Mark Ganchrow Annual Review 2013

Page 1 of 12

Performance Evaluation/Planning Program

Employee Name

Mark Ganchrow

Job Title

Senior Technical Specialist

Department Name

TSG - Service Support

Manager’s NamePerformance Period

Employee ID

nnnnn

Cost Center

nnnnn

xxxxxxxxxxxx 01/01/2013 - 12/31/2013

Factor Performance Ratings

Consider these guidelines when evaluating each competency factor.

Outstanding – Management expectations consistently exceeded.

Successful – Performance consistently meets requirements and expectations.

Needs Improvement – Performance needs improvement.

Unacceptable – Performance is inadequate.

Manager Signature Date

Senior Manager Signature Date

Employee Signature Date

(Your signature indicates that this document has been discussed with you. It does not necessarily imply agreement.)

Page 2 of 12

COMP EN TEN CY FA CTO R S

Comments are required for all competency factors that are rated “Critical” or “Important.”

ACTION ORIENTED – Demonstrates a high degree of initiative; is a self-starter. Takes on challenging tasks with confidence; sets an example for driving to bottom-line results.

Critical Important Not Applicable

Comments:Mark is enthusiastic about his job and takes pride in addressing his work and helping his customers. He has shown he can control an increased workload without it impacting his ability to service customers. He tackles challenges, such as items associated with the device refresh, while demonstrating the capability to keep up with his daily work. He strives to meet expectations in all cases.

As one of his customers, Brian Wagner, stated…"First and foremost, I find Mark to be extremely attentive to what is going on in the office and very diligent on his follow up. Mark’s follow up is second to none here. For an individual who is constantly asked for support he never hides or avoids any issues. I thoroughly enjoy working with Mark and find him to be a strong asset of the firm. Earlier this year when I received my new PC Mark was adamant that I contact him with both issues and positives to make sure the transition was seamless. I find Mark to be very approachable and willing to go above and beyond. It is obvious that he takes pride in his work and stays current on upgrades and making sure the proper employees are kept abreast of IT needs."

Mark works extremely well independently but is also skilled at taking action in team-oriented endeavors. He takes initiatives on projects and acts collaboratively to accomplish shared results. Projects such as Windows 7Application Testing and the Investment Management Device Refresh required coordination of activities with other BISD members and he was consistent in his approach in working with all parties.

Mark keeps his customers' priorities in mind, often superseding those of his own, and is willing to pitch in and lend a hand when and where needed. This approach is exemplified in his volunteering to assist with scripting and learn more about other aspects of our Service Support team.

Rating:Out

standing

COMMUNICATION – Creates and contributes to an atmosphere in which relevant information flows smoothly up, down, and inside the organization, and with external customers where applicable; encourages the open expression of ideas and opinions.


Comments:Mark possesses strong communications skills. He listens well and pays attention to what others are saying while asking pertinent questions aimed at addressing the issue at hand. He is apt at

keeping peers, his supervisor and management updated with both positive and

Page 3 of 12

negative information. Heprovides objective feedback. Errors, mistakes, and unintended outcomes are

Rating:Successful

Page 4 of 12

reported without glossing over what went wrong.

In addition, Mark regularly attends and participates in the weekly team meeting. He gives status updates, asks/answers questions and contributes technical knowledge to other team members as needed. This is done both during these meetings and throughout the typical work week. He keeps his supervisor up to date by regularly providing daily emails, weekly status updates and attending his monthly one on one.

COMPLIANCE – Knows one’s own compliance responsibilities and conducts self in accord with those duties.


Comments:Mark is successful in knowing his compliance responsibilities and conducts himself in accordance with those duties. When applicable, he performs procedural steps in the proper order, accurately, and in a timely manner. He follows all appropriate, approved company and departmental policies and procedures and he remains current on changes to these practices as they relate to his job function within TSG-Service Support.

Rating:Successful

CUSTOMER FOCUS – Succeeds in meeting external and internal customers’ needs in a manner that provides satisfaction to the customers. Customers include external clients, peers co-workers, and management (inside and outside one’s own department).


Comments:Customer focus is a critical factor in a successful IT Service Support team and Mark consistently exhibits an excellent customer-oriented approach to his role. He understands the importance of his customers within FederatedClover, BISD and Federated as a whole. As an example, Lawrence Creatura shared the following…"This year has been similar to past years working with Mark – excellent. He is capable, responsible, conscientious and fast. This last point is critical as time is our most valuable and scarcest asset here, and Mark solves problems quickly so we can get back to work. This year Mark also helped me deploy the firm’s remote mobile solutions, navigating me through installation, setup and use. This has been an incredible productivity enhancer and it is completely to Mark’s credit that I now have the ability to be more effective while on the road."

As illustrated above, Mark is apt at addressing customers' needs and meeting their expectations. He provides service quickly and efficiently keeping in mind the quality of his effort at all times. He demonstrates the ability to take necessary actions to meet these expectations and sees the assignment through until the need is met. He identifies and discusses options while responding with an appropriate level of urgency.

Mark maintains very good working relationships with his customers. He does an admirable job in keeping the end-user in mind, often times making suggestions and taking great care to not disrupt the customer's job.

Page 5 of 12

Rating:Outstanding

Page 6 of 12

Because of this focus, Mark has received many instances of positive customer feedback and genuine appreciation for his efforts:

From: Barber, Karen K.Sent: Wednesday, October 23, 2013 12:07 PM To: Ganchrow, MarkSubject: Thank You

Hi,

Thank you so much for your help just now!!!!! I would’ve been here forevertrying to figure it out.

You’re the best!!!

KKaren K. Barber | Administrative AssistantFederated Clover Investment Advisors400 Meridian Centre Ste 200 | Rochester, NY 14618-3983 k b a rb e r @ f e d e r a t e dclo v e r .c om | 585-385-6090 (P) | 585-385-9068 (F)

DECISION QUALITY/TIMELY DECISION MAKING – Demonstrates the ability to evaluate all available courses of action and make appropriate decision, take action, or make commitments.


Comments:Mark is timely in his decision making capabilities. He considers different actions, resources, possibilities, controls and limits before selecting a method for accomplishing work. He does a good job of balancing needs and desireswith constraints.

Mark avoids assumptions and makes thoughtful decisions. This ability was clearly demonstrated in this year's Windows 7 device refresh in which Mark was often counted on to make decisions on behalf of what was best for his customers and at the same time doing so in a manner that kept the project on track. He also kept risk to both his users and the project team in mind. This juggling act, although quite taxing at times and complex throughout, was handled by Mark with confidence and effectiveness.

Rating:Successful

FUNCTIONAL/TECHNICAL SKILLS – Demonstrates the functional and technical knowledge and necessary skills to do the job at an expected high level of effectiveness.


Comments:Mark maintains a consistently high standard of production quality by relying on his technical capabilities and leveraging his procedural knowledge. He works to actively build and hone his skills as demonstrated by his participation in the device refresh,

Indata upgrade and other work items. He then makes himself available to others to help solve problems,

Page 7 of 12

often leveraging the knowledge gained through his work. Rating:Successful

Page 8 of 12

Mark performs his job adhering to proper procedures and executing those in proper order both accurately and timely. He shows an understanding of risk and takes appropriate steps to manage it. He applies functional/technical knowledge to correctly address complex situations, taking into consideration the full range of available options.

INTERPERSONAL SKILLS – Ability to interact with all levels of colleagues and associates. Excels in focused listening and tactful persuasion to achieve desired results.


Comments:Mark builds constructive and effective relationships with his customers, colleagues and management. He is cooperative and relates comfortably with his team. He is a team player and has their trust. When asked to assist, he doesn't hesitate to get involved and helps out however he can. He reads situations well, anticipates needs and takes appropriate action. He provides constructive input, suggestions and feedback on topics of concern to the team and the folks he works with in Rochester. He has shown a willingness and ability to interact with colleagues at all levels, ranging from Service Desk analysts to high-profile investment managers. He shows diplomacy and tact; keeping the best interests of Federated always at the forefront. He is encouraged to continue this approach with all of his teammates in Service Support and should continue to build relationships within the team, BISDand his customers.

Rating:Successful

ORGANIZATIONAL SKILLS – Able to achieve objectives through effective coordination of resources (people, information, equipment, funding, etc.) for meeting job responsibilities.


Comments:Mark is exceptionally well organized and skilled at multitasking; abilities he utilizes to maintain a high level of productivity. His duties run the gamut ranging from day to day calls for help from his customers to project work, service requests, HPSM request tasks and incidents.

Mark utilizes resources effectively and efficiently and is successful at prioritizing his workload while addressing the critical issues first. He adjusts his approach for certain situations arise and works through roadblocks.

Mark leans on his organizational skills to prioritize both large assignments (such as Windows 7 device refresh) and ordinary, everyday ones. He is very detail-oriented no matter the size of the task. As an example of his attention of detail, Mark is the only member of the team to consistently turn in status logs (when they

were required by his supervisor) and maintained a 100% “score” in entering his Primavera timesheet on time for the whole timeperiod.

Page 9 of 12

Rating:Outstanding

Page 10 of 12

PROBLEM SOLVING – Able to combine creativity and originality with rigorous logic and methods in problem solving.


Comments:Mark does a successful job in solving problems for a wide range of issues. He is efficient and always keeps an eye out for the best solution, not necessarily the easiest one. He generates options re: problems and provides direct, objective, unbiased analysis. He's also not afraid to reach out to other members of the team for their input and advice.

Mark participates regularly in the weekly team meeting in which problems are discussed and troubleshooting steps or resolutions are considered. He offers valuable suggestions for his team members.

Rating:Successful

P REVIO USL Y ES TA BL IS HED GOAL S & RES UL TS

Complete this section for exempt employees (optional for non-exempt

employees). Definitions:

Result Expected – Use this section, as appropriate, to record mutually agreed-upon goals upon which thisperformance appraisal is based. Classify each goal as “core,” “problem solving,” or “innovative.”

Core – A goal that addresses fundamental, routine, or basic activities of a position.

Problem Solving – A goal that goes beyond the basic job activities to find solutions to short-term and/or long- term problems.

Innovative – A goal that identifies potential opportunities and takes creative or unusual actions to capitalize on them.

Result Achieved – The degree to which the goal was achieved. (Please note any extenuating circumstances affecting results.)

RESULT EXPECTED:Mark will be required to respect and adhere to all divisional and Federated policies throughout the year. He will also be required to meet all TSG-Service Support team expectations. This includes:

Time Tracking – Document your contributions by tracking time accurately. It is critical that your timesheet is on time every week. This is a key metric for the division and when data is missing and inaccurate you negatively impact the information provided by your team members. All members of TSG- Service Support are expected to consistently provide accurate and timely time reporting.

Service Requests – Submit service requests for all work effort >= 1 hour for non-support work. If you are the contact on the service request you are held accountable for ensuring it is successfully completed on time. You are expected to perform assigned service requests on or before the committed due date and you are expected to keep your team lead apprised of progress.Self Portfolio Management - Develop a thorough understanding of current workload,

Page 11 of 12

priorities, capacity and availability to assist BISD in performing effective resource management. All members of TSG-Service Support are expected to meet work commitments as well as seek additional work when they have capacity. Team Members must report all planned non-work time to their team lead for entry intoTeamPlay. In addition, all team members will be responsible to provide their team lead with timely status

Page 12 of 12

reports of progress on required tasks.

SOX - Understand how your job responsibilities are in direct support of Sarbanes-Oxley compliance on behalf of Federated Investors, and consistently operate in conformance.

Financial Responsibility - Submit overtime time sheets within the work incurred and submit expense reports within 30 days of incurred expenses.

CREATE - Consistently embrace and promote divisional shared cultural values and all other divisional goals that are established.

Process Documentation – Continue to document new, and keep existing documentation current, support/operational processes within centralized repository. Goal – service continuity at all times.

BISD Attendance: Continue to provide timely and accurate notice of all sick days, vacation days and any other authorized time away from your primary location to the morning reporter. It is the responsibility of each member of TSG-Service Support to ensure that all vacation days and other authorized out of office time is planned in conjunction with other team members to ensure adequate coverage of theiroperational duties when they are out of the office. All members of TSG-Service Support are required to manage their own vacation time in order to ensure all time is taken before the end of the calendar year.

Participation in all BCP initiatives - All members of TSG – Service Support will be required to participate in exercises and provide updates to any Business Continuity Plan that they are referenced. All BCPexercises that you are invited to are mandatory and every effort must be made to attend exercises and or meetings that you have committed to attend.

Cooperation/Collaboration: All members of TSG-Service Support are required to work with members of their own team as well as members from across the division to ensure projects, service requests, trouble tickets, quality improvement efforts and requisitions are successfully completed on time. This will include work that is specifically assigned to the individual as well as work where you are asked to assist another team member. All members of TSG-Service Support are expected to adopt and display a cooperative and collaborative service attitude at all times.

Core Problem Solving Innovative

RESULT ACHIEVED:GOAL ACHIEVED- Mark successfully meets all of the team's core goals. In fact, he often exceeds expectations in this area. As an example, Mark is the only one of the team to successfully submit his timesheet on time each and every week.

RESULT EXPECTED:Mark will be expected to continue to participate in the Windows 7 project. Mark is expected to participate in the project implementation as it pertains to the testing of applications, and supporting of the operatingsystem. Mark will be required to complete his tasks according to the project schedule and due date.Microsoft Office 2010 has been folded into the Windows 7 project, however the expectation is the same as it pertains to Mark's involvement / goal.

The due date for this goal will coincide with the approved project schedule and due date.

Page 13 of 12


RESULT ACHIEVED:GOAL ACHIEVED- Mark was a major contributor for 2013's Windows 7 device refresh and met all his

Page 14 of 12

assigned tasks to allow the project schedule to be on time and meet it's due date.

RESULT EXPECTED:Mark will be instrumental in the Device Refresh for the Clover office. As the primary Deskside Support for Clover, Mark will work closely with members of the TSG Service Support / Deployment group to ensure a smooth / transparent transition to the rollout of new devices.


RESULT ACHIEVED:GOAL ACHIEVED- Mark was instrumental in the Device refresh this year in Rochester.

RESULT EXPECTED:Mark will be expected to participate in the SSL / VPN Production Implementation project. Mark is expected to participate in the project implementation as it pertains to the testing of features / functionality, and supporting the users at Clover. Mark will be required to complete his tasks according to the project schedule and due date.The due date for this goal will coincide with the approved project schedule and due date


RESULT ACHIEVED:GOAL ACHIEVED- As needed Mark contributed to the SSL/VPN project.

RESULT EXPECTED:

Mark is expected to serve as the Deskside Support focal point for Clover. He is responsible for Clover desktops and laptops which includes hardware and software. Additional responsibilities include, but no limited to:Morning processes and automation (InData scripts, NYFix, Telemet, etc.) VideoPhonesNetwork Citrix Printers SharePointFocal point for Service Desk


RESULT ACHIEVED:GOAL ACHIEVED- Mark handled all of the deskside support work at Federated Clover.

ADDITIONAL COMMENTS

Include any comments on particular job strengths and/or areas for development.

Mark is very much appreciated by his customers in Rochester. The following feedback from Paula Collins summarizes that:

Page 15 of 12

From: Collins, PaulaSent: Wednesday, November 20, 2013 4:58 PM To: Ruffennach, Charles J.

Good afternoon, ChuckPlease consider my observations of Mark Ganchrow as you are evaluating his performance over the past year.Mark is truly a Five Star employee. He received three Five Star awards over the past year. Mark was acknowledged for being patient, reliable, and persistent as he assisted colleagues with various technical issues. Mark treats service requests with proper urgency…prioritizing based on function. He is quick to respond and determined to provide a satisfactory solution. While implementing the computer refresh over the past year Mark juggled that responsibility along with his other duties in a methodical, logical manner. The refresh was virtually seamless. All issues were addressed immediately. Mark has great work ethic, attention to detail and is a tenacious problem solver. The Rochester office is fortunate to have his expertise. He is a skilled professional.

Chuck, I hope you find these comments helpful. Have a great evening! Paula

Paula Collins400 Meridian CentreSuite 200Rochester, NY 14618585-385-6090

FUT URE GOAL S & OBJ E CTIVES

List those mutually agreed-upon goals and objectives and expected results that the employee will be responsible for accomplishing during the next review period. Classify each as “Core,” “Problem Solving,” or “Innovative,” as described in the last section.

RESULT EXPECTED:Mark will be required to respect and adhere to all divisional and Federated policies throughout the year. He will also be required to meet all TSG-Service Support team expectations. This includes:

Time Tracking – Document your contributions by tracking time accurately. It is critical that your timesheet is on time every week. This is a key metric for the division and when data is missing and inaccurate you negatively impact the information provided by your team members. All members of TSG- Service Support are expected to consistently provide accurate and timely time reporting.

Service Requests – Submit service requests for all work effort >= 1 hour for non-support work. If you are the contact on the service request you are held accountable for ensuring it is successfully completed on time. You are expected to perform assigned service requests on or before the committed due date and you are expected to keep your team lead apprised of progress.Self Portfolio Management - Develop a thorough understanding of current workload, priorities, capacity and availability to assist BISD in performing effective resource management. All members of TSG-Service Support are expected to meet work commitments as well as seek additional work when they have capacity. Team Members must report all planned non-work time to their team lead for entry intoTeamPlay. In addition, all team members will be responsible to provide their team lead with timely status reports of progress on required tasks.

Page 16 of 12

SOX - Understand how your job responsibilities are in direct support of Sarbanes-Oxley compliance on behalf of Federated Investors, and consistently operate in conformance.

Financial Responsibility - Submit overtime time sheets within the work incurred and submit expense

Page 17 of 12

reports within 30 days of incurred expenses.

CREATE - Consistently embrace and promote divisional shared cultural values and all other divisional goals that are established.

Process Documentation – Continue to document new, and keep existing documentation current, support/operational processes within centralized repository. Goal – service continuity at all times.

BISD Attendance: Continue to provide timely and accurate notice of all sick days, vacation days and any other authorized time away from your primary location to the morning reporter. It is the responsibility of each member of TSG-Service Support to ensure that all vacation days and other authorized out of office time is planned in conjunction with other team members to ensure adequate coverage of theiroperational duties when they are out of the office. All members of TSG-Service Support are required to manage their own vacation time in order to ensure all time is taken before the end of the calendar year.

Participation in all BCP initiatives - All members of TSG – Service Support will be required to participate in exercises and provide updates to any Business Continuity Plan that they are referenced. All BCP exercises that you are invited to are mandatory and every effort must be made to attend exercises and/or meetings that you have committed to attend.

Cooperation/Collaboration: All members of TSG-Service Support are required to work with members of their own team as well as members from across the division to ensure projects, service requests, trouble tickets, quality improvement efforts and requisitions are successfully completed on time. This will include work that is specifically assigned to the individual as well as work where you are asked to assist another team member. All members of TSG-Service Support are expected to adopt and display a cooperative and collaborative service attitude at all times.

These core goals are expected to be met continuously and accomplishment assessed in December 2014.


RESULT EXPECTED:Maintain Deskside Support- Clover work item queues and keep queues up to date. Goal is to:- Ensure all incidents are recorded and those assigned in queue are closed within 5 business days- Ensure all request tasks assigned to queue are addressed on "Planned Date" or within time frame following approval of request.- Address other IT-related items such as phones, video, network, Citrix, printers, etc…

In his current capacity, Mark is expected to meet the Deskside Support tasks consistently each day and will be assessed regularly on these items by his supervisor.


RESULT EXPECTED:Mark is tasked to learn parts of the client/server analyst role in particular that of scripting, deployment, patch management. He will be asked to gain a thorough understanding of

Page 18 of 12

Altiris and how to use the tool as it pertains to the previous topics.

He is also asked to develop a plan for Deskside Support in Clover in the case that he can no longer physically cover that office. In addition, a rough, estimated schedule of on-site visits should be pulled

Page 19 of 12

together in order to provide an idea as to when he may be available in Rochester and/or Pittsburgh.

Mark will be asked to develop a game plan on how to accomplish this goal by the end of February 2014. At which time specific goals relating to scripting, deployment and patch management will be identified and added.


RESULT EXPECTED:In addition to utilizing Altiris for scripts, patches and deployments, Mark is asked to take a "deeper dive" into the tool to see what areas we can leverage that are currently not being used. A written analysis of the Altiris tool is expected to be completed by the end of April 2014.


RESULT EXPECTED:Mark is to develop a specific plan on how to build his business analysis skills as they pertain to Service Support and HP Service Manager. This plan is expected to be completed by the end of March 2014 and include some ideas on how to assist in building the CMDB as well as CI maintenance and additions in respect to Clover in particular and Federated in general. Specific goals derived from the plan will be established in April and amended to this review at that time.


DEVEL OP MENT PL AN

Include comments applicable to improving current job performance and attaining future

employee career goals. In order to improve current job performance and attain future goals, Mark

should:

* Participate in applicable SkillSoft or instructor led Organizational Development classes that Federated offers. The onus is on him to see what may be applicable.

* Identify, pursue and participate in a learning group, professional association or certification body to connect with others in similar roles.

* Identify and work with BISD subject matter experts to learn more about BISD areas and grow both his functional understanding and technical skill base

* Keep abreast of technological advances through self-study when time permits.

* If there are any areas outside of the Federated realm that Mark is interested in pursuing

Page 20 of 12

to help his role, he is strongly encouraged to pursue them. This includes off site training classes that relate to his current role. Coordination of this kind of training must be approved by his supervisor and/or manager.

Page 21 of 12

EMPL OY EE COM MENTS

Here you may comment on the assessment of your competencies, development plan and actions, performance review, career interests, and personal goals.

Employee’s Signature Date

Technology

Mark Ganchrow Annual Review 2013