Paradigm Norton - 2016 Appraisal Form Booklet - Final RC Amendments

Paradigm Norton Financial Planning
2016 Appraisal Form

Dear Team
As you know, we have been reviewing our Appraisal process over recent months, and thanks to the
feedback from both ExCo and The Staff Council, we now have what we hope will be a really useful
new process.
The following will hopefully answer any questions that you may have about the timescales and your
responsibilities. If you are still unsure or have any questions, please contact me in the first instance
and I will try to help you.
What do I need to do?
Preparation is key! You should arrange your Appraisal Review Meeting with your Team
Member/Line Manager at a mutually convenient time, but allowing at least two weeks for you both to
prepare for this meeting by completing this form in advance. The purpose of the meeting is to discuss
what you have both written and agree any objectives or training needs for the future.
As Team Member you should initially complete this Appraisal Form through OMNIA by selecting
‘Appraisal Centre’ from the home page, and opening and editing the document from ‘My Appraisal
Document’. This will ensure a copy of all changes is retained. Once this is complete, you should
change the status by clicking the edit button to ‘Staff Member Completed’ and notify your Line
Manager that this is done at least a week before your agreed Appraisal Review Meeting. Your Line
Manager will do the same and follow the stages to completion.
What are the timescales?
Please arrange your Appraisal Review Meeting with your Team Member/Line Manager as soon as
possible - please try not defer this until to September, especially if you have a number of Appraisals to
carry out. All appraisals should be completed by 31 st October.
Thank you very much.
Shirley Lawton ACII DipPFS
Compliance & HR Manager

Your Name:
Manager:
Date of Appraisal:
Section One: Current Role
Overall Assessment:
How do you feel generally about your job and the work that you have undertaken since your
last review?
Has your role changed in any way? If so, how?
What have you found most fulfilling?
What, by your own standards, do you feel you have done least well?
Are there any achievements you wish to mention which are in addition to the objectives you
were set?
Have you encountered any difficulties in carrying out your work?
What were they and how did you overcome them?
What part(s) of your job are you best at?
What part(s) of your job do you find more difficult?
Your Comments
Manager’s Comments

Section Two:
Competence Assessment
Team Work - can include persuading, helping, listening, and getting along with others. Works
co-operatively and productively with others; openly exchanging information and supporting
colleagues from around the firm to achieve business goals
Measurement goal:
Examples provided by employee and validated by manager
Treats others the way they themselves would wish to be treated.
Treats people with respect and integrity.
Encourages and supports the contributions of others in achieving team goals.
Makes a full contribution to successful team performance.
Puts personal preferences aside to achieve team goals.
Demonstrates personal commitment to the decisions of the team.
Makes good use of the talents of colleagues.
Helps colleagues when they are under pressure.
Your Examples & Comments
Manager’s Comments

Client Service Orientation - delivering excellent client service (both external and internal
clients). Exceeds the expectations of clients through the quality of service, meeting their needs and
demonstrating the added value of the service provided
Measurement goal: Use of Client Questionnaires / Happiness entries from Omnia / Team feedback
Exceptional Work Recognition forms submitted for you
• Delivers courteous and prompt service.
• Always delivers what has been promised.
• Develops excellent understanding of individual client needs and concerns.
• Takes personal responsibility for resolving client concerns.
• Seeks client’s improvement ideas.
• Strives to exceed client expectations.
Your Examples & Comments
Manager’s Comments

Attention to Detail - ensures that information is correctly processed and that work complies
with relevant internal/external rules, procedures and regulatory requirements. Checks work and
corrects mistakes promptly
Measurement goal:
Examples provided by employee and validated by manager
• Seeks guidance when unsure.
• Keeps an eye on the detail, checking own work for mistakes.
• Completes all relevant aspects of a task.
• Establishes realistic deadlines and then sticks to them.
• Keeps up to date on current internal and external procedures and regulations.
Your Examples & Comments
Manager’s Comments

Results Driven - the ability to meet objectives on time, balancing cost and quality
Measurement goal:
See metrics below
Focuses attention and resources upon meeting agreed business targets, priorities and objectives.
• Applies skill, effort and judgement to get the job done.
• Ensures own role and objectives are clear.
• Identifies opportunities to develop business and meet client needs.
• Redirects own time and resources to ensure objectives are met.
• Prioritises time and attention on high value activities.
• Ensures that own objectives are aligned with business plans.
Your Examples & Comments
Manager’s Comments

Section Three:
Behaviour and Values
Measurement goal: Examples provided by employee and validated by manager
Is Authentic & Respectful -
Encourages others to share their ideas, actively listen to them and respect those ideas.
Delivers on our promises to team and clients (Do what we say we are going to do).
Speaks up and be prepared to have open, honest and constructive conversations.
Your Examples & Comments
Manager’s Comments
Adopts a wider perspective -
Is available for our clients. Creates capacity to be able to respond promptly.
Works with colleagues to delight our clients.
Is involved with PN Trust and similar associated projects and initiatives.
Your Examples & Comments
Manager’s Comments

Creates Value -
Takes personal responsibility and accountability for delivery.
Creates and models good work life balance.
Keen and passionate to deliver first class work in a timely manner.
Your Examples & Comments
Manager’s Comments

Section Four:
Managers Only
Leading Others - builds highly successful and motivated teams who consistently excel in the
achievement of business goals
Measurement goal: Examples provided by employee and validated by manager
• Acts as a role model to others.
• Adapts personal style to suit the situation and needs of others.
• Treats all staff as individuals, recognising and valuing diversity.
• Praises achievement and says 'thank you' for a job well done.
• Gives effective feedback.
• Is an effective coach.
• Communicates business goals in a way which motivates staff.
Your Examples & Comments
Manager’s Comments

Scoring definition and range for Competence Assessment
5 Not enough information to measure or sustained period of under achievement
4 Showing some evidence of attributes or under achieving
3 Good overall feedback, no real issues throughout the year. It’s OK.
2 Some instances of over performance
1 Sustained instances of over performance in different areas
Scoring definition and range for Behaviour and Values Assessment
E Displays no positive behavioural attributes
D Some positive behaviours demonstrated, but significant room for improvement
C Good all round behaviours, but room for improvement in a number of areas
B Has displayed good all round behaviours, but room for improvement in a few areas
A Exemplifies the PN values and conducts themselves exceptionally in all relationships
All Staff Current Target Your Score Manager’s Score
Competence Assessment
Team Work
Client Service Orientation
Attention to Detail
Results Driven
Chargeable Time %
Behaviour and Values Assessment
Be Authentic & Respectful
Working Together
Create Value
Managers Current Target Your Score Manager’s Score
Leading Others

CRMs 2015/16 Target Your Score Manager’s Score
Recovery Rate
Client Transition Plan
(number of clients to
transition this year
including destination)
Book Size (last year’s
recurring revenue
mapped against this
year’s clients)
Number of Clients in
Book
Average Client Fee
New Business Reached
% of New Business Target
% of New business.
charging an initial fee
CF30s Current Target Your Score Manager’s Score
PRAG Rating
Overall Score and Comments:
As an example, for the Competence Assessment section, you should take the average of your own and
your Manager’s score as a starting point for your discussion during your Appraisal meeting, during
which you should agree an overall score.
Competence Assessment Section
Score
Comments
Behaviour and Values Assessment Section
Score
Comments
Target Score for Next Year and Comments:

Section Five:
Your views generally
How do you feel generally about working for us? If there are any areas where you are
unhappy, what are these and what could be done about them?
Do you have any practical comments about our business whereby its performance could be
improved?
What could your manager do differently to better support you in the workplace?
Is there anything else you would like to raise?
Looking Forward:
Where would you like to be on the career tracker in 12 months’ time?
What do you see (if any) as the obstacles that might stand in your way to prevent you
achieving this goal or ambition?
What do I/we need to do to support you in this quest (to get you from A to B?)
In which areas do you need some management/coaching/mentoring?
Would you find any formal management training helpful in the next 12 months?
Is PN allowing you to work to your unique ability and fulfil your potential?
Narrative to support Objectives for the next 12 months (which must be SMART *)
(*SMART Objectives are Specific, Measurable, Achievable, Relevant and Time-Bound)