Denyse Reese, Vice President Project Manager , Sr. HRIS Consultant

1. N O R T H E R N T R U S T PeopleSoft HCM 9.2 Upgrade at Northern Trust Oracle Open World 30-September-2014 Denyse Reese, Vice President Project Manager, Sr. HRIS Consultant

2. Agenda • About Northern Trust • Project Scope & Objectives • HR Technology Directional Change • Customization Guidelines • Project Scope • Project Team Structure & Governance • Project Timeline • New Features • Training & Communication Plan • Implementation Overview • Project Successes & Challenges

3. A partner you can trust. Overview Founded in 1889, Northern Trust is a leading provider of personal fiduciary, investment management, private banking, wealth management and worldwide trust and custody services. Northern Trust has remained independent since its inception in 1889. We are positioned within selected individual and corporate market niches as a well-respected provider of trust and investment services with an emphasis on strong relationships. Assets Under Management $924 Billion Assets Under Custody $6Trillion Stock Ticker NTRS Market Capitalization $16 Billion Revenue (ttm) $4.2 Billion Employees 15,100

4. Principles That Endure For more than a century, we have adhered to our founding principles of: Service • A relentless drive to provide exceptional client service • Striving to understand our clients’ unique situations and provide fresh thinking and innovative solutions • Passionately and personally committed to delivering above and beyond • Leading wealth management capabilities • Industry experts provide insights and analysis to keep you abreast of the latest trends • Advanced technology with highly sophisticated reporting • A heritage of acting with the highest ethics • Wisdom earned through generations of relationships with successful families • The stability to weather change and uncertainty Service Expertise Integrity Expertise Integrity

5. Northern Trust’s Global Presence Chicago(CorporateHeadquarters) New York Toronto Abu Dhabi Amsterdam Dublin Frankfurt Guernsey Limerick London Luxembourg Riyadh Stockholm Bangalore Beijing Hong Kong Kuala Lumpur Manila Melbourne Singapore Tokyo A Network of Offices in 19 States andWashington D.C.

6. Pre-Upgrade HRIS Footprint • Robust HR Installation • PeopleSoft HCM (V9.0 since 2008) - HR, Benefits, Payroll, Training, Talent, Profile, Succession Planning, Career, Performance Mgmt, Career, Compensation, Time & Labor • PeopleSoft HR HelpDesk/CRM (V9.1) • Oracle OBI Analytics (V7.9.6) • PeopleSoft HR Portal/Interactions Hub (v9.1) • 15 years of building and customizing • Very robust Employee and Manager self service • Complex, global time and labor • NA Payroll, custom global payroll • Global footprint, 20 countries and growing • Portal Content and ESS/MSS Transactions combined • Decentralized Portal Administration • And so much more……

7. HR Technology Direction • To align with Corporate, HR and Technology strategy and achieve technology efficiency, it is necessary to: • Utilize capital efficiently • Manage internal end-user demand • Utilize delivered applications • Reduce customizations • Contributing Factors: • Oracle’s release strategy has changed; more frequent product upgrades • Oracle is enhancing product functionality with each new release; we would like to be in a position to leverage new functionality • Besides development cost, customizations also increase the overall upgrade time, effort and cost

8. Customization Guidelines • Oracle’s products will be customized only if there is a business-driven requirement that provides a substantial benefit and the associated cost is justifiable. • Customizations should only be considered for the following reasons : • Product functionality is completely missing and not available as a part of upcoming product release. • Product functionality exists, but enhancements are needed to comply with a Regulatory Requirement or non-negotiable Northern Policy. • Product functionality exists, but enhancements are needed to automate or streamline a process when the savings or capacity gains exceeds the cost.

9. Project Scope The scope of this project was to upgrade Northern Trust’s PeopleSoft Application Suite from Version 9.0 to Version 9.2:

10. Project Objectives & Approach • Project Objectives • Provide a stable, supported HR platform • Stay in compliance with employment law and HR regulatory changes • Stay compliant with North America tax and payroll regulations • Utilize new features and enhance usability • Reduce total cost of ownership by eliminating customizations • Utilize capital efficiently • Manage internal end-user demand • Utilize delivered applications • Project Approach • Northern Trust HR Systems Team will execute project fit gap analysis • Oracle’s products will be customized only if there is a business-driven requirement that provides a substantial benefit and the associated cost is justifiable. • During the fit gap phase of the project, the approach was to evaluate and eliminate customizations unless they met the customization guidelines • Exceptions were brought to the Steering Committee for review and prioritization

11. Project Team Structure & Governance Executive Steering Committee Project Sponsors HRIS Managers: Functional Development Architecture Project Manager Denyse Reese Communications Consultant Subject Matter Experts (SMEs) (30) HR Benefits Training Compensation Time & Labor Payroll Talent Performance Mgmt Portal Benefits HRIS Architecture Lead HRIS Development Lead HRIS Functional Lead Global Practice Leads (12) HR Benefits Training Compensation Time & Labor Payroll Talent Performance Mgmt Portal Benefits Functional Consultants (10) Functional Contractors (2) Application Developers (7) Offshore Developers (8) Architects (2) In order for the project to be successful and governance to be effective, the following critical roles were defined

12. Project Timeline 2013 Oct Sep Aug Jun May Jul Nov Dec Apr Feb Mar Jan Install Software Business Requirements Systems Design Fit Gap Application Development 2014 Nov Dec Oct Sep Mar May Jul Feb Apr Aug Jun Jan System, Load, Parallel Testing User Testing Go Live Training & Comm

13. 9.2 Highlights • New Features Implemented • Employee Photos • Related Actions for Managers • Secure Enterprise Search: • Training Courses • Company Directory • Job Description Library • Portal Content • Portal Registry (admin menu) • WorkCenters for Time and Labor, PM Documents • Activity Guides for benefits • Talent Summary • Delivered Paycheck (replacing custom paycheck) • Delivered Employee Profile (replacing custom profile) • Delivered Career planning (replacing custom career planning) • New Features Not Deployed • Company Directory • Pivot Grids • Manager Dashboard

14. My Place Homepage

15. Employee Photos Single point of entry for employee photos determined Load Employee photos from Northern’s internal SharePoint site nightly Photos stored on PeopleSoft Identification Data table Enterprise-wide Photo Guidelines communicated Visible on the Org Chart and on PeopleSoft Business Card for Managers, Employees and Admins

16. Manager Self Service Direction Direction: Incorporate new features and move toward delivered manager search and security model, while enhancing usability • Create a more usable/prominent Search • Move to functional labels for navigation • Embrace new features • Promote Favorites and create Quick Links to commonly used pages • More modern look and flat styling • Readiness for mobile - responsive design Find employee, then take one or more actions Navigate to function, find employee, then take action

17. Manager Place Homepage

18. Manager Direct Line Reports: Related Actions Managers can view and take action for direct and indirect reports on Manager Place Home Page This is a manager-only feature that was able to replace a customization Leveraged Related Actions on Direct Line Reports, SES Search Results and Talent Summary Configuration is needed for each location where you want a related action to display – significant configuration and testing effort List of pages deployed via Related Actions:

19. Related Actions - Configuration Configuration is needed for each location you want a related action to display: • Step 1:  Create Authorization Configuration entries for each custom CREF you want to build a related action for • Step 2: Define Related Content Service • Step 3: Tie Related Content Service to the Related Content Service and complete additional configuration requirements and layout specifications. • Step 4: Click on the configure button for each item to configure service • Step 5: Configure Layout Tab allows you to create and place related actions where it makes sense for your users

20. Secure Enterprise Search Navigate to function, find employee, then take action Find employee, then take one or more actions • Delivered Search Indices Implemented: • Profile • Portal Registry • Custom Search Indices Created: • Training Courses • Job Code Library • Company Directory • Portal Landing Pages • Documents (Word, PDFs, etc.)

21. SES - Features

22. SES - Features • Filter Search Results for Content By Region, Section, Topic • Use the ‘X’ to clear filters previously selected • Use the ‘Clear All Filters’ link to clear all filters • Use Navigational arrows or numbers to navigate through search results • Click into the link to launch the page or Document

23. SES - Related Actions

24. SES – Related Actions

25. SES – Helpful Hints and Lessons Learned • Leveraging facets enabled us to sunset many customizations • Developing new indexes is relatively easy and existing PS skills can be leveraged • We built app engine jobs to run nightly and build indexes • Initial learning curve, as requires significant configuration and complex writing between Integration Broker and SES • If your organization doesn’t already use IB, there will be more to learn and maintain. • SES requires a separate stack of software with its own Oracle database; change management with our corporate IT • The SES Oracle database is embedded in the product and cannot be maintained/pooled like other databases at your organization • Although the embedded database is self-sustaining, we ran into space issues requiring extra database maintenance • A technical resource is required to maintain and troubleshoot (when necessary) the SES server

26. Employee Profile

27. Employee Profile - Manager Self-Service Search and Compare Profiles

28. Benefits – Activity Guides New Activity Guide functionality for Life Events Four delivered events: Marriage, Birth, Adoption, Divorce Step by Step Guided Process with tasks and status

29. Benefits – Activity Guide Configuration Activity Guide configured in Set Up HCM and PeopleTools Template allows ability to configure actions per Life Event Type Benefit Clone Utility enables copy of Life Event Templates

30. Activity Guides - Helpful Hints & Lessons Learned • Table set up of the Life Events fairly straight-forward • Ability to create a life event that is not tied to a Bas Action.  Example: Life Event for employees to make dependent and beneficiary changes only.  • Thoughtful planning required prior to activity guide template configuration • Activity Guides have two sets of tables that share the Template ID • Benefit Life Event tables – W3EB_LE • PeopleTools Activity Guide tables – PTAI_LIST • PeopleCode on the Benefits side keeps the tables in sync. • The benefit template ids start with EF% • Be careful deleting Life events on the set up page, as didn’t delete on PeopleTools Activity Guide table, caused errors • Become familiar with Related Content  Service for adding  action items, different types of content types you can include as action items. • Security to Activity Guides is maintained on the Portal/Activity Guide pages.  • Accurate security on templates is key • Requires Benefits Administrator role to maintain Activity Guide • Activity Guide Templates are migrated via Data Migration Workbench • Requires ADS_Designer role and access to file location

31. Performance Management - WorkCenters: My Place • New WorkCenter functionality for performance documents • Step by Step guided process with tasks, status and due dates • Less clicks to get to transaction 9.2 WorkCenters replace V9.0 Document Details

32. Performance Management – WorkCenterConfiguration WorkCenters configured in PeopleTools Portal

33. Performance Management – Multi-Rater WorkCenter Table set up of the WorkCenters straight-forward We also configured a WorkCenter for Multi-Rater feedback

34. Performance Management – Helpful Hints & Lessons Learned The more complex your configuration, the more testing required Our customizations caused most of our pain Many fixes in PUM for performance management

35. Time and Labor – Manager WorkCenter Managers will use the My Work Section to access Payable Time that needs approval. • New one-stop-shop WorkCenter for manager time and labor administration • Links to all other tasks are accessed using the Links section. This includes items such as: • Assigning a Backup Approver • Accessing an Employee Work Schedule • Recording Time for an Employee

36. Time & Labor - Configuration WorkCenters configured in PeopleTools Portal

37. Time & Labor – Helpful Hints and Lessons Learned • Employee Self Service timesheet changes were well received. Employees liked the streamlined time entry page which contained both Punch (In/Out) and Elapsed (Daily Hours). Time reporters are able to view their entitlement and comp time balances on the timesheet • Rules template structure changed in 9.2 and did not perform the same in 9.2.To save time, we built custom rules to process the time the same as it was processed in 9.0. • Plan extra time and testing effort if you have complex rules. We have 276 rules in 20 countries. • Should try to apply all of the maintenance for T&L before implementing

38. Talent Summary

39. PUM and Tax Updates • Delivery of the PUM as a virtual machine is a smooth process • Always have latest version of DEMO and detailed spreadsheet with all the updates • Tax updates are now delivered through the PUM; no longer just tax updates, but similar to maintenance packs. They include other non-payroll objects, such as HR, Benefits, etc. and contain pre-requirements. • There is a learning curve, lot more regression testing • We had to apply a years-worth of tax updates towards end of project. Do it sooner. • Change Assistant - may require a higher version of PeopleTools than your current release   • PUM 8 release requires a 64 bit machine and PeopleTools 8.54.01. You must have PeopleTools 8.53 and 8.54 installed as well as 32-bit and 64-bit Oracle clients installed on your workstation.

40. Training & Communication Plan

41. Implementation Weekend

42. Project Successes & Challenges • Successes • Project was delivered on-time and on-budget • New functionality well received • Tenure and knowledge of project team • Knowledgeable SMEs • Senior leadership and stakeholder buy-in and support were critical to executing change • Communication – frequent and consistent delivery of information to key audiences • Planning, Planning and more Planning! • Project Challenges • System Response Time – many test environments taxed system resources during heavy test cycles • Time & Labor Rules – Complex global rules across 20 countries combined with PeopleSoft rules structure changes caused massive rework and resource/timeline challenges. Project resources were reallocated to mitigate. • Tax Updates - New methodology using the PUM required extensive impact analysis and re-work • Dual Portal Administration – Portal content changes do not migrate. Adding portal structure and content for 3 new countries during upgrade challenged resource allocation and timeline. • Complex Portal Installation – troubleshooting issues complicated and time-consuming • Challenges living with decisions post upgrade – we have put back some customizations that were decided we needed after the fact.

43. Going Towards Delivered…… ……is a journey. We won’t get there overnight or in this upgrade. However, we are making great strides: • 15% reduction in customizations • Profile • Career • Pay Check • Time and Labor WorkCenter • PM WorkCenter and check-points – eliminate custom midyear • Benefits Life Events • Manager Self Service Search and navigation • Eliminated other pages and reports not used

44. Questions? Questions?