Research Innovation Delivery Phases for Measuring/Tracking Performance

Objective

One objective of this document is to identify and define the phases of technology and innovation (T&I) delivery, which will enable the Federal Highway Administration (FHWA) to measure and track their progress in deploying T&Is  that improve highway safety, reduce congestion, and streamline the environmental process. In addition, adopting the T&I phases will help to improve decisionmaking and performance measurement.

Purpose

The Office of Corporate Research and Technology developed the phases of technology delivery to not only improve technology delivery measurement but also to better communicate FHWA's progress in implementing one of its key business processes. The table below lists the various phases of innovation delivery and includes a number of activities with their corresponding descriptions. FHWA developed the phases after collecting innovation delivery methodology information from internal and external customers and synthesizing the information for scope and clarity. From this, FHWA created the innovation delivery framework. The document serves as a guide for planning and executing effective and efficient innovation delivery to ensure FHWA's success in exceeding its Vital Few agency goals, of safety, environmental stewardship and streamlining, and congestion mitigation, which support the Agency's mission to enhance mobility through innovation, leadership, and public service.

General Guidelines

Innovation delivery typically consists of five phases in a sequential process. In some cases, however, all phases may not be required, depending on the market pull (demand) and the market readiness for adopting particular T&Is. In addition, T&Is potentially can be in more than one phase concurrently.
T&Is include products, procedures, practices, and processes. Products can include items such as equipment or software that may require extensive technical knowledge to use. There is no one approach to deploying T&Is. Each technology or innovation is different and requires unique goals and objectives with corresponding performance measures.

Adopting the innovation delivery phases will enable FHWA to maintain unique goals or measures for individual T&Is while providing some consistency in tracking and measuring the progress in delivering T&Is—individually and collectively. By having each office define its deployment success or initially identify specific measures during phase I, FHWA's delivery agents in the Resource Center and field offices better understand the expected outputs and outcomes of innovation delivery. Consistent phases for tracking deployment enable FHWA to determine the benefits and results (during phase IV) through an evaluation impact assessment to determine if the intended outcomes were achieved.

Technology and Innovation Delivery

Phases for Measuring/Tracking Performance

Phase I
Phase I is the planning phase and may contain elements of both product and market research. In this phase, each office develops its intended delivery outcomes and measures. FHWA recommends that each office involves customers and stakeholders in developing outcome goals and measures, which represent FHWA's understanding of delivery expectations. The outcomes and measures developed in Phase I determine how and when successful delivery is achieved in Phase IV. Phase I consists of research a technology or innovation that is nearly complete. The technology or innovation must have been developed to the point where it meets the market–ready criteria. In addition, Highly Influential Scientific Assessments or Influential Scientific Information, as defined by the Office of Management and Budget (OMB), must undergo a rigorous peer review before FHWA can disseminate it to the public.

The activities identified in Phase I confirm the potential for delivery success. Planning steps in this phase may include a needs assessment, market research, stakeholder involvement, and the development of a marketing and communications plan. After the completion of the planning activities, offices should finish the market–ready criteria and submit their technology or innovation to FHWA's list of market–ready T&Is.

Phase II
Phase II is the promotion phase, which involves sharing information and research results on new and existing T&Is that are ready for implementation. Much of this information sharing is done via virtual communication or other non–face–to–face communications. Activities employed in this phase may have been identified during the first phase in the marketing plan. Phase II may include the development and the distribution of educational materials, such as brochures, publications, Web sites, compact disks, and newsletters. Tracking delivery progress and communicating with customers and stakeholders is essential for an effective evaluation during Phase V. It also is important to assess whether the delivery goal is still valid.

Phase III
Phase III is the delivery phase, which involves face–to–face communication about the technology or innovation. FHWA also directly interacts with the recipient of the technology or innovation during this phase. Delivery of the technology or innovation may require a detailed understanding of user needs and constraints; and a thorough technical knowledge of the application to establish credibility. As in Phase II, activities implemented during this phase may be part of the marketing plan. The delivery phase may include presentations, demonstrations or showcases, pilots, training courses, and education. Again, tracking progress toward delivery and communicating with customers and stakeholders is essential for effective evaluation. Also during this phase, one must reassess whether the delivery goal is still valid.

Phase IV
Phase IV is the achievement of the delivery goal established during the planning processes in Phase I. The next step is to communicate the accomplishments made during the previous phases. In addition, after achieving the delivery goal, the technology or innovation should be removed from the market–ready list and resources should be assigned to conduct the Phase V evaluation.

Phase V
Phase V is the effectiveness phase. The benefits and results are determined in this phase. An overall evaluation of the effect of the technology and innovation deployment must be assessed. For example, a technology may result in a specification change, but what improved as a result? What was the return on investment? What was the market transformation? Will lives be saved because of successful delivery?

Technology and Innovation Delivery Phases

Please note: Activities within each phase are not necessarily sequential.