CSD-RT RFP Recordkeeping_Administration Services Response 3-

Select (a) or (b) in Section 29 and execute on next page:

29.

Company Responsibility for Other Providers.

[ ] a. Company does not offer products of any other investment providers, and will not

do so prior to completing a new agreement with the Employer to properly address

necessary compliance coordination with respect to such other investment providers.

[ ] b. Company offers products of one or more other investment providers.

Select all

that apply

[ ] 1. PROVIDERS CURRENTLY AUTHORIZED: Company is offering

products of one or more providers that is/are already authorized under the Plan

pursuant to separate agreement(s) with the Employer.

[ ] 2. PROVIDERS NOT CURRENTLY AUTHORIZED; COMPANY WILL

PERFORM ALL REQUIRED INVESTMENT PROVIDER COMPLIANCE

FUNCTIONS: Company will perform all of the following obligations with

respect to products offered by Company and provided by one or more underlying

investment providers, including but not limited to: providing SPARK data;

approving transactions as identified in Company’s agreement with the Employer

only upon receipt of a Distribution Eligibility Certificate; coordinating and

complying with Plan and Code rules governing exchanges and transfers; and

entering into enforceable agreements with those investment providers to ensure

continued compliance with the requirements of the Plan and the Code, including

obligations that survive the termination of this Agreement, and copies of such

executed agreements shall be provided to Employer upon request. Company

understands that it will retain these responsibilities until they have been

terminated by reasonable advance written notice to Employer and Administrator.

[ ] 3. PROVIDERS NOT CURRENTLY AUTHORIZED; COMPANY AND

PROVIDERS WILL SHARE INVESTMENT PROVIDER COMPLIANCE

FUNCTIONS: Company will provide SPARK data for these underlying

investment providers that are not otherwise separately authorized under the plan.

Each of these underlying investment providers will perform one or more of the

functions described in (1) above and will be required to enter into an agreement

substantially similar to this Agreement directly with Employer; and such

executed agreement shall be provided to Employer, prior to Company’s

establishing any contracts and/or accounts under the Plan with such underlying

investment providers.

Ver 04102013