Technology and Implementation Roadmap Indicators

Duration
# Roadmap Category High Priority Gaps Importance Complexity
(Weeks)
•Test Plans
•Traceability Matrix
•Cutover Plan and Go/No-Go Criteria
TT Testing 5
•Regression Testing
•Canadian Security Testing
•Check and W-2 Printing
•Interface Specifications
TS Specifications 4
•Single Sign-on (SSO) Interface
•Workforce Now Data Flow
TD Data Mapping / Data Conversion 4
•Data Mapping Document Fields Not Defined
•Risks, Actions, Issues, and Decisions (RAID)
TG Governance and Contracting •Add to Schedule Pre-Funding of Payroll 4
•SLAs and Disaster Recovery /Continuity Plan
•Number of Interfaces
TI Interfaces 2
•IT Involvement and Interface Ownership
•Interface Project Management
TP Project Schedule 12
•Report Testing

Page 1 of 11
 Technology and Implementation Gap Analysis

Technology and Implementation Gap Analysis

Process Roadmap Analysis Duration

Name Indicator Analysis Title Country Number Specific Gap Recommendation (wks) Importance Complexity When Comments

Haven’t defined data moving from Vantage to Defining the data moving between ADP Vantage and Workforce Now is
Data Mapping / Workforce Now
Technology CAN TD1 Workforce Now. critical, as changes to interfaces and the data conversion may be 4 High High 1 - 2 Months Defined 6/28; not signed-off
Data Conversion Data Flow
required to accommodate the final state.

Data Mapping
Data Mapping / Document Fields Not all source fields and conversion types are ADP should complete the data conversion document and submit the
Technology BOTH TD2 2 High Medium 1 - 2 Months Defined 6/28; not signed-off
Data Conversion Not Defined - defined in the mapping document (38 tabs). document to client for approval and sign-off.
Source Fields

Data Mapping
Need a plan to complete the data mapping ADP should complete the data conversion document, paying specific
Data Mapping / Document Fields
Technology BOTH TD3 document, as required system fields are not attention to the fields required by the ADP system, and submit the 2 High Medium 1 - 2 Months Defined 6/28; not signed-off
Data Conversion Not Defined -
defined in the mapping document. document to client for approval and sign-off.
Required Fields

Risks, Actions,
Governance and The process to resolve RAID items is not being Re-establish the weekly RAID review meeting, as it was successful in
Technology Issues, and BOTH TG1 0 High Low 1 - 2 Months
Contracting followed addressing RAID items when it was held.
Decisions (RAID)

Have the ADP and client project management team identify

ADP isn’t on site frequently enough, resulting in
Governance and Day-to-Day communication gaps. The PM team can work with the individuals or
Technology BOTH TG2 less than ideal communication for day to day 1 Medium Low 1 - 2 Months
Contracting Communication workstreams with issues, to setup a regular meeting cadence to ensure
issues
gaps in communication are reduced.

Objective to have one integrated system will

Work to make the limitation as seamless as possible to the end users.
Governance and Integrated not be met. The client team found out a few
Technology CAN TG3 This will be a challenge as ADP builds out Workforce Now, especially 6 Medium High 3 - 4 Months
Contracting System weeks ago that single sign-on will not be
because Single Sign-on is not available for Workforce Now.
available for Canada.

Define the missing aspects of the project charter that are needed to
complete the project, specifically the expectations of parallel testing
Governance and and cutover. Identify the project purpose and criteria to define a
Technology
Contracting Project Charter BOTH TG4 There is no Project Charter or Business Case. successful implementation. Identify required translations, project 2 Medium Medium 1 - 2 Months
dependencies and special requirements for go-live. This allows for
ongoing cost/benefits realization tracking.

Work with ADP to define the service levels, such as time frame to
Governance and SLAs and DR
Technology BOTH TG5 No identified Service Levels in the ADP contract. resolve cases and system uptime. Have ADP provide the disaster 4 High Low 3 - 4 Months
Contracting /Continuity Plan
recovery / continuity plan to client.

The IT team prior to the start of each project phase can review with the
Governance and Implementation Business has limited system implementation business the purpose of the phase, the activities to be performed, roles,
Technology BOTH TG6 N/A Medium High 1 - 2 Months
Contracting Experience experience. expectations, and planned outcomes for the work to be performed to
better educate the team. Add members of the IT team to the project.

Add to Schedule
Governance and ADP requires that the payroll be pre-funded X After the post go-live processes are defined, add the new funding
Technology Pre-Funding of BOTH TG7 3 High Low 1 - 2 Months
Contracting number of days before payroll. activities to the project schedule for the first few payrolls.
Payroll
No Training Plan has been shared with the
Governance and Create the Training Plan (if not already created) and share it with the
Technology Training Plan BOTH TG8 project team. Need to confirm this plan has 4 Medium Medium 1 - 2 Months Completed - Needs to be distributed
Contracting project team.
been developed.

client should ensure the project team and project schedule are
sufficiently updated to account for the interface change. In future
Large gap in originally contracted vs. actual contracts, rationalize the list of current and future interfaces, then work
Number of
Technology Interfaces BOTH TI1 number of interfaces (estimated 9 and actual with the vendors to ensure the there is enough insight into the current 2 High Medium 1 - 2 Months
Interfaces
33). system to estimate interface work requirements. There is usually
variance between the number of contracted interfaces and the number
implemented, however, tripling the number of interfaces is uncommon.

IT Involvement Functional resources are signing-off on interface

Work with IT to determine resource availability and ability to be
Technology Interfaces and Interface BOTH TI2 specifications. Additionally, there are no IT 1 High Low 1 - 2 Months
engaged with the project. Define areas where IT should be engaged.
Ownership resources assigned to the project team.

ADP manages interfaces in workbooks and not Build interface development and testing activities into the project
in the project schedule, not allowing schedule. Work with the project team to identify interface
Interface Project
Technology Project Schedule BOTH TP1 interdependencies to be called out. There is no interdependencies with the system and with other interfaces. Any 3 High High 1 - 2 Months
Management
visibility into individual interface development identified interdependencies can be tested during interface testing or in
and testing in the project schedule. a regression test cycle.

Parallel testing ends in July and there is no

Track and identify all changes that occur during this post-testing period.
Post Testing Time project activity until go-live at the end of
Technology Project Schedule BOTH TP2 Plan a cycle of regression testing to mitigate the risk of the these 2 Medium Medium 1 - 2 Months
Gap September. Regulatory or other changes to the
project changes.
system during this period.

The first cycle should be longer in the event there are issues. If there
are calculation or gross to net errors, there is not enough time to
There is not enough time allotted in the project
Testing Time remediate and retest. Additional cycles may also be required. Test
Technology Project Schedule BOTH TP3 schedule to test, remediate, then retest during 5 Medium Medium 1 - 2 Months
Frames cycles should be 5 days, allowing for defect correction and retesting.
each parallel cycle.
The test cycles can be executed in parallel with each other, so the
timeline does not need to be extended more than a couple of days.

Workflow and No workflow notifications in plan - workflows

Technology Project Schedule Notifications BOTH TP4 not spelled out separately in the plan. Add tasks for workflow and notifications to the project schedule. 2 Medium Low 1 - 2 Months

There is no report testing in the Project Add report testing to the project schedule and plan resources to test
Technology Project Schedule Report Testing BOTH TP5 1 High Low 1 - 2 Months
Schedule. reports.

Page 2 of 11
 Technology and Implementation Gap Analysis

Process Roadmap Analysis Duration

Name Indicator Analysis Title Country Number Specific Gap Recommendation (wks) Importance Complexity When Comments

Halt UAT and parallel testing until specifications are defined and signed-
Interface Not all interface specifications have been
Technology Specifications BOTH TS1 off. You may need to wait until some interfaces are developed before 4 High High 1 - 2 Months
Specifications defined.
resuming project testing.
Single Sign-on This can be defined in parallel with testing, however regression testing
Technology Specifications (SSO) Interface USA TS2 Defining specs for Single Sign-on (SSO). may be needed once SSO is developed. 3 Medium Medium 1 - 2 Months

client can develop test plans for the remaining test cycles. The purpose
Test plans are needed for UAT, parallel testing,
of test plans is to define the objectives for the test phase, entry and exit
Technology Testing Test Plans BOTH TT1 interface testing, and potentially regression 3 High Medium 1 - 2 Months
criteria, defect resolution procedures, testing scope, logistics,
testing.
responsibilities, timeline, etc.
Traceability There is no traceability matrix tying each Develop a traceability matrix and validate all requirements have
Technology Testing BOTH TT2 5 High High 1 - 2 Months
Matrix requirement to a use case for testing. successfully been tested.
Cutover Plan and
Go/No-Go There is no cutover plan and Go/No-Go criteria Continue the development of the cutover plan. Ensure the Go / No-Go
Technology Testing BOTH TT3 4 High High 1 - 2 Months In Development
Criteria has not been defined. acceptance criteria are included in the cutover plan.
(In Progress)

Ensure all untested unit test scripts and UAT test scripts are tested as
There is a lot of slack in the project schedule,
Regression part of end-to-end test. If client is looking to upgrade Vantage or
Technology Testing BOTH TT4 however, unit test ended without executing all 2 High Medium 1 - 2 Months
Testing Workforce Now, new version testing can be executed during this time
scripts.
frame.
Canadian There is no Canadian security testing in the Add Canadian security testing to the project schedule and plan
Technology Testing CAN TT5 1 High Low 1 - 2 Months
Security Testing Project Schedule. resources to test reports.
It may not be possible to test check printing until the system is live; if
Check and W-2 There is no scenario to test print a manual
Technology Testing BOTH TT6 this is the case, build into the go-live checklist those activities that must 1 High Low 1 - 2 Months
Printing check and a W-2 prior to go-live.
wait until go-live to be tested.

Page 3 of 11
 Hire To Retire Process Gap Analysis

Hire To Retire Process Gap Analysis

Level of
Process Roadmap Complexity to
Analysis Title Analysis Number Specific Gap Recommendation Importance Phase To Address
Name Category Implement
(To the Business)
Benefits Documentation BN1 There is little understanding of how the Canada Benefits process (e.g. RRSP) will Create process documentation for all Canada specific Benefits Canada High High Pre Go-Live
work and the support role the U.S. Benefits team will play once ADP Vantage processes to ensure the processes are fully understood prior to
goes live. go-live. The sign-off for understanding of the processes should be
added to the implementation plan to ensure employees in Canada
have a successful go-live experience.

Benefits Training BN2 There is little understanding of how the Canada Benefits process (e.g. RRSP) will Create training programs to ensure the Canada Benefits processes Canada High Low Pre Go-Live
work and the support role the U.S. Benefits team will play once ADP Vantage are fully understood prior to go-live. This includes any systems
goes live. training as well.

Benefits Control BN3 There is no control listed in the process documentation to validate prior to Define and document any rule-sets around these amounts and the N/A Medium Medium Steady State Solution
sending "seed" amount for HSA/FSA. validation process on the seed amounts to prevent any errant
entries by the employees.

Disability Process Process Steps D1 Process documentation is lacking information regarding the process when an Rule-sets, policy guidelines, and documentation should be made Process High Low Post Go-Live
v3 employee is not approved by Liberty Mutual and a business decision must be for scenarios when LTD is not approved by Liberty Mutual and a
made regarding their future employment. business decision is being made around their employment, and
who the final approvers of this decision are. Employee
terminations are highly susceptible to risk, robust operational
documentation around the policy and business decision process
should be as transparent as possible to avoid potential employee
Legal action.

Disability Process Leave Types D2 No defined processes for Jury Duty or Military Leave. Create process documentation for both Jury Duty and Military Process Medium Low Post Go-Live
v3 Leaves. Recommended to break it out separately from the
disability process. While volumes are low, documented processes
will help with consistency, training, and control purposes.

Disability Process Vendor Relations D3 There is a lack of performance by the Disability Vendor in that the client Recommendation is to have contract based discussions between N/A Medium Medium Steady State Solution
v3 Disability Specialist is having to frequently raise issues and concerns. the Functional Vendor Relationship Owners and the Vendor
regarding SLAs and performance improvement plans to ensure
that client is receiving the performance from the Vendor that they
contractually agreed to.

Disability Process Documentation D4 Lack of details and clarity of ownership in the process documentation for Split out each individual leave and conduct a deeper dive (clear N/A Medium Medium Steady State Solution
v3 Disability. owners of process steps, employee steps, Legal involvement,
controls, additional details) into each process. Then build out
specific steps and or reference points for concurrent or leave
transitions.

Disability Process Roles D5 HRBP and the Disability Specialist are performing duplicative steps at various A leading practice recommendation is for the disability specialist N/A Low Low Steady State Solution
v3 points in the Disability Process. An example of this is the HRBP reaching out to to directly speak with the employee regarding medical releases
the employee for medical releases as well as the Disability Specialist reaching and other leave related matters.
out to the employee for this same reason.
A business decision should be made to determine if the Disability
Specialist or the HRBP should communicate with the employee.
However in order to avoid duplication of efforts, one individual
should act as the point-of contact.

Merit Increase Authorization MI1 Process documentation does not define the required authorizations needed for In order to ensure complete and authorized payments, the process Process High Low Post Go-Live
Process Payroll to process the merits and incentives. documentation should contain steps that have the approvals go to
the Payroll Team to include in the pay period back-up. The steps
should also contain which roles are needed to authorize the merits
and incentives as a control to prevent unauthorized approvals
from generating payments.

Merit Increase Authorization MI2 Phase 2 process documentation does not define the required authorizations In order to ensure complete and authorized payments, the process Process High Low Post Go-Live
Process needed for Payroll to process the merits and incentives. documentation should contain steps that have the approvals go to
the Payroll Team to include in the pay period back-up. The steps
should also contain which roles are needed to authorize the
payment, as a control to prevent unauthorized approvals from
generating payments.

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 Hire To Retire Process Gap Analysis

Level of
Process Analysis Title Analysis Number Specific Gap Recommendation Roadmap Importance Complexity to Phase To Address
Name Category Implement
(To the Business)
Merit Increase Document MI3 There is no documented policy regarding paperwork storage & retention for Process steps are needed for the document collection and Document High Medium Post Go-Live
Process Retention merit increases and incentives. document storage of the merit increase and incentive process Retention
paperwork. This ensures compliance with any internal and
regulatory audits.

Merit Increase Black-out dates MI4 A gap exists, that Payroll has to on an ad-hoc basis, manually calculate increases Increases should be set effective for the first date of a new pay N/A Low Low Steady State Solution
Process due to lack of black-out dates. period to prevent manual intervention on the Payroll Team's
behalf
Merit Increase Cut-off dates MI5 Process documentation does not include defined dates and timelines so each Add process steps to the existing process documentation showing N/A Low Low Steady State Solution
Process stakeholder in the Merit Increase Process knows timing and responsibility. (SLAs) the cut-off dates (SLAs) for each step in the process to prevent the
risk of late payments.

Payroll Process Canada PY1 Lack of operational documentation in Canada for Payroll processing. Create operational documentation for Canada specific Payroll Canada High High Pre Go-Live
processing. The processes are currently not defined and the US
will need cross-training documentation to act as the back-up for
Canada Payroll.

Payroll Process Canada PY2 Lack of process and system knowledge around Payroll processing in Canada. Training for Workforce Now, ADP Vantage, and general Payroll Canada High High Pre Go-Live
Processing should be given to the Canada resources who will be
processing payroll for the first time. There is a risk to the accuracy
of the payroll runs without the proper trainings taken before go-
live.

Payroll Process Funding PY3 Lack of knowledge around how ADP will be funded, the specific requirements of Confirm end-to-end process details with all stakeholders (Payroll, Process High High Pre Go-Live
the funding process, and what role Payroll is responsible for in the process. Finance, Treasury, ADP, etc.) and document the future state
funding process (pending Payroll involvement). Payments are at
risk of being made in a timely manner if the funding process has
an un-identified gap prior to go-live.

Payroll Process Payroll Audit PY4 Lack of detailed validation steps that should be taken during the review of the Define a payroll review process, which includes what preview Process High Medium Pre Go-Live
preliminary and post payroll results. reports should be run, what data needs to be validated, and by
whom. This ensures all payroll changes and requests are properly
processed. (This could go in the Payroll Processing checklist).

Payroll Process W4 Processing PY5 No process in place to reset any employees who selected W4 Exempt status by Use ADP Vantage functionality to run a report of all employees Process High Low Post Go-Live
February 15th. who have selected exempt tax status. Those with exempt status
must claim 'Exempt' annually, per IRS regulations.
Payroll Process Payroll Audit PY6 Lack of a defined audit process to validate certain manual payments that are All manual transactions made into ADP Vantage should be signed Process High Medium Pre Go-Live
made into the ADP Vantage Payroll system and are not supplied with a traceable off (whether in ink or virtual) by the resource who made the
paper form (e.g. new-hires that are hired mid pay-period and will not receive change. This manual adjustment should also be reviewed and
auto-pay). signed off by another member of the Payroll Team who did not
make the change to ensure appropriate segregation of duties
during the validation process.

Payroll Process Payroll Audit PY7 The final payroll calc. is currently not receiving a final sign-off from authorized Establish and document post-payroll procedure that includes who Process High Low Pre Go-Live
Benjamin Moore Leadership. is authorized to sign-off on a payroll run and who the authorized
back-ups are, in the case where the primary approver is
unavailable. The sign-off would be an authorization control to
release all payments to employees.

Payroll Process Document PY8 There is no documented policy regarding payroll paperwork storage & retention. Process steps are needed for the document collection and Document High Medium Post Go-Live
Retention document storage of payroll paperwork (what is not completed Retention
online via ESS/MSS). This ensures compliance with internal and
regulatory audits.

Payroll Process Wage Types & PY9 Future state processes for ADP Vantage are not fully understood for all wage Review each ADP wage code that is not addressed in the process Process Medium Low Pre Go-Live
Deductions and deduction codes (includes Canada). documentation or those not fully defined which map to a process
flow. Document the source of the data, inputs, outputs, timing,
process details, calculation details, and the frequency to help
ensure a successful first go-live Payroll run.

Payroll Process Garnishments PY10 Lack of documentation of the future state of the garnishment process. (includes Create and document a formal end-to-end garnishment process Process Medium Low Post Go-Live
Canada) that will cover the process from receiving the initial garnishment,
notifying the proper stakeholders, calculation and set-up in ADP
Vantage, to finally payment through ADP WGPS. This
documentation is recommended for controls and training
purposes.

Page 5 of 11
 Hire To Retire Process Gap Analysis

Level of
Process Analysis Title Analysis Number Specific Gap Recommendation Roadmap Importance Complexity to Phase To Address
Name Category Implement
(To the Business)
Payroll Process Variance Analysis PY11 Lack of payroll analysis is performed to monitor the variance of pay-period totals Track totals by company code from pay-period to pay-period and N/A Low Low Steady State Solution
from one pay-period to the next. investigate any large discrepancies. This is a payroll leading
practice tool to enable the Payroll Team to take a proactive
approach to ensuring the payroll was complete and accurate.

Payroll Process Metrics & Reports PY12 Lack of metrics used to report out on any Payroll SLAs, effectiveness, and Begin making a "Payroll Scorecard", which reports on payroll N/A Medium High Steady State Solution
accuracy. accuracy, number of post-pay run corrections, inquiries opened &
resolved within the defined service level, and any other metrics
defined by the business to make Payroll a strategic partner. This is
a leading practice to not only report internally how the
department is meeting the business's expectations, but to also use
as metrics to benchmark against companies of similar industry and
size.

Payroll Process Payroll Processing PY13 No payroll tools are used to ensure all termination activities are properly Create and utilize a Termination Processing Checklist that the Process Medium Low Post Go-Live
Activities followed and completed. payroll processors can check-off and eventually sign-off during the
processing of a termination. The checklist would contain state
requirements, removal of direct deposit and benefits from future
pay periods, confirming the record is no longer active, and that all
other final payments/deductions have been researched and
accounted for.

Payroll Process Payroll Processing PY14 No payroll tools are used to ensure all payroll activities are properly followed Create and utilize a Payroll Processing Checklist that the payroll Process Medium Low Post Go-Live
Activities and completed. processors can check-off and eventually sign-off when the payroll
has been reviewed and accepted. The checklist would contain all
inputs have been accounted for, that the defined preview payroll
reports have been completed, and then contain the steps from
payroll acceptance, sign-off, and post-payroll activities.

Payroll Process Root Cause PY15 Lack of post-payroll analysis is performed to identify the root-cause or trends in Track errors that are found after payroll has been processed. This Process Low Low Post Go-Live
Reporting errors (does not mean they originated from the Payroll Team). tool is a leading practice to help prevent recurring payroll errors
and correcting any of the upstream issues flowing to payroll.

Time & Labor Training Materials TL1 Lack of training materials in both the US and Canada regarding the new Time & Training materials to be created and distributed before the new Change High Low Pre Go-Live
Management Labor process for inputting time, approving time, and manually changing time. time clocks go-live, as payments are at a high risk of being Management/Trai
Process incorrect with the new system and process being unknown to all ning
the stakeholders of the process (Employees, Managers, Payroll).

Time & Labor Operational TL2 The current documentation for the Time & Labor process is a fact sheet of how Create a process flow that includes all stakeholders in the process, Process Medium Medium Post Go-Live
Management Documentation each method of time entry will work in the future state and does not contain the their responsibilities, any control points, and the timing involved.
Process end-to-end process. This operational documentation will provide value for both
training and control purposes.

Time & Labor Perfect Attendance TL3 Perfect Attendance payout process has not been defined for the future-state. While creating the operational documentation for the Time & N/A Low Low Steady State Solution
Management Labor process, cover all wage types that could be paid out of the
Process time system and ensure the process is defined end-to-end. This
will prevent any Perfect Attendance payouts be delayed due to
lack of knowledge on how to process with ADP Vantage.

Time & Labor PTO Tracking TL4 Salaried employee PTO time is not tracked by the business. Currently, Managers and Employees are responsible for tracking Process Medium High Post Go-Live
Management their PTO time. Leading practice is to have this data stored in your
Process Time & Attendance system to help with accruals, visibility to your
remaining balance, and for final payouts.

Year-End Documentation YE1 Future-state documentation for ADP Vantage does not have a process flow or Create an end-to-end process flow that will show the Process High Medium Post Go-Live
listing of year-end reports. responsibilities and timelines of all stakeholders involved in the
process (HR, Payroll, Benefits, ADP, Employee, TPVs, etc.) which
also includes the reports that are required to run by Payroll.

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 Hire To Retire Process Gap Analysis

Level of
Process Analysis Title Analysis Number Specific Gap Recommendation Roadmap Importance Complexity to Phase To Address
Name Category Implement
(To the Business)
Year-End Testing YE2 The project plan is lacking ADP Vantage W2 testing as well as Workforce Now T4 Ensure that the year-end processes, reports, and output forms are Process High Medium Post Go-Live
testing (post go-live initiatives). added to the project plan and are successfully produced to
prevent issues at year-end. Lack of testing could lead to incorrect
year-end forms, government penalties, and late processing.

Year-End Canada YE3 There is a lack of operational documentation for the year-end process in The operational documentation year-end checklist is US specific Canada High Medium Post Go-Live
Canada. and does not address Workforce Now or the steps that will need
to be taken in Canada. Recommendation is to create
documentation that contains a year-end checklist, process details,
and process flow that will show the responsibilities and timelines
of all stakeholders involved in the process (HR, Payroll, Benefits,
ADP, Employee, TPVs, etc.), which also includes the reports that
are required to run by Payroll.

Tuition Repayments TR1 The repayment process interaction between the employee and Payroll is not Assign which department (e.g. Payroll) is the process owner for N/A Low Low Steady State Solution
Reimbursement included in the tuition reimbursement operational documentation. collecting the repayment of the tuition reimbursement payment.
Process Additionally, detail the steps the process owner takes to create a
repayment plan. Including information such as are there
restrictions to the repayment plan / What happens if the
employee cannot pay it back / Are their tax records going to be
properly reflected?

Tuition Repayments TR2 Repayments are not currently standardized and are performed on a case by case Create a sample letter / communication to be sent to the N/A Low Low Steady State Solution
Reimbursement basis employee in the case that either their final paycheck is going to
Process receive a deduction, and/or to set-up a repayment plan with
different timing options. By giving your employees options, you
are setting limits while standardizing repayment plans.

Recruitment Interface Rec1 ADP system does not have an "Indeed" interface. The recommendation to identify a potential interface to Indeed is Interface High High Pre Go-Live
Process in-process with ADP ATS. When conclusive, operational
documentation and knowledge transfer/training is needed of the
final state. This is important as the Indeed interface is the most
widely used external job board for client.

Recruitment Canada Rec2 A gap exists with the Recruitment process in Canada, as there is little visibility Recommendation for monthly meetings between HRBP in Canada N/A High Low Steady State Solution
Process into how the background checks, drug tests, etc are accounted for as it is and Recruiting function; to indicate status of requisitions,
completed at a different time of the recruitment process than in the US. variances to global standard recruiting process, and discussion of
any new policies/processes with regards to recruiting.

Recruitment Hiring manager Rec3 The recruitment process does not currently include reporting to Hiring Manager Process should include weekly reporting out of ADP ATS to hiring N/A Medium Low Steady State Solution
Process activities on 1.) quantity of resumes 2.) requisition time duration 3.) amount of manager, beyond showcasing individual resumes. This allows the
requisitions open per hiring manager. There is little reporting capabilities to manager to have greater insight and greater control over the
assist the manager. requisition and hiring process.

Recruitment Job Level Rec4 There is no rule-set for requisition approvals by job level, just an approval for The level of job opening should have a rule-set around approvers. N/A Medium Medium Steady State Solution
Process Requisition replacement versus additional head. Rule set for:
Approval 1.) HR approvals needed
2.) business approvals needed An example would be: Levels 1-6
need HR director approval; levels 7-10 need VP of HR approval
This is able to be hard-coded into ADP, and would ensure
consistency around the enterprise.

Recruitment Hiring manager Rec5 Current documentation does not showcase the pending future state change of Operational documentation should show the shift in responsibility Change High High Post Go-Live
Process activities hiring manager activities as they relate to Recruitment. Activities not future state (Phase II) to hiring manager responsibilities within Management/Trai
documented are the hiring manager initiating the requisition in ADP ATS, etc. ADP ATS. Knowledge transfer and training should accompany ning
operational documentation. This is important because although it
is Phase II, the change communication should begin before go-live
of Phase I.

Recruitment Interview section Rec6 There is no rule-set for interviewers by job level. This interviewing team is Although discussed on a case by case basis during the kickoff N/A Medium Medium Steady State Solution
Process determined requisition by requisition with the hiring manager and HRBP in the meeting with the hiring manager, the job level needs a rule-set
kickoff meeting. regarding interviews and interview team. Rule set around:
1.) how many interviews based upon job level
2.) interview team based upon job level Standardizing the
interviews by job level ensures consistency around the enterprise.

Page 7 of 11
 Hire To Retire Process Gap Analysis

Level of
Process Analysis Title Analysis Number Specific Gap Recommendation Roadmap Importance Complexity to Phase To Address
Name Category Implement
(To the Business)
Recruitment Recruiter activities Rec7 Recruiters at client now have a large responsibility over requisitions, however Operational documentation should show the shift in responsibility Org High Medium Post Go-Live
Process the operational documentation still denotes the HRBP as the owner of all from the HRBP to the Recruiter for the Recruitment process. A
requisitions. few HRBP's will have Recruiting activities however centralization
effort now includes two Recruiters who have bulk of responsibility.

Recruitment Interviews Rec8 Scheduling of interviews is outside of the system, manual process and may stay Separate operational documentation should exist for scheduling of N/A Medium High Steady State Solution
Process manual in future-state, due to ADP ATS lack of functionality. There is currently interviews (pain point with ADP ATS). There should be an
no process documentation for this manual process. evaluation of service delivery of scheduling of interviews (1
Recruiting administrator for all requisitions, etc). Creating
operational documentation for this manual process ensures that
all stakeholders (employee, HRBP, admin, hiring manager, etc)
know their role and responsibilities.

Recruitment Dispositioning Rec9 The new ADP ATS system is not configured to automatically disposition Dispositioning of candidates should include automatic process N/A Low High Steady State Solution
Process candidates candidates based upon job criteria. step by ADP ATS (automatic configuring). Leading practice is to
include a rule set that if certain criteria is not met for position
(experience, etc), then the candidate is sent automatic email
indicating they are not being considered for the position. This can
be coded into ADP and will be a needed process when volume
increases.

Relocation Approval Relo1 The future state relocation processes within ADP ATS does not include initial HR Recommendation of automatic feed to HR for approval before Process High High Pre Go-Live
Process approval of relocation form after employee has entered in details. automatic feed to Benefits for processing. Current state has this
HR approval step; future state does not have an approval step.

Relocation Change Relo2 The future state relocation process is not comprehensively understood by the Change Management and training is needed for the future state Change High Low Pre Go-Live
Process Management functional stakeholders. process of relocation as Benefits members need Management/Trai
training/knowledge transfer in their role. ning

Relocation Payroll activities Relo3 The process flow depicts that there is a 'check hold' if client employees do not As regulatory laws prohibit check holding, this step should be Process High Low Post Go-Live
Process pay back relocation fees, if applicable. In speaking with Payroll, this has not ever removed from the process documentation, so that client does not
happened as part of the process. reflect that they have a 'check hold' process.

Relocation Process Relo4 The relocation repayment process (for those terminated employees who must Operational documentation is needed to denote steps for N/A Medium Low Steady State Solution
Process optimization pay back their relocation funds) is not documented. repayment of relocation. Steps to include interfacing (if
applicable), initiation (HRBP, Benefits, etc), repayment time
frame, Serva activities, etc.). This includes Serva reaching out to
the employee and client employee responsibilities. This process is
outside of the normal payroll cycles and is vulnerable for audits.

Relocation Interface Relo5 Future state is currently configured in which Benefits manually must email Serva, An automatic or generated interface to Serva (relocation vendor) N/A Medium High Steady State Solution
Process the relocation vendor, of a new relocation. from ADP ATS is more efficient than proposed future state process
of emailing vendor all details. This ensures all applicable
information is sent to Serva, without manual intervention from
Benefits.

Relocation Current Hires Relo6 Relocation for current hires (without a job change) is processed outside of the Documentation is needed for this variance of relocation of current N/A Medium Low Steady State Solution
Process normal process steps, and is currently not documented. hires without a transfer. This ensures that each HRBP is
completing this relocation of current hires in a rules-based,
standardized way.

Relocation Benefits activities Relo7 The Benefits function is currently the functional owner of the relocation process; Future state consideration should address if the Benefits function N/A Medium Low Steady State Solution
Process however the benefits stakeholders have little oversight into the process. is the most appropriate function to correspond with Serva;
perhaps HRBP, Payroll, etc would have better line of sight into
relocation needs.

Relocation Year-End Relo8 The year-end Relocation process is not documented. This process includes Operational documentation should exist for this process and Process Medium Medium Post Go-Live
Process Serva, Benefits, Payroll, etc. Operational documentation should exist for this should include responsibilities by Serva, Benefits, Payroll, etc. This
process. documentation ensures correct handoffs between functional
owners.

Relocation Approval Relo9 There is not a configured notification to the HRBP that the hiring manager has Future state process should include automatic notification to HR N/A Medium High Steady State Solution
Process approved the relocation in ADP Vantage. The notification would be manual (HRBP) that hiring manager has approved relocation. This allows
(Outlook) from the hiring manager to the HRBP. for the HRBP to efficiently manage the relocation process.

Relocation Canada Relo10 There is little visibility into the Canadian relocation process. Note: the volume is Recommendation for a global standard process, and functional Canada High Medium Post Go-Live
Process extremely low. oversight into Canadian relocation process. Note: the volume is
extremely low.

Page 8 of 11
 Hire To Retire Process Gap Analysis

Level of
Process Analysis Title Analysis Number Specific Gap Recommendation Roadmap Importance Complexity to Phase To Address
Name Category Implement
(To the Business)
Employee Change Payroll activities EC1 In current state, employee change has a sign-off (on the paper form) related to Business decision is needed to determine if Payroll should validate Process High Medium Pre Go-Live
Process other validation of the employee change by Payroll. In future state, there is no data for employee change process. There should be a validation
than Merit validation process by Payroll. of employee change data (Payroll, lead HRBP, etc). This decision is
for Phase I & II (MSS). The validation of data ensures compliance.

Employee Change Change EC2 The payroll team is aware that there will be processing & validating changes as Roles should be defined at the activity level regarding who will Org High Low Pre Go-Live
Process other Management the ADP implementation goes live, however they are currently unaware of the deliver which service (data entry, validation, etc). Change
than Merit stratifying of their roles in this new world. Management is needed along with knowledge transfer of service
delivery for these tasks so that the Payroll team is set up for
success during the go-live and subsequent steady-state.

Employee Change Documentation EC3 For Phase II ESS/MSS Terminations does not have operational documentation Rule-set should be in place around the employee file Document High Medium Post Go-Live
Process other steps around documentation retention. documentation and storage requirements. client has indicated Retention
than Merit that this effort is underway. Particular attention should be given
to state (NJ) requirements, for auditing purposes

Employee Payroll activities ERef1 The employee referral process documentation does not include the steps Payroll process steps are needed regarding the payout process. Process High Medium Pre Go-Live
Referral Process related to payroll processing of the referral bonus. These steps include: automatic reminder, payout details,
notifications to referring associate, reports generated, validation,
audit, controls, and the taxable portion of raffle/payouts, etc.
These process steps are owned by Payroll and/or Recruiting. This
process is an auditable process and process documentation
ensures a compliance effort.

Employee Canada ERef2 There is currently no visibility into the employee referral process in Canada. Process design and process documentation is needed for Canada Medium Medium Post Go-Live
Referral Process With no oversight into the employee referral process in Canada, this process is employee referral process in Canada. This is to include the activity
not a global standard and there is a compliance risk associated. steps, and any oversight by the Recruiting function in the US over
this process.

Employee Recruiter activities ERef3 Currently the Recruiter (or in some cases HRBP) is responsible for all ADP ATS should be configured so that auto notification is sent to N/A Medium High Steady State Solution
Referral Process requisitions. Auto notifications are not currently configured for the Recruiter or Recruiter/HRBP when an employee refers a candidate. This helps
HRBP with regards to employee referrals. facilitate a more efficient workflow, and is an offering of the ADP
ATS.

Employee Automatic ERef4 All communication between Recruiter/HRBP and the referring employee is done Referring associate should receive automatic notification from N/A Low High Steady State Solution
Referral Process notification in a manual process, through email. This requires extra steps by Recruiter/HRBP ADP ATS indicating the following:
to identify if a candidate has been referred by a current employee. 1.) Referring candidate has been referred
2.) Referring employee is entered into raffle; raffle details
3.) Next steps for referring employee

Employee Referring ERef5 There is no policy regarding the definition and parameters of a 'referring A policy should be created for the employee referral process Process High Low Pre Go-Live
Referral Process Employee employee.' This leads to disputes over multiple referring employees for a single including indicating the definition of a referring employee, the
candidate, split awards, etc. tasks that the referring employee must carry out, the tasks that
the referred candidate must carry out, etc.
The policy should also indicate the exception process for multiple
referring employees, the rule-set around split awards, etc.

Employee Employee activities ER1 Within the employee relations documentation, there is gap related to the Process steps (policies and guidelines) are needed for the N/A Medium Low Steady State Solution
Relations Hotline employee tasks/responsibilities within the process. employee's role in employee relations matter beyond initial
Process complaint creation. Roles to include: follow-up discussion, signed
paperwork if applicable, etc. This policy should be released to all
employees as good-faith measure.

Employee Documentation ER2 Two separate systems house employee relations data, which puts client at risk To avoid duplication efforts and unintended variances by Legal N/A Medium Low Steady State Solution
Relations Hotline when having an internal audit related to employee relations. counsel and HRBP, there should be a focus to keep both the Navex
Process system, and the S-drive harmonized. Both systems of record
should reflect the same information (one system may have more
detail).

Employee Documentation ER3 Currently, there is no internal auditing of the S-drive for terminated employees, Continuous internal auditing is needed of the S-drive related to N/A Medium Low Steady State Solution
Relations Hotline and no policy created depicting a scheduled internal audit. terminated employees; documentation retention rules to apply.
Process Policy needs to be written regarding when to remove claims
related to terminated employees.

Page 9 of 11
 Hire To Retire Process Gap Analysis

Level of
Process Analysis Title Analysis Number Specific Gap Recommendation Roadmap Importance Complexity to Phase To Address
Name Category Implement
(To the Business)
Employee Security Access ER4 The shared drive does not currently have security access parameters (security A policy is needed to establish rule-sets around HRBP and Legal Process Medium Low Post Go-Live
Relations Hotline roles, etc.). department security access, per employee relations case. This
Process secures the confidentiality needed for each employee relations
case, as it relates to members of the investigation team.

New Hire Process HR activities NH1 Currently, new hire data entry is validated by the Payroll lead. In future state, Validation is needed (appropriate stakeholder could be HRBP lead, Process High Medium Pre Go-Live
the new process does not include validating of all HR/Payroll new hire data. Payroll lead, etc) regarding all information entered into ADP ATS
(salary, job code, job level, etc). In absence of form for sign-off,
ADP Vantage system 'submit' is recommended.

New Hire Process Payroll activities NH2 A new hire is able to have a start date at any time during the month; certain Rule-set is needed regarding new hire start dates ('blackout days' Process High Low Pre Go-Live
start dates create extra steps for the payroll and benefits function from a timing in which new hire should not start due to payroll processing and
perspective. benefits enrollment). There is a current and future state risk to
payroll processing and benefits enrollment without these blackout
days. Most organizations exercise blackout dates regarding new
hire start dates.

New Hire Process Documentation NH3 There is no policy regarding new hire paperwork storage & retention. There is Process steps are needed for the document collection and Document High Medium Post Go-Live
also no process documentation related to the Recruiter, HRBP, etc document storage of new hire paperwork (what is not completed Retention
responsibilities with capturing new hire paperwork and retaining the online by candidate), and the document retention process for new
documentation. hire paperwork. Activities include: initiation, rule-set on storage
parameters, checklist of paperwork items, etc. This ensures
compliance with internal and regulatory audits.

New Hire Process I-9 process NH4 Currently for future state there is no I-9 documentation or process design, as the I-9 process is a regulatory process that is able to weave in Process High High Pre Go-Live
new I-9 process will be using ADP technology. technology components. I-9 process is also time sensitive; process
design and operational documentation needed for auditing
purposes and efficient processing.

New Hire Process Background NH5 The background check, drug test, and physical test does not have a widely A rule-set should indicate which job codes will receive which tests Process Medium High Post Go-Live
check/drug test known rule-set around which positions would necessitate which checks/tests. (background check, drug test, physical). With this rule set, ADP
ATS is able to have an automatic feed to background check/drug
test/physical instead of manual process. This creates a more
efficient process. Efforts are currently underway at client to
update the 'safety sensitive' list that HRBP's reference.

New Hire Process Automatic NH6 Currently, the salaried employees with car option new hire process does not Salaried employees with car option: future state (later phase) N/A Low Low Steady State Solution
notification denote the process steps related to procurement responsibilities, and the recommendation to have automatic notification to procurement
handoffs to Payroll/HR. that employee receives car. Procurement to then enter
information into ADP Vantage. This ensures more efficient
processing.

New Job Title Job Code vs Title JT1 Hiring managers and HRBP's have license to identify new job titles; over 600 job Recommendation for job titles to have a harmonization and Process Medium Medium Post Go-Live
Creation Process titles currently exist, which is not leading practice for an organization of 1,500 organization effort. Recommendation is already in process by
employees. Jeannie for job title clean-up. This ensures that job titles, although
a free form field, have consistency and meaning as they relate to
the corresponding job code.

New Job Title Reports JT2 The new job title creation process documentation does not denote any semi- Reports should be completed (every 6 months) regarding all new N/A Medium Low Steady State Solution
Creation Process yearly confirmation or spot checking of job titles. job title creations; future state process does not denote any
validations or reports ran to see new job title creation activity.
Continuous validation allows for minor cleanup if applicable and
ADP Vantage data to remain harmonized.

Off-boarding Documentation OB1 Currently there is no operational documentation regarding records retention for Process design (responsibilities per activity) should be completed Document High Medium Post Go-Live
Process terminated employee paperwork, and the documentation retention policy is not for off-boarding paperwork and all employee file paperwork Retention
currently fully defined. storage (Records retention). Retained paperwork includes:
candidate assessments, new hire paperwork, I-9, performance
evaluations, compensation statements, payroll records,
garnishments, termination paperwork, exit interview, etc. This
ensures compliance for auditing purposes.

Page 10 of 11
 Hire To Retire Process Gap Analysis

Level of
Process Analysis Title Analysis Number Specific Gap Recommendation Roadmap Importance Complexity to Phase To Address
Name Category Implement
(To the Business)
Off-boarding MSS OB2 Phase 2 indicates the use of MSS for involuntary and voluntary termination. In addition to the Payroll department owning the calculation of Process Medium Low Post Go-Live
Process Manager inputs information, and HRBP approves, however there is currently not vacation time and final payouts, there is a recommendation for a
any approvals by Payroll. separate payroll individual to validate and approve the calculation
or final payout amounts. Approval prior to processing would allow
for auditing over vulnerable payroll processing areas.

Off-boarding Reports OB3 Currently, HR/Payroll does not utilize reporting (termination reports) to spot- Operational documentation should include report running by N/A Medium Low Steady State Solution
Process check, audit, or analyze turnover. HR/Payroll of terminations:
1.) to validate all term information entered
2.) to ensure all terminations were final and not rescinded
3.) to analyze turnover rates and reasons
Utilizing reports out of ADP Vantage allows for auditing, and
begins the process of predictive analytics when utilizing turnover
data to predict quarterly turnover rates.

Page 11 of 11