yc 2) ‘ah Bank Financial Group Personal Performance & Development (PP&D) Performance Objectives, Feedback and Assessment Guidelines: To be completed independently by the employee and theit manager / supervisor prior to discussion Refer to the employee's job model/ description of job accountabilities ‘Accountability area ratings are to be assigned annually at year-end and recorded on the last page For additional information please vsit w3.corp.tdbank.ca/HR/career We have automated the PP&D combined form to help you quickly move around. By dicking on the > you will be taken to the next accountability area Employee Name: Anita Gartshore Employee ID: 2691760 Job Title: Private Client Service Associate Cost Centre: 2926 Date Entered Dept. Name: London Private Client Services TDBFG: Feb 1997 coy Present Job Since: June 2008 Changed Job in Past Year: Yes [x] No a ion Provious Performance Ratin: Date of Assessment: April 30"", 2009 novela Our performance and development culture means that everyone in the organization is focused on achieving the same vision. In order to better align your rersonal performance and objectives with broader TD Bank Financial Group objectives, the accountability areas, previously customized by Business, have now been standardized The table below illustrates how the accountability areas for TDBFG align with those of your Business. MOUEEN mucus Ea ecniteVaiinasteys To the Customer + Customer Service 35% To the Shareholder + Business Results 15% + Internal Practices & Process 40% | To the Employee/Team + Persona! Development 10%fi token co Personal Performance & Development (PP&D) Performance Objectives, Feedback and Assessment ‘Objectives (For each objective stato at least one measure to define achievement) ‘+ Make clients feel their business is appreciated ‘+ Always consider the impact your decision will leave on the client + Ensure client's complaints are handled as per the Bank's Customer Problom Resolution policy + Know customers well and provide high quality customer service in all client interactions through consistent application of the PCG Client Experience Model. + Ensure client instructions are catried out ina timely, accurate and efficient manner ‘+ Act as a point of contact for ongoing client cuestions and concerns resolving them wherever possible, and ensuring they are referred for action when the Account Manager's involvement is required Employee Comments. g aaa = : 7 cs ‘Accomplishments (Did Walls) Provide eeellonl entamer svc t every ineracion en an fer cstorers totam members an ical Bak Parnes 5 appropiate 2 Compa Well plas fr now and extn hans ‘pporiunitios (Next Times) ‘Aetively get ou ino the eommanity more, Ove the ast year: has een dificult to leave the fice and volunteer. am hoping to oet ean the coming 6 months it the addition ofa Senior Private Banker ‘Manager Comments, 77 a icon mui i ea ene ‘Accomplishments (Did Wells) ‘Anita has been the backbone of the canire for cent servicing since I've worked in the regon. When Ist came into the ole, Arita was the BA forthe centre, but also provided support to Private Banking on muliple cocasons as she had rela experience and could post fr us, and handle cent enquires Iwas a natural progression then, when we needed to bring on a OSA for private Banking that Anita would bo a good fi fr the cole. She is well connected inthe community and already knew a numberof our clans. The General Kea was lo gether trained fly on PB suppor, the YWG process and the PCG offering and bull her info an Assoclate Bankor dow the rcad {Condon nas had a numberof challenges ove the ast 12 months with the retirement of one of our long term bankers, management being off wth personal Issues, and his has resuited in Anta having fo cover and support the branch on her own al mutiple ies and for mulple periods. She has done an excellent job hancling cient isues, complaints, and fully eupparted the Manager's efforts in growing the now cent base, She has Boon our ult go to person without complain and always doos so witha smie on her face, ands passion to keep clents happy. “Opportuinitios (Next Times) ‘Work withthe Senior Private Banker and the Market Leader to ensure we aro full ullizing the NYP process to Inograte our clients with our partners and ‘dose more partner sales, especialy onthe PIC and PIA sce of things. Work withthe SPB and ML to increase the quay ofthe IVP's trom basic format to provide cents with more advice and dection. Employee Comments. ‘Accomplishments (Did Wells) | always find a solution for issues. | have the ability to think outside the box to get a credit deal approved or a customer issue resolved. ity very hard never to use the word “no” CEI We are third in the country despite staffing challenges this year. | have worked very diligently to look after al the clients and their day to day transactions and credit needs. Completed Wealth Plans for all of our Senior Private Bankers clionts are needed. _ a ‘Opportunities (Next Times) Continue to train contre Branch Adminstrator so that she tco can beter serve our clients Manager Comments: 09%. Page 2017‘Accomplishments (Ola Wells) ‘ila, You continue fo be the backbone of our client experience, Allof cur PB clets know you and speak highly of the sence you provide fo them on a (aytovday basis, Throughout 09 you have provided valued stabilly to our unt with one PB refring, our manager going off on heath care leave and 2 ‘ew SPB staring in Apr, Our YT CEI is very cold at 375 vereus plan of 5.3. You are a wel respected member of ths team tat both the SPB and | ‘count on for knowledge and the ablity to get ay task done. 1 especially approcate that you nover say no ot | don't know when asked te accomplish 3 task, you take that as a challenge to Use the TD system and flgure out how to gett done quickly and corecly ‘Opportunities (Next Tinos) er please continue to work wth Cathy looking for ways fr her te train and earn from you in PB. [ 3CEI was lower at 0, please look for ways fo connec with al of cur clents for thse litle things thet will make a diference ‘Objectives (For each objective state at least one measure to define achiovornent): + Provide day-to-day account management suoport to meet clients needs. + Support business. /es of Private Banking and Private Client Services centro. Look for opportunties to cross-sell products and services Integrate sales efforts with other PCSc professionals to market the full range of products and services + Support Private Bankers in managing external COI's + Complete initial eredit application worksheets CAP Input and reviews for completion and review by Account Managers + Conduct crodit investigations and PPSA or cther legal searches + Be committed to high quality work + Understand and apply branch operating policies and procedures, which maintain proper control of documents, securities, cash etc. + Ensure necessary due diligence in support cf all client applications + Follow current Bank policies, procedures and key controls (Know Your Customer, Anti-Money Laundering, etc.) + Be knowledgeable of and comply with Bank and industry codes of conduct + Complete annual credit reviews, referring to Account Managers as required andlor directed ‘+ Maintain client security files + Assist Account Managers in ensuring that expired credit meet the Business standards 2 Assist Account Managers with outstanding security items to ensure that no over 90 day Accounts on ‘To be Obtained Report” + Understand and adhere to industry regulations, TD Operating Policies and Procedures & Operating Procedures for TD Private Cliont Centres + Co-ordinate activities with external suppliors: BSCICAS and related areas to ensure credit and risk administration ities are handled thoroughly and efficiently 4. Employes Comments, ‘Accomplishments (Did Wells) PT adhere to both profesional practices and standard and TD's posses and contols- we received aS rating on our lst audit Take ere of uit contro andthe managers handbook ‘Opportunities (Next Times) “Manager Comments oe ae ae ‘Accomplishments (Did Wells) ‘Anta has beon the backbone ofthe contro on an operational bass. She has kept the managers handbook up to dale and wil cortinue to do so in Darlone’s absence, She handles the delinquency reports, cect renawals, updating the credit teams and tracking sheets and clea iransiions. She acts as the BCO and 's one ofthe main reasons the centrarecoives a satisfactory aud. She continues to provde exceptional support and isthe go to person for cllents, tye SPB and ML on system and products Issues, N> losses and expenses inline, Great job! Page 3 of 7fi ep nc coup . Personal Performance & Development (PP&D) Performance Objectives, Feedback and Assessment ‘Opportunities (Next Ties) — {Wil need Anite to provide support around sales, and work lo help get heathy pipeline of partner referrals. The canre hes done well on new cient ‘cquistion and tevenue numbers, but lacks on infernal referal, Tis has resuled ina poor overall PB ranking 15" inthe county whichis not reflective of thetcentre's' work ethic and sorts, Sais skls and cllent fanchsing wil help Anita inher growth fr future roles. Also given her eommuniy connections, she can help drive more clients into the centre hersel ‘<- Employoo Comments, Suneaae e e y > ‘Accomplishments (Old Wolls) Seote Card 123.1% of Deposit Revenue 401.0% of now Cont Revenue Brought in new clients and made referral to both PIA and PIC, No losses, | always try to further franchise the dlionis Great Admin Skill no aucit issues to date. Controls stayed in place despite a new Senior Private Banker, ilness sues and despite their overwhelming suppor, a Market Leader and Branch Administrator with ite experience in Retail | have remained upbeat and positive despite all that has happened over the last year. jpportunitos (Next Ti 92.8% Now Client Revenue 5.2% of other revenue ‘Work th the Senior Private Banker to get referrals to our Partners. Manager Comments 0 ‘Accomplishments (Did Wells) ‘Ania, You have an extraorcnary grasp of PB operations. Que eps scorecard has been green al year, credit roviows completed, our Handbook second to fone in the country. Yau also serve as our MF BM whieh we appreciate, No losses YTO and PB is wihin its operating expense budget forthe year. YoU fate the resident PB expert on TD systems and wrlle and stm the majority of our erelt deals for approval witha high lvel of success nios Het Times) see Continue fo use your dally interactions and conversations to look for ways to Identily and foster reterals to our IternalPartners, especialy PIC andi CUNT ABLE 10 ‘Objectives (For each objective state at least one measure to define achievement): + Be an integral part of the branch team by enhancing sales results, referrals, client satisfaction and pro‘itabiity, Treat other employees the way we treat our clients Help Manager develop an environment where everyone is treated with respect Be up-to-date. Know what matters affect your work group and the Bank Share knowledge with peers and ataff, aaciat in development of co-operation in your work group and other work groups in 1D + Actively participate in PCSc team meetings, uddles and initiatives, etc. + Utilize Learning and Development curriculum and extemal courses as appropriate + Bean effective team player Employee Comments ‘Accomplishments (Did Welis) Provide support to overall cient relationship forthe Pivate Banking Manager and Private Banker. Over the pst few months have taken on atonal duties fase were without Private Banker, and in the next months taking om diferent et of additonal dats asthe Manager is fon STD. CContibute toa postive work environment Page 4 of7[ff omer cop Personal Performance & Development (PP&D) Performance Objectives, Feedback and Assessment "Tinos “"DiManager Comments i EE 5 ‘Accomplishments (Did Wells) ‘Anta has done a great Job supporting the team. As Darlone brought inthe new clens, Anita completed the profes, and set the ents up fr the YW documents. She also input the credit deals, chased down tansfers, and opened the new accounts [Anta has worked extremely hard under oficut circumstances to Keep the conte aoa and operatonely sound, She hes suppored the taining of our ew Senior Banker on systems, and has been the stable person within banking to ensure our clients have a go to person. ‘Opportuities (Next Fimasy Ensure a POP is completed and the righ actives are engaged to fully develop and enhance your ekls to help you move forard inthe diection you ‘would like in your eareet. Once things sete down, take come addtional intemal or extemal courses that will support your personal growth and help lake Yyou to the nest level within PCG. <._-Employee Comments: ‘Accomplishments (Did Wells) Worked hard to insure that the Senior private Barker understood the relationships between our clients. ~ family, work partners, divorces and who not to talk about. made myself available tothe team while | was on holidays to support any questions and issues that may arise. [lam seen as the retall expert for the PCS Center, Staff from all areas come to me for suggestions and advice for their clients. | Wrote the majoity of Credit Deals for the Senior Private Banker, allowing him to develop his new business relationships. sManager Comments ‘Accomplishments (Old Wells) ‘Anita; "You are a very important part f our PB team in London and the Lendon PCS team. Many ofthe 17° floor rely on you frem a Real standpoint {and you are our tesigent exper in Retall systems, processes, plies and procedures, Both Peter and | very much appreciate the background ang insight ou can provide to our cle base and that has been impertant as we both have beon working wth new cle rellionshis for us sine Apr age 6 otfi] mera ep EMPLOYEE, COMMENTS Personal Performance & Development (PP&D) Performance Objectives, Feedback and Assessment “This last year has provided uswith many challenges in many diferent ways. ithas been my pleasure to pick up in any area needed, be it client meetings, paperwork or audit. Over the next 6 months | hope to continue to success we have had , but add more referrals to the pipeline so that our ranking will show what hard work we are doing in London, MANAGER COMMENTS Anil, you frave done a trerrendous job for us, | think we have been blessed tu leave brad you provide support to the PB team this last year. You have picked up the slack, ensured we had a satisfactory audit, kept us compliant and our clients happy, and provided Darlene with a lot of comfort during this dificult time. You have been a pleasure to work with and | can only imagine how tough things have been for you ‘over the last year. Thank you for your professionalism, your desire to do right for the client, and for keeping our centre running. | wish you all the best in the second half of the year, and would reinforce reviewing your career plans wih management, to ensure you are in the right piace when opportunities present themselves. x OVERAEEGO || This past year has been full of surprises, With retirements, new staff, a very challenging economy, and long term leave due to illness. | continue to enjoy working at the centre and with the new challenges our clients can present _| My personal goal for 2010 is to continue to work toward my career objectives by completing my CSC with the support of the Bank Ithas been my pleasure to work with staff that has pulled together this last year and have accommodated each other and been flexible wth their time when needed. | hope to continue to learn from our new Senior Private Banker and look forward to the “eturn of our | Manager. MANAGER “COMMENTS” Anita; You are a valued and important member of the PB team in London, We have been through many changes in '09 and you have ben the one constant that has been there for our clients. | appreciate your ‘mature and logical approach to everything that comes your way and your ability to figure out how to get '| anything done that is needed. | know | can speak for both Peter and myself to say that without you our jobs would have been much more difficult in fiscal 2009 and our CEI would not be at the point itis after the first three quarters. Thanks you so much for all your hard work and commitment to the role and the team Anita and | look forward to working with you in 2010. To the Customer Qe 35% To the Shareholder QH 55% To the Employee/Team Qe 10% Page 60f7fi] enero op Personal Performance & Development (PP&D) Performance Objectives, Feedback and Assessment Developing. TP aunty 2 | improvement; 20) | 2 solid (@s) | Reauired Performancehas met | Performance has | Performance has met | Performance has met | Performance has not most leary and and ftentrequently | ob accountabities and | -metjob acccuiabiies accointabities nd | consistently exceeded | excooded|ob ‘beats throughout and objectives objectives troughout | job accountabites and | accountabites and | the reporting period. | throughout tre reporting the reporing period. | objectives throughout | objectives thoughout erie, Plans neod to Employee may be | the reporting period. | the reporting pei. be andlor arin placo developing in anew role | Contibuton recognized towards inerdito and and sold portormanee | as oustanding. sustained imsovernent is oxpoctod throughout the noxt reporting period have had the option to complete and discuss a career / development plan. | have had a Mid Year Review during the year in addition to an annual discussion, ‘ | am in general agreement with this performance assessment. If NO, please explain in the employee overall comments section Le folbyee's Signature (My signature indicates Ary and discuss my perfo Now. 17/02 Date Lh Ho? 1ad the opportunity fo review ssmnert) Direct Supervisor's / Manager's Nam and Signature Next Level Name and Signature Date Page of 7