1. Mike Brown Annual Review Q4 2013
Trust Officer Organization: Paul F. Grimm (04853)
Manager: Paul F. Grimm (04853) Location: DA-Dallas Main Ofc
Evaluated By: Paul F. Grimm (04853) Oct 7, 2013 - Nov 4, 2013
Overall Rating
Manager Overall Evaluation
Calculated Rating: 1.25
Rating: Outstanding
Employee Overall Evaluation
Calculated Rating: 2.13
Rating: Very Good
Acknowledgment
Manager
Entered by : Date:
Status:
Comment:
Employee
Entered by : Mike Brown (01826) Date: Oct 28, 2013 8:46 AM
Status: I acknowledge
Comment:
Frost Business Goals (Please choose appropriate rating)
Enhance internal and external relationships using the Frost Philosophy
Manager Evaluation Employee Evaluation
Level: Outstanding Level: Very Good
I agree with Mike's comments. He goes the extra distance to deliver
excellence every day. Without his dedication to the FrosT
Philosophy Securities Lending would not be able to deliver our
quality product to Frost's clients.
I have a commitment to produce and ensure that Clients receive
data; sending timely standard data and building custom data output
to client specification. I ensure top quality service by reviewing data
transmission on a daily basis. I assure the internal employees that
even when I'm away on business and/or vacation that as possible I
will assure the accuracy of overnight processes. I feel this speaks to
maintaining/improving relationships with both internal and external
individuals while exemplifying high ethical standards.
Increase productivity by growing relationships through continuous learning
Manager Evaluation Employee Evaluation
Level: Outstanding Level: Very Good
Mike's comments are accurate he has made many system
improvements that in turn improve the productivity of the group. This
is critical and allows us to bring on new business without staff
increases and most importantly manage risk.
Frequently Trader requires an event than can only be triggered by a
system administrator back-end system action. I have combined and
incorporated all tools available ( kornshell, vba, and vbscripting) to
provide an environment that allows the trader to request their needs
on the front-end. Additional coding was added on the back-end to

2. provide periodic sweeps (searches for request) and implement them
in the absence of an administrator. There has been processes
added to help the Traders to complete month-end actions in a more
timely manner. In addition, I've added algorithm to the system to so
that it knows what the first and last business day of a month and
performs the monthly tasks without human interaction. (i.e Monthly
Collateral, Morgan Stanley Netting ...)
To make a conscious effort to continually improve our service
Manager Evaluation Employee Evaluation
Level: Outstanding Level: Very Good
Mike has made the delivery of Securities Lending Product
outstanding and is always working to improve the service to Frost
Clients. Securities Lending has improved Frost's relationship with
every client.
In addition to the the above achievements, I have also introduce
program Class Types that are reusable and enable the reduction of
time to produce future application development. Currently, I am
working on a file switch that will enable both production and disaster
recovery server to be set to parallel to enable system testing. In the
future, this will enable a more rapid ability to implement Global One
Application updates. I am constantly engaged in how we can deliver
all products better with minimal risks.
Section Summary
Manager Evaluation Employee Evaluation
Calculated Rating: 1
Rating: Outstanding
Calculated Rating: 2
Rating: Very Good
Competencies (Please choose appropriate rating)
Accomplishment of Assignments and Quality of Work
Efficiency in completing assignments in relation to job standards with accuracy and thoroughness of all assigned projects.
Manager Evaluation Employee Evaluation
Level: Outstanding Level: Very Good
Mike always delivers quality work! Completing projects on time,
accurately on a consistant basis to both internal and external clients
speaks for itself. Outstanding Job!
As stated in the Frost Business Goals, I have implemented several
application and reports for internal employees and clients that
exemplifies years of expertise in providing technical application. I
have ensured this system and its users continues to be compliant
with regulation. I have met every challenge to ensure our system
perform at an optimum level and communicated all issues with Frost
System and Operation Group as well as work with them to resolve
all issues. Through continued communications with co-workers, I
provide thorough and well designed technical solution to ensure
accuracy of each and every project
Communication
Ability to express ideas in a clear, concise, and comprehensive manner, both written and orally.
Manager Evaluation Employee Evaluation
Level: Very Good Level: Meets Expectations
Mike communicates very well and is always looking for ways to
improve the delivery of our product and service.
Externally, I can effectively communicate ,both orally and written,
with clients to meet any impending need. As a programmer/analyst
amongst Traders , I understand that not all end-users understand
technical and system issues. There is great effort made to

3. communicate and comprehend concise ideas. Great teamwork and
frequent communication (both written and oral) between all parties
ensured the projects are going down the right path. There are
issues where a trader may not understand that what he/she wants
isn't technically possible and can only be avoided by careful user
input. In those instance, if possible, I provide programming data-
checks to output to alert Traders of the erroneous input. (i.e.
Erroneous Link Reference notice for Tri-party Reporting). We work
together as a team until all issues are resolved
Customer Service
Willingness to develop good relations with former, current, and potential customers
Manager Evaluation Employee Evaluation
Level: Very Good Level: Very Good
Mike has excellent Customer Service skills and is always put in the
extra effort that our clients have come to expect from Frost.
In this role, I have frequent communications with the trading staff
and Frost Wealth Group counterparts. Good relations is provided
my listening to their concerns regarding issues that can be done
better through good programming. For those groups, I maintain
continued accurate reporting and transmission of data - to instill a
sense of competency between Frost and the client. There has not
been an instance, since I have held this position, where I did not
willfully meet the need of a current, former or potential customer. As
my understanding of Securities Lending has increased I have
anticipated and implemented projects to assist in delivering a great
product.
Decision Making
Ability to make sound decisions to attain desired results.
Manager Evaluation Employee Evaluation
Level: Outstanding Level: Very Good
Mike works to make the Securities Lending product the best. He
uses his systems knowledge to make excellent decisions on his
own. Mike is a key component in the success of Securities Lending
As stated earlier, I have implemented many application due to a
personal assessment of departmental need. I continually seek out
how we can do what we do faster and better. I have stated a great
example of such an implementation under [Increase productivity by
growing relationships through continuous learning] "Frequently
Trader requires an event than can only be triggered by a
system administrator back-end system action. I have
combined and incorporated all tools available ( kornshell, vba,
and vbscripting) to provide an environment that allows the
trader to request their needs on the front-end. Additional
coding was added on the back-end to provide periodic
sweeps (searches for request) and implement them in the
absence of an administrator. There has been processes
added to help the Traders to complete month-end actions
in a more timely manner. In addition, I've added algorithm
to the system to so that it knows what the first and last
business day of a month and performs the monthly tasks
without human interaction. (i.e Monthly Collateral, Morgan
Stanley Netting ...) "
Excellence and Integrity
Ability to develop and retain relationships with each other, our customers, and our communities by keeping all channels of
communication open.

4. Manager Evaluation Employee Evaluation
Level: Outstanding Level: Very Good
Excellence and integrity are a key part of Mike's make-up. He is
always ready to help make our client's experience excellent. His
communication skills with both internal and external clients are
outstanding.
I have a very good relationships with all as I make sure that
everyone knows I am accessible. Even in my absence (vacation,
sick days), I have ensured the trading staff in addition to my backup
appointee, I will be watching overnight processes (where wi-fi is
available) Each staff member is aware that I consider myself on call
24/7. I have provided my cellular phone number and travel with a
laptop and ready to remotely login and resolve any issue.
Section Summary
Manager Evaluation Employee Evaluation
Calculated Rating: 1.4
Rating: Outstanding
Calculated Rating: 2.2
Rating: Very Good
Accomplishments (Please refer to training for proper examples for this section)
Accomplishments
Accomplishments
Manager Evaluation Employee Evaluation
Mike's accomplishments are numerous. As his knowledge of our
Product increased he has proven to be a key member of our team
and a true asset to Frost.
Since, I've began working in this role, I have expanding my
understanding of the Securities Lending Product. As I have grown in
knowledge, I can provide alternatives to providing the product faster,
better and with more accuracy
Examples:
Migration Of Pricing from Bloomberg to IDC
- Implementing Third Party application to utilize Bloomberg Data
- Employing a front-end user friendly selection for adding classes for
Descriptive Data and Price Selection
Addition of SEIOtherProgram Application
- Added a front-end application where a trader can make a request
of data or reports
- Provides an avenue to get Clients Net Asset Value upon need
Addition of Programming Class Modules
- To assist in a quicker development of application needs