© May not be reproduced without permission of Financial Ombudsman Service Ltd 1 grade three what you need to know

© May not be reproduced without permission of Financial Ombudsman Service Ltd 2 adjudicator career model  our current career model launched in Dec it sets out:  how you can build a professional career at the ombudsman service  the skills, knowledge and behaviours that should be demonstrated at each grade -applies across all of casework – general casework and PPI alike -provides consistency and transparency -ensures that we recognise and reward people on performance and their contribution to our service

© May not be reproduced without permission of Financial Ombudsman Service Ltd 3 what does the model look like - £22,000 casework grade 2 appraisal linked review apply panel review pass probation probation casework grade 4: lead adjudicator casework grade 3 casework grade 1 probation consumer consultant adjudicator £40,000 £30,000 £26,000 £23,500

© May not be reproduced without permission of Financial Ombudsman Service Ltd 4 how does the model work? 1.casework expertise and delivery: - delivering what we’re here for – in a way that lives our values 2.professional development requirements and sharing knowledge 3.competency levels the criteria at each grade for consumer consultants and adjudicators are based on:

© May not be reproduced without permission of Financial Ombudsman Service Ltd 5 how do I progress and likely timescales?  P to grade 1 upon successful completion of probation – usually six months  grade 1 to grade 2 application linked to appraisal process (quarterly) – likely to take around a further six months to a year  grade 2 to grade 3 through panel review process (June & December) – likely to take around a further year remember progression is always based on merit – so it will take some people less time and others longer

© May not be reproduced without permission of Financial Ombudsman Service Ltd 6 so what does grade three look like for adjudicators?

© May not be reproduced without permission of Financial Ombudsman Service Ltd 7 first let’s look at grade 2 the grades are cumulative – so it makes sense to also look at the grades below grade three if you are at grade two level you will be:  self-sufficient in your workload  flexible and pro-active  demonstrating a greater breadth/depth of case handling  able to specialise in an area of work (eg a specific product type or preparing cases for ombudsman)  may start to mentor others on straightforward issues  taking on additional responsibility (eg reviewing customer service feedback)

© May not be reproduced without permission of Financial Ombudsman Service Ltd 8 casework grade 3 if you are at this level you will be:  dealing with our most complex and sensitive cases in a way that really makes us proud  consistently meeting your objectives in all areas of your work and actively helping your team and pod to do the same  a strong role model for others  if things have gone wrong – you are able to get cases back on track and restore trust in our service  recognised by ombudsmen and managers for ability to coach and mentor others on technical and customer service

© May not be reproduced without permission of Financial Ombudsman Service Ltd 9 adjudicator competencies (these apply to grades one, two and three)  customer focus and quality level 2  building relationships level 2  planning and organising level 2  professional expertise level 1  adaptability level 1  results focus level 1  communication level 2  problem solving and decision making level 1

overview - grade 3 criteria [in addition to grade P, grade 1 and grade 2 criteria] delivering what we’re here for - in a way that lives our values as well as consistently meeting your own objectives you actively help the team and pod to achieve their goals by supporting managers, lead adjudicators and ombudsmen when required. you use initiative in all aspects of the role demonstrating flexibility and openness to new ideas you are recognised as a role model you are able to explain our collective scorecard and organisational priorities to others (*) as well as delivering the ‘day job’ you may get involved in wider work that makes a positive and measurable contribution to achieving our collective scorecard continuous professional development you passed the accredited training level one and hold a full adjudication licence (certificate in dispute resolution and complaint handling practice) working towards accredited training level 2 (advanced certificate in dispute resolution and complaint handling practice) – where available you complete at least 20 hours CPD per year including at least 6 hours of self directed development sharing knowledge and developing others you are recognised by ombudsmen and managers as being someone who is able to coach and mentor other staff on our approach to cases and how we provide the best possible customer service you help others keep up-to-date with key changes in the way we handle different types of complaint – making sure they adapt the way they work if needed you share best practice within your pod knowledge and expertise you are recognised as fully competent in your area of work by the ombudsmen – demonstrating robust decision making and quickly getting to grips with cases that involve a more complex set of circumstances you have a good breadth and depth of technical knowledge to case resolution you have strong skills in effectively handling post opinion/assessment work and, where appropriate, are able to make sure cases are ready for an ombudsman – this may include drafting decisions your skills are recognised through 360 feedback you seek from others communication and customer service you are able to deal with our most complex or sensitive cases in a way that really makes us proud – leaving our customers feeling we’ve done our job properly and fairly, whatever the outcome if we’ve really let a customer down, you can be relied upon to put things right and restore their trust in our service alongside your manager, you use the customer service feedback to improve the service your team provides doing the day job - really well living the values

© May not be reproduced without permission of Financial Ombudsman Service Ltd 11 as well as meeting your objectives you help to deliver your team’s balanced scorecard you take an active role in the success of your pod ∗ you may do wider work to support your team/pod in achieving their collective goals ∗ you may get involved in work in addition to the ‘day job’ that makes a positive and measurable contribution to achieving our collective scorecard ∗ you have a flexible and adaptable approach to your work __________plus:____________ as well as consistently meeting your own objectives you actively help the team and pod to achieve their goals by supporting managers, lead adjudicators and ombudsmen when required. you use initiative in all aspects of the role – demonstrating flexibility and openness to new ideas you are recognised as a role model you are able to explain our collective scorecard and organisational priorities to others ∗ as well as delivering the ‘day job’ you may get involved in wider work that makes a positive and measurable contribution to achieving our collective scorecard delivering what we’re here for - in a way that lives our values grade two grade three

© May not be reproduced without permission of Financial Ombudsman Service Ltd 12 you provide excellent service to all of our customers – adding real value with each interaction and are able to demonstrate where you’ve gone the extra mile you’re able to work with relevant colleagues, to provide specialist support to customers who are more vulnerable or have individual communication needs ∗ where things have gone wrong, you’re able to get them back on track ∗ you may work closely with your manager to review the customer service feedback for your team and be involved in implementing improvements to the service your team provides __________plus:____________ you are able to deal with our most complex or sensitive cases in a way that really makes us proud – leaving our customers feeling we’ve done our job properly and fairly, whatever the outcome if we’ve really let a customer down, you can be relied upon to put things right and restore their trust in our service alongside your manager, you use the customer service feedback to improve the service your team provides communication and customer service grade two grade three

© May not be reproduced without permission of Financial Ombudsman Service Ltd 13 you can work unassisted on cases – always conducting your investigation at the right level - using the resources available to you ∗ depending on your area of work you can effectively handle post-assessment work and prepare cases so that they are ready for review by an ombudsman ∗ you apply a breadth or depth of technical knowledge to case resolution – working on more complex cases in your area of work ∗ you may be recognised by ombudsmen and managers as able to deal with cases that ‘don’t follow the norm’ – and are able to resolve cases that involve a more complex set of circumstances _________plus:____________ you are recognised as fully competent in your area of work by the ombudsmen – demonstrating robust decision making and quickly getting to grips with cases that involve a more complex set of circumstances you have a good breadth and depth of technical knowledge to case resolution you have strong skills in effectively handling post opinion/assessment work and, where appropriate, are able to make sure cases are ready for an ombudsman – this may include drafting decisions your skills are recognised through 360 feedback you seek from others knowledge and expertise grade two grade three

© May not be reproduced without permission of Financial Ombudsman Service Ltd 14 you add value to team meetings and the team environment as a whole you share best practice within your team you are recognised by ombudsmen and managers as able to mentor newer colleagues on more straightforward issues, demonstrating good communication and coaching skills – this should be in addition to being able to do ‘the day job’ ∗ you may be accredited to perform quality assurance checks for your team - and support them in improving their service more generally ∗ you may work with your manager to support the team in taking on new and different types of complaint __________plus:____________ you are recognised by ombudsmen and managers as being someone is able to coach and mentor other staff on our approach to cases and how we provide the best possible customer service you help others keep up-to-date with key changes in the way we handle different types of complaint – making sure they adapt the way they work if needed you share best practice within your pod sharing knowledge and developing others grade two grade three

© May not be reproduced without permission of Financial Ombudsman Service Ltd 15 you complete 16 hours of CPD a year (including at least 4 hours self- directed) you’re working towards accredited training level 1 (certificate in dispute resolution and complaint handling practice) – where available you make use of the knowledge of appropriate colleagues – both within and outside of your area of work – to supplement your own knowledge __________plus:____________ you passed the accredited training level one and hold a full adjudication licence (certificate in dispute resolution and complaint handling practice) – where available working towards accredited training level 2 (advanced certificate in dispute resolution and complaint handling practice) – where available you complete at least 20 hours CPD per year including at least 6 hours of self directed development continuous professional development grade two grade three

© May not be reproduced without permission of Financial Ombudsman Service Ltd 16 how do I start working towards the next grade?  first speak to your manager:  work out where you currently are in relation to the criteria in the career model  look at where you need to develop further  use a personal growth plan  keep your CPD record updated  speak to those who’ve been through the process – how did they approach it? – what did they do?

© May not be reproduced without permission of Financial Ombudsman Service Ltd 17 how does the application process work?  all grade three applications go through a panel review  these panel reviews are chaired by a member of the executive team, a grade 3 ombudsman, two heads of casework and an HR business partner  the panel review is almost entirely evidence based – you will not need to speak to the panel – outcome based solely on the application pack you submit

© May not be reproduced without permission of Financial Ombudsman Service Ltd 18 grade three – the application pack 1.manager’s endorsement 2.personal statement 3.ombudsman’s endorsement 4.previous appraisal/mid-year review 5.qualifications and previous relevant experience 6.CPD, training record and PGP

© May not be reproduced without permission of Financial Ombudsman Service Ltd 19 application pack manager’s endorsement - the first step is to speak to your team manager and discuss your aspirations. - their endorsement should be a brief summary of why they think you are able to carry out the G3 role and what your skills/experience will bring to the pod. - maximum 250 words - countersigned by their manager ombudsman’s endorsement - you should aim to have a strong endorsement from an ombudsman - maximum of 500 words - needs to be evidence based and explain the quality of your work and give examples of your technical ability personal statement - use the five headings from the career model - set out how you meet the requirements of a grade 3 adjudicator. - highlight any areas that are missing in the rest of your pack - say why you are ready and about the impact you have made in your team, pod and the organisation - maximum of 1000 words

© May not be reproduced without permission of Financial Ombudsman Service Ltd 20 application pack appraisal - include your most recent appraisal (full or mid-year) - include summary scores for previous appraisals (last 2 years) qualifications & relevant experience - briefly list your relevant external qualifications and any external experience - summary format, and no more than one page CPD, training & current PGP - include a summary CPD record. your training attendance record for the last 12 months and your current PGP, showing how you’re progressing against it. this might include attending training courses, seminars or forums – or undertaking formal qualifications. - a minimum of 20 hours with at least 6 hours self directed CPD

© May not be reproduced without permission of Financial Ombudsman Service Ltd 21 what is continuous professional development?  CPD is an important part of your overall professional development  each of us has a responsibility to keep our technical knowledge and industry awareness up to date  your CPD log should record this for the past 12 months – including: -what you did -how long it took -was it self directed -a summary of your key learning points -and, if appropriate, how you have implemented these learning points into your role

© May not be reproduced without permission of Financial Ombudsman Service Ltd 22 what counts as CPD?  anything that has contributed to building your technical, product or industry knowledge  so could include many different activities eg: −ombudsman lunch time talks −researching our approach on the intranet eg KIT −reading ombudsman news −reading final decisions −working towards accredited training or other relevant qualifications etc.

© May not be reproduced without permission of Financial Ombudsman Service Ltd 23 what else should I submit?  there is an application cover sheet to complete -make sure you use the latest version (it recently changed)  you shouldn’t submit anything other than the items listed -avoid including unnecessary s or other documents  once you have everything ready, submit it to your manager by the relevant deadline date -this date is posted on the intranet when applications are open

© May not be reproduced without permission of Financial Ombudsman Service Ltd 24 some important tips...  if you are planning to apply in the future, you should already be discussing your progress towards G3 with your manager - your regular 1-2-1s provide an ideal opportunity  your manager needs to agree your application  if you have recently changed managers, approach your current manager first – your current manager will contact your previous manager(s) as necessary.  plan ahead -developing towards grade three takes time -allow enough time to prepare and collate the application pack – don’t leave it all to the last minute

© May not be reproduced without permission of Financial Ombudsman Service Ltd 25 more tips...  your team manager will need time to prepare their endorsement - factor this into your planning  the ombudsman similarly needs time to consider their endorsement  try to make your application stand out for the right reasons: – think carefully about how to get the maximum value from each page – ensure your personal statement is clearly and efficiently written and covers the criteria

© May not be reproduced without permission of Financial Ombudsman Service Ltd 26 in closing  the application is your responsibility – consider talking to people that have gone through the application process before  think carefully about whether you are ready to apply now, or if you should wait another 6 months?

© May not be reproduced without permission of Financial Ombudsman Service Ltd 27 questions?