A Guide to the Implementation Process: Stages, Steps and ...
A Guide to
the Implementation
Process:
Stages, Steps and Activities
ECTA Center Work Team on Implementation Process:
Barbara Smith, Joicey Hurth, Lynda Pletcher,
Evelyn Shaw, Kathy Whaley, Mary Peters and Glen Dunlap
March 25, 2014
The ECTA Center is a program of the FPG Child Development Institute of the University of North Carolina at
Chapel Hill, funded through cooperative agreement number H326P120002 from the Office of Special Education
Programs, U.S. Department of Education. Opinions expressed herein do not necessarily represent the
Department of Education's position or policy.
For more information about the ECTA Center, please contact us at:
Campus Box 8040, UNC-CH
Chapel Hill, NC 27599-8040
919-962-2001 ? phone
919-966-7463 ? fax
ectacenter@unc.edu ? email
? web
Project Directors: Lynne Kahn & Christina Kasprzak
Project Officer at OSEP: Julia Martin Eile
A Guide to the Implementation Process: Stages, Steps and Activities
page 1
A Guide to
the Implementation
Process:
Stages, Steps and Activities
Table of Contents
Introduction ................................................................................................... 4
Planning for Change ..................................................................................... 6
Stage 1: Exploration ....................................................................................... 7
Step 1: Establish a State Leadership Team (SLT) to guide exploration ........................ 7
Step 2: The SLT convenes a stakeholder group for needs assessment
and system analysis ....................................................................................... 7
Step 3: Stakeholders explore the feasibility and "fit" of potential innovations
and practices .................................................................................................. 8
Step 4: The SLT decides on practices/innovation and whether or not to proceed ........ 8
Step 5: The SLT secures agency and cross-agency leadership support ...................... 8
Outcomes of Exploration ............................................................................................... 8
Stage 2: Installation ........................................................................................ 9
Step 1: The SLT finalizes membership and responsibilities .......................................... 9
Step 2: The SLT develops a communication plan for statewide
buy-in ............................................................................................................. 9
Step 3: The SLT establishes Implementation Sites and Teams .................................... 9
Step 4: The SLT develops system supports and infrastructure changes .................... 10
Step 5: The SLT improves data systems, evaluation and monitoring .......................... 10
Step 6: The SLT builds Training and Technical Assistance (T&TA) capacity;
begins training .............................................................................................. 10
Step 7: The SLT finalizes a written plan ...................................................................... 10
Outcomes of Installation.............................................................................................. 10
A Guide to the Implementation Process: Stages, Steps and Activities
page 2
Stage 3: Initial Implementation ..................................................................... 11
Step 1: State TA providers train and coach Implementation Site personnel ............... 11
Step 2: Implementation teams support practitioners and monitor the use of
new practices ............................................................................................... 11
Step 3: The SLT and Implementation Teams use feedback loops and
improvement cycles to adjust organizational supports................................. 11
Step 4: The SLT and Implementation Teams evaluate fidelity, and
emerging outcomes...................................................................................... 12
Outcomes of Initial Implementation ............................................................................. 12
Stage 4: Full Implementation ........................................................................ 12
Step 1: Site Implementation Teams maintain T&TA supports ..................................... 12
Step 2: The SLT and Implementation Teams ensure that data systems, policies,
procedures and funding are integrated and functioning ............................... 13
Step 3: Implementation Teams regularly use performance assessment ..................... 13
Step 4: The SLT and Implementation Teams use feedback and data to
sustain fidelity............................................................................................... 13
Step 5: The SLT and Site Implementation Teams ensure on-going sustainability of
structures and practices ............................................................................... 13
Outcomes of Full Implementation ............................................................................... 13
Stage 5: Expansion/Scale-up ....................................................................... 14
Step 1: Initial Implementation Sites assist the SLT in expansion ................................ 14
Step 2: The SLT selects new sites and provides necessary supports ........................ 14
Step 3: New sites begin their implementation process ................................................ 14
Step 4: The SLT establishes mechanisms for sustaining fidelity of practices ............. 15
Outcomes of Expansion and Scale-up ........................................................................ 15
A Guide to the Implementation Process: Stages, Steps and Activities
page 3
A Guide to
the Implementation
Process:
Stages, Steps and Activities
Introduction
¡°Implementation: The process of moving an idea from concept to reality¡±
(Webster¡¯s Collegiate Dictionary)
Improving child and family outcomes is a cornerstone of early childhood education and in particular
the IDEA Part C and Part B, Section 619 Preschool programs. To improve outcomes, an evidencebased practice or innovation must be selected and the process of implementing that practice or
innovation must be effective. Implementation science is the study of the processes needed to bring
new practices into widespread use.
Changing policies or guidelines, providing information and training alone are not adequate to bring
about sustainable changes in practice. To adopt evidence-based practices, the implementation
process must also address the organizational supports which are necessary to initiate and sustain
the practices with fidelity. Through carefully planned implementation, the adoption of any new
practices builds the system¡¯s capacity for change.
The stages described in the guide include: 1) exploration, 2) installation, 3) initial implementation, 4)
full implementation, and 5) expansion and scale-up. Each stage has specific steps and associated
activities. While the stages, steps and activities suggest a linear sequence of events, in actual
implementation there is often a more dynamic flow to the work. Some stages or steps may be
occurring simultaneously and the work often circles back to revisit earlier stages. Implementation
drivers such as technical leadership and adaptive leadership, organizational supports and
personnel development mechanisms must align with and support the new practices.
This guide is based on a review of the literature of implementation science (Fixsen, Naoom, Blase,
Friedman, & Wallace, 2005) and the collective experiences of federally funded national centers in
conducting state-wide system change initiatives. These centers include the National Early
Childhood Technical Assistance Center (NECTAC, now the ECTA Center), Technical Assistance
Center on Social Emotional Intervention for Young Children (TACSEI), Center on the Social and
Emotional Foundations for Early Learning (CSEFEL), National Implementation Research Network
?
(NIRN) and the State Implementation of Scaling-Up Evidence-based Practices (SISEP).
Note: Implementation science terminology used in the document is defined in an online glossary. All
glossary terms are highlighted and linked to this glossary the first time used.
An online version of this guide and glossary are available at:
A Guide to the Implementation Process: Stages, Steps and Activities
page 4
References
Fixsen, D.L., Naoom, S.F., Blase, K.A., Friedman, R.M., & Wallace, F. (2005). Implementation
research: A synthesis of the literature. Tampa, FL: University of South Florida, Louis de la Parte
Florida Mental Health Institute, The National Implementation Research Network (FMHI Publication
231). Downloadable at
Halle, T., Metz, A. & Martinez-Beck, I. (Eds.), (2013). Applying implementation science in early
childhood programs and systems. Baltimore, MD: Paul H. Brookes Publishing Company.
Metz, A. & Bartley, L. (2013). Active implementation frameworks for program success: How to use
implementation science to improve outcomes for children. Zero to Three, March 2012.
National Centers
?
?
?
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ECTA Center
Center on the Social and Emotional Foundations for Early Learning (CSEFEL)
National Implementation Research Network (NIRN)
State Implementation of Scaling-Up Evidence-based Practices (SISEP)
Technical Assistance Center on Social Emotional Intervention for Young Children (TACSEI)
A Guide to the Implementation Process: Stages, Steps and Activities
page 5
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