AGENDA ITEM: C1
MEETING:
RSSB Board Meeting
DATE:
05 March 2015
SUBJECT: Research, Development and Innovation (R, D & I) implementation
monitoring
SPONSOR: Colin Dennis/David Clarke
AUTHOR:
Catherine Baker
1.
Purpose of the paper
1.1
This paper provides an update to the RSSB board on progress with the
initiatives to improve the implementation success of R&D investments,
explains that this has now been extended to also include the innovation
portfolio, and then seeks the support of the board in engaging industry
stakeholders in the future monitoring of their use and impact.
2.
Key issue
2.1
During CP5, around £47m of public money is planned to be invested in R&D
and in excess of £52m in Innovation that will be managed by RSSB on behalf
of the industry. The benefits across the programme are potentially huge,
through tactical solutions delivered, strategic changes enabled and successful
demonstration projects; but only if the R, D & I activities are of genuine value
and are implemented effectively.
3.
Implementation – why is it important?
3.1
The goal of R, D & I investment is to enable the realisation of tangible benefits,
which may range from cost savings, performance improvements and safety
improvements for passengers, staff and the public such as those below:
40 completed R&D projects in last 2 years with £370m potential benefits
R, D & I to support
the Rail Technical
Strategy – potential
to enable benefits
of £2bn per year.
R&D supported the
R&D operational communications
introduction of DAS
programme unlocked potential for £1bn
New driver
leading to £millions of
customer and operational benefits over 15 training
energy savings (T724)
years (T964)
approach –
potential to
Development of
save £25specification for the
8 completed R&D knowledge creation projects completed in
30m per year
defect reporting and
last 2 years have unlocked £270m potential benefits
(T1016)
corrective action
system potentially
R&D provision of tools
enables £200m train
and good practice has
performance
VTISM is facilitating £300m savings in
supported saving lives at
improvements over
asset management costs during CP5
level crossings (T756,
the next 20 years
T821)
(T353, T792)
(T754, T957)
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AGENDA ITEM: C1
4.
Implementation facilitation capabilities already in place
4.1
Innovation team processes and contractual mechanisms have been
developed to require funded innovators to develop and report progress on
exploitation plans that pave the way to delivery of anticipated economic and
industry benefits. The innovation team also actively build bridges between
innovators and potential industry customers.
4.2
The R&D department has been restructured to improve the efficiency and
effectiveness of the R&D programme from project development through to
implementation monitoring. This has been achieved by creating a project
delivery team, working alongside a team dedicated to project development
and follow-up in which the new professional leads for engineering and
operations will champion implementation planning.
Project
development
Delivery
Promotion
Implementation
•Industry responsibility to demonstrate commitment to project and use of the findings
•Agreed implementation plan in place, dependent on nature of R&D findings
•Project designed to overcome implementation barriers
•Evolution of implementation plan in light of emerging findings
•Potential for enabling activities alongside project to prepare the way for implementation
•Agreement of implementation plan by relevant stakeholders
•Well planned communication to implementers and decision makers
•RSSB facilitation in certain cases (eg RGS, sustainable development, PTI strategy)
•Active monitoring of the use and impact of significant projects (from April 2015)
5.
Proposed introduction of implementation monitoring
5.1
RSSB and DfT both have a keen interest in ensuring R, D & I investments
deliver value, hence the agreed objective for 2014/15 to put in place a
proportionate mechanism for monitoring implementation. DfT has also
introduced a new R&D grant condition that requires RSSB to provide an
annual report on the state of R&D implementation from April 2016.
5.2
An independent study drawing on good practice from research programmes
across the world, and consultation with key industry stakeholders, has been
used to inform the proposed approach to implementation planning, the key
principles being:




5.3
Proportionality – only monitoring ‘significant’ projects
Maximum use of existing relationships with stakeholders, rather than
surveys
Knowledge gained is shared for the benefit of all those who contributed
Built on the foundation of good implementation planning
This new activity will be delivered within the current structure without the need
for more resources. The details are set out in Annex A.
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5.4
The next key step is to cascade engagement through stakeholder groups,
starting with TSLG and SSRG, to level expectations on the nature and timing
of stakeholder input and the sharing of findings. This activity will be linked to
the approach being developed by the new member engagement function
established in RSSB.
6.
Recommendations
6.1
The RSSB board is asked to:
 NOTE the progress that has been made to embed implementation
planning into the R, D & I processes.
 ENDORSE the proposed approach to implementation monitoring
and in particular agree to support industry input.
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Annex A
Proposed introduction of implementation monitoring
There are two parallel activities which would be operating during the first year of
implementation monitoring. The first is the establishment of the long term process for
monitoring from the point of project closure, the second is filling in the knowledge
gaps for significant projects which pre-date this new process.
Both of these will be supported by an implementation knowledge base which will be
put in place to store intelligence gained, and provide an accessible source of
reporting to both industry and funders.
1.
Establishing the long term process
1.1
For all R, D & I projects successfully reaching completion from 1 April 2015 it
is proposed that the following will apply:
1.2

An implementation or exploitation plan will be agreed with the relevant
stakeholders or innovators, to be owned by those best placed to lead the next
steps. These plans may be at a project level, or at a programme level where a
set of related projects have been undertaken in parallel or series.

The project or programme will be classified as ‘significant’ for active
monitoring, or ‘less significant’ for passive monitoring. It is anticipated that
active monitoring will take place for less than half the projects.

For significant projects or programmes, the most appropriate monitoring
mechanism will be agreed with those leading the implementation, together
with an appropriate timescale for first and subsequent follow-ups. Note that
this timescale may range from months through to years. The relevant
individual, organisation or cross industry group from whom implementation
updates will be obtained is to be identified at this stage.
The monitoring mechanisms available for selection are as follows:
Cross industry group
review
On a 6-monthly cycle, each cross industry group will be provided
with a review of current intelligence on the state of implementation
of projects they are monitoring, and will be requested to provide an
update on any projects for which one is due.
These updates will cover both the status of implementation, and
also any knowledge of the benefits being realised.
This activity will take place as part of one of the existing meetings,
with papers provided well in advance to allow stakeholders time to
seek updates from their constituencies.
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Where members of the group are unable to provide an update,
their advice will be sought on how to fill this knowledge gap.
It is expected that there will come a point when there is no further
added value from monitoring a given project, for example when it
is fully implemented or deemed no longer relevant. If possible, an
assessment of benefits realised will be made at this point.
Structured interviews and
in depth case studies
At the agreed time after project closure, the R&D professional
lead, or innovation delivery manager will contact the lead
implementer(s) for an update. If implementation has not yet
reached a suitable stage, a new date will be set for follow up. If
there is progress to be reported, then either by phone or by RSSB
attending the stakeholder’s site, a structured interview will take
place to understand the state and impact of implementation.
If it is judged appropriate, RSSB will develop a case study for
agreement with the stakeholder(s) and subsequent sharing with
industry and funders.
Desk-based analysis
At the agreed time, RSSB will undertake a review of secondary
literature and proxy indicators (e.g. patent filings or numbers of
accidents prevented) to look for further evidence of implementation
and impact.
Online survey or data
capture tool
Funded innovators will be required by contract to provide details of
implementation following demonstrator projects. This will be
captured alongside any intelligence gained on the use and impact
of the innovation within the industry through any of the other active
or passive monitoring mechanisms.
1.3
‘Less significant’ projects will continue to be monitored passively, and any
intelligence gained will be added to the implementation knowledge base.
2.
Implementation review of past projects
2.1
During the first 3 months of 2015/16, R, D & I projects completed over the
last 2 years will be assessed for significance. Existing RSSB knowledge
about the state of implementation will also be collated into the
implementation knowledge base.
2.2
A prioritised programme of follow-up will take place through the remainder of
the year for significant projects where RSSB has a knowledge gap. It is
intended that this is initially through the relevant cross industry group as is
already being piloted with the Train Operations Risk Group. For a few
projects there may also be a need for RSSB to make direct contact with
specific stakeholders. Where this is the case RSSB will coordinate this work
with the development of member engagement taking place through the new
directorate.
2.3
Where past projects are considered ‘significant’ and implementation is still
ongoing, agreement with the relevant stakeholders will be reached on the
appropriate mechanism and timing for continuing to monitor as part of the
long term process.
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3.
Annual reporting
3.1
The first annual report of R&D implementation is to be published by the end
of April 2016, providing an overview of the implementation status and impact
of R&D investments. The scope of this report will cover all completed projects
for which implementation activity has taken place during the year. Whilst
required as a deliverable to DfT, it is intended that this is published primarily
to an industry audience.
3.2
Although not a condition of funding, it is intended that TSLG will also be kept
informed of the state of innovation implementation and impact on an annual
basis.
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