Appendix — Christman v. Utica National Insurance Group, Inc.
Supreme Court brief2010
Ask Donna
What actually matters in this document.
Text
yi ) | teed a
aL32I 24 7919
INTHE ORPGE GF THE om
Supreme Court of the Unite ESnis
GRAZYNA H. CHRISTMAN,
Petitioner
Vv.
UTICA NATIONAL INSURANCE GROUP, INC.,
Respondent
On PETITION FOR A Writ OF CERTIORARI TO THE
Unitep StaTEs Court oF APPEALS FOR THE SECOND Circuit
APPENDIX
GRAZYNA H. CHRISTMAN
Pro Se
450 ELMDALE AVENUE
UTICA, NEW YORK 13502
(315) 733-6687
APPENDIX (Cont’d)
117a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Comparison 1999-2004 Accountant I Ratings
‘Exhibit 15 (Reformatted Table)
TABLE I. COMPARISON OF 1999-2004
PLAINTIFF'S PERFORMANCE RATINGS ©)
DEPARTMENT SUPERVISOR
REINSURANCE M. EVOLO
FINANCIAL REPORTING D. O'CONNELL
CASH MGMT C. PUTRELO
BUDGET & COST J. DAVIS
CREDIT & COLLECTIONS K. LYONS
YEAR 2004 2003@) 2002
1. QUALITY 3 3 3
2.. PRODUCTIVITY 2 3 3
3. JOB KNOWLEDGE 3 3 3
4. WORKING
RELATIONS 1 3 3
5. ATTENDANCE 2 3 3
6. PUNCTUALITY 3 4 4
7. INITIATIVE 2 3 2
8. COMMUNICATION
SKILLS 1 3 2
9. CREATIVITY 3 2 3
10.FORMAL REPORTS ~— - ;
TOTAL SCORE 20 27 27
OVERALL RATING 2 3 3
YEAR 2001) 2000) 1999
1. QUALITY 3 Q 3
2. PRODUCTIVITY 3 3 3
3. JOB KNOWLEDGE 3 3 3
118a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District: Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Comparison 1999-2004 Accountant I Ratings
Exhibit 15 (Reformatted Table)
4. WORKING
RELATIONS 3 2 2
5. ATTENDANCE 4 4 3
6. PUNCTUALITY 4 3 3
7. INITIATIVE 3 3 3
8. COMMUNICATION |
SKILLS 3 2 3
9. CREATIVITY 3 3 3
10. FORMAL REPORTS - -
TOTAL SCORE 29 26 26
OVERALL RATING 3 3 3
1998®) 1997 .1996 1995 1994 1993 1992 1991 1990
Not available
Footnotes:
() Plaintiff prepared EXHIBIT 15 Table I. by
referring to EXHIBITS annexed to Affidavit of
Grazyna H. Christman as follows:
(2) 2004 Review is Plaintiffs EXHIBIT 16;
Defendant's Exhibit J
(3) 2003 Review is Plaintiffs EXHIBIT 17;
Defendant's Exhibit G
(4) 2002 Review is Plaintiffs EXHIBIT 4
6) 2001 Review is Plaintiffs EXHIBIT 18
6) 2000 Review is Plaintiffs EXHIBIT 19
(7) 1999 Review is Plaintiffs EXHIBIT 20
8) Plaintiff requested copies of reviews 1998 & prior
years; Defendant failed to produce
119a
Appendix D
392-GTS-GHL
t
t
Case 6:06-cv-1
U.S. District Court NYND Document 40-
Plaintiffs Rule 7.1 Response Filed 05/28/08
3
if
t
omparison 1999-2004 Accountant I Ratings
C
Exhibit 15 (Original Format)
SOTpOsd O) PO ey BAEPLS 3 “aah sorad FY Bow | BMT4Dy Jo SydoS porsanbau yynureiy
'
OL JIB IND SgpnErezg $) 242% fos
1 LINAS BgINeIyg H KIO BOOT
Gt LIGING Syme tg ) moI~Sy | OOT
P SILING SQpuyeig 8 Mosey TOOT
SSNS EFFUPUII “11 LIAIHNA SQIUIT” 8) MOMADY FOOT,
C MQINTS BISEPU2AQ 9) LIBAN Sg wity” 8 ICR FOOT.
EMO!) HU UTENSIL fy BUATEID JO TARDY C) PoRQULs Sgt) ING OF Buusajos 4 | 2/gTL §) LNG IXT] PE youmg
F,Gepicae ON | ¢ t ¢ £ c OALLVY TIVSSAO
9c 9 |} OW | Le tz Oc YOIS WiaL 1
{ - - - SLNOdTA TVINOS 0
j —— ——
'
ee £ tc ec é ¢ AJIALLWHUD 6
¢ c c Z ' | STUNSNOL.YINAKKOD 8!
| es ; en eet ee
| Be £ £ £ Cc ‘ JALLVUIND 2}
| i — i
—_—
oe Cc b + So Cc ALITWALONNe 9
} ER eee ees oe
| , a + t t DNYONLLY §/
| } So }
Tar + ra c € € SAIISNOLLV1a¥ ONINEO.M >
} _~ —
-
i 4 £ c £ f ZDGZ IMONN GOL ff}
i € £ c € c AMAL DAO’
} o ~— — —E
£ c c £ £ ¢£ ALTW
| red ee ones T t a —
1061 1601 ZOO! foO! FOOT] Seo! S66! ido ign BES () OOO! | «gy COUT | ¢,) HOOT | (,, TOOT | ,,, FOOT } ,., FOOT VWIA
= + i \ + asi ” . cnaivuiiiaes
SNOAT N | SIAVO f O1TaaLNd 3 TIZNNODO A + OWA W YOSIAMAdNS
f fA SERRE re pastimes 7
| SNOLLIaTIOD ¥ LIGZUD | 1S00 ¥ LADANE LAOW HS¥D ONLLWOdIe WIOKVALI i SONWHNSNISY INSALYWd3ad
() SONILLVYY JONVAYOINSd S.ASLLNIWV 1d 6007-666! JO NOSTYVdNOS
LaTe#VL
120a
Appendix D
Case 6:06-cv-1392-GTS-GHL
‘U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
- Defendant 05/11/04 Memo
Exhibit 28, p.J
[Stamp] DEFENDANT'S EXHIBIT H 11/07/07 NL
Utica National Insurance Group [logo] Insurance
that starts with you
To: Grazyna Christman
Office, Dept.
Date: May 11, 2004
From: Michael Evolo
Office, Dept. Reinsurance
Subject: Grazyna’s work performance
The following write-up is a summary identifying
certain areas of your performance that need
immediate improvement. This feedback is intended
for you to recognize and understand how IJ have
viewed your performance in the last 9 months. You
must give serious consideration to dedicating
additional effort to improve in these outlined areas,
prior to your 2004 Performance Review in August.
Productivity —- During preparation of Schedule F, you
missed the Company print deadline for USR and
Lloyds. Your work had to be completed by Sandy
Giehl, who keyed in the Affiliate information and
Josh Watkins, who keyed in the Part 8 information.
You also came perilously close to missing the
deadline to file the US Treasury Report, which, had
it been filed late, Utica Mutual would have been
fined. These deadlines were established well in
advance and if you felt that you were not going to
complete your work in time you should have
discussed it with me. (You did not give me any
12a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant 05/11/04 Memo
Exhibit 28, p.}
advance warning!) You must prioritize your work and
use Common sense to complete your job tasks. Some
additional examples of the need for you to re-evaluate
your work priorities
» The processing of facultative program and
individual risk premium payments to reinsurers
Recently, you wanted me to sign a disbursement
request giving the authorization for payment of the
monthly bill. The GRC disbursement request had a
“date out of Utica” of April 30%. The next day you
vave me facultative individual msk disbursements
that needed to be paid immediately. Obviously, the
individual risk disbursements should have been
done first, followed by the GRC program business
«+ Completion of the Treaty contract settlements or
“true-ups’ should be a priority. This is of the
utmost importance, especially if UMICO is due
back $$$. You did not process the. settlements for
the 2003 PPR or CEoL until after the JPWoods
Account Managers meeting in early March, during
which the folks from Woods inquired with Rick and
me on the status. This is one of your responsibilities
and as such it is expected to be completed in a
timely fashion
» Late payment of the HSB January 2004 premium
billing. This was not done until HSB called asking
for it. [tis extremely important that we outperform
what our reinsurance partners expect of us. Doing
sO maintains good working relationships
122a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/0#
To Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant 05/11/04 Memo
Exhibit 28. p.2
- The failure to recognize the need to complete the
1998 and 1999 Swiss Re Contingent Commission
calculation. This was just recently done. This
calculation has been overdue for a year and tts’
mishandling 1s totally unacceptable. (this should
have been completed shortly after 12/31/02) $94,477
dollars owed to Utica. Another case of not using
common sense
Working Relationships — Your working relationships
with your immediate work team have become
strained and as such, have made for a very
uncomfortable work setting. | have observed on a
number of occasions where your teammates have
tned to assist you and you have responded in rude
and unfair manner
I have had to speak with you on two occasions where
your working relationship with Josh had reached an
intolerable and disturbing level. In fact, your
interactions have on occasions have been disruptive
to the point that it has gotten reported to me by
unrelated third parties. | have:told you both that if
negative behavior continues, formal disciplinary
action would result.
| have spoken to a number of outside customers that
have expressed similar concern for you abrupt tone
and tenor and your unwillingness to be flexible. |
have heard comments such us “rude and demanding’
and “its all about Grazyna.” You must improve your
b23u
Appendix 1D)
Case 6.06-ev-1592-GTS-GHL
US. Distret Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/04
Defendant 05/11/04 Memo
exhibit 24, p.2
ability to work with others. Your attitude is easily
translated as confrontational, unwilling to listen or
compromise, and selfish
Durning year-end processing, you failed to adequately
and effectively communicate with Financial
Reporting to ensure that your Part &s reconcilled
with the Asset pave. Financial Reporting made a
chanve after you imtially checked, and thi:
subsequent change resulted in your Part 4s beany oul
of balance. You did not call to vernfy with Sandy, a:
was suggested by your teammates, to verify that she
had not processed any additional chanyes This
resulted in additional work and a delay in the
completion of your responsibilities
You need to better understand how all little pieces of
Schedule F come tovether. Your demeanor to your
follow teammates prevents anyone trom sitting down
and explamming to you the “bigger preture” You make
it diffieult on yourself by being so unapproachabl
You discourave anyone from offering assistance
| have and will continue to work with you to aid you
in adjusting the way you respond to others. You must
be willing to make an effort to correct your delivery
and improve your interaction skills with others
Initiative — lam very disappointed with the way you
handled yourself during year-end processing and the
completion of Schedule Fo In my view, you showed
htithe initiative to work as 4 team member in
assisting your peers in accomplishing the common
124a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant 05/11/04 Memo
Exhibit 28, p.2-3
goal. You seldom went beyond what was clearly
defined as your minimum job function; even while
your teammates struggled to complete the bulk of the
tasks. This included them coming in on Sunday
morning (February 1*) to finalize the job.
2
On January 30*, I sat down with you to discuss my
expectations that you would need to actively
participate in completing Schedule F. That means
that on occasion you may be asked to take on
additional responsibilities. At that time, I also gave
you another copy of your 2003 Performance Review
and highlighted the Initiative subsection with a
reminder that it was an area you needed to improve
in. You-responded that you understood what was
expected. A month later, I asked you to take on an
additional responsibility — completing the Commerce
Survey. Although in'the end you did complete it, you
did challenge me on why you were being asked to
complete it and you even went on to say that in your
opinion, “others should handle.it as they are at a
higher pay grade.” In my view, this type of response
is unacceptable. | expect you to handle additional
work and assist teammates without hesitation. We
al] must pitch in and help. It has become increasingly
clear to me.that you are interested only in completing
your tasks and that you could care less about helping
others. Many times your fellow workers have pitched
in and stayed late in order to accomplish tasks that |
125a
Appendix D
Case 6:06-ev-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant 05/11/04 Memo
Exhibit 28, p.3
that had been assigned to you.
Another initiative item is your unwillingness to
check information before asking someone — the
annual Treasury report you completed in March is a
good example. Many of the workflow issues you .
inquired with Josh on were found right in the last
year’s file — had you only looked.
Communication Skills — You must improve your
interpersonal skills as you are often considered
confrontational and unapproachable by your peers. |
have witnessed this first hand and is a serious
enough problem to have been reported to me by a
number of outsiders with whom you have contact
with.
In closing, during year-end processing, your
employment at Fleet Bank directly-conflicted with
your job responsibilities here and prevented you from
committing extra time during the week (Monday
through Wednesday) as well as on Saturdays during
parts of year-end processing. This will not be
tolerated so you must decide which position is more
important — I expect that your responsibilities here
at Utica Mutual will come first. I will not accept the
fact that you cannot commit extra time because your
work schedule at Fleet will not permit it. This is not
just for year-end processing, but any time during the
year when additional effort is needed.
3
126a
Appendix D
Case 6:06-cv-1392-GTS-GHL
‘U.S..District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Accountant I - 2004 Review
Exhibit 17; p.2
Comments: Grazyna needs to understand what she'is
doing and set appropriate priorities, as she is not
getting the important items accomplished. Grazyna
missed a number of deadlines this past year — the
2003 PPR-and CEoL treaty contract settlements or
“true-ups” ($800K+) were not done in a timely
manner (this settlements need to be done quickly.:
especially if Utica is owed money back from
reinsurers), the 4» Qtr Gen Re PCat deposit
premium was not remitted until GRC requested it,
and the collection of the Swiss Re contingent
commission billing.- $200K+ is still outstanding and
should have been resolved months ago. In addition,
during year-end preparation of Schedule F, Grazyna
missed the: Company print deadline for Utica
Specialty Risk and Lloyds (this work was eventually
completed by others in order to keep with the
Company print schedule). Grazyna aiso came very
close.to missing the deadline for submitting the ‘03
US Treasury Report.:Given Grazyna’s experience in
the department, I expect her to use common sense’
when prioritizing her work.
Job Knowledge:
Give consideration to aspects such as: °
« Comprehension,
- Retention
© Has comprehensive knowledge of the job.
O Has solid understanding of the job. Frequently
adds to job knowledge.
127a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Accountant I - 2004 Review
Exhibit 17, p.2
x Understands the major aspects of the job. Retains
learning. Occasionally adds to job knowledge.
c Does not consistently demonstrate knowledge or
major aspects of the job. Repetition of mistakes in
some areas results in retraining.
oO Does not demonstrate knowledge of basic job
concepts. Continuously repeats mistakes.
Comments: Grazyna has learned most aspects of her
current job, however, during the year there were
occasions where’she didn't understand what should
have been done. Common sense (understanding)
should prevail when she is completing her tasks. The
following are examples of her not understanding ©
what to do — the processing of facultative program
and IR premium payments’to reinsurers: she did not
give the “out of Utica” dates priority. Another
example was the 2003 PCat and CEoL cortract
settlements that were not done timely.
I have asked Grazyna to continue her pursuit of the
ARe designation. After she failed ARe 141 in -
November '03, I recommended that she retry right
away. This was not done and reflects her lack of
interest and commitment.
Working Relationships:
Give consideration to aspects such as:
- Cooperation
- Ability io work for/with others
- Flexibility
o Consistently maintains harmonious working
128a
Appendix D
Case.6:06-cev-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Accountant I - 2004 Review
Exhibit 17, p.2-3
relationships with diverse group. Excellent
acceptance by others. Consistently communicates
well with others.
o Often establishes harmonious relationships. Very
good acceptance by others. Usually communicates
well with others.
oO Relationships are generally positive. Good
acceptance by others. May communicate well with
others
Q Has difficulty in consistently establishing or
maintaining harmonious relationships. Has
difficulty in communicating with others.
x Poor working relationships requiring frequent
supervisory intervention. Consistent difficulty in .
communicating with others.
2
Comments: This is an area that Grazyna has great
difficulty. Her working relationships. with her
immediate work team have become strained.and as
such, have made for a very uncomfortable work
setting. I have observed on a number of occasions
where her teammates have tried to assist her,and
she reacted in a rude and unfair.manner.
I have had to formally speak to Grazyna:‘twice since’
her last performance review about her inability to -
work with co-workers. In those meetings, I informed.
that her behavior was unacceptable and disruptive to
the entire department, including others currently
working in.our department (ProCede IT staff)..I have
129a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Accountant I - 2004 Review
Exhibit 17, p.3
explained to her that I will not tolerate another
occurrence and will initiate formal disciplinary action
should it occur.
I have spoken to a number of Grazyna’s internal and
external customers and sume have expressed similar
concern for her abrupt tone and tenor, and her
unwillingness to be flexible.
Grazyna spends too much time defending herself
with a multitude of useless information versus
focusing on
the issues at hand and getting the job done. I have
discussed with Grazyna that she must improve her
working relationships with others and that it must
start immediately.
Attendance:
Give consideration to aspects such as:
- Absence
- Lost time since last review (excluding vacation)
hrs.
a Extremely dependable. Outstanding record of
attendance and availability.
o Highly dependable with minimum loss of
workdays.
o Dependable. Absence record does not exceed
company guidelines
x Sometimes less than dependable due to frequency
of absence. Absence record is moving toward
exceeding Company guidelines.
ao Not dependable. Loses considerable time and
130a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Accountant I - 2004 Review
Exhibit 17, p.3, 5
work due to absenteeism. Absence record exceeds
company guidelines. Disciplinary action required.
Comments: Grazyna has had 6 sick days since her
last performance review on August 14, 2003.
Grazyna must understand that she is expected to put
in overtime when we need her. Her job at Fleet can
not interfere with the Schedule’s timeline or any
special projects when/if they come up.
Punctuality:
o Extremely punctual. Consistently ready to begin
work at the appointed time. —
ao Very punctual. Usually ready for start of work.
x Punctual. Lateness does not exceed company
guidelines.
o Consistently not ready for start of work. Frequent
occurrences of shortened work periods (including
return from break, lunch, etc.) Lateness record is
moving toward exceeding company guidelines.
o Occasionally not ready for start of work (including
return from break, lunch, etc.) exceeds company
guidelines. Disciplinary action required.
Comments: Grazyna is punctual arriving for work
and leaving from work. .
3
questions
- Effective listening
Comments: Grazyna’s interpersonal skills are poor.
She consistently has difficulty effectively communi-
cating with her fellow workers and external
l3la
Appendix D
Case 6:06-cev-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Accountant I - 2004 Review
Exhibit 17, p.5
customers. She is considered confrontational, rude
and unapproachable. I have spoken to her on a
number of occasions in an effort to assist her with
her delivery skills. I have given her a number of
examples of when I felt she was rude. She is in
denial. Just recently, I made a suggestion to her in
an effort to help her with an assigned imaging project
and her remarks to me were, in my view,
inappropriate and rude as she quipped that she was
“clever”, which indicated that she could handle the
project without my suggestion.
I have heard her trying to communicate with her
teammates and her delivery is typically forceful and
demanding.
Grazyna needs to ratchet up her effective hstening
and comprehension skills — recently she was asked to
begin using the ProCede software and I explicitly told
her that any work on ProCede was secondary to her
normal monthly/quarterly functions and that I would
approve the use of overtime to accomplish this
additional assignment. She immediately sent an
email to me suggesting that I might want to re-
assign some of her job tasks to others based on this
new project. (I reminded her that I expected her to
use OT to accomplish this ProCede assignment. To
my disbelief she began working on the ProCede
project immediately.
Grazyna needs to do a better job of keeping me
informed on “hot topics” such as the overdue items,
132a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Accountant I - 2004 Review
Exhibit 17, p.5
e.g. Swiss Re contingent commission status, HSB
rate verification, etc. | continually need to ask her for
the status on assigned items — she must keep me in
the loop on all outstanding issues.
5)
133a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-10
Plaintiffs Rule 7.1 Response Filed 05/28/08
Performance Improvements
Exhibit 100, p.1
Michael Evolo/UNIG
01/18/2005 09:16 AM
To: Grazyna Christman/UNIG@UNIG
CC:
bec:
Subject: Re: JPW Settlement [attachment]
Grazyna,
They appear to be in line. Pls be sure the math is
correct and send to JPWoods.
Thanks —
Michael S. Evolo, CPCU, ARe
Supervisor of Reinsurance Operations
Utica National Insurance Group
315.734.2544
800.274.1914 Ext. 2544
Fax — 315.734.2662
[Picture]
Grazyna Christman/UNIG
01/17/2005 01:30 PM
To: Michael Evolo/UNIG@UNIG
cc:
Subject: JPW Settlement
Mike,
I am attaching the settiement calculations for
JPWoods Casualty and Property Per Risk.
{Microsoft Excel worksheet] Settle 2004.xls
Please let me know at your earliest convenience, if in
134a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-10
Plaintiffs Rule 7.1 Response Filed 05/28/08
Performance Improvements
Exhibit 100, p.1-2 (Reformatted Excel Sheet. p.2)
agreement so that J could forward them to JPWoods.
Thank you!
Grazyna H. Christman
Reinsurance Accounting
Utica National Insurance Group
P.O. Box 530
Utica, NY 13503
Email: grazyna.christman@uticanational.com
Phone: 800/274-274-1914, ext.2214 or 315/734-2214
Fax: 315/734-2662
|
Utica National Insurance Group
Casualty & Property Per Risk XOL Treaties
J.P. Woods & Company, Inc.
US (All Companies & Canada
2004 Combined Statement
US Canada
Casualty XOL Treaty (1078-82, 3029-30)
(310,518.48) 2,184.69
Property par Risk XOL Treaty (3047-48)
(532,370.86) 2536.36
Property per Risk XOL Treaty Run Off (2780-81)
5,662.72 0,00
Total Due Reinsurers/(Utica Mutual)
(837,226.62) 4,721.05
r:\lotus\reinsjpwoods\SETTLE 2004
z
1.3 Te |
Append xr)
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-10
Plaintiffs Rule 7.1 Response Filed 05/28/08
Performance Improvement:
ixhibit 100, p.2 (Onpinal Format)
. .
+ Ls :
. J y ‘ .
a
a ‘
‘vy <
af { ro
- “|
a a es
QO=
re) * ©
Sx EE
om EG &
eae t
Care 4
>& & e@®
“a? Sw
eav co
~ pw he
s€ [a
& @wn 6 f
aeeer6
go8 2°
7 |
oO
s“a es 7 4 .
se” j y
o ‘ € 7
> j e 1
w - a eo
©
) J
nO ¢
he . “ r
) “ \ ;
9
n ® 4 a
é f j 2
a $ ;
v ad . ia)
« t
Li6u
Append ae)
Case 6:06-cv-1392-GTS-GHL
US. District Court NYND Document 40-10
Viaintiffs Rule 7.1 Response Filed 05/28/08
Performance Improvement:
exhibit 100, p.3 (Reformatted Excel Sheet)
Utica National Insurance Group
Casualty Excess of Loss Treaty
J.P. Woods & Company, Ine
inal Settlement Line Breakdown
Utica Mutual and its Affiliated Compames
Contract: 1078, 1079, 1080, 1081, 1082, 3029, 4040
2004
Line of Business Subject Premium
US Canada
Auto Bodily Injury 145,516,895.65 21,859.00
Auto PD 8,904,91.88% 0.00
Other Bodily Injury 86,362,377.80 86,487.00
Other PD 0.00 0.00
Glass & Theft 1,461,196.72 0.00
Businessowners (25%) 5,645,916.52 0.00
Condo-Auto 0.00 0.00
Condo-Workers Comp. 0.00 0.00
Condo-All Other 138,850.00 0.00
Midelity 2,121,501.32 0.00
Homeowners (10%) 4,028.923.70 0.00
Medical Malpractice 32,336.00 0.00
Umbrella-(Personal & Commercial) 14,951,524.13
0.00
Umbrella-Printers 0.00 0.00
Workers Compensation 120,432,064.06 0.00
Workers Comp. (Minnesota-10%) 3,797.35 0.00
W/C Catastrophe Reinsurance Premium 0.00 0.00
Total 389,360,353.13 108,346.00
bs 7a
Appendix D
Case 6.06-ev-1592 GTS-GHL,
US. Distmet Court NYND Document 40-10
Plamtaffs Rule 7.1 Response Filed 05/28/0%
Performance Improvements
Exhibit 100, p.4 (Reformatted Excel Sheet)
Subject Premium $89,560,555.15 108,546.00
Reinsurance Rate (All Layers Combined) 2.0164%
2.0164%
Remsurance Premium 7,455,901.52 4,144.69
Less: Deposit Premium Paid (4 quarters x
$2.041,605) #,166,420.00 0.00
Net amount Due Reinsurers/(Utiea Mutual)
(310,518.48) US. Funds 2,184.69 Canadian Funds
(computed on a written basis)
|
138a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-10
Plaintiffs Rule 7.1 Response Filed 05/28/08
Performance Improvements
Exhibit 100
3 (Original Format)
, p<
CC 859 LZ
“wnpweig pefang
(peue>
(94 ape) A lg
oo. CO Orr ei'@
are t _23 08 959
“%PG.07 RPBLOZ
QO ert wor €. CW OOS 6M
ore eo ee AG) COS Coe Bet
a0 wo
ooo Ce i626
wo & woo Mv oz
000 oo
oOo Ci rev iserm
ao COW ZT
oo Ol CZB 2D y
ao tov ez
oo oF %.
ao ao
M0 ao
oOo TE GIESrOG
oo Zi OBL ors
@o a0
Leva RUC we
oo ve 146 roee
SO cee GS ri
wires Dalarrg
en
(Fro PORT eee 9 Ong EmOWYy Hy
HOP ree x comand 5)
Od Ue TROCeD Bte)
AT les COLITIS 14
“penquns wale) py) Gry euereuey
Wg etQrry
Saar Se .
unig eee eudaceme) TM
(%0l - RoweU RD GUOD eM
SATE ABLIOD B40 Np
tg - ep
eR) 9 vous) - oper)
SLs rI pee
(%O)) Saeumoeu),;
Agrep
MELO UW - CUO?
Cus0D Wey - ODED)
apry - apuo)
%ID UBuACEReUTENg
VELL 9 £829
Od ASQ
Anka Aqpog ad)
Od Sry
Amkn igpog Cyry
TU 27g PUT)
COE GZOL 790i ‘4801 ‘CBO! ‘B10. 840) PenvoD
eepsPWOD OME Gy Pur feNuyy FOND
seagre4sg GUT) WeWeEMsS wu, 4
‘ou! ‘AuBdwiosy § spooya ‘df
Ayeasy 6807 4O S802Kg Ayenses
dnoid esueunsu| (euogeN e2n4
139a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 4¢.10
Plaintiffs Rule 7.1 Response Filed 05/28/08
Performance Improvements
Exhibit 100, p.4 (Reformatted Excel Sheet)
Utica National Insurance Group
Property Per Risk Treaty
J.P. Woods & Company, Inc.
Utica Mutual and its Affiliated Companies
Final Settlement Line Breakdown
Contract: 3047, 3048
2004
Line of Business Subject Premium
US Canada
Alhed-Personal 26,258.00 0.00
Alhed-Commercial 1,499,254.80 0.00
Fire-Personal 55,984.00 0.00
Fire-Commercial 1,690,855.00 0.00
Inland Marine-Personal 1,720,936.43 0.00
Inland Marine-Commercial 4,792,180.88 0.00
Inland Marine-Lenders Single Interest 0.00 0.00
Businessowners (75%) 18,468,076.54 0.00
Commercial Multi-Peril 77,816,632.86 54,781.00
Condo-Property 959,335.00 0.00
Homeowners-(90%) 36,472,215.60 0.00
Total 143,501,709.31 54,781.00
Subject Matter Premium 143,501,709.31 54,781.00
Reinsurance Rate (All Layers Combined) 4.6300%
4.6300%
Reinsurance Premium 6,644,129.14 2,536.36
Less: Deposit Premium Paid (4 quarters x
$1,794,125.00) 7,176,500.00 0.00
140a
Appendix D
Case 6:06-cev-1392-GTS-GHL
U.S. District Court NYND Document 40-10
Plaintiffs Rule 7.1 Response Filed 05/28/08
Performance Improvements
Exhibit 100, p.4 (Reformatted Excel Sheet)
Net Amount Due Reinsurers/(Utica Mutual)
(532,370.86) U.S. Funds 2,536.36 Canadian Funds
(Computed on a earned basis)
4
(oroze'ecs)
02 SOF BLL Z
vi 62. wwe G
l4la
Appendix D
ACC
b€ BOL’ .06'Eri
be €OL 10g Evi
CSGLZ Zw HK
00 gEt'ese
were oe Ls
v9 2.0'e9r'Gs
009
G8 09128.’
ey see ozs
OZ 998069.
00 wee's9
Ca wS7 64P:
CO #92'92
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-10
Performance Improvements
xhibit 100, p.4 (Original Format)
‘
4
Plaintiffs Rule 7.1 Response Filed 05/28/08
k
UrQue d DeQng
en
(tred pears We 0 peTawo4y)
(enn BBN NC)weuneey eng wWhoury LH
(00 924 wAL LS X BsmENd »)
Pig We yaOdeQ er)
LT ei GOSEIN GLY
(peuqucd wate) ity) aay euEnETYy
Withwaig seneyy Deans
[SVCLAd - Paty
tteupng jo oun
007
BPO LOE PED
UMODARHG Gur jUeWEMES (RUL4
se ueduD DREN Sy pus feranwy eon
‘uy ‘Auedwoy 9 spoosa ‘d'f
Ayees| 482 18g Ayodoig
dnosd edueinsy jeu0AeN eoAn
142a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-10
Plaintiff's Rule 7.1 Response Filed 05/28/08
Performance Improvements
Exhibit 100, p.5 (Reformatted Excel Sheet)
Utica National Insurance Group
Property Per Risk Treaty
J.P. Woods & Company, Inc.
Utica Mutual and its Affilated Companies
Final Settlement Line Breakdown
Contract: 2780, 2781 (Run Off)
2004
Line of Business Subject Premium
US Canada
Alhed-Personal 0.00 0.00
Allied-Commercial 305.00 0.00
Fire-Personal 0.00 0.00
Fire-Commercial (202.00) 0.00
Inland Marine-Personal 0.00 0.00
Inland Marine-Commercial 117,886.24 0.00
Inland Marine-Lenders Single Interest 0.00 0.00
Businessowners (75%) 855.75 0.00
Commercial Multi-Peril (3,463.00) 0.00
Condo-Property 0.00 0.00
Homeowners-(90%) (3,249.00) 0.00
Total 112,132.99 0.00
Subject Matter Premium 112,132.99 0.00
Reinsurance Rate (All Layers Combined) 5.0500%
5.0500%
Reinsurance Premium 5,662.72 0.00
Less: Deposit Premium Paid (4 quarters x 0) 0.00
0.00
143a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-10
Plaintiffs Rule 7.1 Response Filed 05/28/08
Performance Improvements
Exhibit 100, p.5 (Reformatted Excel Sheet)
Net Amount Due Reinsurers/(Utica Mutual) 5,662.
U.S. Funds (0.00 Canadian Funds
(Computed on a earned basis)
o
ry¢
Lf
92-GTS-GHL
U.S. District Court NYND Document 40-10
Plaintiffs Rule 7.1 Response Filed 05/28/08
3
€
144a
Appendix D
Performance Improvements
Exhibit 100; p.5 (Original Excel Sheet)
Case 6:06-ev-1
Wes) apees")
inte
ooo
000
00 0
#0050 S
a0
— oOo
000
000
000
00 0
00 0
00 0
00 0
000
000
000
000
uu aig }2e/gng
epruey
SUS 37 1 2 (S890 peuree ve UC pa;nducr)
—_—_—_—————— ee
r.7989'¢ (eT PORN eng)pmesnsujyey eng jUNOUTy yen
000 (9 x aauend y)
ag wna yeadeg s86)
_0L 7839S ao a WN| Waid GOUWNSURY
%00S0 § “[peiqquics aseley ity) ey eouminsuey
66 ZEN ZL witqwedg pelgng
FEO,
6 (% 06) - susumcewo}
Auadaig - opuoD
(00 tere) HO TINN fepeUWOD
$i 938 (%S0) Meumcessusng
000 }8aue,u; o\Gurs epue) - suey pus)
v2 GEG Lib fAPUGLULUO) - GUEW pum
00 0 [2UGTGd - GUT) puay)
(00 Z02) fepueWWO, - any
000 frvCweg - any
00 $08 (PRUBUAUOD > pany
000 ete SURE, - Pa iTy
uarqneg elgng $teujsrg 1 oun
gn
yooz
WO Us) 1812 ‘0827 ABQVED
UMOPABeIG Guy) jWeWeMeS /PUl4
SojUrdWOD PEI yj Pur perany enh
“oul ‘Auedwiod P Spoon ‘df
Ayeoay NSNY 49g Auedoig
dnoid souaunsu] jeucReN enn
145a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-10
Plaintiffs Rule 7.1 Response Filed 05/28/08
Performance Improvements
Exhibit 100, p.6
[Picture]
Grazyna Christman/UNIG
11/09/2004 02:14 PM
To: David Raga/UNIG@UNIG, Josh Watkins/
UNIG@UNIG
cc: Michael Evolo/UNIG@UNIG
bee:
Subject: Tasks taken care of today
Josh/David,
Here is what I took care of today (either Finance’s
schedule is off by a day or the premiums were run a
day ahead):
- Ceded Commission Accrual (item #6 on Grazyna’s
Responsibility list)
- JPWoods Treaty Premiums (item #1)
- prepared Excel files for Natalia to key Commission
detail for items paid on earned basis.
I prepared the notes for both Natalia and you — hope
you find all in order.
I gave to David copies of all my 3Q04 reconciliations
(2180202, 1180202 and 1442002)
I placed a request for printer paper (4 boxes).
Thank you for your help!
Hope to be back in not too long,
Grazyna H. Christman
Reinsurance Accounting
Utica National Insurance Group
146a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-10
Plaintiffs Rule 7.1 Response Filed 05/28/08
Performance Improvements
Exhibit 100, p.6-7
P.O. Box 530
Utica, NY 13503
Email: grazyna.christman@uticanational.com
Phone: 800/274-274-1914, ext.2214 or 315/734-2214
Fax: 315/734-2662
6
{Picture}
Grazyna Christman/UNIG
01/28/2005 04:45 PM
To: Richard Semeraro/UNIG@UNIG
cc:
bec:
Subject: Account Recs
Hi Rick,
This will confirm that I dropped off this afternoon the
4Q04 reconciliations for 2180202, 2180404 and
1442002.
Please call should you have any questions and thank
you.
Grazyna H. Christman
Reinsurance Accounting
Utica National Insurance Group
P.O. Box 530
Utica, NY 13503
Email: grazyna.christman@uticanational.com
Phone: 800/274-274-1914, ext.2214 or 315/734-2214
Fax: 315/734-2662
147a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-10
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant 02/17/05 Email
Exhibit 93, p.1
Michael Evolo/UNIG
02/17/2005 10:08 AM
To: Grazyna Christman/UNIG@UNIG
cc: }
bec:
Subject: Fw: U.S. Treasury Dept Filing
Grazyna,
I expect that our Treasury items will accompany the
FR [Financial. Reporting} mailing on Tuesday. When
will they be ready for Dane to sign’?
Michael S. Evolo, CPCU, ARe
Supervisor of Reinsurance Operations
Utica National] Insurance Group
315.734.2544
800.274.1914 Ext. 2544
Fax — 315.734.2662
---- Forwarded by Michael Evolo/UNIG on 02/17/2005
10:02 AM ----
[Picture]
Martha Dumont/UNIG
02/17/2005 09:56 AM
To: Michael Evolo/UNIG@UNIG
cc: Daniel O’Connell/UNIG@UNIG, Grazyna
Christman/UNIG@UNIG
Subject: Re: Treasury Dept Filing [attachment]
This is a request for a status on the information
requested below as I prepared checklists that
148a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-10
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant 02/17/05 Email
Exhibit 93, p.1
accompany our documents in our Tuesday mailing
Should I state on the form that we are or aren't
submitting with our mailing:
1) the Summary of Reinsurance Treaties on All Lines
of Business? (This report is due whenever there are
changes and not necessarily each year end.)
2) copies of reinsurance agreements for all bonds
written with the U.S. Government as the obligee as
well as the powers of Attorney-In-Fact on
reinsurance agreement forms?
Let me know.
Thanks .md.
Martha E. Dumont, CPA ARe
Martha.cumont@uticanational.com
Phone 315-734-2868
Fax 315-734-2994
Martha Dumont/ UNIG
{Picture}
Martha Dumont/UNIG
01/20/2005 03:06 PM
To: Michael Evolo/UNIG@UNIG
ce: Daniel O’Connell/UNIG@UNIG, Grazyna
Christman/UNIG@UNIG
Subject: Treasury Dept Filing
14Va
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-7
Plaintiffs Rule 7.1 Response Filed 05/28/08
Plaintiff 02/19/05 Email
Exhibit 69, p.1
Michael Evolo/UNIG
02/21/2005 07:54 AM
To: Grazyna Christman/UNIG@UNIG
cc:
bee:
Subject:Re: Treasury/Other States[Attachment]
History: This message has been replied to.
Thank you.
Dane’s title is Vice President-Director of
Reinsurance.
Michael S. Evolo, CPCU, ARe
Supervisor of Reinsurance Operations
Utica National Insurance Group
315.734.2544
800.274.1914 Ext. 2544
Fax — 315.734.2662
[Picture]
Grazyna Christman/UNIG
02/19/2005 06:59 PM
To: Michael Evolo/UNIG@UNIG
cc:
Subject: Treasury/Other States
Good evening Mike,
I left on your desk the Treasury Annual and Other
States Schedules F, which I had completed tonight.
The Treasury Excess Risk was left with you for your
review yesterday — it requires Dane's, Mr. Wardley’s
and Notary Public signatures.
150a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. Distnect Court NYND Document 40-7
Plaintiffs Rule 7.1 Response Filed 05/28/08
Plaintiff 02/19/05 Email
Exhibit 69, p.1-2
The Treasury Annual Schedules, both for Utica and
RFI were in agreement with Schedules F, Part 3, 4
and 5 respectively.
There 1s no cross check, however, for the Other
States to verify the final adjustments. I completed
these Schedules to my best knowledge. Would you
please have the more knowledgeable/experienced
Accountant, II or Senior, go over the final copies to
make sure that they had been done correctly?
At this point the annual Commerce Survey is the
only outstanding schedule. [t is quite time consuming
due to manual process. | will start working on it nght
away, along with catching up on the monthly tasks.
Will you approve overtime, if needed?
Also would you please tell me what designations
should follow Dane’s name? I need to prepare letters
to be included with Other States Schedules, which he
will need to sign tomorrow.
Thank you.
Grazyna H. Christman
Reinsurance Accounting
Utica National Insurance Group
P.O. Box 530
z
Utica , NY 13503
Email: grazyna.christman@uticanational.com
Phone: 800/274-274-1914, ext.2214 or 315/734-2214
fax: 315/734-2662
boda
Ippendix D
Case 6:06-cev-14392-GTS-GHL
US. District Court NYND Document 40-7
Maintiffs Rule 7.1 Response Filed 05/28/08
Plaintiff 02/19/05 Email
Mxhibit 69, p.3
Grazyna Christman/UNIG
02/18/2005 01:00 PM
‘To: Michael KEvolo/UNIG@UNIG
boc
Subject: Treasury/Other State
Mike,
lam yvoiny to leave with you shortly the Excess of
Risks schedules for Utica and REI. Please review and
have Dane sign them at your earhest convenience
These scheduled also require Mr. Wardley’:
signature and need to be notarized before beiny
forwarded to Financial Reporting
Should you have any questions, | will be happy to
answer when I come back from the Fusing Plan
meeting
Thank you
Grazyna H. Christman
Reinsurance Account ing
Utica National Insurance Group
PO. Box 530
Utica , NY 13503
Mmail: grazyna.christman@uticanational.com
Phone: 800/274-274-1914, ext.2214 or 415/734-2214
lax: 315/734-2662
152a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant 01/06/05 Memo
Exhibit 34, p.1
[Stamp] DEFENDANT'S EXHIBIT O 11/7/07 NIL
Utica National Insurance Group [logo] Insurance
that starts with you
To: Grazyna Christman
Office, Dept. Reinsurance
Date: January 6, 2005
From: Michael Evolo
Office, Dept. Reinsurance
Subject: Grazyna’s Performance Review memo dated
11/10/04
This is my response to your memo dated 11/10/04. As
was mentioned in my write-up dated 8/10/04,
“Additional Comments-2004 Performance Review”
(copy attached), we need to focus our efforts on your
need to improve your performance. In your 2004
Performance Review, I provided you with meaningful
suggestions to improve your performance and I
outlined what you needed to accomplish going
forward. To date, there has been no noticeable
improvement.
Working Relationships
You continue to be ineffective in building working
relationships with your co-workers and there has
been no improvement. Since your last performance
review there have been a number of instances where
your interaction with your coworkers has led to
confrontation. Tammy McCoy attempted to assist you
1538a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant 01/06/05 Memo
Exhibit 34, p.1
with the HSB database. Her suggestions to you
were met with resistance and no working solutions
could be accomplished until I intervened. This was a
seemingly simple task, however, it’s mishandling on
your part created additional work for others and
friction between you and the ProCede team.
On August 17°] addressed with you a conversation
we had about account reconciliations and your verbal
comment (heard by others) about one of your co-
workers “distracting” you with his question on your
account reconciliations. Clearly, not the proper choice
of words expected from someone trying to build
relationships with their co-workers.
You continue to foster discord between you and your
co-workers. There has been no improvement in your
Working Relationships.
Quality
During October processing, you failed to recognize
and notify John Constabile that he hadn't removed
the system block for the ERPLI sessions. You should
have caught this and notified John, but you didn't.
Your oversight has led to another month’s processing
of incorrect premium cessions, which may negatively
impact our ceding relationship with reinsurers due to
-our lack of credibility.
Before you left for surgery, I specifically asked you to
leave explicit instructions with your co-workers on
how to handle your job tasks in your absence.
154a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant 01/06/05 Memo
Exhibit 34, p.1-2
Contrary to what I asked, you did not leave specific
directions on where to send the Swiss Re premium -
reports. There was nothing in your file that
1
specifically addressed premium reports. Your file did
have an address, however, we couldn't be sure it
wasn't a lockbox address. Not sending this report on
time to Swiss Re could negatively impact our working
relationship with them — to the point where it may
result in transactional audit or even negatively
impact the underwriting rates. You also did not give
Wire Transfer allocations instructions on how to
appropriate the incoming funds from JPWoods.
During your absence, I got involved in the facultative
billing situation that involved your sending incorrect
supporting data to the wrong person at the wrong
company. You sent the DirectFac information to
Michelle Thompson, who works for BF Re. It should
have gone to Cathy Morency, who works at
DirectFac.
Job Knowledge
You never sent your 2™4 quarter premium account -
reconciliations to Financial Reporting, as you are
required to. This was discovered when Price
Waterhouse Coopers asked for them during the week
of November 15‘. j
Details surrounding a Surety Wire Transfer on
9/22/04 reflected your failure to distinguish between
155a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant 01/06/05 Memo
Exhibit 34, p.2
a credit and debit.
Martha Dumont requires that the Surety premium
numbers be broken out by company; however,
Martha needed to ask you to send them. As this is
not a new procedure, you should have known what is
required.
Productivity
I requested that you complete the clean up of your
old account reconciliations by August 9th. These were
not completed by the date I requested, and you took
unscheduled vacation time prior to the deadline.
Grazyna, you must give your lack of performance
priority - especially in the areas I have outlined. To -
date your performance is unacceptable and that is a
very serious matter. I strongly suggest you re-read
what I[ wrote in your Performance review as it
outlines explicitly what you need to improve.
This document is considered a written warning and
your failure to improve and sustain positive
performance in this and other related areas will lead
to further disciplinary action up to and including
termination of your employment. | have outlined
below areas that need your immediate attention.
« Working relationships — Your working
relationships with others must improve. You must
156a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7:1 Response Filed 05/28/08
Defendant 01/06/05 Memo
Exhibit 34, p.2-3
create an environment from which your co-workers
want to work with you. This will be measured on
your ability to work with them and to avoid
confrontational situations. My expectation is that you
will not withdraw from working with them, but
openly and genuinely assist them and the team in
meeting our goals. It is imperative that your
interactions are positive
2
and that relationship building occurs during your
daily routine. Year-end processing will afford you
many opportunities to build your working
relationships.
¢ Quality — Your job responsibilities haven't changes
over the last few years and as such you should be
very familiar with the process and the
responsibilities that go with your job tasks. I expect
your work to be error-free. You will need to review
your work carefully, however, your review for
accuracy should not impede your efficiency to get
your job tasks done in a timely fashion. I will
measure your success in this critical area by your
ability to complete your job tasks and other job
assignments accurately and on a timely basis.
« Job Knowledge ~ You must take an active role in
understanding and contributing to the completion of
Schedule F. This will mean that you will need to take
on additional job responsibilities, in many cases
157a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant 01/06/05 Memo
Exhibit 34, p.3
without waiting to be asked, to ensure we meet our
Year End goals. I expect you will take the initiative
to learn what is required, go about getting what is
needed, and then completing tasks without relying on
others for all the answers.
- Productivity — During last year’s year-end
processing you failed to complete some of your
responsibilities within the established deadlines.
This will not be tolerated again. You must
understand and adhere to the predetermined 154a
prioritizing your work. All deadlines must be met.
I will conduct a follow-up evaluation in 30 days to
assess your progress toward improvement.
3
158a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-9
Plaintiffs Rule 7.1 Response Filed 05/28/08
SDHR Rebuttal-Plaintiff Sick & Overtime, p.21
Exhibit 87
Michael added his comments:
“Grazyna has had 6 sick days since her last
performance review on August 14, 2003. Grazyna
must understand that she is expected to put in
overtime when we need her. Her job at Fleet can not
iaterfere with the Schedule’s timeline or any special
projects when/if they come up.”
I worked part time as Telephone Banking Associate:
at Fleet Bank, (currently Bank of America) since my
divorce in April 1996. However, my full time
employment with the Utica National Insurance
Group had always been my utmost priority, from the
first day, when I started in June 1990 up to and
including the last day in February 2005, when I was
wrongfully dismissed.
The table below gives the summary of my sick time
and overtime record for the past eight (8) years
based on August 2nd as my Anniversary date:
GRAZYNA’S SICKTIME & OVERTIME RECORD
EVALUATION PERIOD SICK TIME OVERTIME
From To Occurrences Days Hours Days
2004 2005 () 2 2.0 158.75 21.9
2003 2004 4 5.0 106.75 14.7
2002 2003 3 2.8 176.25 24.3
2001 2002 1 1.0 83.00 11.4
2000 2001 § ° 58 56.25 7.8
1999 2000 4 6.2 8.50 1.2
1998 1999 0 0.0 8.92 1.2
1997 1998 3 3.0 0.00 0.0
159a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-9
Plaintiffs Rule 7.1 Response Filed 95/28/08
SDHR Rebuttal-Plaintiff Sick & Overtime, p.21
Exhibit 87
() Evaluation from August 2, 2004 to February 21,
2005 (seven months)
In (Attachment M2) 1 am submitting a file, which
further breaks down the above summary and shows
the detail record of my sick time and overtime,
obtained from the actual pay stubs from August 1997
to February 2005, copies of which are also included.
I wish to add the following comments in regard to the
overtime, I put in under Michael’s supervision:
1) In 2002-2003 a total of 176.25 overtime hours was
entirely allocated to handling of the year-end
financial statements to assure their timely
processing. It was the first year that I had to hanc'e
them independently.
2) In 2003-2004 my overtime related to the year-end
processing decreased to 101.5 hours thanks to my
hands on experience from the previous year and
knowledge retention. I was able to complete more
tasks in much shorter time. | put in 5.25 overtime
hours during the year for other projects.
3) In 2004-2005 my total overtime increased to
158.75 hours. I worked an additional 32.25 hours in
the four weeks immediately preceding my November
surgery and a total of 118.75 hours from December
27, 2004, the day I returned from disability until my
160a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-9
Plaintiffs Rule 7.1 Response Filed 05/28/08
SDHR Rebuttal-Plaintiff Sick & Overtime, p.21
Exhibit 87
wrongful employment termination on February 21,
2005 in order to complete a multitude of additional
tasks assigned to me by Michael, as well as other
routine year-end statements. I put in 7.75 overtime
hours during the year for other projects.
On February 19, 2005, the last Saturday before my
dismissal on Monday morning, | worked alone until
8:00 PM in the evening to meet the deadlines for: the
Other States Schedules F for Massachusetts and
Colorado, and the US Department of Treasury
Annual Schedule F.
21
l6la
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-6
Plaintiffs Rule 7.1 Response Filed :05/28/08
Deposition Transcript Evolo, Excerpts
Exhibit 55, p.1
1 STATE OF NEW YORK.
FIFTH JUDICIAL DISTRICT
2 SUPREME COURT COUNTY OF ONEIDA
3 * * * * * &* - * — w * * xk * * * *
4 GRAZYNA H. CHRISTMAN
5 Plaintiff
6 -vs- Case No. 6:06-cv-1392
7 UTICA NATIONAL INSURANCE GROUP, INC.,
8 Defendant
9G * * * * * * *x A — * * * * * .d oe . 7
10 |
11 HELD AT: GETNICK LIVINGSTON,
ATKINSON, GIGLIOTTI & PRIORE, LLP
12 258 Genesee Street
Utica, New York
13 November 8, 2007
14
15 EXAMINATION BEFORE THE TRIAL of
MICHAEL 8. EVOLO, taken by
16 the Plaintiff, pursuant to Notice.
17
APPEARANCES:
18
19 STEFAN D. BERG, ESQ.
Attorney for Plaintiff
20 309 Arnold Avenue
Syracuse, New York 13210
21 GETNICK, LIVINGSTON, ATKINSON,
GIGLIOTTI & PRIORE, LLP
162a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-6
‘Plaintiffs Rule 7.1 Response Filed 05/28/08
Deposition Transcript Evolo, Excerpts
Exhibit 55, p.1,36
22 Attorneys for Defendant
258 Genesee Street
23 Utica, New York 13502 |
BY: JOSEPH.A DETRAGLIA, ESQ., of Counsel
24
25
36
1 (Discussion off the record.)
2 Q. Page three, at the top, you said that her
“working
3 relationships with her immediate work team have
become
4 strained”; am I correct?
A. That's what J wrote, yes.
Q. Tell me what you were saying with those
words. |
7 A. Well, I could just sense and see and fee)
that the
8 working relationship between Grazyna, Josh and
David -- and
9 that’s the definition of the immediate work team.
There were
10 others within the area we were working in — was
strained. I
11 could sense that the conversations were short
and curt and to |
12 the point and had undertones within them. And
on a number of
13 occasions, I made Grazyna aware of those. As a
-
~~
(>
163a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-6
Plaintiffs Rule 7.1 Response Filed 05/28/08
Deposition Transcript Evolo, Excerpts
Exhibit 55, p.36-37
supervisor, I
14 was trying to train her or offer assistance on
how to
15 recognize those particular situations and how
to improve on
16 those. So I could just sense it. I could just see it. I
could
17 smell it. I could feel it. It was just there. The
18 undertones were there, just in basically back-
to-back .
19 conversations with the three, | just knew it was
there.
20 (. Do you think this existed the prior year?
21 A. I didn’t document it as such, so it wasn’t
obvious
22 to me as it was the following year.
23 Q. What do you think brought this change?
24 A. I have no idea.
25 . @. You also said that her behavior was
disruptive to
- 37
1 the entire department. That’s paragraph two.
What was she
2 doing that was disruptive?
3 A. I beheve in e-mails and in conversations ,
she
4 tended to more argumentative and tended to
cut people off
midstream. If a particular person, for example
eb |
164a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-6
Plaintiffs Rule 7.1 Response Filed 05/28/08
Deposition Transcript Evolo, Excerpts
Exhibit 55, p.37
David was
6 having a conversation, rather than wait for him to
finish his
7 thought and his explanation, she would jump in
disruptively
% and either disrupt his thinking, disrupt his
thought or
9 whatever he was trying to get across to the group
That's
10 what I meant by “disruptive.”
1] Q. Okay. And you added that internal and
external
12 customers compressed concern about this to
you?
13 A. Yes.
14 Q. Can you elaborate on what kind of concerns
that were
15 expressed?
16 A. As a4 supervisor, | made phone calls to some
of her
17 customers that she would have dealt with on a
regular basis,
18 just to get some of their feedback. And during
those phone
19 calls, | was told that there was concern in the way
that
20 Grazyna was carrying on her conversation with
those
21 individuals. As I’ve outlined in her performance
22
23
24
tr
6
165a
Appendix D
Case 6:06-cev-1392-GTS-GHL
U.S. District Court NYND Document 40-6
Plaintiffs Rule 7.1 Response Filed 05/28/08
Deposition Transenpt Evolo, Excerpts
Exhibit 55, p.37-38
review,
those concerns were expressed with her abrupt
tone and tenor
and her willingness to be flexible during those
conversations.
(). What do you mean “unwillingness to be
flexible’?
34
A. I don't have details, per se, of those
conversations. | don't recall what those where
But at the
time, probably what happened was there may
have been a
conversation with a particular reinsurer where
there was
information being requested, either from us of
them or them of
us. And quite honestly, she could ve been asking
for
information and the reinsurer may not have been
able to get to
it right away, and based on her tone and tenor,
they may have
construed that to be her unwillingness to be
flexable on some
parameters they may be faced with. | don't recall!
exactly,
Q. On pave five, there is a note about
overtime, and my
166a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-6
Plaintiffs Rule 7.1 Response Filed 05/28/08
Deposition Transcript Evolo, Excerpts
Exhibit 55, p.38-39
12 recollection is that there were -- Grazyna has
talked to me
13 about one incident where there was overtime to be
done and she
14 wanted to do it in the afternoon, { guess after she
complete
15 her Bank of America work or Fleet work, and you
insisted that
16 she do it in the morning. Do you recall that?
17. +A. I don't recall that specific incident.
18 Q. Was she willing to work overtime if
required?
19 A. Yes.
20 (Plaintiffs Exhibit 3 was marked for
21 Identification.)
22 | want to show you what we have marked for
23 Identification as Exhibit 3. Do you recognize that
document?
24 ~«A. Yes.
25 Q. What is it?
39
1 A. It’s an Employee Performance Review.
2 Q. Dated when?
3 A. It’s stamp dated August 15», 2003.
4 (Discussion off the record.)
5 Q..Is this a performance review of Accountant
II?
6 A.
I don't know. Clearly, obviously, it’s blacked
out.
167a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-6
Plaintiffs Rule 7.1 Response Filed 05/28/08
Deposition Transcript Evolo, Excerpts
Exhibit 55, p.39,54
7 The names are all blacked out.
8 Q. I think there are two options, Accountant II
er Senior Accountant?
9 Semior Accountant?
10 A. Correct. I can’t tell which is which. I don’t
11 know.
12 (Discussion off the record.)
13 Q. Mr. Evolo, do you recognize what we have
labeled as
14 Exhibit 3?
15 A. I do.
16 Q. Is this a performance evaluation that you
performed? :
17 A. Yes.
18 Q. And you recognize the individual for whom
you did
19 this evaluation?
20 A. Yes.
21 Q. And this was an accountant that reported
to you in
22 2003?
2S. <A. Yes.
24 Q. on page one, “Quality, you said “There are
number
25 of instances where accountant didn’t take the
time to
l A. By all means, no.
2 Q. Do you recall a question concerning the
168a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-6
Plaintiffs Rule 7.1 Response Filed 05/28/08
Deposition Transcript Evolo, Excerpts
Exhibit 55, p.54
3 attendance at J.P. Woods in New Jersey”
4 A. I do.
5 Q. And, in your — while you were working as
the
6 Reinsurance Supervisor, were there functions
that were related
7 to either reinsurance customers or clients or the
like?
8 A. There were. We had many dinners, lunches,
parties
9 that were hosted by the broker or specie
reinsurers, and
10 Grazyna was invited to all of those and did not
attend.
11 Q. And lastly, did your hire anyone to replace
Ms.
12 Christman after her termination of employment?
13 A. Yes, I did.
14 Q. Who filled that position?
15 A. Margaret Krug filled that position.
16 Q. And did you know her gender at the time?
17 A. Yes, obviously, a woman.
18 Q. And at the time, did you know her age?
19 A. I know that she’s over 50.
20 MR. DETRAGLIA: That’s all. Thank you.
21 MR. BERG: Nothing further.
22 (Whereupon, the Examination concluded.)
ya -o0o-
169a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant 12/04/02 Email
Exhibit 76
[Picture]
Josh.Watkins@UTICANATIONAL .COM
12/04/2002 03:51 PM
Date: Wednesday, 4 December 2002 3:5lpm ET
To: Grazyna.Christman@UTICANATIONAL.COM
From: Josh.Watkins@UTICANATIONAL.COM
Subject: Clearing Account
Grazyna, I just wanted to apologize for the way |
reacted towards you yesterday. It was stupid and
uncalled for. | had no right to act in such a way, and
for that —I am sorry. We are a small group, and if we
cannot get along and work together. .... we will fail
in our goals. Yesterday I let the team down, and if it.
was not for Jean — we would of failed. Once again, I
apologize for my outburst. You are an incredibly
dedicated worker, and in my book. .... doing a
fantastic job. I have the utmost trust in you, which
encourages me as we all make this transition into our
new department. Please don’t be discouraged because
of me and my stupidity. I am looking forward to the
future of our department, because I believe that the
three of us will be able to handle everything
responsibly. In this future, I will make every attempt
to treat you with respect that a coworker should
receive. If at any point, you feel that I am doing
otherwise ..... please do not feel that you cannot
talk to me about it. I give you permission to do so. I
ask that you please accept my utmost apology.
Thanks, Josh
170a
Appendix D
Case 6:06-cv-1392-GTS-GHL
‘U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Accountant Ii — 2004 review
Exhibit 22, p.1
Utica National Insurance Group
EMPLOYEE PERFORMANCE REVIEW
[Logo] Employee [Redacted] [Josh Watkins]
Office/Dept. U1 01 14 04
Job Title Accountant II Grade 11
Length of Time in Position 3 yrs.
Date of Review 7/27/04
Job Description: x Is Satisfactory obNeeds Updating
oNeeds to be Re-Evaluated [stamp]Jul 28 2004
[handwritten]:416-11
Reason for Review: A ~ Annual Review
Directions: Place an “X” in the box which best
describes the employee’s level of performance in
each category. Use the comments area to support the
rating given. PERFORMANCE PLAN OF ACTION:
State the agreed-upon performance improvement :
objectives: Each objective should include an action
plan and time frame for completion.
REQUISITE PERFORMANCE FACTORS
Quality:
Give consideration to aspects such as:
« Accuracy
« Neatness
« Thoroughness
- Need for Checking
vo Work rarely requires correction or review. Work is
consistently error-free, complete and thorough.
oO Work is generally error-free, complete and
thorough, requiring minimal correction or review.
17la
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Accountant I] — 2004 review
Exhibit 22, p.1
xMeets expectations for accuracy and thoroughness
may require some supervisory review.
Oo Sometimes produces work which is below
expectations and standards for thoroughness or
accuracy. Often requires supervisory review.
o Makes excessive error requiring considerable
correction and ongoing supervisory review.
Comments: [Redacted] work is typically neat and
thorough. There have been occasions where
[redacted] work contained errors that were a result of
carelessness, e.g. the 60-90 day column of the
Recoverable Report, the Ace American balance, the
July recoverable report, Asbestos billing worksheet
oversight, etc. These errors could have been
prevented had [redacted] just taken the time to
better understand his work. Producing a timely and
accurate work product needs to remain a high
priority for [redacted]. He must continue to ask .
himself whether his calculations “make sense” and he
must give them a reasonability test for quality.
[Redacted] continues to come to me with questions
and [ expect this to continue.
Productaivity:.
Give consideration to aspects such as: .
« Quality
« Speed
« Deadlines
- Service
o Consistently exceeds expectations for quality and
172a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Accountant II — 2004 review
Exhibit 22, p.1-2
quantity and timelines. Deadlines are always met
and work is often ahead of schedule. Consistently
demonstrates high commitment to service. -
0 Often exceeds expectations for quantity and,
timelines. Deadlines are almost always met and.
work may be occasionally ahead of schedule.
Usually demonstrates high commitment to service.
x Meets expectations for quantity and timelines.
Deadlines are usually met. Demonstrates good
commitment to service.
coin some instances work is below expectations for :
quantity and timelines. Deadlines are occasionally
missed. Sometimes fails to demonstrate
commitment to service.
o Does not meet minimum expectations for
quantity.and timelines. Deadlines are frequently .
missed. Fails to demonstrate commitment to
service.
2-r-249 Ed. 1-03 ‘4
Comments: [Redacted] and -I.meet on a regular basis
to review and manage his priorities. This must
continue in order to effectively manage the number of
assignments he is given with short timelines.
[Redacted] has been called on a number of times
during the year to handle special projects and he has
done a very good job. His desire to produce a
[redacted] sometimes conflicts with his ability to be
accurate so he needs to be sure he reviews his work
for errors.
173a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Accountant II — 2004 review
Exhibit 22, p. 2
[Redacted] has offered many contributions to the
ProCede effort, e.g..working directly with the IT staff
to resolve issues, has actively participated in
ProCede discussions, has used the ProCede software
to become familiar with it’s [its] capabilities, etc. This
type of involvement needs to continue.
Job Knowledge:
Give consideration to aspects such as:
« Comprehension
- Retention
o Has comprehensive knowledge of the job.
Consistently adds to job knowledge.
o Has solid understanding of the Job. Frequently
adds to job knowledge.
x Understands the major aspects of the job: Retains
learning. Occasionally adds to.job knowledge.
Oo Does not consistently demonstrate adequate ..
knowledge of major aspects of the job. Repetition of
mistakes in some areas results in retraining.
o Does not demonstrate knowledge of basic job
concepts. Continuously repeats mistakes.
Comments: [Redacted] continues to add to his
Reinsurance knowledge through reinsurer meetings:
and various teleconferences with external customers.
These types of forums afford him with greater
exposure to various reinsurance issues.
{[Redacted]-needs to successfully complete his
coursework for his 4 year degree and the Associate in
reinsurance designation. Since his last performance
174a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S.. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Accountant II — 2004 review
‘Exhibit 22, p. 2
review-he has earned 3 additional credit hours
toward his degree. He must make this a priority and
either complete his degree or ARe — one or the other.
Interactions with JPWoods have afforded Josh a
better understanding how our organizations work
together. [Redacted] spent time with their
Accounting and Claims departments and this -
experience has given [redacted] a better.
understanding of how their respective functions fit in
with ours.
Working Relationships:
Give consideration to aspects such as:
- Cooperation
- Ability to work for/with others
« Flexibility
cg Consistently. maintains harmonious working
relationships with diverse group. Excellent
acceptance by others. Consistently communicates
well with others..
o Often establishes harmonious relationships. Very °
good acceptance. by others. Usually communicates
well with others.
x Relationships are generally positive. Good
acceptance by others. May communicate well with
others
0 Has difficulty in-consistently establishing or
maintaining harmonious relationships: Has
difficulty in communicating with others.
o Poor working relationships requiring frequent
175a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Accountant II — 2004 review
Exhibit 22, p. 2,4
supervisory intervention. Consistent difficulty in
communicating with others.
Comments: [Redacted] continues to form good
working relationships with both his external and
internal customers.
There have been a few occasions during the year
where I had to address his working relationship with
a co-worker. He needs to continue to think through
his actions.and responses before delivering them to -
this person. He should evaluate how they will be
perceived and adjust accordingly. I have told him
that if he feels that he is being treated unfairly or
there is hostility from this co-worker, he must see me
before taking things into his own hands.
For the most part, [redacted] has been cooperative
and flexible with the job assignments I have given
him, I expect this to continue.
2
Communication Skills:
Give consideration to aspects such as:
- Interpersonal Skills
- Verbal/Written Skuls
- Relevant Questions
« Effective Listening
ga Extremely. effective in both verbal and written
skills. Excellent interpersonal skills.
o Very effective verbal and written skills. Very.
strong interpersonal skills.
x Effective verbal and written skills. Good
176a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Accountant II — 2004 review
Exhibit 22, p. 4
interpersonal skills.
o Occasionally has difficulty communicating
effectively: Some difficulty with interpersonal
skills.
0 Poor communication skills. Frequent interpersonal
difficulties..
Comments: [Redacted] verbal'and written skills are
good. He has improved his ability to be an active:
participant in meetings and | expect it to continue.
(He has been very forthcoming with solutions for. use
with ProCede) His opinions are valued based on his
experience and knowledge.
[Redacted] should continue to ratchet up his listening
skills in order to ensure he understands what is
expected of him.
[Redacted] has a-tendency.of not speaking up when
outsiders are present. This is especially noticeable
during some JPWoods’ meetings. I expect him to
sharpen his aggressiveness skills and offer his
thoughts and opinions in these types of meetings.
There have been a few times during the year where
[redacted] has demonstrated immature behavior, e.g.
when being talked at, he turned his back to me to
assume doing something else rather than giving me
his full attention, or when asked to handle certain
job tasks he has let his emotions get the best of him
by openly exhibiting his frustration,:ex. during a
recent recoverable meeting, [redacted] became
frustrated by the questions being asked by JPWoods
177a
Appendix D
Case 6:06-ev-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Accountant II — 2004 review
Exhibit 22, p. 4; 6
and he made a comment that was going to leave the
room if they continued. I expect [redacted] full
attention at all times and that he show maturity
when handling situations.
[Redacted] must keep me informed of aJ) “hot topics”.
I would like to be kept current without having to
always ask him.
4
PERFORMANCE PLAN ACTION: State the agreed-
upon performance improvement objectives. Hach
objective should indicate an action plan and time
frame for completion.
Factor Quality
Objective(s) To produce accurate and timely
reinsurance accounting information. To maximize
ProCede potential through efficiency of process,
determination of management information,
financials, etc." To enhance operational efficiencies
in the payment of our reinsurance premium
obligations and recovery of losses:
Plan of Action -Review your work carefully to
minimize the number of errors — give it a
reasonability test. -Quickly learn the potential of
ProCede and exploit the possibilities.
Factor Productivity
Objective(s) To implement ProCede to enhance
productivity. To effectively manage priorities.
Plan of Action -Gain overall understanding of
ProCede and become adept in utilizing the
17a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Accountant I] — 2004 review
Exhibit 22, p. 6
knowledge. —Assist in design of post-ProCede
process to maximize potential while accomplishing
our departmental objectives. -Use common sense,
knowledge and experience to establish work
priorities so that deadlines are met
Factor Job Knowledge
Objective(s) To understand all aspects of your
accounting job. To attain the highest deyree of
technical reinsurance/accounting expertise. To
learn ProCede and use it effectively.
Plan of Action « -Successful completion of ARe series
Timeframe: Complete ARe 141 — December 2004 if
not sooner. Completion of the ARe designation by
December 2006. -Josh to assess Utica College
course offerings in the fall of (04 and map a game
plan to complete his 4 yr. degree. -Just don’t “learn”
the steps to complete your job ~ ‘understand” them
Factor Working relationships
Objective(s) [blank]
Plan of Action [blank]
6
1798
Appendix D
Case 6:06-ev-1392-G7TS-GHL
US. District Court NYND Document 40-#
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant Harrison InnerView Test
Kxhibit 75, p.1-2
[Stamp] RECEIVED May 29 2002 FINANCE DEPT
7/28/02 2479 Grazyna, Dan O'Connnell has requested
for you to take the Harrison InnerView
Questionnaire. Please complete & return to my
attention. Thank you. Kathy Bean, Human
Resources
Work Preference Questionnaire
Your Last Name: CHRISTMAN
PLEASE USE BLOCK CAPITALS
Your First Nume: GRAZYNA
PLEASE USE BLOCK CAPITALS
]
[Logo] Harrison Inner View Profile Report
hor Grazyna Christman
entered on 06/03/2002
This report for Grazyna ts a general deseription of
traits relating to the workplace. To further determine
sutlability for a particular position, use the “Job
Surtability Graph’
KEYWORD DESCRIPTIONS
Strongest Traits
Optumistic
Enthusiastic about goals
Self-accepting
Does not want to lead
Strong Traits
Dishkes making decisions
180a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant Harrison InnerView Test
Exhibit 75, p.2
Careful with risks
Wants recognition
Precise
Fairly Strong Traits
Non-intuitive
May lack frankness
Diplomatic
Helpful
Wants a stable career
Wants high pay
SUMMARY DESCRIPTIONS
Grazyna is extremely optimistic. However, she
prefers a position which does not involve a great deal
of analyzing problems and decisions. Grazyna is
quite capable of being tactful. She may often have
difficulty being frank and/or getting to the point.
Grazyna may hesitate a great deal to express her real
feelings. She can become very evasive. Grazyna is
quite helpful and conscious of others’ needs.
However, she may. have a great deal of trouble
putting forward her needs. For Grazyna, doing work
that benefits others/society is quite important. She is
extremely self-accepting. However, Grazyna may ©.
overly focus on self justification rather than self-
improvement. She is very precise.
Copyright © 1991-2001 Dan Harrison
Consistency Score: 92
2
18la
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant Harrison InnerView Test
Exhibit 75, p.3
[Logo] Harrison Inner View Profile Report
Main Report For Grazyna Christman
Entered on 06/03/2002
OUTLOOK
Is neither overly self-certain nor lacking in
confidence. Has a good balance between sticking to
opinions and being open-minded. Is neither outgoing
nor reserved, but balanced in between the two points.
May be uncomfortable making presentations to
groups. Is extremely optimistic.
DECISIONS
Prefers a position which does not require a
significant amount of analytical problem solving.
May have a strong tendency to not analyze the
potential difficulties of plans and strategies. Prefers
not to make decisions intuitively, but may
occasionally use intuition to help make decisions.
May feel uncomfortable assuming decision-making
authority. Is fairly willing to collaborate with others
with regard to making important decisions. Prefers
to defer decisions to others.
INNOVATION
Perseveres with a task and 1s fairly good at the
implementation stage of projects. Is fairly creative
and progressive. May be very careful about taking
risks. Likes to work at a steady pace and prefers not
to have to do work which requires a rapid pace.
COMMUNICATION
May have difficulty being frank and/or getting to the
182a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant Harrison InnerView Test
Exhibit 75, p.3-4
point. Is quite capable of being tactful. May often
hesitate to express her real feelings and can be
evasive. Is tolerant of people who are indirect or
evasive. Is unconcerned about influencing others.
Prefers to avoid occupying a position where the
influencing of others is a significant aspect.
POWER
May have a great deal of difficulty putting forward .
her own needs. Strongly prefers to avoid undertaking
a role which requires her to be assertive. Is quite
helpful and conscious of other’s needs. May want very
little autonomy. May have difficulty handling
autonomy in some situations. May hesitate to take
initiative. Has a strong desire to work for a capable
authority. Has. high expectations of'a supervisor and
of others. Is very much a perfectionist
Copyright © 1991-2001 Dan Harrison
Consistency Score: 92
3
[Logo] Harrison Inner View Profile Report
Main Report For Grazyna Christman
Entered on 06/03/2002
MOTIVATION
Prefers moderately challenging work. Is extremely
clear about her goals and is strongly motivated
toward them. Is generally at ease and relaxed while
working with only some tension. Is able to deal with
stress moderately well. Is quite motivated by money,
183a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District:-Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant Harrison InnerView Test
Exhibit 75, p.4
but not excessively so. Has benevolent intentions.
Undertaking work which benefits others/society is
quite important to her. Tends to follow through on
her benevolent actions. Wants to benefit herself as
well as others. This may sometimes cause conflict
between her own desires and the desire to benefit
others. Has a quite strong desire to have a stable
career. .
SUPPORT
Is fairly empathetic and warm. Is extremely self-
accepting. Has: moderate interest :n self-
improvement. May focus excessively on self-
justification rather than on self-improvement. May
want recognition very much.
ORGANIZATION
Is moderately well organized. Is fairly flexible and
adaptable to changes. Is very precise. Is moderately
systematic. Is fairly willing to follow closely defined
procedures and schedules.
LEADERSHIP
Lacks interest in assuming a leadership position.
Does not have interest in planning. Prefers not to
have to spend too much time in a planning role.
Prefers not to have to enforce rules and may be
overly empathetic when firmness is needed.
Copyright © 1991-2001 Dan Harrison
Consistency Score: 92
4
184a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant Harrison InnerView Test
Exhibit 75, p.5
[Logo] Harrison Inner View Profile Report
How To Manage Report For Grazyna Christman
Entered on 06/03/02
This section of the report is designed to assist
Grazyna’s manager to work with her in order to create
a mutually beneficial relationship. Adjusting
management style wherever appropriate to
accommodate individual traits and preferences will
offer job satisfaction to Grazyna and higher
productivity to the company. The general approach of
this section is to explore ways to benefit from.
Grazyna’s strengths, to neutralize weaknesses, and to
accommodate her individual needs within the.context
of the particular employment situation. In order to -
obtain the best results from this report, jointly look for
ways to apply these general ideas. The suggestions in
this section must be applied in the.context of sound
management practices, good interpersonal shills and
according to the specific employment circumstances.
COMMUNICATION
Provide the support and encouragement necessary to
help her to express her real views as she may tend to
be evasive or indirect. Be diplomatic in order to deal
effectively with her.
POWER
Encourage her to state what she wants and needs
and discuss regularly.
MOTIVATION
Try to align her professional goals with the goals of
185a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant Harrison InnerView Test
Exhibit 75, p.5
the organization. Give help to structure her position
so that she can feel that she is doing work that
benefits others, otherwise, she may have difficulties
due to experiencing a need for greater. meaning:-or ©
sense of purpose.
SUPPORT
Give regular specific and sincere recognition as she 1s
very motivated by being given recognition.
ORGANIZATION
Consider how to utilize her natural ability to be
precise.
LEADERSHIP
She may be very ‘uncomfortable in a leadership
position and thus be less effective. She may have
difficulty with interpersonal relationships that would
interfere with effective leadership. Consider
adjusting duties if the person requires enforcing
rules.
Copyright © 1991-2001 Dan Harrison
Consistency Score: 92
+)
186a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
‘Plaintiffs Rule 7.1 Response Filed 05/28/08
Plaintiff 2003 Merit
Exhibit 71 °
From: Brian Lytwynec [Handwritten: Rick’s Boss]
To: Rick Beidleman
Cc: Anthony.Paolozzi, Cheryl.DeAngelo,
Daniel.O’Connell, Doug. Robinson,
Grazyna.Christman, Michael.Evolo, Rob.Sherman,
Steve.Barry, Steve.Lorenz
Sent: Friday, 14 February 2003 8:05am ET:
Subject: RE: HSB Contingent Commission
Rick, thanks to you and, particularly, Grazyna. It’s
good news and we sure appreciate it. Brian
<---------- Forwarded letter follows - - - - - - - - - >
Date: Monday, 10 February 2003 4:33pm ET
To: Rob Sherman
Cc: Bnian.Lytwynec, Michael.EKvolo, Steve Lorenz,
Anthony.Paolozzi, Cheryl.DeAngelo,
Daniel.O’Connell, Grazyna.Christman, Steve. Barry
From: Rick.Beidleman ;
Subject: HSB Contingent Comniission
Rob —
At long we have finally come to agreement with HSB
on the contingent payment for the years '98 thru ’02.
Due in very large part to the initiative and
perseverance of Grazyna Christman we have
developed numbers and agreed with HSB on a
contingent payment to us in the amount of
330,500.00. This compares, I am told, to some
od 87a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Plaintiff 2003 Merit
Exhibit 71
$85,000 we have accrued for the payment. This
outcome is the result of a lot of hard work by
Grazyna as well as good interactions with the folks at
HSB. And, it clears up contingent calculations that
go back as far as the 7/1/98 — 12/31/99 profit
contingent period.
We are told that the check is being cut and will be
available next week when HSB visits. I don/t
anticipate any change, but it won't be in the bank
until next week.
Obviously, the fact that we earned a contingent
commission reflects very positively on all work.being
done by the folks who put the business on the books.
Thank you. :
Rick
188a
Appendix D
Case 6:06-cv-1392-GTS-GHL
US. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant 02/18/05 Email
Exhibit 78, p.1
[Picture]
shaunastar.m.douglass@us.pwe.com -
02/18/2005 09:35 AM
To: Grazyna.Christman@notes.uticanational,com
cc:
bec:
Subject: Re: 2180202 Balances Payable
History: This message has been replied to.
This is awesome! I will be working with Dave and
Josh this morning (hopefully) and then I will review
your spreadsheets over the weekend and start
working with you on some of the reconciliation
testing we did last year (i.e, where we tied out the
premium system, etc.)
Thanks again — these are really great ... were you
ever an auditor’?!
Grazyna Christman@uticanational.com
02/18/2005 08:38 AM
To: Shaunastar M
Douglass/US/ABAS/PW C@Americas-US
ce:
Subject: 2180202 Balances Payable
Good morning Shauna,
Good to hear from you again, hope you had a good
year.
I had put together the information in the form of
189a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant 02/18/05 Email
Exhibit 78, p.1
Excel files to show payment of balances, which you
questioned in the e-mail sent to Mike. Some were
straight forward, other — a part of larger payments.
Please see the attached files and let me know, if
sufficient:
I will be happy to answer questions/provide
additional information.
Thank you.
Grazyna H. Christman
Reinsurance Accounting
Utica National Insurance Group
190a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Plaintiff 01/22/05, 01/19/05 & 08/05/04 Emails
Exhibit 79, p.1
[Picture] Grazyna Christman/UNIG
01/22/2005 11:02 AM -
To Bob Dicks/UNIG@UNIG
CC:
bee:
Subject: Re: Tsunami Disaster Relief
Good morning Mr. Dicks,
J am happy I was able to help and thank you for
matching my contribution.
Grazyna H. Christman
Reinsurance Accounting
Utica national Insurance Group
P.O.Box 530
Utica, NY 13503
Email: grazyna.christman@uticanational.com
Phone:800/274-1914 ext.2214 or 315/734-2214
Fax: 315/734-2662
Bob Dicks/UNIG
[Picture] Bob Dicks/UNIG
01/22/2005 10:23 AM
To Diane Rice/UNIG@UNIG
CC:
Subject: Tsunami Disaster Relief
Just a note to let you know I received your check. Ox.
behalf of Foundation, our Company, the American
Red Cross and all of the victims your contribution
will help...... THANK YOU!
Dla
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Plaintiff 01/22/05, 01/19/05 & 08/05/04 Emails
Exhibit 79, p.1-2
Bob
Robert W. Dicks, Jr.
VP General Auditor
Utica National Insurance Group
P.O.Box 530
Utica, NY 13503
Kmail: bob.dicks@uticanational.com
Phone: (315) 734-2364
Fax..... (315) 734-2662
]
[Picture] Grazyna Christman/UNIG
01/19/2005 10:54 AM
To EDCHIN@ajg.com
be te
bee:
Subject: Harden Managers XOL
Good morning Ed,
Happy New year and hope that all is well with you.
We need your assistance with balance, which we are
carrying as due to Utica for harden Managers XOL
(our number F0430). The amount is $7,243.58 and is
part of my account reconciliations; however, | had not
handled this Treaty myself. Would you please advise
what balances, if any are shown on JPW books”?
Thank you for your help and best regards,
Grazyna H. Christman
Reinsurance Accounting
192a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1] Response Filed 05/28/08
Plaintiff 01/22/05, 01/19/05 & 08/05/04 Emails
KM xhibit 79, p.2-3
Utica national Insurance Group
P.O. Box 530
Utica, NY 13503
Email: grazyna.christman@uticanational.com
Phone:800/274-1914 ext.2214 or 315/734-2214
Fax: 315/734-2662
Z
[Picture] Grazyna Christman/UNIG
08/05/2004 02:55 PM
To: Thompson Pat-
Princeton<PThompson@amre.com>
cc: Chery! Deangelo@uticanational.com,
Grazyna.Chnistman@notes. uticanational.com,
Lee. Young@uticanational.com
bee:
Subject: Re: Fw: Metroplex Garden, Morelos Project,
Nogales Produce THIRD REQUEST
Hi Pat,
I am confirming that Metroplex reinsurance
premium had been keyed by Michele on 7/51/04
The amount of $11,850.00 will interface into
accounting system over this weekend (premiums are
always processed on 6 business day). So will the
premium codings for Morelos and Nogales policies,
even though Michele had keyed them earlier in July
(please refer to my earlier e-mail dated 07/31/04)
Pat, we certainly appreciate your patience and
App ndix DD
Case 6:06-ev-1592-GTS-GHL
LS. Distmet Court NYND Document 40-#
Plaintiffs Rule 7.1 Response Piled 05/28/0#
Phaimtiflf 01/22/05, 01/19/05 & 08/05/04 Emaal
Kexhibit 79 pid
apoloyvize for any inconvenience this delay could have
caused, | will be off tomorrow, so should you hav
any questions, please do not hesitate to call me on
Monday
Thank you and best regard
Grazyna Ho Christman
Reimsurance Accounting
Utica national Insurance Group
PO Box 530
Utica, NY 14505
Kinaok vyrazyna.christman@uticanational com
Phone: 800/274-1914 ext.2214 or 815/754-2214
hax: 315/754-2662
Thompson Pat-PrincetonPThompson@amre.com
08/05/2004 10:14 AM
To: Grazyna Chrstman@notes uticanational com
Chery] deanvelo@uticanational com
Leo Youngv@uticanational com
ce
Subject: Re: kw: Metroplex Garden, Morelos Project
Noyvales Produce THIRD REQUEST
(;00d Morning Cheryl, Grazyna & Lav
Can anyone tell me if the Metroplex premium ha
been done and is now ready tor
194a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Plaintiff 09/18/03 &04/23/02 Emails
Exhibit 80, p.1
(Picture]gmetzge@gcr.com
09/18/2003 10:16 AM
To Grazyna.Christman@UTICANATIONAL.COM
CC:
bee:
Subject: Re: Accounting contact-premium p
Date: Thu, 18 Sep 2003 10:16:27 -0400
To Grazyna.Christman@UTICANATIONAL.COM
From: gmetzge@gcr.com
Subject: Re: Accounting contact-premium problems
with facultative School risk
Grazyna,
Thank you very much for your quick response and
help with this matter-very much appreciated!
If there’s ever anything you need on our end, please
do not hesitate to contact me.
I’m not sure if you know, but I work with Chery]
Daniels on the Schools/Printers/Condos (condos now
being extinct) programs-prepare the certificates
which we mail to you. Any questions on these
matters, let me know.
Thanks again!
Regards,
Gian
Gian Metzger
GeneralCologne Re
(860) 520-7678 (phone)
(860) 520-7718 (fax)
195a
‘Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Plaintiff 09/18/03 & 04/23/02 Emails
Exhibit 80, p.1-2
Buy Fac Online @http://facworld.com
Grazyna.Christman@uticanational.com
09/18/2003 10:08 AM
To: gmetzge@gcr.com
CC:
Subject: Re: Accounting contact-premium problems
with facultative School risk
Gian,
As per our conversation I am confirming that Utica
has the following amounts coded for Churchville-
Chili Central (CPP 1357621): $3,414 for PY2002 and
$14,250 — PY2003. This policy has not been listed on
1
Gen Re recent statement, | presume that it should
show next month at which point Utica will pay the
premium.
I am glad we have it resolved. Please do not hesitate
to call should you have any questions.
Regards,
Grazyna H. Christman
Reinsurance Accounting
Tel: (315) 734-2214
Fax: (315)734-2662 Email:
E-mail:grazyna.christman@uticanational.com
----+--- ( Forwarded letter 1 follows) - - - - - - -
Date: Thu, 18 Sep 2003 09:45:09 -0400
To grazyna.christman
From: gmetzge@gcr.com
196a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Plaintiff.09/18/03 & 04/23/02 Emails
Exhibit 80, p.2
Subject: Re:Accounting contact-premium problems
with facultative School risk
Hi Grazyna,
I need some help. I’m looking to contact someone in
your Accounting department to correct the premium
on a school risk, which was endorsed mid-term. The
Reinsurance confirmation sheet received from Utica
had the wrong additional premium, and emails have
gone back and forth between our UW UW’s there
(John Acee and Charles DeCosty).
Whom should I contact regarding these issues? This
is a long outstanding item which we'd like to get
resolved. Here are the details:
Churchville-Chili Central School District, your policy
CPP 1357621. Our certificate for the expiring year
7/1/02-03 is AFF-M501424, which was endorsed mid-
term (11/19/02) for the additional premium of $3414.
that amendment came with the wrong additional
premium.
We are also looking for the 7/01/03-04 renewai
confirmation notice on this school, an annual
premium of $14,250.
Hope you can help us with this item, or point me in
the nght direction. My old Accounting contacts were
Rosemary Wadas, Kristin Wilson- but an unsure
what division they’re working 1n now.
Thank Grazyna!
Regards,
197a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Plaintiff 09/18/03 & 04/23/02 Emails
Exhibit 80, p.2-3
Gian
Gian Metzger
GeneralCologne Re
(860) 520-7678 (phone)
(860) 520-7718 (fax)
Buy Fac Online @http://facworld.com
2
From: Grazyna.Christman
To: Cheryl.DeAngelo _
Sent: Tuesday, 23 April 2002 1:10pm ET
Subject: RE: Reinsurance acctg corrections
Hi Chery]
I gladly do that. Please let me know if there is
anything else that I could do to make communication
easier. |
Have a nice day!
Grazyna
Grazyna.Christman@UticaNational.com
Phone: (315) 734-2214
Fax: (315) 734-2994
Date: Tuesday, 23 April 2002 12:56pm ET
To: Grazyna.Christman
From: Cheryl.DeAngleo
Subject: Reinsurance acctg corrections
Hi Grazyna
See you've been busy trying to get some of the
198a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Plaintiff.09/18/03 & 04/23/02 Emails
Exhibit 80, p.3'
reinsurance corrected. I have been sending copies to °
the Und. Mgrs to ask them to also followup.
Could you please CC: the Underwriting Managers on
the future reinsurance emails. This will help cut
down the time lag with me sending them the
followup email. Hopefully with all the parties CC’d
we'll get to the root of any problems to cut down on
these in the future. Thanks.
They are: ERO/SPECRO: John Griffin & Frank
Zurschmit
NERO: Tony Sychtysz
RFI: Williams Miller
MARO: Mat Lupino
SERO: Jim Reilly’
SWRP: Benton Hall
Cheryl
199a
‘Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant Discipline
Exhibit 74, p.1
From: Michael Evolo
To: Nina Owens
Cc: Rick Beidleman
Sent: Thursday, 15 January 2004 9:54 am ET
Subject: [Redacted]
Nina,
During [redacted] performance review on August 7th,
I discussed with him how his “lack of accuracy and
the mishandling of certain calculations compromised
the integrity of our financial statements. I also
discussed with him my expectation that his
calculations balance back to the General Ledger and
that he think through his actions when completing
his assigned tasks. As a follow up to his performance
review [redacted] and I met to discuss his work
performance since his last review and I reported to
him that I am satisfied with his progress. I will
continue to closely monitor his work performance and
provide him with the necessary feedback from which
he can gauge his progress. -
Michae! S. volo, CPCU, ARe
Reinsurance Department
Utica National Insurance Group
Phone — 800.274.1914 Ext. 2544
E-Mail — Michael.evolo@uticanational.com
Fax — 315.734.2662
200a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant Discipline
Exhibit 74, p.2
Utica National Insurance Group [Logo] Insurance
that starts with you
To: [Redacted]
Office, Dept. Reinsurance
Date: May 17, 2005
From: Michael Evolo
Office, Dept. Reinsurance
Subject:. Written Warning
Cc: Dane Austin
This is a follow up to our meeting on Friday, May
13th, and is considered a formal “written warning”
regarding the incident that took place during the
week of math 9th. A discussed, you produced an
exhibit that was forwarded to Holborn
Intermediaries that contained inaccurate
information. Specifically, you overstated our
catastrophe losses for 1992 by $41M dollars. As we
discussed, the Reinsurance Department's most
important competency is producing accurate
accounting iaformation. As such, each Reinsurance
Accountant is responsible for producing accurate
results. ”
In reviewing this particular situation, it is clear that
you did not review your exhibit for accuracy or
reasonability, both of which should be a customary
practice. While I certainly understand che challenge.
of compiling the data, there is no excuse for not
checking your work. Should there be another incident
201a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant Discipline
Exhibit 74, p.2-3
involving inaccurate information within the
next 12 months, further disciplinary action may
result. |
[Redacted] you must give serious consideration to
dedicating additional effort in reviewing your work
product to ensure its accuracy. Further to our
conversation regarding the work time, it is also
important to remember that as an exempt
professional, you are expected to work the required
number of hours necessary to accomplish the work.
Please let me know if you have any questions
s/
[Redacted]
2
[Logo] Utica National Insurance Group
Your Employee Handbook
Section: Discipline
Levels of Discipline
Discipline is administered in accordance with the
level of the offense. While the Company’s disciplinary
procedure is progressive in nature, not all steps are
followed in all cases. Levels of discipline include:
1. Verbal Warning
2. Written Warning
3. Disciplinary Probation
4. Temporary lay-off without pay
5. Demotion
6. Termination
- Disciplinary Offenses
202a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant Discipline
Exhibit 74, p.3
Below is a list of actions and/or behaviors which are
considered to be unacceptable conduct or unsatisfac-
tory performance. These offenses would generally
require the supervisor/manager to follow the outlined
progressive disciplinary steps; such offenses include
but are not limited to the following:
¥ Tardiness
v Poor work performance
v Excessive absenteeism
v Violation of Company traffic or parking rules
v Use of profane or abusive language
’ Horseplay or pranks
Below is a list of actions and-or behaviors that so
interfere with the work of other employees and
conduct of the Company’s business that progressive
discipline may not be followed. These offenses may
subject an employee to discipline up to and including
immediate discharge; such actions or behaviors
include but are not limited to the following:
¥Y Unauthorized possession, or destruction of
Company property or another employee’s property
v Unauthorized possession of firearms or weapons of
any kind on Company property
¥ Gambling on Company premises
Y Insubordination or willful disregard of an order or
willful neglect of duty |
¥ Falsification of any Company records
Y Date” 03/01 Page 1
3
203a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Accountant II — 2003 Review
Exhibit 23, p.1
Utica Nationa] Insurance Group
EMPLOYEE PERFORMANCE REVIEW
{Logo] Employee [Redacted] Office/Dept. U1 01 14 04
Job Title Accountant II Grade 11
Length of Time in Position 2 yrs.
Date of Review [blank]
Job Description: x Is Satisfactory oNeeds Updating
oNeeds to be Re-Evaluated [stamp] Aug 15 2003
fhandwritten] 416-11
Reason for Review: A — Annual Review
Directions: Place an “X” in the box which best
describes the employee's level of performance in
each category. Use the comments area to support the
rating given. PERFORMANCE PLAN OF ACTION:
State the agreed-upon performance improvement
objectives: Each objective should include an action
plan and time frame for completion.
REQUISITE PERFORMANCE FACTORS
Quality:
Give consideration to aspects such as:
« Accuracy -
« Neatness
- Thoroughness
« Need for Checking
o Work rarely requires correction or review. Work is
consistently error-free, complete and thorough.
0 Work is generally error-free, complete and
thorough, requiring minimal correction or review.
oO Meets expectations for accuracy and thoroughness;
204a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Accountant II — 2003 Review
Exhibit 23, p.1
may require some supervisory review.
x Sometimes produces work which is below
expectations and standards for thoroughness or
accuracy. Often requires supervisory review.
o Makes excessive error requiring considerable
correction and ongoing supervisory review.
Jomments: Producing timely and accurate work
must be a priority. There have been a number or
instances where [redacted] didn’t take time to
reconcile or verify his work before submitting it.
(Asbestos billings to JPWoods, AAD Summary, KE & O
Settlement billing, Gen Re Profit Sharing calculation
and the AMRECO journal entry error). These have
all proven to be costly errors. [Redacted] has the
knowledge and the understanding to produce quality
results, however, he must take the time to verify his
work by reconciling it back to the General Ledger,
ask himself “does this make sense” and/or ask his
supervisor if he doesn’t understand a particular
calculation. It is crucial that [redacted] understands
how his work-product effects the financials and the
ramifications of being incorrect.
Productivity:
Give consideration to aspects such as:
+ Quality
+ Speed
- Deadlines
- Service
0 Consistently exceeds expectations for quantity and
2Z05a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Accountant II 2003 Review
Exhibit 23, p.1,6
timelines. Deadlines are always met and work is
often ahead of schedule. Consistently demonstrates
high commitment to service.
o Often exceeds expectations for quantity and
timelines. Deadlines are almost always met and
work may be occasionally ahead of schedule
Usually demonstrates high commitment
to service.
x Meets expectations for quantity and timelines.
Deadlines are usually met. Demonstrates good
commitment to service.
(J) In some instances work 1s below expectations for
quantity and timelines. Deadlines are occasionally
missed. Sometimes fails to demonstrate
commitment to service.
UW Does not mect minimum expectations for
quantity and timelines. Deadlines are frequently
missed. Fails to demonstrate commitment to
service.
2-r-249 Ed. 1-03 ]
PERFORMANCE PLAN ACTION: State the agreed-
up performance improvement objectives. Each
objective should indicate an action plan and time
frame for completion.
Factor Quality
Objective(s) To produce accurate and timely
reinsurance accounting information. To maximize
ProCede potential through efficiency of process,
determination of management information,
206a
Appendix D
Case 6:06-cev-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Accountant IT — 2003 Review
Mxhibit 24, p.6,9
financials, etc. To enhance operational efficiencies
in thepayment of our reinsurance premium
obligations and recovery of losses
Plan of Action -Take time to step back and assess
your work ~— 16 it correct? Does it make business
and practical sense? -All accounting work needs to
reconcile back to the general ledger! -Learn the
potentials of ProCede and exploit the possibilities
-Be aggressive in the learning of the ProCede
system —constantly ask “why?”
Factor Productivity
Objective(s) [blank]
Plan of Action [blank]
Factor Job Knowledge
Objective(s) To attain the highest degree of
technical expertise
Plan of Action -Continue successful completion of
undergraduate studies to complete your degree in
Accounting. -Successful completion of ARe series
-Completion of company sponsored PC classes
Crystal training. Timeframe: August 2003. —Close
interaction with Supervisor in order to understand
the ‘big picture” —Actively participate in reinsurer
and broker meetings in order to gain a better
understanding of the reinsurance market
6
Formal Report/Presentations [Blank]
ADDITIONAL COMMENTS
[Redacted] is a conscientious, hard working employee
ZY) la
Appendix D
Case 6:06-cev-1392-GTS-GHL,,
U.S. Distret Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/24/04
Accountant IT - 200% Review
KM xhibit 23, p.9
who wants to do the nygbt thing. Some of the mi
steps that have occurred should be considered
learning expenences, however, [redacted] should
understand that his credibility has been strained and
he must work to rebuild his reputation. Accurate
remnsurance accounting is vital and [redacted] need:
to realize his work is extremely important to the
integrity of our financial statements. lam committed
to providing [redacted] with the necessary tools and
direction needed to accomplish his responsibilities in
a timely and accurate manner. It is important that
whenever [redacted] does not understand a
reinsurance issue, he have the fortitude and maturity
to ask me for help. | look forward to working with
fredacted| over the next year to accomplish hi
personal yoals and the poals of the reinsurance
department. [Redacted] and | have discussed the
need for improvement in the quality of his work
(error free) and he fully understands that of the
quality of his work docs not sufficiently improve
within 90 days of his review further disciplinary
action wall result
Mmployee Comments: {blank}
Kmployee'’s Acknowledgement
This is to acknowledge that my supervisor review my
yob progress with me on 8/7/05 (date). My signature
indicates that | understand the contents of thi
review. It does not necessanly indicate that | ayree
with its contents. Employee [s/ redacted] $
208a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Deposition Transcript Austin, Excerpts
Exhibit 35, p.1
1 STATE OF NEW YORK
FIFTH JUDICIAL DISTRICT
SUPREME COURT COUNTY OF ONEIDA
GRAZYNA H. CHRISTMAN
Plaintiff
6 -vs- Case No. 6:06-cv-1392
7 UTICA NATIONAL INSURANCE GROUP, INC.,:
8 Defendant
g * * * * * * * * * * * * * * * * *
10
11 HELD AT: GETNICK LIVINGSTON,
ATKINSON, GIGLIOTTI & PRIORE, LLP
12 258 Genesee Street
Utica, New York
13 November 8, 2007
14
15 EXAMINATION BEFORE THE TRIAL of DANE .
AUSTIN, taken by
16 the Plaintiff, pursuant to Notice.
17
oO ee WD bd
APPEARANCES:
18
19 STEFAN D. BERG, ESQ.
Attorney for Plaintiff
20 309 Arnold Avenue
Syracuse, New York 13210
21 GETNICK, LIVINGSTON, ATKINSON,
GIGLIOTTI & PRIORE, LLP
209a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. Iéstrict Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Deposition Transcript Austin, Excerpts
Exhibit 35, p.1,11
22 Attorneys for Defendant
258 Genesee Street
23 Utica, New York 13502
BY: JOSEPH.A DETRAGLIA, ESQ., of Counsel
24
25 1]
1 proceed’?
2 A. I don’t remember specifically how to
proceed, other
3 than to keep me informed as the month went
on. The outcome of
4 the early January meeting was that over the
next thirty days
would be critical to Grazyna’s continued
employment there and
6 that she had to dramatically improve on her
working |
relationships and on accuracy of her work,
accuracy and
8 timelines.
9 Q. Subsequent to the January meeting, did
oy
~]
you have
10 further discussions with Mr. Evolo about Ms.
Christman?
1] A. Certainly.
12 Q. And do you recall the general substance of
those
13 meetings?
14 A. Regarding?
210a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Deposition Transcript Austin, Excerpts
Exhibit 35, p.11,14
15 Q. Ms. Christman
16 A. In general, yes. As errors would pop up, we
would
17 discuss those errors and problems, and working
relationship
18 issues. It was clear to me that progress was
not being made
20 Q. Did there come a time in January of’ 05
when you
21 suggested to Mr. Evolo that she should be
terminated?
22 A. I don't recall that. In January of '05, we had
23 agreed to give Grazyna thirty days to take a
serious run at
24 this, to try to get back on track.
25 Q. Do you recall which of you made the first
statement
14
1 Q. Sir, I would like to ask you about another
employee in
2 the department who, at that time in ’04, was an
Accountant I].
3 Are you familar with that employee?
4 A. Yes.
5 Q. During this time frame — obviously, we are
- only.
6 discussing the time frame of about November
04 until.
January/February 05 while you were the
~]
Z1lla
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Deposition Transcript Austin, Excerpts
Exhibit 35, p.14-15
Director, while Ms.
8 Christman was employed there — did Mr.
Evolo raise with you
9 issues about accuracy of the work of the
Accountant IT?
10 A. Issues or issue? There was an accuracy
problem, but
11 not a tom of problems, not a ton of errors. Not
a large
12 number of errors.
13 Q. How did you, in your mind distinguish
between the accuracy
14 problems of Ms. Christman and the accuracy
problems
15 of Accountant I]?
16 A. I can’t remember specifically how I
remembered them.
17 In general, | can remember them as Ms.
Christmar numerous
18 errors and ._.¢ Accountant II did not have
numerous errors.
19 Q. Issue was also raised regarding working
20 relationships of Ms. Christman and of
Accountant II. Were the
21 working relationship issues of Accountant I]
raised with you,
22 also?
23 A. I don't recall issues of working relationship
with
212a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Deposition Transcript Austin, Excerpts
Exhibit 35, p.15-16
24 Accountant II.
25 Q. Okay: When you were considering
terminating Ms.
: 15
1 Christman’s employment, did you compare her
performance with
2 that of the other two employees in the
department?
3 A. Yes, I’ sure I did.
4 Q. And how did you rate them?
7 A. How did I rate them?
6 Q. When you prepared the three, what
conclusions did
7 you draw?
8 A. Between the three?
9 Q.: Yes.
10 A. I’m not sure I follow your line of thinking
on that.
1] Q. You did compare in your mind the
performance of
12 Grazyna and the two other employees?
13 A. I'm sure I did.
14 Q. How did you distingwish Ms. Christman’s
performance
15 and the performance of the other two employees’?
16 A. I can't recall specifically exactly how I
thought. |
17 Q. Do you recall, in general, what you were
thinking?
213a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U:S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Deposition Transcript Austin, Excerpts
Exhibit 35, p.16
18 A. Yes.
19 Q. And what was that, sir?
20 A. That. Ms. Christman’s inaccuracy — errors,
I should
21 call them — errors and working relationships
issues far beyond
22 what could be tolerated in an accounting
position,
compared to
23 what we had with the other accountants.
24 Q. The errors of the other accountants were
not as
25 numerous as those of Ms. Christman”
16
] A. Nowhere near.
2 Q. And what about the impact on the work
product of
3 Utica National, the impact of the errors on the
Utica National
work product?
5 A. In that sixty-day time period? I don’t recall
any
6 errors of the Accountant II in that sixty-day time
period. If
7 I ‘m trying to get to the impact of Mr. Christman’s
errors on
8 Utica National —
9 Q. Yes.
10 A. -- it’s a two-pronged problem. One is that
214a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7:1 Response Filed 05/28/08
Deposition Transcript Austin, Excerpts
Exhibit 35, p.16
outside
11 - - errors that went out to outside entities, if
you will, created
12 problems for us in terms of our credibility with
reinsurers.
13 Credibility with reinsurers parlays into their
risk tolerance
14 or their risk appetite with a carrier. So if errors
are
15 produced to outsiders, you become a tess
desirable ceding
16 company to those reinsurers, which, in a
shrinking world of
17 the number of reinsurers, that’s a problem.
Reputation is
18 everything for our company. From an internal
management —
19 standpoint; errors can lead to wrong decisions,
wrong
20 directions, wrong strategy. Accounting is
precise and has to
21 be accurate. |
22 MR. ‘BERG: Thank you,'I don’t think I’ve got’:
23 any other questions.
24: ~~ ~~ *+(A brief recess was taken.)
25 (Whereupon, the Examination concluded.)
215a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-5
Plaintiffs Rule 7.1 Response Filed 05/28/08
Plaintiff 02/11/05 Email
Exhibit 42
Michael Evolo/UNIG
02/14/2005 12:47 PM
To: Grazyna Christman/UNIG@UNIG
cc: Dane Austin/UNIG@UNIG
bcc: Nina Owens/UNIG@UNIG
Subject: Re: January Meeting
Grazyna,
Let’s plan on meeting later this week. I'll let you
know the particulars.
Thanks —
Michael S. Evolo, CPCU, ARe
Supervisor of Reinsurance Operations
Utica National Insurance Group
315.734.2544
800.274.1914 Ext. 2544
Fax — 315.734.2662
Grazyna Christman/UNIG
(Picture]
Grazyna Christman/UNIG
02/11/2005 04:49 PM
To: Michael Evolo/(UNIG@UNIG
cc: Dane Austin/UNIG@UNIG
Subject: Re: January Meeting
Mike,
Could you please tel) me when we will meet to do a
“30 days follow up” to our 01/06/05 meeting?
216a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-5
Plaintiffs Rule’ 7.1 Response: Filed 05/28/08
Plaintiff 02/11/05 Email
Exhibit 42
Thank you.
Grazyna H. Christman
Reinsurance Accounting '
Utica National Insurance Group
P.O. Box 530
Utica, NY 13503
Email: grazyna.christman@uticanational.com
Phone: 800/274-274-1914, ext.2214 or 315/734-2214
Fax: 315/734-2662
217a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant 09/20/04 Email
Exhibit 33, p.1
Rick Biedleman/UNIG
09/20/2004 10:15 AM
To: Grazyna Christman/UNIG@UNIG
cc:
bee: °
Subject: Re: Fw: 2004 Performance Review
History: This message has been replied.
Grazyna,
Yes I have.
I apologize for the delay in responding.
We'll get together shortly.
Rick 7
Grazyna Christman/UNIG
[Picture]
Grazyna Christman/UNIG
09/15/2004 02:28 PM
To: Rick Biedleman/UNIG@UNIG
cc:
Subject: Fw: 2004 Performance Review
Good afternoon Rick,
I was wondering, if you had a chance - as per our
conversation back in August — to go over my
comments added to the annual performance review.
Thank you,
Grazyna H. Christman
218a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs: Rule 7.1‘Response Filed 05/28/08
.' Defendant 09/20/04 Email
Exhibit 33, p.1-2
Reinsurance Accounting
Utica National Insurance Group
P.O. Box 530
Utica, NY 13503
Email: grazyna.christman@uticanational.com
Phone: 800/274-274-1914, ext.2214 or 315/734-2214
Fax: 315/734-2662
***** Forwarded by Grazyna Christman/UNIG on
09/15/2004 02:19 PM *****
[Picture]
Grazyna Christman/UNIG
08/11/2004 11:12 AM
To: Rick Biedleman/UNIG@UNIG
CC:
Subject: Re: Fw: 2004 Performance Review
]
Rick,
I would like to say thank you forgiving me an
opportunity this morning to express my views and
concerns related to the reviews (both nine months
and annual) prepared by Mike and your offer to go
over 59 pages of my response, which I added on July
26, 2004.
I really appreciate it and will await your reply.
Grazyna H.-Christman
Reinsurance Accounting
Utica National Insurance Group
P.O. Box 530
Utica, NY 13503
219a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-5
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant 09/20/04 Email
Mxhibit 33, p.2
Kmail: grazyna.christman@uticanational.com
Phone: 800/274-274-1914, ext.2214 or 315/734-2214
hax: 315/734-2662
Rick Beidelman/UNIG
08/10/2004 12:18 PM
To: Grazyna Christman/U NIG@UNIG
aia
bee:
Subject: Re: Fw: 2004 Performance Review
Grazyna
How about first thing (7:00) tomorrow morning? That
work for you?
Rick
Grazyna Christman/UNIG
[Picture]
Grazyna Christman/UNIG
08/10/2004 11:42 AM
To: Rick Biedleman/UNIG@UNIG
CC:
Subject: Fw: 2004 Performance Review
Hi Rick,
May I ask for a few moments of your time to discuss
briefly my performance review prepared by Mike? |]
wish to escalate this issue to a higher level, but
would not like to do that without taking to you first
I fully understand that your schedule is very busy
and involves trave] in the near future and I certainly
2204
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant 09/20/04 Email
Exhibit 33, p.2-3
would not like to interfere with it. Could you please
let me know what time would be convenient for you?
“7
Thank you!
Grazyna H. Christman
Reinsurance Accounting
Utica National Insurance Group
P.O. Box 530
Utiea, NY 14503
Kmail grazyna.christman@uticanational.com
Phone: 800/274-274-1914, ext.2214 or 315/734-2214
Fax: 315/734-2662
*eee* Forwarded by Grazyna Christman/UNIG on
08/10/2004 11:17 AM *****
[Picture]
Grazyna Christman/U NIG
08/11/2004 11:15 AM
To: Michael Evolo/UNIG@UNIG
bb
Subject: Re: 2004 Performance Review
Thank you Mike, | appreciate it!
Grazyna H. Christman
Reimsurance Accounting
Utica National Insurance Group
PQ. ox 530
Utica, NY 13503
Email: grazyna.christman@uticanational.com
Z2Z1a
Append vf)
Case 6:06-cv-1592-GTS-GHL
US. Distmet Court NYND Document 40-4
Plammtiffs Rule 7.1 Re: ponse Miled 05/28/08
Defendant 09/20/04 Kmagl
Mxhibit 33 poo
Phone #00/274-274-1914. ext 2214 or 415/744-2214
Fax: 415/734-2662
Michael levolo/U NIG
Michael Evolo/U NIG
08/10/2004 11:11 AM
To: Grazyna Christman/UNIG@UNIG
ce
ne
subject: Z004 Performance Review
Ggrazvyni
lL have discussed with Rick and Nina your desire to
advance your opinions to a higher level, At this point
it will be up to you to schedule time with them
Michael S. Evolo, CPCU, ARe
Supervisor of Reinsurance Operation
Utica National Insurance Group
$1.4544.2544
400.274.1914 Ext. 2544
Fax — 315.734.2662
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Reply 2004 Review, pp.1-2,59
Exhibit 31, p.1
ADDITIONAL COMMENTS
Grazyna must give serious attention to improving
her performance and her ability to work with others.
I have outlined a number of instances where she has
fallen short in both of this areas and my expectation
is that she will make them both priorities in the
coming year. Her delivery in conversations 1s
perceived as abrasive and confrontational so she
must be willing to make an adjustment in the way
she interacts with others in order to gain their
respect. She must also be willing to recognize my
attempts to provide her with feedback as a means of
helping her and not show resistance or deny the facts
— she needs to be cooperative. I expect that she will
be mature enough to receive this critical feedback
and use it to better understand what needs to be
adjusted,
Grazyna has exhibited some technical skills with the
use of the computer and she should work this to her
advantage. She must take this strength and broaden
its application in an effort to increase our efficiencies.
She must bring forth ideas that will improve our
effectiveness, especially during the cross-over to
ProCede.
I expect that Grazyna will complete the following in
order to improve her performance:
- ARe designation
- Improve her working relationships with both
internal and external customers. (to be reviewed
223a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Reply 2004Review, pp. 1-2,59
Exhibit 31, p. 1
periodically by supervisor)
- Be cooperative with everyone she has contact with.
- Contribute willingly and productively to ProCede
and other departmental objectives.
- Use her knowledge and expertise to develop an
overall understanding of department's job’s
objectives, implement appropriate priorities where
discretionary, and meet deadlines imposed.
Employee Comments:
1 would like to thank my supervisor, Mike Evolo for
his time to do my annual performance review. For
the record I wish to include my reply to a 9-months
work performance prepared ky Mike and discussed
on 5/11/04. I had been quite disturbed by that
evaluation and Mike’s commentary to my response,
and even more by the annual review and no salary
increase. (cont. Page 2)
Employee's Acknowledgement
This is to acknowledge that my supervisor reviewed
my job progress with me on 7/22/04 (date). My
signature indicates that | understand the contents of
this review. It does not necessarily indicate that |
agree with its contents.
Employee Please see the.attached
Supervisor s/ Michael 8. Evolo
Manager s/ R. Beidleman 7/22/04
224a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
2004 Review, pp. 1-2,59
Exhibit 31, p. 2,59
Page 2 of 59
The review had not reflected my performance
through the whole year. The negative comments
seemed to have been chosen selectively, and positive
ones — omitted. The comments had been incomplete
and/or inaccurate.
I consider myself.a hard working, dedicated,
intelligent and well educated employee, who has a
good understanding of her job responsibilities. I feel
that there have been situations within Reinsurance
Unit, which did not seem night. Like unevenly
distributed workload; my co-workers excessive and
not business related activities during work hours; co-
workers not assuming ownership.of their errors; lack
of guidance and advising from higher graded co-
workers (Accountants: II and Senior) of less
experienced staff members; promotion merits.
I had questioned/brought these to Mike’s attention
during past year. I would lke to put comments to
various Performance Factors right on the copies of
supporting documentation:
Please see the following pages.
[Pages 3-58 omitted]
Page 59 of 59
This concludes my comments.
Thank you for your time to review.
s/ Grazyna Christman 07/26/04
225a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendants JPWoods Managers Meeting
Exhibit 73 (Reformatted Calendar)
March 10/26/2004 10:57 AM
Sun
Mon 1 GRC-Personal Umbrella audit
Tue 2 GRC-Personal Umbrella audit
Wed 3 JPW Asbestos Conf Call
GRC-Personal Umbrella audit
Thu 4 Odyssey Re-Dominique Simeon/Roger
Rossiter-Surety Renewal
Frid’ Odyssey Re-Dominique Simeon/Roger
Rossiter-Surety Renewal
JPWOODS SURETY RECOMMENDED
LINES FROM JPWOODS
Sat 6
Sun 7
Mon 8 Gib Brady and Dave Tritton-Benfield-Dinner
Tue 9 JPWoods Account Managers Meeting
Wed 10 JPWoods Account Managers Meeting
Thu 11 Tony Clayton/Harrington Syndicate
Fril2 SURETY FIRM ORDER
Tony Clayton/Harrington Syndicate
Sat 13
Sun 14
Mon 15 GRC Claims-Kathy Karnell, Beth Brenton,
Martha Lindner
Tue 16 GRC Claims-Kathy Karnell, Beth Brenton,
Martha Lindner
Wed 17 GRC Claims-Kathy Karnell, Beth Brenton,
226a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiff's Rule 7.1 Response Filed 05/28/08
Defendants JPWoods Managers Meeting
Exhibit 73 (Reformatted Calendar)
Martha Lindner
Lunch with Tim Brophy/Scott Burgess Willis
Thu 18 GRC Claims-Kathy Karnell, Beth Brenton,
Martha Lindner
JPWoods-Cat Modeling team teleconference
Fri l9 SURETY FIRM ORDER
Sat 20
Sun 21
Mon 22
Tue 23 Rick-NYPIA
Wed 24
Thu 25 Dinner with Tom Barberi and Tom
Gaughran-BF Re
Fri 26
Sat 27:
Sun 28
Mon 29
Tue 30 PCAT INFO TO WOODS-ACTUAL
Wed 31 Dinner with HSB
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendants JPWoods Managers Meeting
Exhibit 73 (Original Format)
f ‘ ieee =
| {
} 4 j
| |
{ | |
‘ 3 i
| “|
'
i -. - ~
j= — n n }
> }
~ |
ES = a }
- : & a a a x Y i
= Ms > =r : = = |
ec es > - = -_
| €3¢ 2222 | >. 24] = |
e=s26 <2 - = = St - = {
ae we = 3 o S| bad j
REL ASUS x= 72). == |
~Wer- Si we Ss an7D= =} in Ss = -
S44 2532225 —7>2=-DHR=Fs Im
4 ——_ cettaiaeseaiiaiaa
: i = j °
= ™ < o . | = E=
a " ae G ' x > E o} cz
t 3} 6. a t tt as
} = =y3* € ELS ‘=e SP
~ = ax! = « == onitn — i
PFaue 3 0 6| Sag get Fe
Beet S¥ {| *9Ss See
| cevae ~ES ches =3H € >
| SSE6% - 525 joox svt 3 3] € 2
{ i >> 2. jz 2
i e+Oclcaxa —--UF j- Vx“ s2 3eS29
——— _ —— — — ——-— 4 ——
| ” SS s }
i S 2 L e 4 =
| Vv = I= cen - 2
~} = £5 gE es: ah ie
. =] = o
2 = £2 , 2s 223s en tee
sa z oc 2 = 3 =. =A | > z
} - = Ya = ¢ « at j z be
z< 4s ° O¥ss Fee * :
| } 3 Os $e VEEY YES) -« z
= == jon & ~-eeee a 22aler :
{ jm A -o j= - 2 -Cxc —~ jx a=
- . met: Hahei Ses ey ERE oe ‘ 4 }
b: | if
< i} \ re
mae. } Z -
= | i { == ; <
i = > x 2 ; =
com } cs 3 Y i t %
i 4, 4 { ve e=z < ; i.
z =| ae i << ve a aes
<S : ae
2 | a 5 cae S Sed = | 2s
24 | iv i & % v=o a } =
Nd -*- © ve 5 ~ | zx
2 ii le oS .&3 ewzse: ~ Pe igre
| \~ ins —Uace ax jimis
ig ete tee ~<a SS ae ee ee
Pe i | }
e =
| a) w
= i 62 ra
Ss r
= &- i z= ee
< 4 5 3 = <
> & 2 P| > c ¥y
< Ie : 2 =<
a 2 | > 4 | Bee
ae) j Pec: , §%
E i a2 Sv ~~ese
vs . ass YVEER
= Ec 1; 2°: mesgtet a >
-mCoc jo oe-c -O- Tt o~ om
= a —— -
ue
}
iw _ 2
c~ = i™ ee
228a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Sr Accountant — 2004 Review
Exhibit 25, p.2
Comments: [Redacted] tends to work in a methodical
and determined manner, his quality/quantity balance
continues to be good and he committed extra time on
a number of occasions in order to ensure deadlines
were met. [Redacted] likes to be sure his work is
complete, but at times he may be too thorough
creating some redundancy. Accuracy complemented
by efficiency s[redacted] goal.
[Redacted] has shown good balance between
analyzing potential difficulties of a plan or strategy
and being optimistic. Cutting over to ProCede this
year will be a challenge and I expect that [redacted]
will embrace its full potential.
During year-end processing, [redacted] committed
extra effort and time to complete his responsibilities
as well as assist others in completing theirs.
Seeing task to completion — The Letters of Credit
imaging project was to have been completed by
December 1, 2003 ~— it has not been finished. It must
be bought to conclusion by May 1*.
Job Knowledge:
Give consideration to aspects such as:
« Comprehension
- Retention
a Has comprehensive knowledge of the job.
Consistently adds to job knowledge.
o Has solid understanding of the job. Frequently
adds to job knowledge.
x Understands the major aspects of the job. Retains
229a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Sr Accountant — 2004 Review
Exhibit 25, p.2
learning. Occasionally adds to job knowledge.
0 Does not consistently demonstrate adequate
knowledge or major aspects of the job. Repetition of
mistakes in some areas results in retraining.
oO Does not demonstrate knowledge of basic job
concepts. Continuously repeats mistakes.
Comments: [Redacted] has added to his reinsurance
knowledge by successfully completed ARe141.
[Redacted] must continue his ARe studies and is
expected to complete the ARe designation by the end
of 2005. [Redacted] participated in company
sponsored training in Access and Crystal.
{Redacted} needs to continue to expand his
understanding of reinsurance and it is expected that
he ask questions and get involved in projects — he .
must be willing to go beyond previously perceived job
boundaries.
(Redacted] has attended insurance claims audits and
has visited JPWoods’ office in order to gain first hand
knowledge of their work process. [Redacted] is also a
participant in our monthly recoverable meetings
(asbestos and general recoveries) with JPWoods.
[Redacted] mentioned in his pre-view questionaire
that he becomes frustrated with the lack of explana-
tions or understanding of certain aspects of his job. —
[redacted] needs to be assertive in getting complete
answers to his questions. If after he has exhausted
his sources and is still uncertain or unclear he must
pursue further explanation from me or Rick.
230a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Sr Accountant — 2004 Review
Exhibit 25, p.2,6
Working Relationships:
Give consideration to aspects such as:
« Cooperation
« Ability to work for/with others
- Flexibility
o Consistently maintains basmanious working
relationships with diverse group. Excellent
acceptance by others. Consistently communicates
well with others. ;
x Often establishes harmonious relationships. Very
good acceptance by others. Usually communicates
well with others.
o Relationships are generally positive. Good
acceptance by others. May communicate well with
others
oO Has difficulty in consistently establishing or
maintaining harmonious relationships. Has
difficulty in communicating with others.
Oo Poor working relationships requiring frequent:
supervisory intervention. Consistent difficulty in
communicating with others.
2
PERFORMANCE PLAN ACTION: State the agreed-
up performance improvement objectives. Each
objective’ should indicate an action plan and time
frame for completion.
Factor Quality
Objective(s) To maximize ProCede potential in
producing accurate, complete and timely
23la
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Sr Accountant — 2004 Review
Exhibit 25, p.6
reinsurance accounting data through the use of
designed electronic reports. Strive to aggressively
pursue the timely collection of reinsurance
recoverables — collection of outstanding balances
within the first 90 days of the billing. To increase
our ability to efficiently and accurately monitor our
reinsurance recoverables, e.g. create crystal reports
in ProCede that allow us to track reinsurer
payment history, outstanding balances, billing
information, etc. |
Plan of Action -Pursue collections with vigor and
tenacity. Be aggressive on recoveries in order to
improve our collection effort. -Supervisor will seek
the availability of professional training in
collections — in order to aid in our loss recoverable
process. -Don’t settle for status quo — always look to
find a more efficient way of completing your job. —
Take time to ask yourself if a report or specific
output makes business sense. If it doesn’t, be
assert[redacted] in your search for answers. —Use
the phone to make contact with reinsurers who owe
us money. Use e-mail as a follow-up and
documentation tool.
Factor Productivity
Objective(s) [blank]
Plan of Action [blank]
Factor Job Knowledge
Objective(s) To attain the highest degree of
technical reinsurance and reinsurance —accounting
232a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District. Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Sr Accountant — 2004 Review
Exhibit 25, p.6
expertise. To develop a solid understanding of
ProCede.
Plan of Action -Continue successful completion of
ARe coursework. Timeframe: complete ARe
142 — Fall ’04. Complete the ARe program by
12/31/05. —Understanding of our reinsurance
- contracts-terms, conditions, specific articles, etc.
Understanding of our reinsurance treaties and how
they relate to our primary policies as well as the
involvement of the claims department.
Understanding of our claims system, Claims Work
Station.
6
2334
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Sr Accountant - 2005 Review
Exhibit 24, p.7
Factor Job Knowledge
Objective(s) To attain the highest degree of
technical reinsurance and reinsurance —accounting
expertise thus becoming the best ceded reinsurance
department in the business. To develop a solid
understanding of ProCede. To strengythen
knowledge and understanding of the reinsurance
premium job tasks. To strengthen knowledge and
understanding of Schedule F and our Annual
Statement. To take responsibility for understand-
ing how the reinsurance department fits into the
corporate “bigger picture”.
Plan of Action -Continue successful completion of
ARe coursework. Timeframe: complete ARe
142 — Fall '05. Complete the ARe program by
12/2008. —Thorough understanding of our
reinsurance contracts-terms, conditions and
specific articles within our contracts. Read a
different contract each month and review
questions/comments with Supervisor. (Dave to
schedule this training in April using LotusNotes)
-Ongoing training (weekly/monthly) on Schedule F
and Annual Statement items — to be scheduled by
supervisor. —By 12/31/05, have a clear
understanding how to navigate through ProCede.
Participation in reinsurers meeting, broker
meetings and reinsurance audits in order to gain
additional knowledge of reinsurance.
Factor Working Relationships
2340
Append xD
Case 6:06-cv-1392Z GTS-GHL
1) S District Court NYND Document 40-0
Plaintiffs Rule 7.1 Response Filed 00/26/06
Sr Accountant — 2005 Review
Kxhibit 24, p./
Obyective(s) [blank|
Plan of Action {blank}
2a
Appendix D
Case 6-06-ev-1592-GTS-GHIL,
US. Distret Court NYND Document 40-9
Plaintiffs Rule 7.1 Response Filed 05/24/08
Defendant ARe Designation
Exhibit 4%, pI
From: Michael Evolo/UNIG
10/13/2004 06:11 AM
To: Grazyna Chnistman/UNIG@UNIG
CL;
bee:
Subject: Re: Disability
History: This message has been replied to
Grazyna,
The worksheet you prepared for me yesterday
outlining your vacation time did not include 10/29,
however, your email below does 7”? Please clarify
and let me know
As for your ARe exam, | presume, you will reschedule
for the first quarter of 2005
As you have mentioned, please complete an
exhaustive list of your responsibilities that need to be
completed during your absence
Thanks -
Michael S. Kvolo, CPCU, ARe
Supervisor of Reimsurance Operations
Utica National Insurance Group
415.744.2544
800.274.1914 Ext. 2544
Fax — 315.734.2662
Grazyoa Christman/UNIG
[Picture]
Grazyna Christman/UNIG
10/08/2004 10:26 AM
236a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-9
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant ARe Designation
Exhibit 88, p.1-2,
To: Michael Evolo/(UNIG@UNIG
cc:
Subject: Disability
Mike,
Just to confirm our conversation this morning:
- my disability will start on 11/11/04 (day of surgery).
I talked to Brent in HR and per his instructions
called Prudential to initiate a claim;
- | will not be using my scheduled vacation time in
December and will take it prior to the surgery as
follows: Fridays 10/08, 10/15/ 10/22, 10/29 and 11/05
— quarter day each (total 1.25 days); Wednesday .
11/10 — whole day. That adds up to 2.25 days, which
according to my records I have available. Please let
me know if in agreement.
- | talked:to Cherie Mullen in regard to ARe exam —
they will pull the form out;
- | anticipate to complete the quarterly tasks before
my disability and will prepare a list of those, which
will require attention in my absence.
1
Thank you for your support!
Grazyna H. Christman
Reinsurance Accounting
Utica National Insurance Group
P.O. Box 530
Utica, NY 13503
Email: grazyna.christman@uticanational.com
237a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-9
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant ARe Designation
Exhibit 88, p.2,4
Phone: 800/724-1914, ext. 2214 or 315/734-2214
Fax: 315/734-2662
y)
[Picture]
Grazyna Christman @UTICANATIONAL.COM
03/26/2004 09:16 AM
To: Michael Evolo@UTICANATIONAL.COM
cc:
bee:
Subject: RE: FW: RE: Coursework
Date: Fnday, 26 March 2004 8:16 am ET
To: Michael Evolbo@UTICANATIONAL.COM
From:Grazyna Christman @UTICANATIONAL.COM
Subject: RE: FW: RE: Coursework
Mike,
My apology, I did not mean to ignore you. Yes, I gave
it a second though, and still have to say that my
commitment will be for the fall semester.
Grazyna
Grazyna H. Christman
Reimsurance Accounting
Tel: (315) 734-2214
Fax: (315) 734-2662
Email: grazyna.christman@uticanational.com
o---222----------- (Forwarded letter 1 follows)------------------
Date: Friday, 26 March 2004 8:12 am ET
To: Grazyna Christman
From: Michael Evolo
238a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-9
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant ARe Designation
Exhibit 88, p.4-5
Subject: FW: RE: Coursework
G- May I have the answer please.
Michael S. Evolo, CPCU, ARe
Reinsurance Department
Utica National Insurance Group
Phone — 800.274.1914 Ext. 2544
E-Mail — michael .evolo@uticanational.com
Fax — 315.734.2662
Date: Friday, 19 March 2004 8:32 am ET
To: Michael Evolo
From: Michael Evolo
Subject: FW: RE: Coursework
Michael S. Evolo, CPCU, ARe
Reinsurance Department
Utica National Insurance Group
4
Phone — 800.274.1914 Ext. 2544
E-Mail — michael.evolo@uticanational.com
Fax — 315.734.2662
Date: Friday, 19 March 2004 8:32 am ET
To: Grazyna Christman
From: Michael-Evolo
Subject: FW: RE: Coursework
G- Lap
Would like to know if you have reconsidered your
239a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-9
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant ARe Designation
Exhibit 88, p.5
time line for ARe 141?
Thanks —
Michael S. Evolo, CPCU, ARe
Reinsurance Department
Utica National Insurance Group
Phone — 800.274.1914 Ext. 2544
E-Mail — michael.evolo@uticanational.com
Fax — 315.734.2662
Date: Friday, 15 March 2004 11:40 am ET
To: Michael Evolo
From: Michael Evolo
Subject: FW: RE: Coursework
Michael S. Evolo, CPCU, ARe
Reinsurance Department
Utica National Insurance Group
Phone — 800.274.1914 Ext. 2544
E-Mail — Michael.evolo@uticanational.com
Fax — 315.734.2662
Date: Friday, 11 March 2004 1:58 pm ET
To: Grazyna Christman
From: Michael Evolo
Subject: FW: RE: Coursework
a.
Would prefer that you didn’t wait that long.
Michael S. Evolo, CPCU, ARe
Reinsurance Department
240a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-9
Plaintiff's Rule 7.1.Response Filed 05/28/08
Defendant ARe Designation
Exhibit 88, p.5-6
Utica National Insurance Group
Phone — 800.274.1914 Ext. 2544
E-Mail — Michael.evolo@uticanational.com
5
Fax — 315.734.2662
Date: Friday, 11 March 2004 1:38 pm ET
To: Michael Evolo
From: Grazyna Christman
Subject: FW: RE: Coursework
Mike, I planned to do it in the fall — Nov/Dec exam.
Thank you!
Grazyna
Grazyna H. Christman
Reinsurance Accounting
Tel: (815) 734-2214
Fax: (315) 734-2662
Email: grazyna.christman@uticanational.com
won ene ween anne == (Forwarded letter 7 follows)------------------
Date: Friday, 11 March 2004 9:41 am ET
To: Grazyna Christman
From: Michael Evolo
Subject: Coursework
Grazyna,
I'd like you to get us all up and running again with
course work.......... .do you intend to sign up to
retake the ARe141 exam during May-June testing
241a
Appendix D
Case 6:06-ev-1392-GTS-GHL
U.S. District Court NYND Document 40-9
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant ARe Designation
Exhibit 88, p.6-7
period’?
Michael S. Evolo, CPCU, ARe
Reinsurance Department
Utica National Insurance Group
Phone — 800.274.1914 Ext. 2544
E-Mail — Michael.evolo@uticanational.com
Fax — 315.734.2662 6
[Picture]
Grazyna Christman/UNIG
12/30/2002 10:55 AM
To: Michael Evolo/UNIG@UNIG
ce:
bee:
Subject: RE: Coursework
Date: Monday, 30 December 2002 10:55am ET
To: Michael Evolbo@UTICANATIONAL.COM
From:Grazyna Christman @UTICANATIONAL.COM
Subject: RE: Coursework
Mike,
I'm sorry, but I won't be able to commit myself to the
exam during February-March testing window.
I had a follow up appointment in Cooperstown last
Friday. Keeping Schedule F in mind, I had postponed
my surgery till February — it’s scheduled for 2/13/03.
I'll be out on disability for a week or two. Under these
circumstances all I can do is just take one day at a
time.
Grazyna
—_— ee
242a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-9
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant ARe Designation
Exhibit 88, p.7
Grazyna.Christman@uticanational.com
Phone: (315)734-2214
Fax: (315) 734-2994
wee ene nnnnnneenne- (Forwarded letter 1 follows)------------------
Date: Friday, 27 December 2002 7:16 am ET
To: Grazyna Christman
From: Michael Evolo
Subject: Coursework
Grazyna,
Would like to talk with you about course work. Do
you intend to sit for an ARe exam during the
February-March testing block? Looking into the
future, what are your course work goals? Come by,
let’s talk about this.
Thanks-- :
Michael S. Evolo, CPCU, ARe
Reinsurance Department
Utica National Insurance Group
Phone — 800.274.1914 Ext. 2544 |
K-Mail ~ Michael.evolo@uticanational.com
Fax — 315.734.
243a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Sr Accountant 2003 Promotion
Exhibit 72, p.3 (Reformatted)
For the Record 3
Utica life employee Renee Baldwin [picture] has been
promoted to underwriter. Ms. Baldwin, a Utica
employee since 1994 previously held the title of
Underwriter Trainee. A graduate of Herkimer
County Community College with an A.A.S. degree in
business administration, she holds the ACS
professional designation as well as ALU-Part |
Certificate in Risk Selection. Ms. Baldwin also has
completed additional industry-related course work.
Lisa Legando [picture] has been promoted to RFI
Senior Claims Specialist. Formerly a Claims
Specialist, Ms. Legando joined the company in 2000.
She attended The Ohio State University and holds a
B.S. degree in social work from Bowling Green
University. Ms. Legando also holds the P&C and
Life/Health licenses.
HO Reinsurance employee David Raga has been
promoted to Senior Accountant. A Utica employee
since 1989, Mr. Raga formerly held the title of
Accountant II. He holds associate’s and bachelor’s
degrees in accounting form Mohawk Valley
Community College and SUNY at Utica-Rome,
respectively. Mr. Raga, who earned the American
Management Association’s Certificate in
Management, also has completed course work
required for the ARe professional designation.
244a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-8
Plaintiffs Rule 7.1 Response Filed 05/28/08
Sr. Accountant 2003 Promotion
Exhibit 72, p.3 (Reformatted/Original Format)
Jennifer Tenney has been promoted to RFI
Claims Specialist. Ms. Tenney, who previously served
as a Claims Representative, joined Utica National in
2000. A. graduate of the Ohio State University with'a
bachelo:’s degree in music performance, Ms. Tenney
holds the AIC professional designation. She also
completed several industry-related pictorials.
For the Record
Prag oties PS
cit shop Renee (AE,
Osidwin bay hi
bron porcalrd a
Ms Galtan, ao
Ulises afjtope
dnt ISK pre
wicauty beh chy
Ud: of LUcsler
apar Wore, A
—_ @ Hebors Coury
Can ciuery Colkge 9D) an
AAS dpe G hoon adn
inaiets che berks Oe ACS poo
Rodoved Geicnadon es wt) as
the ALU-FPast [ CotEcate in
Rise Sekation, 3. Radein
ats hs comptes sfdtiriqnad
istagnpreaied coun ath!
Cisa legand> tus. bor
paesieed 1 AA) Sout Caiecs
Sika, tarot » Gin
Sprasac, An, m _
Legodu jiu VA
the qm y to ‘f me «= 4
Sate She auirads | -
a3 The Cio
Srl Uniegeyy |
cod holt » SS 4, rt?
degiee in cod =
work feom
Bowtizg Govan =
Sum? Uiierasip,
Sea Legzsdo ch tulle the
P&C aid Lote Bee
000 bitosarance emypdraes
Dard Raga hus bren p:
to Senor Acca. A Uta
expfnrte crac byo. Mr, Raga
fiscerlp Petd te atk of
Acurecrtara (}. tie beds aan
ers end bade. Coperes in
ectogsiing filam Mahesh
Very Cuncmaurty Colegz cul
SUNY of Ueto. mq:
Se
rahe: Me. Baga eho eanitd che
Amoco Moapamem Amas-
(Sais Co eet ts Mok
a2 hasecnc hud cure we
reapire) fin the ARC perf
hod dsr
domes Thanry baa herp
plomdted tw KEE Claims
Socal ss Ms, Tere «hoger
meaty pve
§ CGE ty Retrt-
ero pane
Ute Notion! bb
XCO A retuse §
athrOhnssx
VirerstTy WO 2
badhekn'’s dre f+
ret vane perSrr.
mance, 356.
‘Teonry hekts the
AIC sitios) dm'gralkn
Basan hay eperetrg) preavral
tadcuegcelstrd pitch.
BEST AVAILABLE COPY
245a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Sr Accountant - 2003 Review
Exhibit 26, p.2
Job Knowledge:
Give consideration to aspects such as:
- Comprehension
« Retention
o Has comprehensive knowledge of the job.
Consistently adds to job knowledge.
o Has solid understanding of the job. Frequently
adds to job knowledge.
x Understands the major aspects of the job. Retains
learning. Occasionally adds to job knowledge.
© Does not consistently demonstrate
[redacted] knowledge or major aspects of the job.
Repetition of mistakes in some areas results in
retraining.
© Does not demonstrate knowledge of basic job
concepts. Continuously repeats mistakes.
Comments: [Redacted] has been a member of the
Reinsurance team for only 6 months and has become
exposed to many facets of Reinsurance. He has a
fundamentally sound accounting background from
his 13 years of experience in the accounting
department and his comprehension and retention of
the multiple aspects of reinsurance to date has been
good.
I expect that [redacted] will continue broadening his
knowledge of Reinsurance and suggested that he
commit to continuing his education within the
Reinsurance field — specifically with regards to the
successful completion of the ARe program.
246a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Sr Accountant - 2003 Review
Exhibit 26, p.2
Working Relationships:
Give consideration to aspects such as:
« Cooperation
« Ability to work for/with others
« Flexibility
oO Consistently maintains harmonious working
relationships with diverse group. Excellent
acceptance by others. Consistently communicates
well with others.
x Often establishes harmonious relationships. Very
good acceptance by others. Usually communicates
well with others.
oO Relationships are generally positive. Good
acceptance by others. May communicate well with
others
o Has difficulty in consistently establishing or
maintaining harmonious relationships. Has
difficulty.in communicating with others.
0 Poor working relationships requiring frequent
supervisory intervention. Consistent difficulty in
communicating with others.
Comments: [Redacted] is extremely cooperative with
both his supervisor and his customers, and he |
consistently demonstrates a “can do” — positive
{redacted}. In many Team meeting, he has taken a
positive outlook which has resulted in allowing for
positive group discussion.
[Redacted] has taken the leadership role within the
Reinsurance Team and has become their spokes-
2474
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Sr Accountant - 2003 Review
Kxhibit 26, p.2,6
person. He has also taken the lead role of mentoring
our intern.
Attendance:
Give consideration to aspects such as:
-« Absence
- Lost time since last review (excluding vacation)
hrs.
x Extremely dependable. Outstanding record of
attendance and availability.
0 Highly dependable with minimum loss of
workdays..
0 Dependable. Absence record does not exceed
company guidelines.
© Sometimes less than dependable due to frequency
of absence. Absence record is moving toward
exceeding Company guidelines.
o Not dependable. Loses considerable time and work
due to absenteeism. Absence record exceeds
company guidelines. Disciplinary action required.
Comments: [b!ank]
2
PERFORMANCE PLAN ACTION: State the agreed-
up performance improvement objectives. Each
objective should indicate an action plan and time
frame for completion.
Factor Quality
Objective(s) To maximize ProCede potential in
producing quality and accurate reinsurance
accounting data. To enhance operational
248a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-3
Plaintiffs Rule 7.1 Response Filed 05/28/08
Sr Accountant - 2003 Review
F'xyhibit 26, p.6
efficiencies in billing and payment of reinsurance
obligations.
Plan of Action -Learn the potentials of ProCede and
exploit the possibilities. -Take time to step back
and assess the situation — ask yourself, does it
make sense? -Be agyressive in the learning of the
system — constantly ask “why”.
Factor Productivity
Objective(s) {blank}
Plan of Action [blank]
Factor Job Knowledge
Objective(s) To aspire to the highest degree of
technical expertise. !
Plan of Action -Successful completion of ARe
coursework — a must! Timeframe: complete ARe
141 — Sept '03 and ARe 142 — Dec '03. —Use the
company sponsored PC classes — use of
Mindleaders online training for Access and Crystal]
training. Timeframe: Spring/Summer 20038. —Stay
close to the changing marketplace through trade
journals — get on the distribution list. -Attend
Reinsurance lunches, broker meetings, claims audit
in order to gain an understanding of the discipline.
6
2498
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Leader's Guide: Performance
Kxhibit 27, p.5
» Employee's contribution to Group and
departmental goals. :
- Needed improvements identified in previous
performance reviews.
GUILDLINES FOR EVALUATING
PERFORMANCE
Preparation for the Review
The following steps will help the supervisor/manager
evaluate the employee's performance and prepare for
the performance review taterview:
1. Set aside enough time to do the job carefully and
thoroughly.
2. Review the notes of critical »yncidents (positive and
negative) that have taken place since the last
review and notes from interim review retained in
the employee's personne! file.
3. Use a worksheet to note the employee's basis
strengths and weaknesses, and write down
iliustrations for each strength and weakness
before completing the review form
4. Be realistic. Overrating, as well as underrating,
can be detrimental
5. Rely on facts. Do not allow personal biases,
isolated incidents, or personality traits to distort
the rating.
6. Compare the employee with the job requirements,
not with another employee
7. Formulate tentative conclusions, and try to
analyze probable causes of factors affecting the
250a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Leader’s Guide: Performance
Exhibit 27, p.5
employee's performance.
8. Consider extenuating circumstances.
9. Develop ideas for building on the employee's
strengths.
10. Anticipate how the employee will react in the
areas that will be discussed.
NOTE: For information about preparing effective,
meaningful Performance review, refer to .
Performance Appraisal Expectations.
MAINTAING OBJECTIVITY IN RATING
Employee rating shal] be supported with the
inclusion of examples whenever possible in the
evaluations. The following tendencies should be
recognized and avoided by a supervisor/manager in
order to keep ratings as objective as possible:
> “Halo Effect” — This .is the tendency of the
supervisor/manager to evaluate an employee by
doing either of the following: »
¢ Giving a rating of good for every factor of the
evaluation if the employee’s general performance
is satisfactory.
- Finding nothing positive about an employee
because-his/her general performance is poor.
The supervisor /manager should remember that each
employee has both strengths and weaknesses.
» . Bias ~ This is the emotional tendency of the
supervisor/manager to reward friends or those well
likes by giving: those employees good ratings and '
conversely, to punish those employees
25la
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Leader’s Guide: Performance
Exhibit 27, p.5-6
personally dishkes with poor ratings.
Date:02/05 Page 5
>» Inaccurate Rating Because of Length of Service —
This is the tendency to overrate long-service
employees and to underrate short-service
employees. The supervisor/manager assumes that.
the longer an employee performs a job the more
knowledgeable and proficient the employee will
become. This assumption is not necessarily true.
Length of.service in itself is not a measure of.
performance. In a performance review, how an
employee performs his/her job is the object of the
evaluation, not his/her length of service on the ob.
> Personal Projection and Self-Identification — This
is the tendency to rate an employee too subjectively.
The supervisor/manager unconsciously feels that
those employees who resemble the
supervisor/manager in any way, whether it be in
personality, physical appearance or work habits, are.
somewhat superior to employees who are different
from the supervisor/manager.
>’ Loose Rating —-This results when a
supervisor/manager, in an attempt not to hurt any
employee's feelings, gives all employees being
evaluated rating that are too high to be realistic or
accurate. Such inexact ratings are harmful to both
252a
Appendix D
Case 6:06-cv-1392-GTS-GHL Document 40-4
To Plaintiffs Rule 7.1 Response Filed 05/28/08
Leader's Guide: Performance
Exhibit 27, p.6
the supervisor/manager and the employee. Areas
of weakness in the employee’s performance
remain uncorrected if not mentioned in a
performance review.
The accuracy and objectivity of “loose” ratings
given by a supervisor/manager:can be questioned
if the following should arise::
¢ If an employee who has received loose ratings-is
considered for a promotion but is found to lack the .
knowledge, skills, and/or attitudes indicated on.
his/her ratings.
- If an employee should suddenly be subject to:
cisciplinary action for instances for poor performance
which had occurred over a period of time but had
never been reported in the performance review.
> Tight Rating — This results when a’
supervisor/manager feels that all the employees
being rated fall short of expected standards. No one
in his/her estimation should ever receive a good
rating.
> Personal Competitiveness — This is the tendency
of the supervisor/manager to show personal
competitiveness toward employees by doing either of
the following: .
« Identifying himself/herself as a member of the
group being rated without a conscious awareness of .
this. .
Feeling that the employee being rated represents a
direct challenge to the job of the: -
supervisor/,manager.
253a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-4
Plaintiffs Rule 7.1 Response Filed 05/28/08
Leader’s Guide: Performance
Exhibit 27, p. 6
IDENTIFYING CAUSES OF INADEQUATE
PERFORMANCE |
- If inadequate performance is to be the primary
focus of the evaluation discussion, the
supervisor/manager should make every effort to
identify the specific causes of the inadequate
performance before the review. Generally, the causes
of inadequacies fall into the following categories:
1. Ability
« Does the employee lack specific skills? If so, what
skills are needed?
¢ Does the employee need more work experience/
« Is the employee capable of learning the job?
- Has the employee's previous training been
adequate?
« Is the employee required education for the job
lacking? .
Date:02/05 |
254a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND. Document 40-9
Plaintiffs Rule 7.1 Response Filed 05/28/08
: Unlawful Harassment
Exhibit 82,'p.1
[Picture]
o Question: Harassment must be either “severe” or
“pervasive” to be considered unlawful. Which of the
following 1 is an example of harassment that meets the
“severe” standard?
o The best answers are:
A. Sexual teasing that makes the work environment
unbearable.
B. Unwanted physical contact of a sexual nature
C. Calling a coworker by a racial slur
D..A gender-related comment
o Explanation of the answer
Harassment that meets the’severe standard is
offensive behavior that only needs to happen once to
be considered unlawful. Examples include
unwelcome sexual contact and the use of racial slurs.
Sexual teasing and a single gender-related comment
to not meet the severe standard. Such conduct might
meet the pervasive standard if it occurs on an almost
daily basis and makes the work environment:
intolerable for the recipient.
Economic Harassment
“Economic harassment” generally involves harassing
behavior that results in a monetary loss for an
employee or significant changes in workload or work
assignment. Economic harassment requires that the
threat of job loss or the promise of job benefits
actually result in some type of employment action,
such as termination, promotion, demotion, or
reassignment to a considerably different job.
255a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-9
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant 10/22/04 & 11/04/04 Emails
Exhibit 85, p.1
Michael Evolo/UNIG
11/04/2004 01:44 PM
To: Grazyna Christman/UNIG@UNIG
ce:
bee:
Subject: Re: Responsibilities
Grazyna,
I'd recommend that you ask them questions to see if
they understand what is expected of them. Leaving
copious notes with specific information is another
way. Their carelessness, and their not understanding
something are two different things.
Michael S. Evolo, CPCU, ARe
Supervisor of Reinsurance Operations
Utica National Insurance Group |
315.734.2544
800.274.1914 Ext. 2544
Fax — 315.734.2662
Grazyna Christman/UNIG
[Picture] Grazyna Christman/UNIG
11/04/2004 10:33 AM .
To: Michael Evolo/UNIG@UNIG
ce:
Subject: Re: Responsibilities
Mike,
| appreciate your praise!
I had explained to Natalia, Josh and David,
accordingly and to my best ability, what needs to be
done in -my absence
256a
Appendix D
Case 6:06-cv-1392-GTS-GHL
U.S. District Court NYND Document 40-9
Plaintiffs Rule 7.1 Response Filed 05/28/08
Defendant 10/22/04 & 11/04/04 Emails
Exhibit 85, p.1-2
Please let me know HOW I CAN ASSURE that they
understand what needs to be done, so that I will not
be held accountable for the
This text is long and has been trimmed here. Open the source document for the complete record.
This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.