A Guide on:
How to Prepare a Performance Improvement Plan
This is a step by step guide that covers:
Step 1: Meeting with the Employee to Discuss Performance Gaps and Solutions
Step 2: Drafting the PIP: Identifying Areas of Improvement
Step 3: Drafting the PIP: Action Items to Improve
Step 4: Drafting the PIP: Setting a Reasonable Time Period for the PIP
Step 5: Drafting the PIP: Describing Resources Available to Assist the Employee
Step 6: Reviewing the PIP with the Employee
Step 7: Following Up with the Employee
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Experienced HR Professionals in the Office of Human Resources have provided this guide as a tool for supervisors and managers for the purposes of performance management. This guide provides detailed instruction on how to successfully execute and monitor a Performance Improvement Plan.
If you have questions regarding performance management, please your human resources department.
Or for more information visit: http://hr.ou.edu/managers/Perfmgmt.asp
Introduction
There may come a time when an employee’s performance is not meeting expectations. When performance is lacking, a Performance Improvement Plan (PIP) can provide a helpful step in the coaching and counseling process.
Following the steps outlined in this guide will:
1. Create awareness of the issue.
2. Clarify the department’s expectations.
3. Establish a timeline for improvement.
4. Gain employee involvement in solving the problem.
5. Hold the employee accountable.
It should be noted that all of these steps should be approached in a collaborative manner, working with the employee on a reasonable solution to the issues.
Deciding on PIP vs. Discipline
It is important to remember that a PIP is a type of coaching and counseling and not a part of the positive discipline process. Often a decision needs to be made whether to use a non-disciplinary route or to document the discipline formally with the employee. The following provides some guidance to scenarios in which a PIP would be appropriate to use.
1. The employee is new to a job or task.
2. The employee is new to the college or department.
3. The performance needing improved is not related to behavior.
4. A PIP has not already been completed on the same issue
5. The performance issue is not of a severe nature that would normally skip steps in the discipline process. i.e. safety violations, HIPPA, FERPA
These guidelines are not all-inclusive nor are they firm. Each situation is unique and should be fully evaluated. We encourage you to contact your human resources contact to review the best course of action.
Step 1 - Meeting with the Employee to Discuss Performance Gaps and Solutions
Prior to drafting the actual PIP document, it is important to meet with the employee to discuss expectations, the current performance gap, and the plan to move forward. A meeting prior to a formal plan will prevent the employee from being surprised with new information. This will also provide an opportunity for the employee to provide input on their own performance and ways they feel it can be corrected. The employee should acknowledge the performance gap and take ownership of the solution. The effort to improve work performance should be collaborative rather than forced by a supervisor. In fact solutions should come primarily from the employee. After explaining desired performance and getting recognition from the employee regarding the performance gap that exists, the employee should present ideas/solutions they feel are feasible and acceptable to bridge that gap. This is an opportunity to get buy-in from the employee by getting him/her to agree that there is a problem and solve it.
During this initial meeting the supervisor should explain how and why the employee’s performance is not meeting expectations. Information relayed during this time should be factual and observable. Avoid opinion-based statements.
For example, telling the employee that others have complained about him/her being rude to customers does not give the employee much guidance. A more specific example would be to say that on a specific date a customer complained when they were rudely told to “get over their problem.” The more specific and factual a situation; the harder it is for an employee to contest.
After clearly outlining the action needing improvement, the supervisor should ask the employee what he/she can do to improve his/her performance. If the employee is struggling to come up with viable solutions, the supervisor may provide the employee suggestions on how to meet expectations. Even though the supervisor provides input, it is important to redirect the conversation back to the employee to come up with the actual solutions. Working together gains buy-in from the employee and allows them to solve their own issue.
Step 2 - Drafting the PIP: Identifying Areas of Improvement
Use information from the meeting to prepare the PIP document and clearly state the deficiency that needs to be corrected. This will first be done in the memo style “PIP Template.” If there are multiple issues, each problem should be stated separately. For example:
- Employee needs to complete work assignments in a timely manner.
- Employee needs to treat coworkers and supervisors with respect and courtesy.
The PIP should list specific facts or events in which the problem occurred. The section should be clear, objective, and factual. There should be no opinions, hearsay, or workplace gossip included in the PIP.
The second document involved in Drafting the PIP is the “PIP Discussion Chart.” Transfer the material from the memo document to the relevant section Area of Improvement on the PIP Discussion Chart. To minimize defensiveness that normally arises with criticism, state the issue in a positive, forward-looking manner and describe the result you want to see.
More detail relating to highlighting items to improve and setting time periods are covered in the following steps.
Step 3: Drafting the PIP: Action Items to Improve
The PIP should explain what the employee is required to do in order to demonstrate satisfactory performance. This information will come largely from the discussion with the employee and use their solutions as the plan. This section should list clear, quantifiable objectives for the employee to show improvement. List the specific work requirement(s) that need improvement and how the employee’s progress will be measured.
Step 4 - Drafting the PIP: Setting a Reasonable Time Period for the PIP
Set a deadline by which the employee must satisfy the requirements of the PIP. The length of the deadline may vary depending on the level of improvement needed and how long it might take to measure sustained improvement. The employee should be able to realistically achieve the goals in the length of time specified.
Explain that behavior must be improved upon within the PIP timeframe. Depending on the severity of the employee’s poor performance or misconduct and the length of time it might take for additional training, the time period for a PIP can be several days to several months. However, it is in the employers’ best interest to limit the length of the PIP in the event that the employee shows no signs of improvement and further actions need to be taken. If there is no improvement, end the PIP and move to another action.
Step 5 – Drafting the PIP: Describing Resources Available to Assist the Employee
The PIP should identify and provide information on how to obtain the resources, materials, training, and coaching that the employee can use to meet expectations. Commonly used resources include but are not limited to:
- Training seminars or webinars
- Coaching by a supervisor or experienced employee
- Employee Assistance Program (EAP)
Step 6 - Reviewing the PIP with the Employee
Once the supervisor has prepared the PIP, the supervisor should meet with the employee to review the final document. The supervisor and employee should read through the entire PIP to ensure that they have a mutual understanding of the expectations and what is required to achieve satisfactory performance. The employee should also be given an opportunity to ask questions about the PIP.
Explain that you expect performance to improve throughout the timeline for the PIP. If satisfactory improvement is not being made, the PIP may be ended early and further action may consist of discipline up to and including termination.
After review, the supervisor should have the employee sign the PIP.
Step 7 - Following Up with the Employee
The supervisor should regularly meet with the employee to check on progress and provide assistance if needed. Follow-up meetings should take place at a minimum of once a month depending on the timeline of the PIP. Use follow-up meetings to provide feedback to the employee about their performance and allow them to adjust their actions and behavior based on that information.
The PIP provides clear benchmarks for performance and a timeline on which they should be met. Failure to satisfactorily improve performance should lead to further action. Options may include regular performance monitoring, another PIP, a disciplinary action or termination.
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