areas for future research. Integrating data sources across disciplines, and a “virtuous cycle” of well-designed empirical data collection linked with mathematical and simulation modelling could provide additional gains for policy-makers and managers, enabling optimised bTB management with broader insights for other zoonoses.

1 Introduction

Emerging infectious diseases represent a significant public health concern as they become more prevalent worldwide [ 1 , 2 , 3 ]. It is estimated that about 60% of emerging infectious diseases are zoonotic, 72% of which have been estimated to originate from wildlife [ 2 , 3 ]. In 2019, thirteen different zoonoses had confirmed cases in humans within the European Union [ 4 ]. This has likely been accelerated by exponential growth in global population size and mobility with associated increases in urbanisation and concurrent loss of natural habitats. It has also led to increasing occurrences of human-wildlife interactions (e.g., improper waste disposal, intentional feeding of wildlife, movement of wildlife to human-dominated areas) and, therefore, exposure to zoonotic diseases [ 5 , 6 , 7 ]. Contact between humans, livestock and other captive animals, and wildlife species is only expected to keep increasing, leading to concerns about increased incidences of zoonotic disease transfer [ 6 , 8 , 9 ]. The question, however, remains of how to best track and manage emerging diseases.

A critical example is Zoonotic Tuberculosis (zoonotic TB), which was estimated in 2016 to be linked to 147 000 human cases and 12 500 deaths worldwide [ 10 ]. Zoonotic TB is driven mainly by Mycobacterium bovis (i.e., the causative agent of Bovine Tuberculosis—also as bovine TB or bTB), which is transmitted by several wildlife hosts and livestock. Britain and Ireland, as well as many other countries worldwide [ 10 ], have been increasingly impacted by bTB, resulting in significant economic loss. In Ireland, for instance, 4.89% of cattle herds tested positive for bTB in 2023, leading to the humane killing of 28 868 cattle [ 11 ]. This is in addition to the economic costs associated with the national bTB eradication program with €92 million spent in 2018 alone [ 12 ]. Similar trends can be observed in the UK, with £70 million spent annually for bTB prevention and control [ 13 ]. This disease also raises welfare concerns for wildlife hosts, especially considering its high prevalence in the wild. Badgers ( Meles meles ), for example, have been shown to have a bTB prevalence exceeding 40% in hotspot areas in Ireland [ 14 ], and red deer in Spain have been estimated to have a prevalence of up to 50% [ 15 ].

Bovine TB eradication is prioritised by governments and researchers due to the significant health concerns and economic (trade) impacts. Despite decades of control efforts in several countries, the pathogen has successfully avoided eradication. There are complex reasons as to why this is the case [ 16 ], but a primary factor relates to its complex dynamics of transmission and maintenance across differing hosts and the environment. Therefore, new thinking may be required to further investigate if disease control can be driven toward eradication. Detecting gaps in the current bTB literature is an essential step required to identify target areas for future research and to further hone government eradication strategies.

One way in which this may be addressed, and which requires assessment as to its prevalence in the literature, is through multidisciplinary, coordinated collaborations between the public health sector, veterinarians, ecologists and wildlife managers. The importance of interdisciplinary approaches is highlighted by the interlinked nature of human, animal and ecosystem health, which led to the concept of “One World One Health™” [ 17 , 18 ]. Despite such multidisciplinary efforts, the effect of stressors (i.e., direct and/or indirect disturbances such as hunting, habitat loss, and more broadly habitat and climate change) on animal ecology within human-dominated landscapes and the potential emergence of zoonotic disease is still understudied [ 1 ]. For example, we are aware that human-driven changes in the environment can modify interactions between hosts, change host and vector densities, and alter host longevity and movement [ 19 , 20 ]. A study by Castillo-Neyra et al. showed that rabies transmission was spatially linked to water channels, which act as ecological corridors connecting multiple susceptible populations and facilitating pathogen spread and persistence [ 20 ]. However, with cities expanding and providing urban corridors to wildlife, pathogen persistence could become even more of an issue [ 20 ], confirming the importance of studying the effect of human perturbations on animal ecology and related implications in disease ecology.

Additionally, transmission of different zoonoses often involve multiple agents including humans and a diverse range of wild and domestic animals. In order to understand the processes behind their transmission, it is essential to clearly disentangle the role of each agent involved [ 19 ]. Due to the complexity of disease transmission and the maintenance of infection within multiple wildlife hosts, for example between bovine and badger populations in the case of bTB, the individual components of the transmission chain are often studied separately. This can limit our understanding of the subtle underlying effects explaining disease emergence and transmission. Therefore, a holistic approach is essential to develop a complete picture of the transmission dynamics of zoonotic diseases like bTB [ 19 ]; for example, recent research on rabies has shown how empirical data can be used to elucidate epidemiological dynamics [ 21 ].

However, even in cases where empirical data is used, there may be limited power, which can impact results and interpretation. In these cases, evidence from empirical data can now be boosted by mathematical simulations, which are powerful tools for predicting disease transmission trajectories [ 22 ]. Simulations of disease transmission through compartmental models (e.g., the Susceptible, Infectious, and/or Removed (SIR) model and its variations) have been used in a variety of disease systems, including the recent COVID-19 pandemic. COVID-19, however, is exceptional in the level of global concern garnered and resultant significant investment in funding. This meant that large empirical datasets were also made readily accessible, which made direct complex modelling possible [ 23 ]. Other zoonoses are typically more difficult to model this way due to the lack of empirical data on disease transmission and associated hosts [ 24 ]. Mathematical simulations, using for example SIR models, therefore create opportunities to also model these zoonoses. In addition, such simulations allow us to undertake experiments that are currently logistically unfeasible, too costly, too complex or on “unobservable” phenomena [ 22 , 25 ].

As mentioned, lack of information on associated hosts and transmission pathways is often a limiting factor in modelling zoonoses and may potentially also be an issue in bTB research. Studying interactions between and within host species, as well as the role played by each host in the transmission chain, can enable us to better understand zoonotic disease dynamics. While simulations can achieve much, it is important to note that interactions amongst wild animals are heterogeneous by nature and vary significantly between different populations as well as individuals. Therefore, it is important to account for this variability to understand the mechanisms behind transmission and subsequently be able to predict and control disease spread [ 8 ]. This can be achieved by using network modelling, where heterogeneous contacts between animals can be used to simulate disease transmission [ 8 , 24 ], for example using social network analysis (SNA) [ 8 ]. SNA can be beneficial for disease management since it enables us to identify “super-spreaders” (i.e., highly connected individuals) which can then be targeted for vaccination, allowing for a dramatic reduction in transmission [ 1 , 8 ]. In addition, new research is looking at integrating SNA with molecular epidemiology (phylodynamics) to better estimate transmission pathways and direction of transmission between individuals [ 26 ].

Finally, it is of key importance that models of disease risk and distribution consider variances across space and time [ 27 , 28 ], which enables us to identify disease clusters [ 5 ] and model host abundance [ 29 ]. As ecological processes occur at different scales (from single study sites to macroecological scales), the spatial scale used for disease distribution modelling is crucial in understanding how these processes exacerbate the spread of zoonotic diseases, such as bTB [ 30 , 31 ]. Large spatial scales (i.e., global, continental) can examine the broader picture and disentangle how host abundance and abiotic factors influence disease prevalence [ 19 ]. Smaller spatial scales (i.e., country, region) can be used to examine population dynamics and pathogen genetic diversity at the local level [ 19 ]. Temporal patterns are important to consider as many zoonotic diseases show seasonal variations (e.g., Zoonotic enteric diseases such as Salmonella spp, Escherichia coli , Giardia spp) as well as daily variations (i.e., due to the circadian rhythm of microbes and pathogens as well as chronobiology of wildlife hosts) in their infection patterns [ 32 , 33 , 34 ]. It is of key importance that any gaps in bTB research pertaining to factors discussed above be identified, in order to inform future research direction.

Here, we aimed to uncover empirical and methodological gaps in the peer-reviewed literature on bTB. Our intention is to use bTB as an example of a complex multihost zoonotic disease for which recent developments with sampling design, animal monitoring tools and technology, and mathematical modelling has helped to fill the gaps in knowledge and improve our understanding and ability to combat zoonotic diseases more generally.

To achieve our goal, we developed a scoping review of bTB multihost epidemiology focusing on 18 research questions (reported in Table  1 and conceptually summarised in Figure 1 ) regarding the type of study, whether, which and how wildlife species have been monitored, what kind of sampling designs and methodological approaches have been used, and whether epidemiological empirical data have been collected. We then gathered data from the peer-reviewed literature on the mechanisms driving inter- and intraspecies bTB transmission, looking in particular at novel and multi-disciplinary approaches. Our goal is that our work will spark renewed discussion on how to monitor and deal with zoonotic diseases, direct future research, and stimulate focused funding efforts (Figure 2 ).

Key host species and topics of interest we screened for in the bovine tuberculosis scientific literature published between 1981 and 2022 . bTB host species include cattle as well as a range of wild species: badger, wild boar, cervid species (with the following species identified in the literature screened: white-tailed deer, red deer, fallow deer, roe deer, wapiti elk, sika deer and muntjac deer), brush-tailed possum and wild buffalo. The circles on the outside illustrate the key information sought in peer-reviewed papers dealing with bTB, which has been expanded and clarified in Table  1 : type of data collected by researchers; whether spatial analyses were carried out (i.e., in cattle and or wildlife); what type of spatial and temporal scales were considered; whether environmental variables were taken into account (i.e., environment in the farm, environment around the farm and/or weather variables); whether the methodological approach captured the direction of disease transmission; whether the study used common epidemiological modelling techniques (i.e., compartmental models, transmission rates), or whether the study included intra/interspecies interactions in their methodology (i.e., what type of interactions did they look at - e.g., direct and/or indirect, what type of equipment was used to get interactions data and what methodology was used to analyse the data); finally, if human perturbations (i.e., forest felling, culling, vaccination) were taken into account when looking at variables affecting bTB spread, and management solutions to offset the spread of bTB, if any. Animal silhouettes were downloaded from PhyloPic [ 134 ]. Cattle, cervid, brushed-tailed possum and wild boar silhouettes are under: CC0 1.0 Universal (CC0 1.0) Public Domain Dedication. Buffalo silhouette is by Jan A. Venter, Herbert H. T. Prins, David A. Balfour & Rob Slotow (vectorized by T. Michael Keesey) under: Attribution 3.0 Unported (CC BY 3.0) [ 135 ]. Badger silhouette is by Anthony Caravaggi under: Attribution-NonCommercial-ShareAlike 3.0 Unported (CC BY-NC-SA 3.0) [ 135 ]

Cascade diagram of the process used in the selection of relevant papers.

We conducted a scoping review (as per PRISMA guidelines) [ 35 ] by sourcing peer-reviewed papers using Web of Science (Clarivate, 2021 Online Version) focusing on bovine tuberculosis, and more specifically its most common cause, Mycobacterium bovis , in cattle and several key wildlife hosts. The search terms and list of articles have been summarised in Additional file 1 . We identified 3531 potentially relevant papers (i.e., the search included all years of publication) which were uploaded and screened for duplicates using EndNote (Clarivate, Version 20.1.0.15341)(Figure  2 ). Relevant articles were then selected using a PEO (Population, Exposure, Outcomes) eligibility criterium structure [ 36 ]. The aim of the PEO is to identify articles of interest by selecting the “Population” (i.e., the subject being affected by the disease/health condition) for a particular “Exposure” (i.e., a disease/health condition) and either a particular “Outcome” or “Themes’’ to examine [ 36 , 37 ]. The PEO eligibility criterium was chosen since it was in line with the recommendations given for scoping reviews that target literature on etiology and risk factors, such as a particular disease. We decided to use a modified version of the PEO framework structure which also includes themes of interest as potential “Outcomes” [ 37 ], as summarised in Table  2 to aid reproducibility. All papers that did not meet the eligibility criteria listed in Table  2 were removed (Figure 2 ). The papers were screened by one researcher who coded 18 variables (stored in an excel spreadsheet) to answer the questions of interest summarised in Table  1 . The results were then imported and plotted using ggplot2 in R version 4.1.1 [ 38 ].

Our results are based on 532 peer-reviewed papers published between 1981 and 2022. The study location of the papers was representative of 6 continents and 52 different countries (Figure 3 ). The continent with the highest number of studies on bTB is Europe ( n  = 303, 169 of which were from the UK), significantly higher than those carried out in much larger continents such as Africa, Asia, and both Americas (Figure 3 ). We screened all papers for 18 different variables (addressing our 18 questions, see Table  1 ) which we summarised in the following section under the heading: 3.1 general characteristics (Sub-headings: “Study species and wildlife species”; “Management and data type”), 3.2 data analysis (Sub-headings: “Spatial analysis, spatial scale and temporal scale”; “Farm environment and human perturbations”), and 3.3 epidemiological analysis (Sub-headings: “Intra- and interspecies interactions”, “Direction of transmission and compartmental models”). Note that most plots presented below have a sample size of n  = 532, corresponding to the number of papers screened, with a few exceptions where this sample size is higher (for example, in relation to temporal scale included in the study, if a paper reported multiple temporal scales, therefore contributing to multiple levels of a category) or lower (for example, in relation to epidemiology, where variables of interest were analysed only in the subset of papers describing studies that included epidemiological interactions).

World map showing number of papers screened per country . Number of papers per continent: Europe (303), Africa (68), Oceania (60), North America (53), South America (29), Asia (26).

3.1 General characteristics

3.1.1 study species and wildlife species.

We found that 41% of bTB papers focused on cattle only, whereas 30% of them included both cattle and wildlife species and 29% targeted only wildlife species (Figure 4 A). Among those papers reporting wildlife data, we found that the European badger attracted most research effort (50% of wildlife studies), followed by cervid species (28%: 13% red deer, 11% white-tailed deer, 5% fallow deer, 3% roe deer, 2% wapiti elk, from hereinafter referred to as simply elk, and < 1% of studies including sika and muntjac deer), wild boar (18%), brushed tailed possum (17%) and buffalo (4%) (Figure 4 B).

Species, data and study type . Number of papers screened and reporting data on A study species type (whether the study was on cattle and/or wildlife), B wildlife species, C management (whether a paper investigated potential management solutions and their efficacy), D and data type. Animal silhouettes were downloaded from PhyloPic [ 134 ]. Cattle, cervid, brushed-tailed possum and wild boar silhouettes are under: CC0 1.0 Universal (CC0 1.0) Public Domain Dedication. Buffalo silhouette is by Jan A. Venter, Herbert H. T. Prins, David A. Balfour & Rob Slotow (vectorized by T. Michael Keesey) under: Attribution 3.0 Unported (CC BY 3.0) [ 135 ]. Badger silhouette is by Anthony Caravaggi under: Attribution-NonCommercial-ShareAlike 3.0 Unported (CC BY-NC-SA 3.0) [ 135 ].

3.1.2 Management and data type

Our results highlighted that only 25% of the studies dealt with management solutions (Figure 4 C). Management strategies mainly included culling (18%) or vaccination (6%), with 5% looking at other strategies (e.g., fencing, sterilisation). We also found that most papers gathered original empirical data (79%), and papers only using simulations were limited (4%), with a remaining 17% of papers combining empirical data and simulations (Figure 4 D).

3.2 Data analysis

3.2.1 spatial analysis, spatial scale and temporal scale.

We found that the majority of papers did not include any spatial analysis. Those that did focused on spatial patterns in wildlife (30%, Figure 5 B) slightly more than cattle (28%, Figure 5 A). Among the 149 papers that investigated spatial analysis in cattle, 58% looked at bTB risk and probability of infection; 16% looked at cattle interactions with wildlife, 13% analysed the spatial distribution of bTB positive biological samples, 11% investigated cattle movement outside the farm. Interactions between farm animals and cattle movement inside the farm were included in 5% and 1% of papers, respectively. Among the 161 studies which investigated spatial behaviour in wildlife (Figure 5 B), analysis was undertaken using a variety of methodologies; direct observations (36%), satellite GPS telemetry (19%), spatial patterns predicted by future scenarios modelling or mathematical simulations (19%), genetic samples (11%), camera traps (7%), proximity loggers (4%) and indirect observations (e.g., faecal samples for population density estimations; 1%).

Spatial and temporal analysis . Number of papers screened and reporting data on A spatial analysis of cattle (whether the study included any type of spatial analysis), B spatial analysis of wildlife, C spatial scale, and D temporal scale.

We also found that most papers included spatial scales at the regional level or smaller (72%), with less than 4% papers looking at national and/or international spatial scales (Figure 5 C). In regard to temporal scales, 36% of the studies considered interannual variability, whereas 17% tackled intra-annual variability. Thirty-six percent of the studies did not analyse any intra- or interannual temporal variability (Figure 5 D). Only 4% of the studies looked at fine-scale variability (e.g., days), whereas in a few instances the year of study was not reported at all (4%). Finally, 12% of papers included predictions for temporal patterns into future scenarios.

3.2.2 Farm environment and human perturbations

When looking at farm characteristics, 50% of the studies included some type of herd data (e.g., herd size, bTB history), with 44% not including any type of in-farm environmental variables (Figure 6 A) and 24% of papers incorporating other types of farm characteristics. These included environmental conditions on the farm (e.g., natural habitats, land-fragmentation; 13%), farm location in respect to other farms (11%) and farm location in respect to wildlife (6%).

Environmental variables . Number of papers screened and reporting data on A in-farm environment (whether the paper analysis included variables explaining environmental characteristics inside the farm), B outside farm environment, C human perturbations (whether the paper analysed the effect of human disturbances on bTB transmission dynamics), and D weather variables.

Environmental conditions outside the farm were included in 33% of the papers’ data analysis (Figure 6 B). These studies mainly looked at habitat characteristics around the farm (e.g., wildlife presence, natural habitats), with two papers also including variables focusing on habitat variation (e.g., forest clearfell, new artificial plantations). We also looked at weather variables (e.g., temperature, rainfall) and observed that 4% of papers included these as part of their analysis (Figure 6 D). Finally, 25% of the papers screened included human perturbation variables with the vast majority looking at the effect of vaccination and culling on transmission dynamics (Figure 6 C).

3.3 Epidemiological analysis

3.3.1 intra- and interspecies interactions.

We found that most papers (69%) did not include an analysis on interactions, with 25% of papers looking at intraspecies transmission and 14% at interspecies transmission (Figure 7 A). Among the interaction studies, 33% included direct interactions, 17% included indirect interactions and 51% included both (Figure  7 B). In addition, interaction data were mostly collected using simulations (39%), followed by technological tools (29%; e.g., GPS, proximity loggers, camera traps), and direct observations (23%), with genetic sampling used in 7% of papers (Figure 7 C). The methodology used to analyse interaction data also varied between papers with 28% of papers using differential equations (e.g., SIR models, discreate models), 19% social network analysis, 18% linear models (i.e., including generalized mixed models as well as simple linear regressions) and 38% using a variety of statistical techniques (e.g., t-test/ANOVA, stochastic models) (Figure 7 D).

Interaction analysis . Number of papers screened and reporting data on A interactions (inclusion of interaction analysis i.e., intra- and/or interspecies interactions), B interaction type, C the way interactions were monitored, and D interaction data analysis statistical approach.

3.3.2 Direction of transmission and compartmental models

We found that a limited proportion of the papers (8%) included direction of transmission in their analysis (Figure  8 A). We also found that epidemiological modelling techniques (e.g., compartmental models and transmission rates) were adopted in 15% of the studies (Figure 8 B).

Epidemiological analysis . Number of papers screened and reporting data on A direction of transmission (whether this was analysed in the paper, e.g., transmission across species), B epidemiological modelling (i.e., papers included compartmental models and/or transmission rates in the analysis).

4 Discussion

In this review we found that there has been significant research focusing on the badger-cattle bTB episystem. We acknowledge, however, that we also found a very limited number of studies on other episystems [ 39 , 40 , 41 ]. Our spatially-explicit overview of bTB research efforts (Figure 3 ) highlights how the badger-cattle episystem has been the focus of most research done to date, highlighting a huge amount of money and research effort on bTB transmission dynamics across Europe and particularly in Britain and Ireland. However, there has been far less attention given on other multi-host episystems of countries in southern Africa, Asia and both South and North America. We believe we have more to learn from these chronically understudied systems.

Our scoping review found a limited number of studies focusing on management solutions and their efficacy, with very few looking at modelling exit strategies [ 42 , 43 ]. This is due to the paucity of studies using mathematical simulations, not only to better understand and predict possible outputs of management solutions, but also to explore long-term bTB dynamics under different scenarios (e.g. [ 44 , 45 ]). Only a small number of studies have looked at the effect of human disturbances on the spread of bTB in wildlife host species, and this knowledge gap needs to be tackled as we are aware that human perturbations may exacerbate zoonotic outbreaks and spread [ 46 , 47 , 48 ]. Most of the studies we reviewed have focused on the effect of badger vaccination and culling on bTB dynamics with only three studies looking at how other human perturbations may affect these dynamics [ 49 , 50 , 51 ]. Additionally, only two focused on the effect of habitat change (e.g., clearfell forest operations) on bTB breakdowns [ 52 , 53 ]. Finally, we observed that there is only a few studies looking at the effect of weather variables (i.e., rainfall, soil humidity, temperature etc.) on bTB spread or risk [ 54 ]. This is especially important when considering wildlife-cattle transmission since it is now thought to occur also through environmental sources [ 55 ].

We have carefully evaluated the outcome of our scoping review, and in the following sections we have summarised data types and methodological approaches which, we believe, could contribute to gaining further insights into bTB epidemiology. Based on our review, we have identified a significant gap when it comes to prediction and simulation models, which would be a useful tool for managers to assess disease risk under different land use and climate change scenarios. Another major gap is the lack of integration between empirically-informed tactical (short-term decision support) and strategic (larger spatial scales and longer term) models being used concurrently in single studies (though we do note that there are exceptions, for instance Brooks-Pollock et al. [ 56 ]). Future research should include compartmental models fitted across space, linked via meta-populations and/or real-landscape multi-host episystems; or agent-based models (ABMs) with empirical data feedback loops. We describe such modelling approaches and their prerequisites in the following sections, beginning with data and monitoring programs, and we continue with recent advances in technology, mathematical tools and analytical solutions.

4.1 Empirical data and long-term monitoring programs: involving stakeholders and setting up fixed long-term monitoring stations across large spatial scales

As good quality data is required to generate informed strategies on wildlife interventions, we need reliable data sources to model spatial distribution and abundance of the host species involved in transmission. In reference to the badger-cattle bTB episystem in western Europe, both badgers (with several examples among the literature: [ 57 , 58 ]), and cattle [ 59 ] have been extensively monitored. However, in some populations, it is possible that deer and wild boar may also play a role in the local spread and maintenance of infection [ 60 ]. In Britain and Ireland, the significance of deer as a wildlife host impacting bTB epidemiology has been uncertain [ 61 ]. However, recent research is starting to uncover the role deer may play at local scales where conditions favour the transmission between badgers-deer-cattle [ 62 ]. There could be opportunities to gather data in collaboration with hunters (as has occurred in France [ 63 ] and Spain [ 64 ], for example) to have access to a high number of deer samples, within and across countries (large spatial scales) and across years (long-term temporal scales). Involving stakeholders like hunters may provide the unique opportunity to collect pictures of clearly infected animals (e.g., small to large white, tan, or yellow lesions on the lungs, rib cage, or in the chest cavity) - to be submitted via smartphone applications (see [ 65 ]). These stakeholders may also gather biological samples to be collected by government officials at ad hoc collecting centres. This type of information would boost opportunities for monitoring the dynamics of the disease across multiple spatio-temporal scales and in relation to bTB occurrence in the two other hosts in the system (badgers and cattle). The ability to involve stakeholders across large spatial scales (e.g., hunters, farmers, foresters) may help to establish systematic, relatively inexpensive, and long-term monitoring programmes. These can provide species presence-only and presence-absence data for Bayesian species and disease distribution models (described in Sect. " Modelling and mathematical simulations: social network analysis Bayesian species distribution models, and agent based models "), allowing managers to access up to date risk scenarios. This approach can also highlight hotspots of disease outbreak that could drive focused longitudinal studies using satellite telemetry on multiple species simultaneously. This would enable us to better disentangle species overlaps and contact rates [ 66 , 67 ]. The role of stakeholders/citizen scientists in this bTB example could be confirming infection, which is almost never inexpensive, although there is the hope that cheaper field tests will be released in the next decade. The veracity of the data collected and level of engagement from stakeholders/citizen could also be a problem which needs to be taken into consideration. For the time being, a well distributed number of samples could be collected from hunters to cover large areas systematically and limit the costs required for testing.

When it comes to establishing long-term monitoring programs, fixed long-term sampling stations across large-spatial scales can capture wildlife population spatio-temporal dynamics. This can, on one hand, provide data on occurrence, relative density, and spatio-temporal overlaps of the host species and, on the other hand, gather key empirical data required to parameterise mathematical simulations. Camera traps are a popular and effective tool for estimating state variables of wildlife populations [ 68 ]. For ungulates, they have successfully been used to understand temporal behaviour (e.g., diel activity patterns, [ 69 ]), spatial behaviour (e.g., occupancy, [ 70 ]), and abundance (e.g., density, [ 71 ]). Camera traps have been used for quantifying temporal and spatial overlap of wild ungulates with domestic animals in open systems [ 72 , 73 ] with varying results [ 74 ]. Kukielka et al. demonstrated their use in identifying hotspots of indirect wildlife–livestock overlap for the prevention of bTB crossover [ 72 ]. For wildlife, especially ungulates, camera traps offer powerful monitoring solutions not only to measure abundance and spatial overlap, but also to understand behavioural dynamics that may align closely with disease risk. An example is the use of camera traps to individually recognise animals, which has been shown to be possible in a recent study by Hinojo et al. [ 75 ]. They demonstrated how roe deer ( Capreolus capreolus ) antler shapes could be used to identify distinct individuals. This data could be used to obtain better estimates of abundance as well as to build wildlife social networks (which will be discussed in more detail in Sect. " Modelling and mathematical simulations: social network analysis, Bayesian species distribution models, and agent based models ") and therefore provide information on contact rates between and within species. The parameters from these analyses would be useful as an input for mathematical simulations to help better understand disease transmission dynamics in wildlife populations.

The use of camera traps as well as satellite telemetry can be quite challenging to use in developing countries since they can be extremely expensive (satellite telemetry, in particular) as well as difficult to use when collecting data in remote locations (camera traps, in particular). In addition, the invasive nature of satellite telemetry - which requires trapping animals - often makes it hard to collect data from enough individuals from an ethical, logistical and administrative points of view. Therefore, to improve our understanding of episystems in developing nations, advances in non-invasive diagnostic techniques and eDNA (i.e., a genetic sampling technique that uses environmental sources - such as water and soil - to extract genetic information used for biosecurity and biomonitoring purposes) are essential [ 76 , 77 , 78 , 79 ]. An example of a widely used non-invasive sampling technique is faecal sampling [ 76 , 77 , 78 , 79 , 80 , 81 ]. Faecal samples are a relatively inexpensive way of monitoring diseases and health status in wildlife species. It is also possible to collect a high number of samples in a short period of time, which is especially important for long-term monitoring programs of wildlife hosts. Collecting eDNA can be even faster and is especially useful for long term spatio-temporal dynamics of infectious pathogens at the wider scale, which can improve the monitoring of zoonoses at the country and continental level [ 77 ].

However, timing is key when monitoring diseases as infectious pathogens can mutate and be rapidly transmitted between wildlife, humans, and domestic animals, with potentially devastating impacts on human health and animal welfare. Therefore, novel and rapid genetic techniques, such as culture-free pathogen genetic sequencing [ 82 ], can greatly benefit disease surveillance by decreasing the time needed to sequence pathogens and, consequently, the time needed to make essential ecological management decisions and activate public health responses. In addition, these new sequencing technologies can be very useful during wildlife field studies in isolated areas since they can be rapidly deployed and need limited laboratory equipment for processing [ 82 ]. In addition, when monitoring zoonosis such as bTB and collecting related data (invasively or not) it is important to recall the characteristics of the bacterium itself, Mycobacterium bovis . For example, different lineages exist across the globe [ 83 ] with different strains potentially showing different evolutionary [clock] rates. This greatly affects the rate at which the bacterium needs to be monitored among countries, and we believe that faster sequencing technologies will be of great help in tracking the evolution and spread of different lineages, informing adaptive management of bTB (and zoonosis in general) at the local level.

4.2 Recent advances with technology can help to gather data for mathematical simulations: interindividual variability within animal populations and human socio-economic factors matter and should be taken into account

Animal-attached sensors, i.e., biologging [ 84 , 85 ], can allow us to disentangle animal behaviour and the movement patterns that promote disease transmission. GPS units are the most widely used of these sensors, providing data on animal space use. Proximity sensors can detect when two or more sensor-equipped animals interact and can be used to detect direct encounters which may result in disease transmission. Collars with both GPS units and proximity sensors have been used concurrently on badgers and cattle uncovering that, while badgers show a habitat preference for cattle pastures, there were rare to no direct contacts between the two species [ 86 , 87 ]. This indicates that environmental transmission may play an important role in the case of bTB [ 87 ]. As such, proximity sensors allow insights which are not obtainable through investigating shared space use alone. When the disease state of an individual is known, proximity sensors can also provide information on if and how the duration of exposure to said individual affects transmission rate to other members of the population [ 88 ]. Other biologging sensors, including accelerometers, magnetometers, and gyroscopes, are used to classify distinct behaviours from logged datasets [ 85 ]. Behaviour classification allows activity budgets to be built so that behaviours which increase the likelihood of acquiring or transmitting pathogens can be detected and mapped in the landscape. Accelerometers have also been used to compare micro-movements in diseased and healthy animals, with diseased animals exhibiting differences in posture, gait dynamism (e.g., the “bounce” in subsequent walking steps) and energy levels [ 89 ]. Monitoring such micro-movements in cattle could act as a warning sign to test herds for bTB when signs of illness are detected, e.g. by adapting existing systems in place to monitor lameness through accelerometry [ 90 ]. These effects of disease on the internal state of animals yield important insights into how disease status impacts animal movement patterns and therefore disease spread.

Biologging and satellite telemetry monitoring can, on one hand, provide answers aimed at understanding the transmission dynamics within multi-host disease systems [ 87 , 91 , 92 ] and, on the other hand, provide highly valuable empirical data that are strongly needed by parameter hungry mathematical simulations [ 88 ]. However, when tracking animals, special care should be taken to understand the behaviour of those animals that we are monitoring, and specifically whether we are following a bolder subset of the overall population that are easier to trap. This applies also to where we study animals which will provide empirical data for mathematical simulations, because behaviour and movement ecology may vary significantly depending on the level of human disturbance. We are aware that tracking multiple individuals of multiple species can be expensive and not accessible unless large amounts of funding is available. However, recent technological advances with satellite telemetry using LoRaWAN transmission technology [ 93 , 94 ] have been developed to monitor livestock at affordable prices (e.g. less than 100 euros for 1 GPS unit), opening up new opportunities for extensive monitoring programmes in wildlife, within and across species.

The concept of One Health has highlighted the role that human activities play in the spread of zoonotic diseases [ 95 ]. For example, urbanisation, improper waste disposal, and the intentional feeding of wildlife have been shown to result in wildlife movement into human-dominated areas [ 7 ], which may facilitate disease transfer to humans and other animal communities [ 96 ]. However, evidence has shown that only a select proportion of individuals within wildlife populations will engage in interactions with humans [ 97 ] or utilise these human-dominated areas [ 7 , 98 ]. Individual variation in movement patterns [ 99 ], sociability [ 100 ], and immunological defence [ 101 ], among others, impacts disease transmission and spread [ 102 ]. There is also evidence that certain behavioural types have higher infection rates than others (e.g. [ 103 , 104 ]), although the causal direction may be difficult to determine since infections also alter host behaviour [ 103 , 105 ]. Regardless, to gain a more complete understanding of disease spread, future studies should incorporate this individual variation. These studies often utilise direct behavioural observations, since these are an invaluable data source that can be used to determine which individuals in a known population are more likely to engage in close-contact interactions with humans [ 97 ] or access human areas (e.g., farmland) [ 106 ]. This can provide us with information on which individuals in a population may be at “higher risk” of transferring disease to humans or to other animal populations.

Nevertheless, considering human behaviour is also fundamental in infectious disease transmission. The One Health definition has changed in 2022 accordingly and now it includes the importance of society and its diversity in values and beliefs in effectively fighting zoonoses [ 107 , 108 ]. Collaboration between scientific disciplines is not enough to improve current and emerging infectious disease transmission. It is fundamental that community members and expertise at every level, from village to continent, be included if we wish to equitably improve human health and animal welfare [ 107 ]. In this way we may also improve the effectiveness of disease management solutions by tailoring them to communities instead of trying to use the same solutions in different areas without taking into account socio-economical differences.

4.3 Modelling and mathematical simulations: social network analysis, Bayesian species distribution models, and agent based models

Social network analysis (SNA) is a powerful tool in uncovering the causes and consequences of disease transmission within animal communities [ 109 , 110 ]. In the past decade SNA has mainly focused on understanding contact and transport networks of cattle and livestock movements, as well as wildlife movements [ 111 , 112 , 113 ]. Nonetheless, it could be expanded to better unravel the dynamics of disease transmission between wildlife populations and livestock [ 110 ]. Unlike in domestic cattle, the movements and interactions of wildlife can be challenging to track. As a result, a small proportion of individuals are typically monitored using biologging and satellite telemetry, as discussed earlier. Recent advances in statistical analysis of social networks have paved the way to obtain better inferences from limited data [ 114 , 115 , 116 ]. The first step is to identify the network metrics affecting disease transmission dynamics that best suits the disease system under study (e.g., transitivity, betweenness centrality) [ 114 , 115 ]. Using global metrics of a social network, for example, can help estimate potential changes in the overall structure of the wildlife population. A commonly used global metric when studying disease transmission dynamics is transitivity, which represents the tendency of a population to cluster together and is considered to be negatively correlated with disease transmission rates [ 113 ]. Local network metrics, on the other hand, can help in understanding social characteristics at the individual level. A type of local metric is betweenness centrality, which represents the tendency of an individual to serve as a bridge between one part of the community and another (i.e., a community in SNA is a group of nodes, for example individual animals, with denser connections between each other compared to other nodes in the network), helping the selection of individuals to be vaccinated/removed from the population.

Once we have selected the metrics to use, they can be tested via pre-network permutations of available observations to ensure that the available data sufficiently captures non-random interactions among the animals. However, when using small samples for SNA we also must be careful on what we infer from it. Recent research [ 115 ] has shown that estimates may be inaccurate, or “noisy”, at low sample sizes. Therefore, stable metrics with respect to low sample sizes should be identified before making inferences. Research on data collected for wild ungulates [ 115 ], for example, shows that the betweenness centrality values of smaller samples remain well correlated with those in larger samples, indicating that this metric can be used even when the social network is built using a small sample of the population. Similar correlation analysis can be done for other network metrics, mainly in cases of limited data availability for disease transmission. Whenever limited animals from a population are monitored, confidence intervals around the network metrics should also be obtained to make informed decisions using statistical evidence.

Using the methodologies discussed above (see Silk et al. and Kaur et al. for more details, [ 113 , 115 ]) we now have the possibility of analysing all telemetry data collected thus far on species involved in bTB transmission (e.g., badgers, wild boar; but also applicable to species from other disease systems) to test hypotheses on disease transmission dynamics. For example, we can now use these statistical techniques to better understand behavioural patterns of wildlife species, as well as comparing networks overtime and how wildlife behaviour can be affected by perturbations in the environment (e.g., climate change, land-use change or other type of anthropogenic factors) even when only limited data is available [ 115 ]. In addition, it will help in collecting future data since these methodologies can be used to estimate the minimum number of individuals needed in order to reliably build a social network, which can vary enormously depending on the scope of the project as well as the wildlife species of interest. This will, for example, help in answering specific questions regarding the role of deer species in bTB transmission by simultaneously collecting telemetry data on badgers and deer species in Ireland.

Knowing the distribution and abundance of wildlife vectors (i.e., a living agent that carries and transmits pathogens - e.g. HIV, Covid-19, bTB - to other living beings) is also essential when aiming to reduce zoonotic risk [ 117 , 118 ]. To that aim, Species Distribution Models (SDMs) can be used to produce models of the distribution and abundance of species based on occurrence data [ 119 ]. In recent years spatial modelling has undergone a conceptual and technical revolution. New modelling techniques within Bayesian [ 120 ] and Machine Learning frameworks [ 121 ] allow us to develop spatially explicit models of animal abundance and distributions with unprecedented accuracy, and the improvement of computational power allows computers to rise to the challenge and cope with the high computational demands of these models. The flexibility of the new techniques allows us to use different types of data (e.g., individual tracking data, survey data, and even citizen science data) and combine them in what are called Integrated Species Distribution Models (ISDMs), while still taking into account the different observational processes of each type of data, to produce accurate models even in data scarce systems [ 122 ]. In addition, these new techniques also allow for the calculation of uncertainty in a spatially explicit manner, which will help us evaluate the quality of the models and better interpret the results. Bayesian ISDMs using INLA (i.e., Integrated Nested Laplace Approximation) [ 123 ] were used to model the distribution of red, sika and fallow deer in Ireland, which are vectors of bTB [ 65 ]. The models produced, for the first time, relative abundance and distribution maps for each species, which will be an essential tool for deer population management and thus towards bTB eradication. They are already being used to determine high sika-density areas for a pilot study on the effect of deer on biodiversity, which will provide further management tools for the overabundant deer populations in Ireland. In addition, hierarchical Bayesian models are also the basis of a new project aimed at modelling European badger sett distribution, badger density, and their body condition. These three models will be linked to bTB infection in badgers and outbreaks in cattle, in an attempt for the first time to link badger spatial ecology to bTB management and eradication in Ireland (V. Morera-Pujol 2023, personal communication).

Agent-based simulations are another useful modelling approach, or complementary tool to traditional methods, when data is limited/not available; helping elucidate transient effects of wildlife disease transmission in human-dominated landscapes [ 25 ]. These models serve as a computational laboratory that allow researchers to plug-in available real-world data and parameterise both agents (for instance, a badger) and the environment (for instance, a mosaic of natural habitats and farms). This enables researchers to empirically test if animal behaviour in response to landscape change or management interventions modulates disease risk dynamics over time and space [ 124 ]. Recent technological advancements have bolstered agent-based simulations allowing for high-resolution spatio-temporal models that incorporate geographic information systems (GIS) data to create hyper realistic environments, and machine learning algorithms to introduce cognition and applied decision making for agents. Furthermore, process-driven agent-based models (e.g., disease transmission) can be integrated into larger mechanistic agent-based models (e.g., ecosystem scale epi-dynamics) for increasingly higher-resolution models that reduce uncertainty and overly-theoretical parameterisation of model entities [ 25 ]. The development of highly-realistic agent-based simulations, parameterised with high-resolution data, for the management of bovine tuberculosis in multi-host systems can contribute to answering important policy questions and how best to select management directions. In practice, this allows for the totality of data collected in complex multi-host systems to be incorporated into a single environment where they may be measured against one another in the simulation to deduce the possible effects of each predictor. Take for example the European badger as the primary wildlife host in Ireland as a case study. Badgers are prevalent in the agroecological mosaic of natural habitats and farms in Ireland. Agent-based simulations can utilise data from badger tracking studies [ 51 , 125 , 126 ], habitat suitability [ 127 ], culling and vaccination programmes [ 128 ] and disturbance regimes [ 52 , 129 ] to simulate badger movement and behaviour realistically. GIS data for farm location and characteristics [ 130 ], as well as ecological and environmental data streams, can then place the badger agent into a highly realistic environment to examine how these factors affect badger movement, behaviour, and other parameters, for instance, contact rates with domestic animals. Interactions between agents and the environment can be modulated by sub-models to further increase the strength of the model. For instance, weather sub-models (e.g., rainfall) may influence agricultural practice and thus contact rates, as well as the length of time Mycobacterium bovis persists in the environment. Alternatively, disease transmission could also be sub-modelled so that contact rates may/may not result in infection [ 25 ]. Finally, management decisions can be trialled within the simulation to see how likely decisions change the status of disease within the study system, allowing for “What if?” scenarios to play out without risk to animal or human welfare or livelihoods.

5 Conclusion

Our exploration of the recent literature on multi-host bTB episystems, as an example of zoonotic One Health challenges, has revealed a significant body of work utilising a diversity of methodologies at different spatio-temporal scales and subjects (individual vs. group) levels. There was a significant bias in the literature towards one particular episystem, the badger-cattle system that predominates in north-western Europe, reflecting large financial burdens (for both governments as well as the agricultural sector) and research funding investments. Alternatively, there were comparatively less publications from the global south, especially in complex muti-host episystems in southern Africa and India. In such episystems, the cost-effective and efficient collection, collation, and use of data are essential to drive greatest added value to inform on policy options.

Given the results from our scoping review, we reflect on several areas where progress could be made. This includes the need for high-quality data on wildlife hosts, even in episystems where significant research investments have already been made. Such careful collection and utilisation of empirical data could then help feed the development of social network analyses, Bayesian distribution models and eventually mathematical and simulation-based models. Mathematical simulations, such as ABMs trained on synthetic data and parameterised by real empirical data, can answer questions that would otherwise be too costly, unethical, or both. Such models can also be used to explore different scenarios in an increasingly human-dominated world, under different levels of land-use and climate change, or with the appearance of invasive species in already complex multi-host epidemiological systems. In addition, it can help build cross-disciplinary bridges with other areas, deriving significant insights into interspecific transmission like phylodynamic modelling.

We have used our Irish experience to inspire researchers from across the globe; Ireland invests considerably in surveying, culling, and vaccinating badgers [ 131 , 132 ]. However, the question remains - which applies to other countries and zoonotic episystems - should we be doing more or can we be smarter with the data we already have? We suggest the latter. Yes, there is a need to be smarter, arranging ad hoc data collections using the latest technological tools to estimate unknown or uncertain parameters. But we also have to focus our efforts on mathematical modelling (ABMs, INLA-Bayesian) to optimise our information gain from the large, high-quality datasets collected over the last few decades (and for sparser datasets, taking advantage of recently developed statistical tools for enhanced inferences, see [ 54 , 68 ]). We have (almost) all the data required to parameterise simulations with significant utility: this should be one main focus in future research. We believe that, ideally, the feedback of simulation and mathematical tools to inform data collection, and the “virtuous cycle” of feeding this new data to improve the next generation of model is a priority for decision making tools for policy makers and programme managers.

Availability of data and materials

The datasets generated and/or analysed during the current study are available in the “A scoping review on bovine tuberculosis highlights the need for novel data streams and analytical approaches to curb zoonotic diseases” repository [ 133 ].

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Acknowledgements

We would like to acknowledge Sylvia Power for helping in reviewing the final version of the manuscript.

This publication has emanated from research conducted with the financial support of Science Foundation Ireland under Grant number 18/CRT/6049. For the purpose of Open Access, the author has applied a CC BY public copyright licence to any Author Accepted Manuscript version arising from this submission. In addition, HME is funded by an Irish Research Council Government of Ireland postgraduate scholarship. KJM and VMP is funded by the Department of Agriculture, Food and the Marine (DAFM) in Ireland through the research grant 2019-R-417.

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Conteddu, K., English, H.M., Byrne, A.W. et al. A scoping review on bovine tuberculosis highlights the need for novel data streams and analytical approaches to curb zoonotic diseases. Vet Res 55 , 64 (2024). https://doi.org/10.1186/s13567-024-01314-w

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Towards inclusive learning environments in post-graduate medical education: stakeholder-driven strategies in Dutch GP-specialty training

• N.M. van Moppes   ORCID: orcid.org/0000-0003-3457-7724 1 ,
• M. Nasori   ORCID: orcid.org/0000-0001-8559-1791 1 ,
• J. Bont   ORCID: orcid.org/0000-0002-5358-0235 1 ,
• J.M. van Es 1 ,
• M.R.M. Visser 1 &
• M.E.T.C. van den Muijsenbergh   ORCID: orcid.org/0000-0002-4994-4008 2 , 3  

BMC Medical Education volume  24 , Article number:  550 ( 2024 ) Cite this article

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A recent study found that ethnic minority General Practice (GP)-trainees receive more negative assessments than their majority peers. Previous qualitative research suggested that learning climate-related factors play a pivotal role in unequal opportunities for trainees in post-graduate medical settings, indicating that insufficient inclusivity had put minority students at risk of failure and dropout.

Study objectives

We aimed to develop broadly supported strategies for an inclusive learning climate in Dutch GP-specialty training.

We employed Participatory Action Research (PAR)-methods, incorporating Participatory Learning and Action (PLA)-techniques to ensure equal voices for all stakeholders in shaping Diversity, Equity, and Inclusion (DEI)-strategies for GP-specialty training. Our approach engaged stakeholders within two pilot GP-specialty training institutes across diverse roles, including management, support staff, in-faculty teachers, in-clinic supervisors, and trainees, representing ethnic minorities and the majority population. Purposeful convenience sampling formed stakeholder- and co-reader groups in two Dutch GP-specialty training institutes. Stakeholder discussion sessions were based on experiences and literature, including two relevant frameworks, and explored perspectives on the dynamics of potential ethnic minority trainees’ disadvantages and opportunities for inclusive strategies. A co-reader group commented on discussion outcomes. Consequently, a management group prioritized suggested strategies based on expected feasibility and compatibility.

Input from twelve stakeholder group sessions and thirteen co-readers led to implementation guidance for seven inclusive learning environment strategies, of which the management group prioritized three:

• Provide DEI-relevant training programs to all GP-specialty training stakeholders;

• Appoint DEI ambassadors in all layers of GP-specialty training;

• Give a significant voice to minority GP-trainees in their education.

The study’s participatory approach engaged representatives of all GP-specialty training stakeholders and identified seven inclusive learning climate strategies, of which three were prioritized for implementation in two training institutions.

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Introduction

Following international migration trends [ 1 , 2 ], diversity among students and trainees is growing [ 3 , 4 ], with each of them bringing their specific cultural values, family- and migration histories [ 5 ]. However, postgraduate medical ethnic minority GP-trainees still face underrepresentation [ 3 , 4 ] and may encounter unequal opportunities for success compared to their majority peers [ 6 , 7 , 8 , 9 ]. Learning climate-related factors, notably those related to lacking inclusiveness, likely play a pivotal role in this discrepancy [ 10 , 11 , 12 ].

Educational opportunities in GP-specialty training primarily rely on in-clinic learning, encompassing formal and informal contexts. Formal learning, characterized by structured, planned, and accredited activities within educational institutions, coexists with less structured informal learning, which is self-directed and arises from in-clinic everyday experiences and interactions, often susceptible to unspoken norms. While both approaches complement each other in providing a well-rounded education, the informal context might inadvertently reflect dominant cultural values and attitudes, potentially affecting in-classroom learning [ 13 , 14 , 15 ]. Particularly for ethnic minority GP-trainees, this lacking transparency may contribute to an increased risk of facing underperformance assessments, as these unspoken norms and values may not be self-evidently familiar to them [ 10 , 11 , 12 ].

Learning environments are subject to complex dynamics. Understanding the interconnected constructs of these dynamics is crucial for implementing transformative changes [ 16 ]. Accordingly, changes for inclusive learning opportunities require input from all organizational layers [ 17 ].

With this study, we aimed to develop broadly supported recommendations for an inclusive learning climate in Dutch GP-specialty training.

We used a qualitative Participatory Action Research (PAR) approach [ 18 , 19 ], applying Participatory Learning and Action (PLA) techniques in stakeholder groups combined with insights from literature (Appendix) along with GP-trainees’ experiences related to inclusive education, to actively engage stakeholders in an inclusive dialogue [ 20 , 21 , 22 ]. This approach supported co-ownership, promoted compatibility with the organization’s actual needs, and facilitated successful implementation [ 23 ].

We employed two conceptual frameworks to shape the topic lists for stakeholder groups and guide result analysis.

The Building Equity Taxonomy (BET) framework for Diversity, Equity, and Inclusion (DEI), addressing students’ needs for equal educational opportunities, and covering the areas of physical integration, social-emotional engagement, equal learning opportunities, instructional excellence, and fostering inspired learners [ 24 , 25 ] (Fig.  1 ). This framework is relevant to various educational settings, including GP-specialty training [ 12 , 26 , 27 , 28 , 29 ].

Building Equity Taxonomy [ 24 ] compared to Maslow’s hierarchy of needs [ 25 ]

The Wensing & Grol framework implementation guidance, equivalent to the internationally recognized Consolidated Framework for Implementation Research (CFIR) [ 30 ]. It provides implementation guidance for complex organizations, including clinical healthcare and educational settings [ 30 , 31 ] (Fig.  2 ). This framework underpinned our implementation guidance, which the management team used for prioritization.

The Wensing & Groll model for implementation guidance [ 30 ]

This study took place at Amsterdam UMC’s two GP-specialty training institutes (AMC and VUmc). These institutes have demonstrated commitment to inclusiveness in their 2020–2022 annual reports, and they collaborate with the six other Dutch GP-specialty training institutes under GP-specialty Training Netherlands (HN).

One in three medical graduates in the Netherlands aims to enter GP-specialty training. In response to national medical demands, HN annually expands its acceptance of new trainees, projecting 921 in 2023 and an anticipated 1,190 in 2024, distributed across eight training institutes. About 17% of these trainees belong to ethnic minority groups, with most having completed pre-training at Dutch Medical Schools and a smaller group having graduated abroad [ 7 ]. Due to General Data Protection Regulation (GDPR) restrictions, the precise distribution of minority trainees across the eight national institutes remains undisclosed. However, a prior quantitative study indicated that by 2023, our pilot institutes showed a relatively proportional representation of Dutch GP-specialty training [ 7 ]. However, it is essential to note that qualitative research emphasizes a thorough description of the setting to enrich readers’ contextual understanding rather than strict representativeness.

The Dutch GP-specialty training program is a three-year dual-track program, supporting professional growth by combining in-clinic experience learning with one-day-a-week in-faculty education. Entry assessments aspire to guarantee the applicants’ knowledge, motivation, and Dutch proficiency. The program includes protocolled assessments, such as practical observations, systematic testing, and reviews of learning objectives.

Study population

Acknowledging the essential need of broad support for inclusive organizational changes, we engaged participants from all backgrounds represented within the organization. Our study population encompassed the ethnic majority background as well as diverse ethnic backgrounds across all organizational layers (ranging from support personnel, management, educational staff (comprising both faculty and clinical educators), and trainees themselves), divided into two stakeholder groups, one co-reader group, and a management team group (Fig.  3 ).

Participant groups

Aiming to prevent eligible participants from experiencing researchers’ pressure, researchers sent information letters to team leaders, requesting them to forward in-faculty teachers, in-clinic supervisors, supporting bureau and management personnel, and trainees. From those interested, we purposefully selected twelve participants (six in each stakeholder group), striving for diversity regarding the position in the institute, age, gender, and ethnicity [ 32 ]. Stakeholders ranged from supporting bureau and management personnel (further in this text referred to as ‘staff’) to trainees, in-faculty teachers, and in-clinic supervisors representing diverse minority backgrounds as well as the majority background.

Stakeholder groups, each representing one GP-specialty training institute, provided input for inclusive strategies. Additionally, a co-reader group comprising interested individuals not in the stakeholder groups provided further insights through written comments. These groups represented diverse organizational layers, cultural backgrounds, ages, and gender. Representatives from management teams then evaluated and prioritized the suggested strategies.

Data collection

Data collection and analysis took place from January 2021 to December 2022. Two researchers (MN, NvM) familiar with PLA-techniques facilitated six 90-minute PLA-based sessions for each stakeholder group. The sessions focused on inclusive learning environments and GP-specialty training’s inclusivity. In a cyclical process [ 33 ](Fig.  4 ), participants engaged in PLA techniques such as ice-breaking, flexible brainstorming, free-associating, direct ranking, mind-mapping, and visual evaluation. These methods facilitated sharing experiences and opinions and aligning these with relevant literature (Appendix, Table  1 ) to identify suitable inclusive strategies. After each stakeholder group session, the facilitator-researchers held debriefing sessions to reflect on their roles and identify areas for improvement. Independently, they summarized the key findings from each session and reached consensus through discussions. They presented these summaries in subsequent sessions for a member check and made adjustments based on participants’ feedback. To ensure a broader perspective, the co-reader group commented anonymously on these approved summaries, allowing them to contribute their personal perspectives, opinions, and experiences freely. Stakeholder groups then discussed and implemented these comments in their final session (Fig.  3 ).

Cyclic phases until consensus of stakeholder groups’ processes [ 33 ]

The stakeholder group topic list focused on:

Exploring :

The initial educational context;

Potential learning climate-related disparities;

Out-of-the-box wishes and key elements for an inclusive learning climate;

Strategy developing and preparing for implementation:

Recommendations for inclusive GP-specialty training;

Mapping onto the BET framework’s hierarchical levels of DEI [ 24 ](Fig.  1 );

Translating recommendations into actionable strategies.

Identifying Wensing & Grol conditions and requirements for implementation [ 30 ](Fig.  2 ).

Due to the Covid-19 pandemic, we adapted the study’s in-person design to online methods for creative brainstorming. In these virtual sessions, physical distance and potential distractions of personal environments challenged trust and commitment, especially for GP-trainees who felt vulnerable sharing ideas with in-faculty teachers, in-clinic supervisors, and staff, who might also be their assessors in daily educational contexts [ 34 ]. To address this risk, we dedicated extra time, and utilized online tools: Zoom 5.13.11 for breakout rooms, Padlet 200.0.0 for visualizing PLA techniques, and concise PowerPoint presentations for member check summaries and goal-setting [ 35 ].

The facilitator-researchers (NvM, MN) collected audio recordings and written co-reader comments. An external bureau transcribed audio-recordings verbatim.

One researcher (NvM) regularly presented our findings during periodic staff meetings. These presentations not only aimed to keep the entire team informed but also played a crucial role in garnering broader support and incorporating diverse opinions for our project.

Data analysis

Within three days after each session, we (NvM, MN, and MV) analyzed the transcribed audio recordings and written co-readers’ comments, and discussed our analyses until consensus.

To provide actionable qualitative insights while responding to ongoing participant feedback, we adopted an inductive rapid qualitative data analysis approach inspired by Hamilton’s model [ 36 , 37 , 38 , 39 ]. This method prioritizes identifying key elements and mechanisms over extensive theoretical insights. Through structured data collection using topic lists and Participatory Learning and Action (PLA) techniques, along with expedited transcription, we efficiently analyzed ideas and condensed findings into concise formats like post-interview notes and matrix summaries. Although not a traditional thematic or framework analysis, we employed theme-informed and framework-informed codes to organize data, considering context and group dynamics, which allowed us to explore interactional group dynamics and communication styles in the participants’ discourse and its points of consensus or contention within specific statements [ 40 ]. We anticipated this method, aligned with the literature, to yield qualitative outcomes as consistent and rich as traditional in-depth transcription coding while facilitating the analysis of interconnected sessions [ 36 , 41 , 42 ].

We analyzed the stakeholders’ ideas, recommendations, and their identifyed Wensing & Grol conditions and requirements for implementation to create implementation guidance [ 30 ]. This guidance encompassed analyzing organizational structure, identifying change potential and barriers, defining the target population, describing tailored DEI-strategies, estimating timelines for internalization processes and implementation, and designing evaluation methods (Fig.  2 ). Subsequently, we invited management group participants for hybrid (online and in-person) meetings, where they engaged in substantive discussions to evaluate this guidance and prioritize recommended strategies, based on the expected feasibility and compatibility with their setting.

Reflexivity and ethics

Two authors, NM and MN, identify as minority females. While their unique backgrounds enhance sensitivity towards minority peers’ experiences, a potential challenge arises where these experiences resonating with them might be more salient. To mitigate this, we organized reflective debriefing sessions addressing diverse viewpoints and emphasizing the researchers’ roles as instruments in data collection and analysis. During these sessions, we engaged in candid discussions probing our experiences, expectations, preoccupations, and opinions that could have influenced our approach to data collection and analysis.

Also, the roles of participating stakeholders may have influenced views they shared in this research process. They spanned all organizational positions, ranging from department heads to trainees, in-faculty teachers, and in-clinic supervisors, representing both, majority and minority backgrounds. While deliberately seeking these varied insights, we remained mindful of potential power dynamics influenced by different positions or ethnic backgrounds. To foster a safe space and address these dynamics, facilitators employed PLA-techniques, such as ice-breakers. Also, they established clear agreements with all stakeholder group members regarding privacy, openness to differing views, and ensuring safety. Should any commitments be breached, facilitators were trained to address them promptly. In fact, stakeholders demonstrated remarkable respect and curiosity towards understanding each other’s perspectives throughout the process.

Participant characteristics

Table  1 presents participant characteristics for the stakeholder, co-reader, and management groups. In total, 31 stakeholders participated, aged 24 to 60, including eight males, 24 staff members from diverse organizational positions, seven trainees, and 12 ethnic minority participants.

The stakeholder group sessions had an attendance rate of 97%. All co-readers responded to the request for comments. During the hybrid management group session, 40% of participants attended in-person, while 60% joined online.

Stakeholder group sessions

In line with the topic list, we organized the results into two sections: [ 1 ]Exploring and [ 2 ] Strategy developing and preparing for implementation. In Sect. 2, the stakeholders aligned their results with the BET framework and structured them according to the Wensing & Grol framework.

The initial educational context

Stakeholders defined inclusiveness in the GP-specialty training as collective curiosity and support for trainees’ unique professional identities, regardless of their characteristics or backgrounds. As preconditions for in-faculty teachers, in-clinic supervisors, and staff, participants mentioned [ 1 ] willingness to encounter emotional discomfort [ 2 ], embracing failures in order to learn, and [ 3 ] acknowledgement of unconscious bias.

‘… we will not always succeed to be without prejudice, that is allowed as long as we will put the effort in gaining awareness’ (participant 2, group 1).

Participants emphasized creating a safe learning environment where all voices, including minority voices, can be heard. They suggested reflective questions starting with:

‘ Could you imagine that…’.

Participants highlighted parallel processes whereby educators foster trainees’ personal and professional development, and GPs support patients’ individual coping styles. Such an inclusive and safe learning environment would act as a flywheel, enhancing the institute’s inclusive image and attracting prospective minority trainees, teachers, and in-clinic supervisors.

Co-readers confirmed these view points and they added their concerns regarding prioritization by some staff members:

‘I have nothing to add. I think it is essential that diversity is given a priority, that we as staff all agree that this is important. The pitfall is that some of them might not see the importance’. (co-reader 2)

Potential learning climate-related disparities

Stakeholders from ethnic minority groups expressed distress experiences in a dominant white world:

‘The GP-specialty training population is predominantly white and female; trainees, in-faculty teachers, and in-clinic supervisors even seem to resemble one another. Without them saying or acting, I continuously feel the stress of having to adapt to them, which I will never be able to’ (participant 2, group 1).

Stakeholders discussed the majority’s naivety in understanding the experience of belonging to a minority and expressed concerns about some DEI programs potentially leading to paradoxical stigmatization. They noted instances where in-faculty teachers appointed minority trainees as representatives for their cultural groups, ignoring the vast diversity within these groups. Also, participants reported stereotyping case reports:

‘They always use the example of the non-Dutch speaking overweight Moroccan mother of seven children, not engaged in any sports, who favors sweet and fatty food, and suffers from diabetes’ (participant 3, group 2).

Co-readers added that this one-sided picture made minority trainees uneasy, feeling discussed rather than equal partners in GP-training. Additionally, they emphasized that presenting DEI programs as non-mandatory, implied that diversity and inclusiveness were not necessarily integral to GP-skills requirements.

‘Mandatory inclusive training for mentors, staff, and teachers holds significant importance, signifying our commitment. Participation in these courses should be integrated into evaluations and annual interviews’. (co-reader 4)

Out-of-the-box wishes and key elements for an inclusive learning climate

Upon the invitation to make a wish:

‘Wouldn’t it be wonderful if….‘ ,

stakeholders wished for diverse staff as role models, willing to learn from each other, normalizing various meaningful insights, and embracing diverse worldviews:

‘By using these differences, we keep each other awake and open-minded in exploring possibilities; thus, we allow ourselves to grow without assuming that our paved path is always the best way at the time’ (participant 3, group 1).

Stakeholders indicated the institute’s responsibility to educate GP-trainees for a diverse patient population as an essential component of an inclusive learning environment. Key elements related to such inclusiveness were:

The GP-specialty training should represent society in all its diversity:

‘It’s been a few years since I started GP-specialty training, of course, but… I’m just digging whether I had a feeling of: “I fit in there” or: “I recognize my roots there”. These are important feelings to me to feel safe at my work- and study place’ (participant 7, group 1);

A diverse GP workforce meets patients’ appreciation for GPs they can identify with:

‘Regarding this cultural background or ethnicity, I have the impression that patients from ethnic minorities often liked that I obviously am not Dutch, they said, “oh, you are not Dutch, are you?“, it led to recognition, a little laugh, and connected us. Having a doctor just like them helped my patients to share their concerns.’ (participant 2, group 2);

GP-trainees need identifiable and diverse educational role models:

‘The moment you sit down together and see that diversity, …brings different working styles, learning styles, or communication styles… that you realize we have to do it together, the greater the diversity, the more we learn from one another, the higher we rise, the more fun and creative ideas…’ (participant 4, group 2);

Diverse GP-trainee cohorts improve mutual learning processes:

‘To me, utilizing diversity means that there’s always someone in the classroom who says, “Okay, so what if we look at it from that perspective or through those glasses?’ (participant 1, group 1).

Co-readers agreed and added that GP-specialty training already utilized diversity among in-faculty teachers to some extent:

‘Great idea! Diversity among teachers is already being leveraged to some extent. Trainees can synthesize a blend of styles and insights from different teachers and mentors. Expanding on this concept could help cultivate a more inclusive learning environment’ . (co-reader 1)

Strategy developing and preparing for implementation

Recommendations for an inclusive gp-specialty training.

Participants (stakeholders in collaboration with co-readers) made six fundamental recommendations and mapped these onto the BET framework levels to ensure all aspects of inclusive education would be covered [ 24 ] (Table  2 ).

Actionable strategies

From these recommendations, participants derived seven actionable strategies for promoting inclusive GP-specialty training (Table  3 ).

Provide a clear message of inclusiveness in all internal and external communications .

Participants explored various means and media platforms for promoting the GP-specialty training’s DEI core values (websites, ads, social media, podcasts), focusing on design, content, and appeal to the target group. They recommended involving trainees with media experience rather than exclusively hiring specialized communication consultants.

Appoint DEI ambassadors in all layers of the organization .

Participants suggested involving employees as DEI ambassadors to effectively spread DEI core values in the organization. Ambassadors would undergo comprehensive training in DEI, reflective skills, leadership, and change management. They would also attend conferences, masterclasses, join knowledge networks, and contribute to think tank initiatives as part of their preparation.

Facilitate procedures for secure incident reporting .

Participants highlighting the significant impact of unintentional discriminatory behavior, often resulting in experiencing barriers to reporting such incidents. They proposed implementing low-threshold and secure reporting procedures with targeted questions on DEI and (micro)aggression. Regular team sessions would enable open discussions based on anonymous reports, fostering inclusive education, uncovering organizational trends, and providing support for trainees who faced discrimination, microaggression, or exclusion. Confidential advisors would receive training in DEI, reflective skills, and relevant legislation.

Give a significant voice to minority trainees in ongoing program development .

Participants advised inviting minority trainees to round table discussions, fostering insider perspective exchange with mutual respect, critical reflection, and empathy. Including these diverse voices would promote resilience and professional growth and attract eligible trainees and staff from diverse backgrounds.

Assign more than one in-faculty teacher per group / in-clinic training .

GP-trainees - like all individuals - naturally mirror the behavior of significant others, such as teachers, in-clinic supervisors, or peers. Participants believed that trainees with multiple role models would outperform those with single role models. They suggested introducing dual in-faculty teachers and dual in-clinic supervisors as additional role models and an extra pair of eyes during education. To ensure success, participants recommended training programs for optimum role model utilization.

Offer ‘just-in-time’ learning .

Participants agreed that effective learning is closely related to immediate learning needs. For GP-trainees, such learning needs often arise from societal encounters in the consultation room, e.g., guiding Muslims during Ramadan while simultaneously managing diabetes or comprehending increasing PTSD symptoms around Keti Koti (Afro-Surinamese Emancipation Day). Timely incorporating these contextual factors into training programs could provide directly applicable knowledge.

Provide mandatory DEI relevant training programs for professional development .

Participants emphasized the necessity of new knowledge, skills, and attitudes. They considered within-group differences valuable learning tools for diverse personal and professional development paths. Well-trained staff and trainees could drive inclusive knowledge networks, empower the organization, and positively influence external perceptions. Thus, they recommended mandatory and tailored training programs aligned with the anticipated learning needs from the suggested strategies. Where applicable, they advised considering outsourcing.

Conditions and requirements for implementation

Participants indicated the importance of in-faculty teachers, in-clinic supervisors, and staff having the courage to be vulnerable. They emphasized the essence of transparent norms and values and a welcoming learning environment, and they highlighted an attitude of:

‘… genuinely enjoying to support a diverse population in their growth towards their professional identities’ (participant 6, group 2).

‘Implementing these ideas demands courage and vulnerability, particularly as their execution could inadvertently carry stigmatizing effects’. (co-reader 6)

In this context, they mentioned the risk of unconscious bias, which could require external expert trainers at certain stages:

‘Well, you know, I had a trainee of Moroccan descent, and it shocked me that, while I always thought to be very open, diversity-minded, and curious for everything and everyone, I found it way more difficult to connect than I’d admit. I wonder what would have helped me unveil this blind spot in an earlier stage…’ (participant 5, group 1).

‘… allow and embrace the differences, see them as opportunities that actually add learning qualities, and not take them away? So, professionalism will become more colorful, and it can be viewed from different points of view, not just the traditional, established perspectives and routes’ (participant 1, group 1).

Ultimately, we provided the management group with implementation guidance for these seven strategies, along with an analysis of the target group and context, and summaries of relevant literature on DEI best practices in educational settings (Appendix). The management team agreed that enhancing DEI should have priority in Dutch GP-specialty training:

‘We should acknowledge that we are trailing behind societal advancements in diversity. Therefore, maintaining a strong focus on this topic must stay a priority’ (participant 5, management group).

Based on these comprehensive data, the management group prioritized strategies that covered the overarching recommendations and BET-levels (detailed in Table  3 ; Fig.  1 ), which aided in selecting strategies with anticipated effectiveness. To enhance alignment with the organizational requirements and feasibility, they considered implementation requirements, staff feedback from our presentations during periodic meetings, and opportunities for synergy with existing projects in other Amsterdam UMC departments.

‘We can see that literature describes these strategies as effective and we assume that stakeholders meticulously aligned them with the institute’s needs. Let us not repeat that process but rather look into strategies that can be implemented effectively in our setting’ (participant 1, management group).

‘For each suggested strategy, this guidance envisions its coverage and practical implications. Now, it is up to us to consider how far we are willing to commit. This process prompts pertinent questions on specific effective actions’ (participant 2, management group).

The management group prioritized three strategies:

Appoint DEI ambassadors in all organizational levels,

Give a significant voice to minority trainees in ongoing program development,

Provide mandatory DEI-relevant training programs for professional development to all involved in GP-specialty training.

Summary of findings

In twelve PLA-based stakeholder sessions, participants explored perspectives on potential disparities, underlying causes, and aspirations for an inclusive learning climate in the Dutch GP-specialty training. They suggested seven strategies based on six overarching recommendations, which they presented embedded in an implementation guidance to the management group:

Provide a clear message of inclusiveness in all internal and external communications.

Appoint DEI ambassadors Footnote 1 in all layers of the organization

Facilitate procedures for secure incident reporting.

Give a significant voice to minority trainees in ongoing program development.

Assign more than one in-faculty teacher per group / in-clinic supervisor per trainee.

Offer ‘just-in-time’ learning.

Provide mandatory DEI relevant training programs for professional development.

The management team selected strategies 2, 4, and 7, deeming them most effective, feasible, and aligned with the organization’s requirements.

Comparison to existing literature

Worldwide attention to inclusive learning climates in postgraduate medical education revealed the complexity and multidimensionality of educational constructs and institutes [ 29 , 43 ]. Interpretations of formal and informal learning contexts within these environments depend on the perspectives of various stakeholders [ 15 ]. Consequently, unconsciously normalized rules and codes across all layers may implicitly exclude ethnic minority professionals and -trainees in many ways throughout their careers [ 44 ].

This paper extends the literature on inclusive GP-specialty training [ 15 , 43 , 44 ], detailing the efforts to design- and create broad support for inclusive training strategies. Like most organizational changes, implementing inclusive strategies in GP-specialty training posed challenges and demanded a focus on building confidence and trust in novel approaches [ 45 ]. Hence, understanding the values and expectations of target groups and tailoring strategies to meet their needs and aspirations was crucial. Our study involved representatives from all key stakeholders, including ethnic minority trainees, aiming to address critical research gaps and enhance knowledge quality, relevance, and impact [ 46 ]. Collaborative decisions, rooted in an equal and reciprocal partnership, empowered stakeholders, raised management team awareness and inspired the research team [ 47 ]. These effects mirror findings in previous PAR studies on inclusive primary healthcare [ 48 ] and highlight PAR’s role as a catalyst for transformative change in GP-specialty training [ 33 ].

Stakeholder insights, combined with DEI-strategy literature, underscored the need for a gradual, committed cultural shift towards inclusivity in the learning environment. Based on these insights, the management group recognized that this transformation would necessitate a set of strategies addressing inclusiveness at various levels rather than relying on one single intervention [ 26 , 28 , 49 , 50 ]. They employed our Wensing and Grol-based implementation guidance to select the following feasible strategies aligned with the GP-specialty training context as a first step in an ongoing process:

Providing mandatory DEI-relevant training programs to all stakeholders supports cultural responsiveness within all strategies to be implemented. It facilitates understanding how cultural backgrounds and experiences influence teaching and learning [ 49 ]. Ultimately, it fosters engagement and motivation to create collaborative learning environments and accommodate learners’ needs based on their diverse backgrounds [ 26 ].

Appointing DEI ambassadors in all layers of the organization has in other contexts proven to enhance the effectiveness of DEI-related strategic initiatives [ 51 ]. DEI ambassadors engage change agents within their teams, foster collaboration and effective communication, facilitate diversity goals, and involve key stakeholders in sustainable, inclusive changes [ 50 ].

Giving a significant voice to minority trainees empowers and amplifies their agency. Including their experiences and perspectives in staff meetings and brainstorming sessions is a crucial first step toward an open and innovative culture. Prior research indicated that promoting minority trainees’ participation requires supportive supervision, encouraging them to share transformative ideas [ 28 ].

Strengths and limitations

Our participatory approach fostered broad support across all organizational levels. PLA-based stakeholder discussions facilitated open dialogue, refined ideas, and sparked valuable insights. Co-reader feedback prompted stakeholder group participants to reevaluate their interpretation of specific experiences. This approach allowed diverse perspectives and theoretical idea saturation, aiding participants in identifying seven actionable strategies with high potential for effective implementation. In turn, these results allowed the management group to leverage their organizational expertise and prioritize three strategies they considered feasible and compatible with the organization’s requirements.

While most post-graduate medical education settings share similarities, contextual variations, such as educational emphasis and cultural factors, may exist, leading to potential limitations in the transferability of our findings. Nonetheless, the dynamics between informal and formal in-classroom learning remain pertinent across various postgraduate medical contexts, where in-clinic learning, shaped by day-to-day experiences and supervisor-trainee dynamics, inevitably influences formal learning objectives and settings. Also, our study’s confinement to two Dutch GP-specialty training institutes and its relatively modest participant count may require caution in the transferability of our findings to other similar settings. In light of this, it is noteworthy that statistics from a previous quantitative study suggest that by 2023, our pilot institutes closely mirrored Dutch GP-specialty training in terms of minority trainee [ 7 ]. Moreover, we provided meticulous descriptions of our setting to enhance contextual understanding, aiding in assessing transferability to similar settings. Additionally, the explicit commitment to inclusiveness by the participating GP-specialty training institutions, which could be instrumental in promoting successful implementation, could pose challenges when transferring the results to less DEI-focused settings.

Still, employing multiple sources by connecting stakeholder perspectives to relevant literature and two frameworks enabled participants to structure their thoughts and opinions on the organization’s DEI strengths and limitations, along with the opportunities and challenges for implementation. For future researchers, this approach may prove valuable in identifying overarching concepts and theories that transcend specific individuals or contexts and facilitate the assessment of the transferability of our findings to similar educational settings [ 52 , 53 , 54 , 55 ].

Implications for further research and practice

Fostering a DEI-minded culture in post-graduate medical training calls for a multifaceted strategy. As training institutes diversify and curricula address nuanced topics, skills for adeptly navigating complex conversations become increasingly critical for educational staff. The ongoing process of promoting inclusive teaching, assessment, and curriculum design abilities will necessitate the inclusion of a wide range of perspectives. Consequently, we recommend involving stakeholders from the most diverse backgrounds possible. Also, the explicit commitment to inclusiveness by the participating GP-specialty training institutions may pose challenges when transferring the results to less DEI-focused settings. Therefore, we suggest further investigation in such contexts to better understand the transferability of our results.

Ensuring high-quality, inclusive learning environments in postgraduate medical education is crucial for educational opportunities and the overall quality of healthcare [ 56 ]. However, this inclusiveness is not solely shaped by the beliefs and values of teachers; it is also intricately influenced by the complex social and cultural dynamics within educational institutions [ 29 ]. Inclusiveness strategies are catalysts for enduring cultural transformation, demanding the consistent integration of multiple strategies through incremental steps over an extended period [ 43 ]. The three strategies identified in our study, which were prioritized for implementation, represent initial strides toward instigating this cultural transformation. Subsequent phases involving evaluation, adaptation, and implementation of additional strategies are imperative for sustaining engagement in a culture of inclusive postgraduate medical education. All Dutch GP-specialty training institutes closely monitor our findings and have committed to implementing mandatory DEI-relevant training programs for their staff and trainees.

Additional research on the impact of the implemented strategies and the level of stakeholder engagement throughout the implementation phase is needed. This follow-up research should encompass inclusive teaching methods, assessment strategies, curriculum design, attitudes, and the ethnic minority trainees’ experienced inclusion aligned with the BET framework.

Engaging stakeholders in PLA-based sessions at two Dutch GP-specialty training institutes proved instrumental in identifying recommendations for an inclusive learning climate. Stakeholders identified seven tangible DEI-strategies, addressing all five BET aspects:

Provide a clear message of inclusiveness in all internal and external communications: enhances inclusive accessibility and a diverse learning community;

Appoint DEI ambassadors in all layers of the organization: promotes knowledge exchange, reflection on potential biases, and active engagement in DEI networks;

Facilitate secure DEI-incident reporting procedures;

Give a significant voice to minority trainees in ongoing program development: empowers them and creates reciprocal learning;

Assign more than one teacher per group / in-clinic training: creates multiple role models and perspectives;

Offer ‘just-in-time’ learning: fosters social and educational engagement;

Provide mandatory DEI-relevant training programs for professional development: promotes DEI-expertise and awareness among all involved.

Based on anticipated feasibility and effectiveness, the management group prioritized strategy numbers 2, 4, and 7 for implementation.

Our integrative approach supported collaborative, context-specific strategy development and prioritization, effectively balancing anticipated effectiveness and compatibility. As such, this approach will prove valuable in identifying widely supported DEI strategies within varying and complex post-graduate medical educational contexts.

Data availability

The datasets used and/or analysed during the current study available from the corresponding author on reasonable request.

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All authors have made substantial contributions to the conception OR design of the work; OR the acquisition, analysis, OR interpretation of data; OR have drafted the work or substantively revised it. All authors have approved the submitted version (and any substantially modified version that involves the author’s contribution to the study); and have agreed both to be personally accountable for the author’s own contributions and to ensure that questions related to the accuracy or integrity of any part of the work, even ones in which the author was not personally involved, are appropriately investigated, resolved, and the resolution documented in the literature. Contributions per author: N.M. van Moppes: Conception, Design of the work, Acquisition, Analysis and interpretation of data, Drafted the work and integrated all revisions; M. Nasori: Conception, Design of the work, Acquisition, Analysis and interpretation of data, Substantively revised the work; J. Bont: Substantively revised the work; J.M. van Es: Substantively revised the work; M.R.M. Visser: Conception, Design of the work, Substantively revised the work; M.E.T.C. van den Muijsenbergh: Conception, Design of the work, Substantively revised the work.

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van Moppes, N., Nasori, M., Bont, J. et al. Towards inclusive learning environments in post-graduate medical education: stakeholder-driven strategies in Dutch GP-specialty training. BMC Med Educ 24 , 550 (2024). https://doi.org/10.1186/s12909-024-05521-z

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DOI : https://doi.org/10.1186/s12909-024-05521-z

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