Stages of Implementation
State Process Guide
Introduction and Purpose
This guide is for states implementing a change effort aimed at improving services and outcomes for all children. Throughout the document, this change effort is referred to as an innovation. Innovations take considerable work. Implementing them equitably requires careful attention to infrastructure, partner input, data, and system capacity. This tool uses a stage-based approach to guide a state team through the implementation process.
Audience
One essential support structure of this work is a State Leadership Team (SLT) that includes membership from multiple early childhood sectors. Therefore, the audience includes state representatives of Part C and Part B, Section 619, families, Head Start, child care, child and maternal health, and parent training and information centers.
How to Use This Tool
This guide is a detailed roadmap for information gathering, communication, and data-based decision-making. It is best reviewed stage-by-stage rather than all at once. The SLT may choose to review two stages at a time before narrowing its focus. A glossary and resource section support shared meaning and understanding of terminology used within this guide. However, your state may have different terms that are used for the same purpose.
Stage 1: Exploration and Planning
The purpose of this stage is to explore the need and select the innovation that will successfully address it. While current infrastructure and equitable accessibility may not be sufficient, there is a plan to improve them so the innovation can be adopted. During this time, it is critical to share information and gather input from representatives of each level of the system to assure the fit and feasibility of the innovation. This is also essential to establishing trusting partnerships.
Outcomes of Stage 1
- A preliminary or initial SLT is established.
- The needs of the state are identified.
- An innovation is matched to the state's needs.
- An innovation is matched to the capacity of state and local systems.
- The SLT obtains agreement from a diverse representation of key partners who will be affected by the innovation and the implementation process.
- The SLT approves implementing the innovation.
- Initial teams, such as SLT, work groups, and subgroups, are formed to address specific implementation tasks.
- A tentative timeline for implementation and initial action steps is created.
SLT Activities for Stage 1
1-1. Teaming
Establish the State Leadership Team (SLT) to guide the exploration and planning process.
- Include the following on the SLT:
- Representatives from key state agencies and personnel development entities with financial and decision-making authority to make decisions and expend resources.
- People who can work on this initiative over several years.
- No more than 15 members. Work or task groups, focus groups, and/or surveys can provide additional perspectives.
- People, knowledgeable and experienced in guiding implementation processes and knowledge of potential innovations or practices that fit identified needs.
- People that reflect the racial, cultural, etc., diversity of the population served.
- Agency representatives who know about the social determinants of education and health outcomes relevant to the program/practice goals.
- Families who will receive services and community and program leaders.
- People who have a background in data and/or evaluation.
- Establish structure and norms for attendance, orientation, facilitation strategies for meetings and decision making, etc.
1-2. Identify Need
Gather and review relevant data documenting current performance and the need for improvement.
- Identify the extent of the need by its impact, depth, barriers, and opportunities
- Identify root causes
- Identify vision for meeting need
- Identify goals of potential innovation(s)
- Review data to identify equity issues that the innovation will address, such as, family and provider access to innovation, regional or community needs etc.
1-3. Solicit Input and Feedback from Key Partners
Establish avenues for two-way communication with partners to gain critical perspectives and develop solid foundation for on-going collaboration.
- Identify partners who reflect the multiple diversities of the population that the innovation will serve and include their input in decision making.
- Use compensation, flexible scheduling, focus groups, surveys, interpreters, etc. as strategies to fully engage family members as key partners.
- Clarify partners' roles, responsibilities, and projected time commitment by:
- Determining if role is advisory or working.
- Confirming how each partner will contribute.
- Using qualitative and quantitative data to communicate the purpose and rationale for change.
- Identify concerns and problems the state will address being specific to all levels of the service system impacted.
- Identify desired outcomes and changes for each level of the system, noting barriers to and opportunities for change.
- Facilitate a review and discussion with key partners on infrastructure and current practices.
- Crosswalk strengths, concerns or problems with the specific agencies and policies which affect service delivery. Identify systemic constraints to target for change.
- Review or realign the system's mission and values with desired outcomes and new vision for a change in practices.
- Identify and acknowledge opposition, the reason(s) for it, and strategies to positively address it. These include incidences when district leaders question the sustainability and when programs express feeling burdened by the requirements of data collection.
For some systems, convening key partners for input will be a new action step. The activities associated with convening key partners will vary from state to state and by partner. For example:
- convene family and professional partner input through a survey rather than an in-person meeting.
- facilitate multiple regional meetings to gather input from families, communities, agencies, and program partners.
- discover access to diverse existing partner networks due to cross-sector membership.
Be sure discussion about the innovation occurs regularly and systematically to ensure everyone has required information and access to provide meaningful feedback. Providing follow-up communication that demonstrates how partner input is used to inform the innovation is equally important.
1-4. Collaboratively Assess Feasibility of the Innovation
The SLT and partners assess the feasibility of potential innovation(s) in relation to needs, desired outcomes, contexts, vision, mission, values, and system resources.
- Review the research and evidence for the potential innovation or practices
- Explore core features, functions, and benefits of potential innovation(s) or set of practices.
- Gather information from other states, programs, and consultants experienced in implementing the potential innovation(s) and practices.
- Explore context, including existing strengths and needs of the state and local system related to the innovation.
- Analyze requirements of the implementation process and potential impact on state and local system resources.
1-5. Select Innovation
SLT uses established criteria and partners' input to select the innovation or practice.
- Establish criteria to select the innovation or practices to adopt such as:
- Usability.
- Required supports.
- State need.
- Alignment with mission, vision, values, and current initiatives.
- System capacity to install, modify, and commit to the innovation or practice.
- Share a written summary of all perspectives and information gathered with key partners.
- Examine, with partners' input, which innovation best meets the selection criteria.
- Select the innovation to implement with consensus of key partners.
1-6. Secure Additional Partnerships
Secure necessary cross-sector support and awareness from additional state leaders, policy makers, and potential funders.
- Identify additional state administrators, decisionmakers, and potential funders to assure necessary resources for implementation, scale-up, and sustainability.
- Include decision makers from the collaborating agencies who can secure needed resources, especially for family engagement strategies.
- Identify early adopters and champions among community and program leaders.
Resources for Stage 1
- ECTA & NCPMI (2018) Effective Teaming Strategies. https://ectacenter.org/~pdfs/sig/2_6_effective_teaming_strategies.pdf
- Farmer, S., & Perkins, Y. (2023). Engaging critical perspectives. State Implementation and Scaling-Up of Evidence Based Practices Center. https://nirn.fpg.unc.edu/sites/nirn.fpg.unc.edu/files/resources/Critical%20Engagement%20SISEP%20Brief.pdf
- Metz, A. & Louison, L. (2018). The hexagon tool: Exploring context. National Implementation Research Network. https://nirn.fpg.unc.edu/sites/nirn.fpg.unc.edu/files/imce/documents/NIRN%20Hexagon%20Discussion%20Analysis%20Tool%20v2.2.pdf
Additional resources for Stage 1 are available.
Stage 2: Installation
Installation builds infrastructure and system capacity to support the innovation. The SLT and partners assess the requirements of the innovation and compare it to current infrastructure and capacity. A plan is built that strengthens the system for the upcoming changes. Training and coaching for the innovation and its initial use begins in Stage 3, Initial Implementation.
Outcomes of Stage 2
- The State Leadership Team (SLT) membership is confirmed, and the vision and roles have been clearly defined to guide the implementation process.
- Memoranda or Letters of Agreement are established with agencies and members.
- The State Benchmarks of Quality (BOQ) are completed and inform the action plan development.
- A communication plan, developed with key partner input, is in use. Feedback loops are occurring regularly.
- A data system plan that includes fidelity measures and criteria is developed with key partner input and ready for use.
- The training and coaching plan is developed with key partner input and ready to use.
- Short-and long-term plans are in place to strengthen support of the implementation after assessing the system infrastructure. These include:
- Aligning policies and procedures to support the innovation locally.
- Establishing the Professional Development Network (PDN) of Program Implementation Coaches (PICs).
- Establishing a Community Leadership Team (CLT) made up of Implementation Communities or local groups of key agency partners and champions who would influence and be impacted by proposed changes.
- Selecting implementation sites and establishing program leadership teams (PLTs).
- PDN of Program Implementation Coaches have been selected, trained, and are actively using PD plan.
- The Action Plan has been developed, is in use, and is shared with key partners.
- Data access is provided at all levels to support data-based decision-making.
SLT Activities for Stage 2
2-1. Finalize State Leadership
Adopt teaming norms and expectations, confirm membership and review roles and responsibilities.
- Ensure that SLT members have the knowledge, skills, and resources to oversee the implementation process for the next two to five years including staff and commitment of time. Ensure that there is representation of diverse partner groups.
- Finalize a vision statement to guide the work of the SLT and any sub-workgroups.
- Establish effective teaming strategies through a member orientation that includes vision, mission, roles and responsibilities, ground rules, and structures of teamwork, that includes making decisions and reaching consensus.
- Schedule regular opportunities to jointly examine practice/innovation, process, outcome, and fidelity data to improve implementation.
- Establish a plan for maintaining diverse perspectives when recruiting new members.
- Establish an orientation for new members that supports their meaningful participation and sense of belonging as a team member.
- Ensure that the SLT studies and understands the Statewide Implementation Guide, the Essential Support Structures, and implementation stages.
- Use the State Benchmarks of Quality (BOQ) to identify strengths and needs to develop an action plan and establish work groups to implement action plans. Work groups include SLT members and other experts and partners who may not be on the SLT.
2-2. Building Awareness and Support
Use the communication and dissemination plan to build and maintain statewide understanding and support.
- Identify audiences who need to understand and support the innovation. These include families and parent groups, early childhood programs and practitioners, referral sources, collaborating agencies, funders, and legislators.
- Use quantitative and qualitative data to clearly demonstrate the need for the innovation.
- Determine the messages, materials, data, and appropriate formats targeted to each audience impacted by the innovation. For example, materials provided to families and the public use plain language and are available in all languages represented across the state.
- Describe the core features and components of the innovation, the evidence for it, and its expected outcomes. If applicable, describe the relationship between the innovation to relevant system change efforts, such as the State Systemic Improvement Plan.
- Use established communication strategies, identify potential early adopters, and note reasons for their enthusiasm and perceptions of benefits.
- Use established communication strategies, identify potential opposition, the reasons for opposition, and the team response.
- Use multiple communication strategies and feedback loops between practitioners, program leadership, community partners, Program Implementation Coaches, and other key partners to:
- Identify challenges for the SLT to address.
- Evaluate the impact and dissemination of the messages.
- Identify several metrics that will evaluate the effectiveness of communication strategies used.
- Include plans to engage your partners and champions to promote the innovation.
2-3. System Infrastructure
Develop needed system supports and changes in state, regional (multiple districts), community/district, local program policies and systems.
- Make necessary changes to state administrative structures (organizational drivers) to support desired changes in practice such as contracts, interagency agreements, general supervision, oversight, policies, procedures, data systems, guidance, and forms.
- Establish the PDN of Program Implementation Coaches (PIC). Allocate one FTE (can be shared between two individuals) for the coordination of the PDN. Determine and make changes needed in staffing and staff responsibilities, including allocating one FTE to support coordination of this initiative as a state leadership team coordinator.
- Identify and allocate PIC support for all implementation sites.
- Support the establishment of Community Leadership Teams (CLT), selecting membership from the key partners and champions included in the initial exploration stage.
- Adapt PIC staff schedules to allow for new activities, such as teaming, planning, training, coaching and evaluation responsibilities.
- Find and align the fiscal resources to cover start-up costs, administrative structure costs, data collection, professional development, training materials and any new service delivery costs, for example for three to five years implementation and scale-up/expansion goals.
- Establish a sustainability and scale up budget to address immediate and long-term funding needs of the innovation; plan for three to five, years of implementation.
- Develop commitment to and processes for policy and practice feedback loops to support learning and improvement throughout implementation.
- Engage in data-based decision making in all SLT meetings and activities.
- Establish action plans for achieving policy and funding goals needed for implementation, scale-up and sustainability.
2-4. Data and Evaluation
Develop or modify data systems and procedures to use for evaluation and monitoring.
- Identify a work group to be responsible for the data system and the quality improvement metrics and processes relevant to the innovation. This work group reports regularly to the SLT and is responsible for the items b. through i.
- Determine the data needed to:
- Make implementation and infrastructure decisions.
- Monitor and evaluate key aspects of the implementation process, such as communication and feedback loops, professional development activities, and functioning of state and local teams.
- Evaluate intervention effectiveness based on performance assessment, fidelity, and the emergence of desired outcomes.
- Measure accessibility of the intervention for under-resourced and under-served areas of a community.
- Measure the impact of the intervention on under-resourced and under-served areas of a community.
- Display the effectiveness of the innovation for funders, policy makers, and implementation partners at the community level.
- Establish a review plan and schedule to consider the efficacy of the data collection methods, data sufficiency, and needed changes.
- Determine who needs to use the data, for example, teams, trainers, PICs, practitioner coaches, practitioners, and any other individuals.
- Determine if there is relevant local data to be obtained or disaggregated and the processes by which to do that sustainably.
- Determine the current data system's capacity to provide the reports needed for monitoring and decision-making; make necessary additions and improvements.
- Develop a data and evaluation plan that will measure implementation outcomes, performance metrics, and child and family outcomes.
- Identify criteria for program success and scale-up.
- Develop a data process guide to collect and disaggregate the data being used at the community or program level. The guide will include training and TA strategies to support this effort.
- Develop procedures to ensure timely access to data.
- Develop an annual report of the data and progress.
2-5. Professional Development
Build capacity for training and coaching on the innovation and its implementation.
- Establish selection criteria and process for the Professional Development Network (PDN) of Program Implementation Coaches (PICs). Development is based on the characteristics of personnel and organizational structures that are most likely to support successful implementation of desired practices.
- Build the PDN PICs:
- Describe roles and responsibilities of PICs.
- Create selection criteria for PICs and select initial cohort; ensure PICs represent the demographics of communities and programs.
- Provide orientation to PICs about the initiative and timeline.
- Provide the PICs' initial training and coaching to build on their skills to support the innovation.
- Use selection criteria to identify and assign PICs to local implementation sites (communities and programs).
- Coordinate a needs assessment with the PICs to determine statewide needs for program implementation training and TA.
- Develop a timeline for conducting professional development (PD) activities.
- Identify relevant PD performance metrics, benchmarks, and outcomes to include in the data and evaluation plan.
- Create feedback loops with the PIC to identify additional supports and resources needed to support their own capacity.
2-6. Innovation Infrastructure
Establish the initial implementation communities and program sites.
- Establish selection criteria for Implementation Communities and Implementation Sites, based on the characteristics of personnel and organizational structures.
- Develop a plan to select and support communities and sites that are underserved and under resourced.
- Sign agreements with Implementation Sites that specify site and SLT responsibilities, including the roles and responsibilities of the PIC.
- Establish a Program Leadership Team (PLT) with the help of the PIC to:
- Develop site plans and oversee its activities and timelines.
- Provide PD that includes practitioner coaching.
- Collect and use data for improvement.
- Participate in communication loops with the SLT.
- A Program Leadership Team (PLT) consists of administrators and direct service staff, practitioner coaches, parent leaders, and others who are (or will become) knowledgeable of the implementation process and practice(s).
- Clarify the roles and responsibilities of team members and their long-term commitment to implementation and sustainability. This is especially true of the data coordinator who will assist in collecting data for decision making.
- Establish a Community Leadership Team (CLT) with the help of the PIC to provide a network of local/regional level support to implementation site(s).
- Identify PIC support for each CLT and PLT to serve as a guide throughout the implementation process and to ensure they have the resources, information, and skills necessary to lead the change effort.
- Establish criteria that distinguish between implementation sites and demonstration sites based on fidelity, implementation, willingness, and capacity to host visitors and share outcomes. Share with implementation sites during the orientation.
2-7. Implementation Action Plan
Finalize a plan to guide the statewide process of implementation.
- Complete the Benchmarks of Quality to identify strengths, gaps and needs of the state implementation infrastructure.
- Use the Benchmarks of Quality to develop an implementation action plan with activities, timelines, roles, responsibilities, data, and benchmarks, including process and outcome evaluation activities.
- Include these key components in the action plan:
- Communication and dissemination plan.
- Training and TA plan.
- Data collection, analysis, and monitoring plan.
- Needed improvements in organizational structures, data, and resources necessary for high fidelity implementation.
- Evaluation activities.
- Considerations for ensuring equitable access to the innovation.
- Considerations for expansion or scale-up.
- Identify and engage external expertise and additional resources to support the implementation plan.
- Disseminate the plan broadly using key partners and multiple avenues to receive feedback, such as focus groups and surveys.
- Develop a progress monitoring and evaluation schedule of the implementation plan that ensures regular review, updates, and improvements to the plan and the actual implementation of the plan.
- Produce an annual report, based on the action plan, to keep various audiences apprised of progress.
- Celebrate success with all partners and the public.
- Use annual report to continue to build awareness and support.
Resources for Stage 2
- Early Childhood Technical Assistance Center. (2018). State Leadership Team benchmarks of quality: Implementing evidence-based practices statewide. https://ectacenter.org/sig/boq.asp
- Early Childhood Technical Assistance Center. (2018). Professional development network of program implementation coaches. https://ectacenter.org/sig/pdn.asp
- Early Childhood Technical Assistance Center. (2018). What are essential support structures? https://ectacenter.org/sig/ess.asp
- Early Childhood Technical Assistance Center & National Center for Pyramid Model Innovations. (2018). Effective teaming strategies. https://ectacenter.org/~pdfs/sig/2_6_effective_teaming_strategies.pdf
- Early Childhood Technical Assistance Center & National Center for Pyramid Model Innovations. (2018). Sample letter of invitation and application packet for professional development network members. https://ectacenter.org/~pdfs/sig/3_5_sample_application.pdf
- National Center for Pyramid Model Innovations (2020). Program-Wide Implementation. https://challengingbehavior.org/document/program-wide-implementation/
- State Implementation and Scaling-Up of Evidence-based Practices Center. (2023). Guidance for Engaging Critical Perspectives. https://implementation.fpg.unc.edu/resource/guidance-for-engaging-critical-perspectives/
Additional resources for Stage 2 are available.
Stage 3: Initial Implementation
In this stage the innovation is implemented and locally tested. The PDN of Program Implementation Coaches (PIC) share progress, outcomes, concerns, and challenges with the SLT to determine whether the implementation plan may need to be adapted.
Outcomes of Stage 3
- Self-assessment on the State Benchmarks of Quality has been conducted at least annually and action plans adapted accordingly.
- Innovation is beginning to be used by most implementation site practitioners.
- Program implementation coaching has supported implementation and progress at implementation sites.
- Practitioner coaching at implementation sites has fostered increasing levels of practice fidelity.
- Data and evaluation, personnel development, and communication plans were checked against implementation data to inform all aspects of implementation by the SLT.
- Systemic changes and organizational supports were provided by the SLT to facilitate implementation.
- Training and practitioner coaching were adapted by the PIC with approval from the SLT and strengthened according to evaluation results.
- Site evaluations provided information to help the SLT expand and scale up to full implementation.
- Capacity is maintained through frequent and regular communication and support.
- The State, Community and Program Leadership Teams have plans to sustain fidelity and scale up.
SLT Activities for Stage 3
3-1. Initiate Innovation
Implementation sites begin to use the innovation with support from the Program Implementation Coach and the Program-Wide Benchmarks of Quality monitoring tool.
- Program Leadership Teams meet regularly and begin implementation. Implementation includes:
- Collecting, using, and reporting data.
- Providing training and practice coaching.
- Analyzing implementation activities regularly.
- Practitioners begin to use the innovation and receive practitioner coaching to assure practice fidelity.
3-2. SLT Monitors Implementation Progress
Implementation is monitored by the PIC and regularly reported to the SLT
- Use the implementation action plan and data to monitor progress of state and local implementation milestones.
- Annually assess on the State Benchmarks of Quality (BOQ) and adjust the action plan accordingly.
- Oversee all aspects of initial implementation, including review of evaluation and feedback.
- Gather and review information and data regularly about the implementation process, practice fidelity, participant satisfaction, costs, and emerging outcomes.
- Use knowledge gained from data and feedback loops to adapt organizational supports and resources as needed so that practices are implemented with fidelity.
- Develop and apply decision-making criteria to expand innovation use.
3-3. Data and Evaluation
SLT begins to evaluate processes related to fidelity, quality, outcomes, and benefits of initial efforts.
- Provide technical assistance through the PIC to support high quality and complete data collection from implementation sites.
- Analyze data from the fidelity measures with the PIC to determine whether there is a need to adapt the training or coaching support.
- Evaluate success of activities according to the evaluation plan, with particular attention to the implementation process, practice fidelity, participant satisfaction, costs, emerging benefits, and outcomes. This information will support the sustainability, scale-up and expansion plan.
- Summarize and share data with partners for ongoing feedback and incorporation into dynamic plans.
- Produce an annual report on progress and outcomes for partners, policy makers and funders.
3-4. Professional Development
Ensure PDN of PIC is well-resourced and functions as intended.
- Ensure the PDN has adequate resources to sustainably carry out training, TA, and community and program coaching.
- Ensure there is adequate time allocated for PDN to maintain support to existing implementation programs as needed while providing intensive support to new implementation sites.
- Use an evaluation plan to monitor the success of training, coaching, and TA.
- Communicate and coordinate regularly with PDN.
- Share successes and early wins with relevant partners.
- Identify potential barriers to implementation or maintenance within the statewide infrastructure. Consider completing System Framework Self-Assessment to explore points for improvement or maintenance.
- Maintain relationships with and provide materials to higher education and professional organizations to impact pre-service education and licensing requirements
3-5. Test Innovation and System Infrastructure
Begin improvement cycles to adjust organizational and administrative structures at the state, regional and local levels to support implementation and practice fidelity.
- Monitor innovations using quality improvement cycles. Include barriers and facilitators, especially those that impact underserved communities.
- Use communication and evaluation to quickly resolve barriers, test adaptations, and identify additional supports or needed changes.
- Adjust administrative structures, such as revising contracts and interagency agreements, as necessary.
- Provide general supervision and oversight.
- Revise policies, procedures, guidance, and forms based on feedback.
- Implement fiscal policies, procedures, and funding mechanisms to promote sustainability and scale up of the innovation or adapt as needed.
- Monitor, manage, and communicate any changes to the innovation or infrastructure to support continued use and fidelity of the innovation.
- Record challenges, solutions, adaptations, and other feedback to inform recruitment and support of subsequent implementation sites.
3-6. Maintaining Communication
Use the communication plan to disseminate early lessons learned and to engage key partners in problem solving.
- Identify meaningful messages to share about implementation processes, timelines, accomplishments, and outcomes to monitor and report their impact on underserved communities.
- Gather qualitative data from early adopters related to perceived benefits and needed changes to sustain things going forward.
- Using established communication strategies, collaborate with innovation challengers and note perceptions of challenges, what could be going better, and what needs to change to sustain capacity.
- Use data from previously identified metrics to evaluate the impact and dissemination of messages to potential funders and policy makers.
- Celebrate success with key partners.
Resources for Stage 3
- State Implementation and Scaling-up of Evidence-based Practices Center. (2021). Equity in implementation: Leveraging initial implementation to challenge systemic inequities. SISEP eNotes. https://sisep.fpg.unc.edu/news/sisep-enotes-equity-implementation-leveraging-initial-implementation-challenge-systemic
- The Center for IDEA Early Childhood Data Systems. (2022). Data visualization toolkit. https://dasycenter.org/datavis-toolkit/
- The Center for IDEA Early Childhood Data Systems. (2022). Tip sheet series: Evaluating the implementation of evidence-based practices. https://dasycenter.org/ebp-tip-sheets/
Additional resources for Stage 3 are available.
Stage 4: Full Implementation, Scale-Up, and Sustainability
Full implementation integrates the innovation and its supportive infrastructure into organizational best practices and aligns new infrastructure across state, community, and program contexts. In this stage, conflicting and duplicative practices are discontinued or streamlined and expansion plans for staff at pilot sites are created. The SLTs, PICs, Community and Program leadership teams will continue monitoring the infrastructure, performance, feedback, and outcomes and making minor infrastructure adjustments. Information learned from demonstration sites and improvement cycles is used to onboard new implementation sites and develop sustainability and scale up plans.
Outcomes of Stage 4
- Several implementation improvement cycles have been completed to demonstrate stable use with minimal slippage or drift.
- Innovation use has reached and sustained target fidelity for populations served.
- Outcomes have been measured and show intended results.
- Training and coaching procedures and materials are effective in helping programs install and ensure practice fidelity of practitioners.
- Systemic issues were resolved, and data demonstrate that the system has the capacity to support the practices.
- Each implementation site is:
- Assessing on the PLT Benchmark of Quality annually.
- Sustaining fidelity of practice and has a strategy in place to expand the innovation and address unintentional "shift" and "drift".
- Having evaluated their program outcomes to determine where additional supports and resources are needed.
- The State Leadership Team has developed an action plan to prepare for expansion to new Implementation Sites while sustaining fidelity at current sites and ensuring support to underserved communities and programs.
- The SLT has data to help identify inequities in the system at the state, community, program, family, and child levels.
- The SLT and each CLT has a sustainability and expansion or scale-up plan including action plans for three to five years for funding, staffing, on-going training and coaching, and other resources.
- The SLT has identified and confirmed demonstration sites and co-created an action plan with the sites to share their resources, experiences and lessons learned with new implementation sites.
SLT Activities for Stage 4
4-1. Review Successes and Challenges
The SLT reviews successes and challenges to date and plans for transitioning into the full implementation stage, which includes sustaining and scaling-up.
- The SLT reviews and revises, as needed, its SLT vision statement, membership, ground rules, logistics, etc., given the new implementation stage.
- The SLT uses the Benchmarks of Quality to assess the sustainability and scale-up action plan.
- The SLT focuses on policies, procedures and funding needed to sustain and to scale up statewide, particularly for historically underserved communities.
4-2. Professional Development Network of Program Implementation Coaches (PIC)
Formalize and embed lessons learned.
- Recruitment and selection policies are in place to train new community and program leaders, practitioners, and SLT/PDN team members.
- Policies and procedures related to ongoing professional development activities are finalized, including PD and coaching support.
- Funding is sufficient for providing the support of a PIC to new implementation sites while maintaining support as needed to current implementation sites.
- The PDN of PICs is supported by the PD Coordinator who facilitates recruitment, on-going training, and a community of practice for the PICs.
4-3. Data and Evaluation
Evaluate for expected outcomes.
- Prepare data to share with key partners that is visually accessible and available in plain language and multiple formats, such as charts and infographics.
- Review and analyze outcomes of implementation (fidelity, program/process) and progress on implementation plan.
- Obtain feedback about progress, concerns, and ideas from partners at every level such as SLT, PLT, CLT, PDN, practitioners, families, administrators, supporters/funders, and implementation challengers.
- Share data with policy makers and funders to obtain funding and make policy that allows for sustaining and scaling.
4-4. Infrastructure Sustainment
Data, personnel, and communication systems, policies, procedures, and funding are integrated and fully functioning.
- Review and reassess all Benchmarks of Quality (state, community, and program levels) annually to update priorities for ongoing implementation.
- Assure that monitoring, support systems and reporting processes are in place and used regularly for program and practice fidelity and equity in service delivery.
- Ensure data and feedback loops are integrated into statewide data processes.
- Integrate reliable data systems and provide information about specific processes, practices, and outcomes.
- Routinely share data with practitioners, coaches, and supervisors to improve performance.
- Adjust state, district, and program policies, procedures, and budgets to support practice as needed.
4-5. Sustainability Planning
SLT assures sustainment of the current functional structures and practices.
- Continue to provide and document administrative, organizational, and fiscal support.
- Continue to provide and document Program Implementation Coaching to maintain fidelity.
- Maintain relationships with and provide materials to higher education and professional organizations for pre-service education and licensing requirements.
- Continue to promote awareness of optimal outcomes to expand support base.
4-6. Scale-up and Sustainability Action Plan
Develop an action plan to extend the reach of the innovation sustainably, equitably, and systematically across the state.
- Action plans address the following needs:
- Budgeting and resource allocations.
- Purchasing materials for new sites.
- Expanding SLT to include other sectors, if relevant.
- Institutionalizing and embedding evidence-based practices within state initiatives such as Quality Rating Systems and Early Learning Guidelines.
- Using communication channels, such as websites to raise interest and commitment from programs, policy makers, funders, and other partners.
- Sustaining and scaling up of the PDN to include new sites while still supporting current sites.
- Exploring data to identify disparities for children, families, and practitioners to ensure equitable access, use, and benefits of the innovation.
- Identifying program characteristics necessary for success.
- Identifying criteria and procedures for selecting new implementation sites while supporting sites that need assistance in meeting the selection criteria with a lens towards equity and inclusion.
- Providing regular venues for implementation sites to share and learn from one another as well as inform the SLT.
- Developing plans to address turnover in leadership by the CLT, PLT and SLT. Programs have strategies to ensure the innovation will be maintained under new leadership. The SLT has strategies that ensure new members and new agency leaders understand and value the innovation and will maintain and expand it. The CLT orients new leaders to innovation and its importance to the community.
4-7. Expand Awareness
SLT expands awareness across the system to support expansion and scale-up efforts.
- In accordance with the communication plan create a website, newsletter, or other means to:
- Build understanding and knowledge of the innovation, intended outcomes, and expansion timeline for all partners.
- Report the outcomes of high-fidelity implementation.
- Raise awareness of any disparities in service provision and outcomes that have been identified and share data that demonstrates whether the disparity gap is narrowing.
- Raise interest and commitment from programs, policy makers, funders, and other partners.
- Prepare and share an annual evaluation report that describes the:
- Extent of adoption, implementation, and scale-up.
- Impact on child, provider, program, community, and state outcomes.
- Disaggregated data that provides additional information about any disparities in service provision and outcomes, particularly those that impact under-served communities and plans for resolution.
- Impact of training and coaching.
- Organize annual public celebration of outcomes, accomplishments, and work of high-fidelity practice/innovations and implementers, PDN staff, and funders.
4-8. Expand Innovation
Ensure that targeted fidelity is reached and begin to expand the innovation within current sites.
- Identify practitioners who have reached practice fidelity and have the skills to be a practitioner coach. This is done by PDN PICs and PLTs.
- Gather and review information and data regularly about the implementation process, program and practice fidelity, reach to under-served communities, participant satisfaction, costs, and outcomes (short/long-term and unintended).
- Use knowledge gained from data and feedback loops to determine whether other practices, policies, or programs should be discontinued. The SLT should inform partners what they have found to be ineffective, redundant, contradictory, etc. to the innovation.
- Combine the information learned from quality improvement cycles, evaluations, and partners into state, community, and program model implementation plans.
4-9. Scale-up Infrastructure
Select and Support Demonstration Sites and Next Cohort of Implementation Sites.
- Develop selection criteria and choose new implementation sites based on evaluation data, key supports, experiences, and characteristics of success of implementation sites that were early adopters.
- Designate the status of demonstration sites based on SLT criteria. Criteria to consider could be reaching fidelity on the Program Benchmarks of Quality and on practitioner implementation of the practices, willingness to provide feedback, data, tours, a strong public awareness campaign, and success in achieving positive outcomes for under-served communities, as appropriate.
- Publicly recognize demonstration sites for serving as models for other programs and agencies.
- Update implementation site recruitment, selection and onboarding processes, including MOUs/MOAs, lessons learned from quality improvement cycles, evaluations, and partner feedback.
- Recruit, select, and begin onboarding for next cohorts of implementation sites.
Return to the four implementation stages at the start of each new implementation site cohort. This builds capacity to support the innovation with fidelity.
Resources for Stage 4
- Early Childhood Technical Assistance Center & National Center for Pyramid Model Innovations. (2018). Considerations for a written sustainability and scale-up plan. https://ectacenter.org/~pdfs/sig/2_8_sustainability_and_scale-up_plan.pdf
- National Center for Pyramid Model Innovations (2021). State Leadership Team (SLT) Checklist of Sustainability Features. https://challengingbehavior.org/docs/SLT_checklist-sustainability-features.pdf
- National Center for Pyramid Model Innovations (2023). Program Implementation Coaches and Pyramid Model Implementation, Sustainability and Scale-Up. https://challengingbehavior.org/document/program-implementation-coaches-and-pyramid-model-implementation-sustainability-and-scale-up/
- National Center for Pyramid Model Innovations (2022). Sustaining and Scaling/Expanding Pyramid Model High-Fidelity Practices: Sequence of Events. https://challengingbehavior.org/document/sustaining-and-scaling-high-fidelity-practices-sequence-of-events/
Additional resources for Stage 4 are available.
Congratulations! You Nurtured an Innovation to Full Implementation!
State Leadership Teams will know it is time to switch focus from implementation to sustaining the high-fidelity use of this innovation when you can answer yes to the following questions:
- Have we reached every child, family, and practitioner? Consider the Benchmarks of Quality, vision, and mission statements you began with.
- Does our data indicate that we have reached goals relevant to fidelity, outcomes, equity, and continued challenges?
- Will programs, and subsequently children and families, continue to achieve the positive outcomes intended? Be sure that there is a written sustainability and scale-up plan, and budget for at least five years to ensure that the effort your teams have contributed remains in the form of sustained infrastructure for the practice/innovation.
- Have the plans, resources and infrastructure addressed potential turnover in state leadership, community and program leadership and Program Implementation Coaches to ensure support and high-fidelity implementation over at least five years?
- Additionally, is our infrastructure prepared to repeat all implementation stages with new programs and communities as they come on board?
The State Leadership Team goes through different stages of team development (forming, norming, performing, adjourning, or transforming) as they progress through each implementation stage. For example, in the Exploration and Planning and Installation stages, team members establish new dynamics and structures. In the Full Implementation stage, team members work on policy and funding, maintaining structures and data systems, and ensuring innovation sustainability. Do you now have the right people at the table for this stage?
- Does each team member understand their new role?
- Has each team identified their values, assets, needs, and decision-making strategies that help them be effective?
By following this guide and using data-driven decision-making, you have established the necessary infrastructure to support multiple innovations. Each innovation requires two types of capacity: general capacity for coordinating state work and innovation-specific capacity. You can recycle and improve the infrastructure and processes built for general capacity to continuously monitor and improve your system with any innovation. Maintaining these infrastructures will also be advantageous for reviewing systemic improvements because teams, data systems, communication processes, training, technical assistance, program coaching, fiscal, and governance infrastructures will already be in place for the next innovation. Great job!
Suggested citation
Austin, J., Jones, A., Smith, B.J., McCarthy, S. (2024). Stages of Implementation. Retrieved from https://ectacenter.org/sig/stages.asp
The contents of this guide were developed under cooperative agreements from the U.S. Department of Education, #H326P220002 (ECTA Center) and #H326B220002 (NCPMI), from the Office of Special Education Programs, U.S. Department of Education. However, these contents do not necessarily represent the policy of the U.S. Department of Education, and you should not assume endorsement by the Federal Government.
ECTA Center Project Officer: Julia Martin Eile
NCPMI Project Officer: Jennifer Tschantz
This document was adapted from:
Smith, B.J., Hurth, J., Pletcher, L., Shaw, E., Whaley, K., Peters, L., & Dunlap, G. (2014). A Guide to the Implementation Process: Stages, Steps and Activities. Early Childhood Technical Assistance Center.
Special acknowledgements to contributors who reviewed and provided feedback:
- Alex Lazara
- Angie Van Polen
- Benjamin Riepe
- Deborah A. Ziegler
- Denise Bennett
- Katy McCullough
- Mary Peters
- Paula Grubbs