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Guide for Developing a State Transportation Research Manual

SECTION 9.0 IMPLEMENTATION PROCESS

9.1.1 Purpose

The research unit strives to implement the results of its research projects. Planning for implementation starts as early as the problem statements, which are assessed for implementation potential.

As projects near completion or are close to producing results, the research unit evaluates them for applicability to Agency practice. In conjunction with potential users and the Project Committee, the research unit prepares an implementation plan to ensure effective and timely application of the research results throughout the Agency. Implementation activities, methods, and actions required by the numerous technologies with which the Agency deals are broad and flexible.

Funding for implementation activities comes from the research unit's SPR program. A budget line item is included in the SPR work program for implementation of research, when a large-scale effort is anticipated. This line item reserves funds for the testing, adaptation, packaging, and promotion of new technology from the Agency's research unit activities and any other source. If other implementation resources are required (e.g. facilities, staff, or other items), they are detailed. Commitments for these are obtained prior to application of the technology.

Implementation monitoring and evaluation are performed by the research unit and the Agency operational unit. Reports of progress are made to the appropriate committees overseeing the Agency's technical and research efforts.

9.1.2 Process

9.1.2.A Implementation Plan

The research unit prepares an implementation plan for all research projects producing results suitable for application as follows:

• Project title;
• Project Committee members and project manager's name;
• Description of expected results;
• Anticipated applications or potential use;
• Implementation user group and a principal contact;
• Product champion(s);
• Benefits from the implementation;
• Implementation cost in labor, facilities, other resources, or direct costs;
• Funding source;
• Implementation risks;
• Anticipated barriers and strategies to overcome them;
• Description of each step of the process and the individuals responsible;
• Technology transfer methods to be used, such as
  • Literature dissemination,
  • Training requirements,
  • Demonstrations and pilot projects,
  • Conferences and other presentations,
  • Library display,
  • Entry of results into agency and national databases, and
  • Other technology transfer activities;
• Time frame and milestones to measure progress; and
• Evaluation time frame and reporting requirements (see Section 9.1.2.B).

The implementation plan is approved by the Project Committee. In addition, the Research Advisory Committee reviews and comments on the plan and submits its recommendations to the Project Committee.

9.1.2.B Monitoring Implementation Activities

All research projects are monitored (see Section 6.0, Conducting and Monitoring Research Projects) to ensure appropriate research performance as well as to maintain adherence to appropriate research methods. In addition, research projects also are monitored to determine the appropriateness of the implementation planning. Significant mid-project changes may alter ultimate implementation actions. If change occurs, preliminary implementation planning is updated accordingly.

Implementation activities are tracked by the user and the Project Committee. Monitoring includes reviewing the description of steps given in the implementation plan. Brief letter reports of progress are prepared by the research unit for the Project Committee and the Research Advisory Committee. Both committees are given an opportunity to comment and to make recommendations on the implementation progress.

The implementation process is evaluated according to the details of the implementation plan. Evaluation occurs after an appropriate period of time so that the effectiveness of the implementation can be measured. The time frame and milestones for evaluation are included in the implementation documentation. Questions considered include the following:

• Is the process, method, or product performing as anticipated? If yes, how? If not, why?
• Are user needs being met as anticipated? If yes, how? If not, why?
• Is the innovation being implemented throughout the agency? If not, why? (Which significant barriers were overcome and which must be addressed?)
• Have benefits and objectives been achieved or is there an indication that they will be met? If yes, what benefits exist and to what extent?
• Are costs of implementation as anticipated? If not, why?
• Has the anticipated implementation schedule been met? If not, why?
• What improvements to the innovation should be made, if any?
• What additional actions to broaden the implementation of the innovation will be taken?

  COMMENTARY:

  The research unit should specify the level of detail it will use in evaluating the effectiveness of the implementation process. In addition, a format for the evaluation report and a general schedule of activities should be outlined. Other items to include in this section are the disposition of the evaluation report and the actions taken as a result of its review by the appropriate decision makers. The evaluation process is part of quality performance; it is an opportunity for continuous improvement.

  Data from project evaluations (Section 10.0) may provide useful information for this activity.

9.1.2.C Facilitating Implementation of Research Results

Many activities assist the implementation of research results. Each research project is unique and demands a customized strategy to implement its results. The research unit uses appropriate strategies for each implementation effort. Practices listed below have high potential for boosting implementation effectiveness. These are the practices used most often by the research unit to increase the effectiveness of the implementation effort:

• Real-user settings when performing pilot or demonstration projects;
• Ensures that the innovation is matched to the users' needs;
• Strong commitment from senior management for implementation of the innovation;
• Adequate funding to support the innovation;
• High degree of collaboration among users, researchers, and industry;
• User participation at vital stages of the research and development efforts;
• Innovation champions on site while implementation is being performed;
• High level of relevant technical skills by users who are properly prepared to deal with the innovation;
• Implementation package accompanies the innovation and continued technical support is available to the users during implementation;
• Clear goals identified for the implementation effort; and
• Funding specified for implementation efforts.

  COMMENTARY:

  All of these items may not be appropriate for implementation of innovations resulting from the research unit's efforts. The list shows what could be done for any given innovation. Other practices used by the research unit should be incorporated into this section. Note the items given in the above list are derived from recent research and should continue to be so identified if other items are added.

9.1.3 Product

Implementation may be the most rewarding part of the research process. This section outlines those steps which would put the research results into practice. The implementation plan is the framework for everyone's involvement. Monitoring ensures that the research is geared toward implementation. Finally, implementation activities demonstrate the benefits of the research unit to the Agency.