Performance Management Performance Improvement Plans

Performance Improvement Plan (PIP) and Extenuating Circumstance (EC)

Online forms

Submission Form – Performance Improvement Plans
Submission Form – Extenuating Circumstance Claim
Instruction Manual – Performance Improvement Plans (PDF)

Note: The fillable forms may not open in your browser. To resolve this issue, review the instructions for saving the forms to your computer.

Page topics

• What is a Performance Improvement Plan (PIP)?
• How long do PIPs last?
• When is a PIP required?
• How are PIPs submitted?
• What assistance is available to help develop PIPs?
• How do I access PIP assistance?
• What resources and tools are available for PIP development?
• What if a PIP is not approved?
• Extenuating circumstances
• Instructions for claiming an extenuating circumstance
• PIP implementation schedule

What is a Performance Improvement Plan (PIP) and what must it include?

A PIP is a plan developed by a county/service delivery authority (SDA) that outlines the specific steps it will take to improve performance for a specific human services program measure or set of measures. A separate PIP is required for each measure in which performance has not met the established threshold(s).

An initial PIP lasts up to two years and must include:

• Contact information
• Numerical improvement targets the county/SDA plans to achieve for each year
• Current barriers to meeting performance thresholds
• Improvement strategies and actions, including who is responsible for completing the actions.

Counties/SDAs should identify target improvement levels that can reasonably be achieved. These target levels may be negotiated between the county/SDA and DCYF or DHS prior to approval. The Performance Management team will assist in the development of PIPs upon request.

How long do PIPs last?

PIPs generally last for two years. If the performance threshold is met at the end of the first year, the PIP ends early. If at the end of two years, the county/SDA still has not met the threshold but has met its improvement targets, the plan will be modified and monitored for another year. Performance Management staff will work with the county/SDA to monitor progress and provide support throughout the PIP. If improvements have been made but the improvement does not meet the target outlined in the PIP, the county/SDA may be allowed to continue on the PIP as long as performance continues to improve.

When is a PIP required?

A PIP will be required when a county/SDA does not meet the minimum performance threshold for a measure.

Counties/SDAs will receive an official notification letter that includes the PIP due date. They then have 60 calendar days after notification by which to submit a PIP. Development and submission of PIPs are the responsibility of the county/SDA; however, Performance Management staff will help with developing PIPs as needed. If assistance is needed, it should be requested within 30 days of receipt of the notification letter to allow sufficient time for assistance before the PIP is due.

How are PIPs submitted?

Counties and SDAs can access the fillable Performance Improvement Plan form through eDocs. Download the PIP form and save. Once you have completed the form, save a copy for your files and email a copy to the Performance Management team inbox (hspm@state.mn.us). A Performance Management staff member will send you an email to confirm your PIP was received.

If you have an existing PIP or Corrective Action Plan that is currently active (has not expired), you will have the opportunity to submit the plan along with a revised PIP. You must also include your proposed numerical improvement targets over the next two years.

PIPs must be submitted within 60 calendar days of notification. Review the Performance Improvement Plan Instruction Manual (PDF) for detailed instructions, criteria, frequently asked questions, and examples.

Once counties/SDAs submit PIPs, they will be reviewed by Performance Management staff. Staff will notify counites if changes are needed. If changes are not needed, the plans will be approved by the DCYF or DHS commissioner or designee within 60 calendar days.

If you need assistance completing your form, contact the Performance Management Team at hspm@state.mn.us or 651-431-5780.

What assistance is available to help develop PIPs?

PIP development assistance is support offered to counties/SDAs as part of the Human Services Performance Management system. A county/SDA can request assistance to help with development of a PIP within 30 days of notification.

The type of support you need will depend on the situation. A team member will assist in determining what supports your county may need. Support could include:

• Education about the measures
• Information on data-driven decision making and discussions around improvement targets
• Resources and tools designed for barrier identification and root cause analysis
• Coordination with DCYF, DHS business areas or others, as needed
• Research, as needed.

How do I access PIP assistance?

There are two ways to access PIP assistance. The first is through contact with a Performance Management system team member. Someone from the Performance Management system will reach out to county human services directors following PIP notifications to answer any questions you have about the PIP process or about the system in general. During this conversation, the team member will ask if you are interested in PIP development support. If you are interested, a follow up call will be scheduled to conduct a brief assessment to determine what types of support your county might need to develop the PIP.

The second way to access PIP assistance is by contacting the Performance Management team at 651-431-5780 or hspm@state.mn.us.

PIP support needs to be requested within 30 days of the date the PIP notification was issued to your county. The county has 60 days to submit a PIP, so it is important that there is ample time to provide PIP support and for the county to develop, write, and submit the PIP.

What resources and tools are available for PIP development?

The overarching goal for the system is continuous improvement, which is a joint responsibility of both counties and DHS and DCYF. Counties can use the improvement tools below to assist with:

• Thinking about areas/measures you plan to improve.
• Identifying strategies for reaching desired outcomes.
• Identifying technical assistance needs and identifying potential barriers.

Indicators Worksheet

Influencing Factors Worksheet

What if a PIP isn’t approved?

If the county agency submits a PIP and it is not approved by the DHS or DCYF commissioner, a Performance Management staff member will contact the county to discuss areas of the PIP in need of improvement and to provide additional support for completing the PIP.

Extenuating circumstances

Counties/SDAs that experience an extraordinary unforeseen event that they believe prevented them from meeting a threshold may file a claim for extenuating circumstances. The essential nature of an extenuating circumstance is that it is sudden, unforeseeable, and beyond the county/SDA’s control. Examples of extenuating circumstances include:

• Natural disaster
• Closure of a major community service provider
• Significant employment or economic change, e.g., the closure of a major business
• Sudden or unforeseen increase in client population, e.g., a large refugee resettlement

A county/SDA has 15 calendar days after notification of the need for a PIP to submit an extenuating circumstance claim. The Performance Management team and the Human Services Performance Council will review extenuating circumstance claims and make recommendations to the DHS/DCYF commissioner to approve or deny the claims. The final decision will be made by the commissioner within 30 calendar days of the PIP notification to the county.

If approved, the county/SDA will no longer be required to submit a PIP for that measure. If a claim is denied, the county/SDA will be required to complete the PIP and will have 30 days to do so. The Extenuating Circumstance Claim form can be completed and emailed to hspm@state.mn.us.

Instructions for claiming an extenuating circumstance

Complete the Human Services Performance Management Extenuating Circumstances Claim Form when you wish to claim an extenuating circumstance on a measure you have been notified requires a Performance Improvement Plan (PIP). You have 15 days from the initial PIP notification to file a claim. The Performance Management team will respond to your claim within 30 days of the date you submit your claim.

County contact information: Complete the requested county and primary contact information. The Performance Management team will contact the person listed for questions, updates, etc.

Select the measure for which you are claiming extenuating circumstances: Indicate which performance measure you are claiming has an extenuating circumstance. If you are submitting an extenuating circumstance claim for more than one measure, complete a separate online claim form for each measure, unless you are completing a claim for a PIP for measures with small denominators. Then you may select more than one measure and complete one claim form.

Select the reason(s) for your appeal: Choose a reason(s) from the drop-down choices that explains why there is an extenuating circumstance for this performance measure. You may choose more than one reason. If your reason isn’t listed, choose “Other” and provide an explanation.

Provide clarifying information on your reason for appeal: Explain in detail the situation that has caused the extenuating circumstance and how it affects the performance measure.

Explain how your county plans to address the current situation/respond to the circumstance: Explain what your county is doing to address the situation that caused the extenuating circumstance, including specific actions you will take to improve performance.

Save and email the claim form to hspm@state.mn.us. You will receive confirmation that the form was received by the Performance Management team. You can expect an official notification once a decision has been made on your claim.

Rolling PIP Schedule

We have adopted a “rolling PIP” process. This means that counties will be made aware that they are required to submit a PIP at the same time that data for a particular measure becomes available. This is done via measure-specific reports provided to counties once a year. Data for measures are available at different times throughout the year depending on the program area. In an effort to provide counties/SDAs with ample time to implement improvement strategies, data for each measure will be shared as it becomes available, and counties/SDAs will be notified immediately if a PIP will be required Below is a schedule of when measure-specific reports are distributed to counties/SDAs:

For updates and up to date information on the PIP reporting schedule, please visit Human Services Performance Management reporting schedule and updates.