EY Travel Risk and Compliance

Tool

User Guide

Contents

Welcome to the Tool 2 Tool Access and First-Time User Steps 3

Accessing the Tool 4 Consents 6 Personal Details and Travel Documents 7

Completing an Assessment 8

New Assessments 9 Assessment Results 11 Immigration Assessment 12 Travel Booking Integration 13 Pocket Letters 14 Unsubmitted Assessments and Trip Verification 15

Delegation 16

Assigning a Delegate 17 Requesting to Become a Delegate and Access Rights 18 Once You Have Become a Delegate 19

Help and Information 20

Useful Contacts 21

Welcome to EY Travel Risk and Compliance Tool

A perfect storm for travel risk and compliance Cross-border travel comes with its own challenges: tax, social security, immigration, regulatory compliance and more. Finding yourself on the wrong side of the local law, even accidentally, can be problematic. EY’s Travel Risk and Compliance solution (“TRAC”) assesses corporate and individual travel risks, prior to travel being undertaken, providing in-depth guidance on complex cases as well as transparency and insight at the corporate level.

What does the tool do?

Convenient capture of travel plans The EY Business Travel Compliance tool captures travel plans. You will get immediate feedback on travel risks and support to work through issues and actions. Assessment of travel risk A comprehensive tax and immigration rules engine provides real-time assessment of risk exposure. More complex travel is addressed by EY’s extensive global network of travel risk professionals. Corporate visibility of exposure All travel activity is captured and analyzed immediately to provide deep insights into travel patterns and focus areas for risk management.

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Tool Access and First-Time User Steps

EY Travel Risk and Compliance Tool

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Accessing the EY Travel Risk and Compliance Tool There are four ways to access the tool:

1. While booking travel online in Concur, If your home country supports online booking of travel using Concur, you can click on the “Complete Assessment” link while booking your travel. If you do not complete the assessment during your online booking you will receive an email from business-traveler-support@ey.com. This email will include a link to the immigration assessment.

2. While booking travel through your local BCD office, you will receive an email from business-traveler-support@ey.com with a link to the immigration assessment.

When first accessing the tool from the email link, you will be asked whether you are managing travel for yourself or as a delegate for someone else.

If you are managing travel on someone else’s behalf, click the “request permission to access their travel details” hyperlink. In doing so, you will be redirected to the “Access Rights” page. Please see pages 17-19 for more detail on access rights.

If you are managing your own travel, click “Continue”. This will redirect you to the “Itinerary” page for your new travel assessment.

If it is your first time using the application, please refer to the details beginning on page 8. (“Completing an Assessment”).

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Accessing the EY Travel Risk and Compliance Tool (Continued) 3. By managing travel on someone’s behalf. If a traveler requests you to submit a travel assessment on their behalf, you will receive an email asking you to accept or decline the request. By clicking on the link provided in the email, you will be redirected to the EY Tool. Note, the delegate must also be assigned in Concur.

4. By copying and pasting the tool’s URL into your web browser - https://tracnexgen.ey.com?_s=TlRD If you are in a country that doesn’t use Concur, you will need to access the tool using the above URL. Users who would like to request access to someone else’s profile in order to manage travel on their behalf should also use this link. Please refer to pages 17-19 for additional directions.

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If you’re accessing the tool for the first time, you will be directed to a page titled “Getting started”, and required to read and sign off on the following consents:

- Travel Risk and Compliance tool Terms of Use

- Terms of Service Agreement

- Data Privacy Consent Notice

- Financial Reporting Oversight Role consent

After reading the information provided for each consent, check the acknowledgement box at the bottom of the page before clicking “Next consent”. You can navigate back to a previous consent page by clicking “Previous”.

Once you sign off on these consents, you will not need to do so again.

Consents

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Personal Details and Travel Document Information

If you’re accessing the tool for the first time, you will next be directed to the “Personal details” page. All fields on the “Personal details” page are mandatory. Many of these fields may be pre-populated with data provided from your organization’s HR information system. The “Save changes” button will only become active once all required information has been provided.

In addition to personal details, you will need to provide information about your travel document(s). On the “Travel documents” page, you can enter multiple passports/travel documents by clicking on “+ Add”. This is a key feature as immigration risk assessment results are based on your country/ies of citizenship.

All travel document information that you provide will be saved on the “Travel documents” page. You can come back and edit this information at any time – for example if you are issued with a new passport. Note: if you are a delegate managing travel assessments on behalf of a traveler, you must complete your profile and travel documents first and then complete the traveler’s profile (if not already completed by the traveler) in order to submit assessments on the traveler’s behalf.

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Completing an Assessment

EY Travel Risk and Compliance Tool

New Assessments

Once personal and passport details have been provided, you will be able to submit a new assessment.

The assessment is divided into four sections: 1) “Itinerary”, 2) “Activities”, 3) “Confirm” and 4) “Results”.

If you complete the tool as part of your travel booking process, the origin, destination and trip dates that you entered when booking online will be automatically populated in the itinerary page.

On this page you can also add multiple legs for a single trip by clicking “+ Add another leg”.

If you are not accessing the tool as part of the travel booking process, you will need to manually input origin, destination and trip dates. Once you have checked all details are correct, click “Save and continue” to enter business activities.

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New Assessments

On the “Activities” page, you will be asked to select all relevant business activities that you will be undertaking on your trip. You will also be asked to specify whether the activity is “employer” or “third party”.

If you have multiple trip legs, you will need to select activities for each individual trip leg. Please refer to the in-tool guidance in case of questions.

Once business activities have been selected, you may be asked to complete a more detailed description of your business activities before submitting the assessment. Throughout the questionnaire, you can use the yellow progress bar at the top of the screen to navigate back to previous pages. You can also edit details from the confirmation page before you submit the assessment.

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Assessment Results

After you have submitted your assessment, you will be directed to the “Results” page. Your results are based on the details that you entered in the assessment.

If you hold more than one citizenship, click the “Passport” dropdown at the top of the page to view your assessment results by passport, as results may vary based on your passports.

In some instances, you will receive a result letting you know that you are not clear to travel at this point in time.

An explanation will be provided outlining the reason for this assessment result.

This could be:

• because of your citizenship and your destination country’s immigration laws

• because your passport expires during your trip

• because your employer does not allow employees to travel to certain destinations

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In some instances, the trip may require an additional review by an EY immigration professional. Your immigration assessment will be sent directly to EY for review. The expected turnaround time to hear from the immigration professional is one business day. You may be contacted sooner depending on a complexity of your travel case.

Immigration Assessment

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Travel Booking Integration

As soon as you enter an international flight in Concur and hit Search,

a banner will appear at the top of your screen prompting you to complete an Immigration Assessment.

The link navigates to the EY tool with the pre-populated itinerary details you input into Concur. Enter your Destination State (if applicable) and click “Save and Continue”. You will then be taken directly to the Activities page in order to provide business activities to complete the assessment as explained in previous section (New Assessment, pages 9 and 10).

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Pocket Letters In some instances, you might require a pocket letter, also known as a Letter of Invitation. These letters are automatically generated by the system for all trips where you will be seeking entry without a visa, but are still subject to immigration control.

You can access the pocket letter by clicking on the link contained within the body of the guidance text. The letter will also be sent to you via email. A copy of this letter will also be saved in the tool when you click on the trip in the “Travel Dashboard”. You can use this letter during your travels if you are required to provide evidence that supports the purpose of your visit and your employment with Northern Trust.

The pocket letter is populated with information captured in the questionnaire and in your “Personal details” page and the remainder is standard text pre-agreed with Northern Trust.

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Unsubmitted Assessments and Trip Verification

Should you navigate out of the questionnaire at any time during the assessment prior to submission, the trip will be saved in “Unsubmitted assessments” in the left navigation panel.

Once the dates of a trip have passed, you will receive an email reminder to verify the trip details.

You must verify completed trips or delete the trips you didn’t take in the “Travel Dashboard”. Failure to do so could cause downstream tax implications.

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Delegation

EY Business Travel Compliance tool

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Assigning a Delegate

You can request someone to become a delegate and manage travel on your behalf by navigating to the “Delegate” tab in the left navigation panel and clicking on “+ Add another user” and providing the email address of your delegate. Note, you must also ensure the delegate is set up in Concur.

If you are using the tool for the first time, you will need to provide consent and set up your profile before you are directed to the “Delegate” tab.

In the “Delegate” tab, you can view or delete people that have been granted access to manage your travel on your behalf.

If you wish to return to this page at any time, navigate to “Delegates” in the left-hand side navigation menu.

Please note: if you are a traveler, you can send delegate requests without updating your own traveler profile. Upon accepting a delegation request, the Delegate can login and update your profile, and submit assessments on your behalf etc.

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When someone requests to become your delegate, you will automatically receive a delegation request email. To accept or decline the request, click on the link in the email. Once in the tool, you can click “Yes, I accept” or you can “Decline request”.

Requesting to Become a Delegate and Access Rights

You can request to become a delegate on behalf of another user by clicking on “Access rights” in the left navigation panel and selecting “+ Add another user.”

Enter the email address of the user you wish to become a delegate for and click “Send request”. An email will be automatically sent to the traveler requesting approval for you to become their delegate.

On the homepage, you can click on “Access rights” in the left-hand side navigation menu, to come back to this page at any point.

Once your delegate request has been approved, the “Access rights” section will be updated accordingly.

Please note: if you are a first time user, you do not have to update your own profile in order to request access rights (i.e. becoming someone’s Delegate). However, once the traveler has accepted your request, you must complete your profile and the traveler’s profile (if not complete already) to manage assessments for the traveler.

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Once You Have Become a Delegate

You have the option to become a delegate for multiple people at any one time. To switch user accounts, click on the top right drop down box and select the desired user. You will then be able to make profile updates, verify past trips and complete travel assessments for another user.

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Help and Information

EY Business Travel Compliance tool

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Useful Contacts

For any general technology or immigration queries, or to provide feedback on the tool, you will find useful contacts by clicking on “Help” in the bottom left hand corner of the page.

On this page you can also re-access the consents that you accepted when using the tool for the first time, by clicking on the hyperlinks under Terms and privacy.

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