1. Form 5500 Support Services 1

2. Form 5500 Support High Level Needs Form 5500 preparation has become more complex and plan sponsors must rely on 5500 data for fiduciary oversight regarding fees and expenses. Because of this, service providers must ramp up in the following ways: Develop functionality to incorporate input from multiple sources Ensure data quality and maintenance Identify all data sources, understand the implications of the information disclosed to participants and validate the quality and reasonableness of this information Determine client requirements and service support needs Educate clients so they are prepared to comply with changes and fulfill their responsibilities. These new dynamics place new demands and costs on service providers who are already pressed to achieve and maintain profitability and customer loyalty. Enterprise Iron has the expertise, resources, experience and processes to help you: Meet your legal obligations Choose from outsourcing solutions, process improvement solutions, or supplemental staffing solutions Work with and communicate with your clients to maintain their cooperation and retain their loyalty Ensure that you have access to the most effective, automated, process in place to minimize on-going costs, and maintain, report on, and retrieve data in a high quality systematic manner Supplement your staff with Enterprise Iron experts to assist in completing immediate deliverables and leverage this experience during long-term improvement efforts. High Level Benefits 2

4. Operational outsourcing

6. Data clean-up

7. Platform installations and upgrades

9. Technology platform improvements

10. Data management enhancements and integration3

11. Outsourcing Services Enterprise Iron offers three types of outsourcing designed to fit your unique needs 4

13. Design and manage customer and internal training

14. Design, manage, and distribute all customer outputs

15. Manage customer and auditor call center support

17. Last year’s certified statements and 5500 reports

18. Current year transactions and account history

19. Client demographic data

20. Separately held assets

21. Pre-conversion data

22. Validate data between history and certified financial statements

23. Provide correcting entries to either history or financial statements

24. Produce all 5500 schedules and audit package

25. File 5500 via eFAST2

26. Create archival records

27. Post reports and schedules to client websiteData Gathering Data Validation and Reporting 5

29. Last year’s certified statements and 5500 reports

30. Current year transactions and account history

31. Client demographic data

32. Separately held assets

33. Pre-conversion data

34. Validate data between history and certified financial statements

35. Provide correcting entries to either history or financial statements

36. Produce all 5500 schedules and audit package

37. File 5500 via eFAST2

38. Create archival records

39. Post reports and schedules to client websiteData Gathering Data Validation and Reporting 6

41. Collection of client data from plan sponsors

42. Data validation and corrections

43. Preparation of Reports and Schedules

44. Creation of Audit packages or Support for Auditors

45. Creation of Client Communications Materials

46. Creation and execution of training programs7

48. 24 hour manned security

49. Access Control with card readers

50. CCTV & Internet TV

51. Video conferencing facilities

52. Currently occupying 200 seats across 15,000 sq. ft.

54. Server Monitors are kept in a separate area from the physical server

55. Training on privacy and security norms

56. Use encryption for transmission

57. Background checks performed on all personnel

58. Authorized Personnel (Employees) have signed strict confidentiality agreements

60. High availability of Internet connectivity is provided through multiple ISPs and redundant last mile connectivity through Verizon cables and Radio connectivity

61. T1 links from Iselin office to Client office

62. Client’s facilities can also be connected using VPN Tunnel

64. Switches – High Performance layer 3 switches with built in redundancy

65. Cabling – Optic fiber backbone and Structured Cabling

67. Oracle and SQL Server Desktops - HPs 8

69. Receipt of data from external sources including clients, trustees, and investment managers

70. Proprietary customized data validation routines

71. Flexible correcting transactions and entries

73. Proprietary archival and retrieval tools

74. Complete workflow and imaging platform

76. Supplemental Staffing Enterprise Iron has a long history of offering expert staff to supplement your internal resources. We have a successful track record of support in all areas of compliance, including 5500 support. Some examples of our areas of expertise include: Auditors and Quality Assurance Staff Data Validation and Correction Experts Annual Reporting Experts Client and Auditor Call Support Client Communications Specialists and Trainers 5500 Reporting and Schedules Experts 10

78. Review 5500 reporting and data needs relative to needs for other functions such as certified annual reports and annual compliance testing

79. Recommend integration and leverage points that can be used to improve quality, eliminate duplicative data sources, and more efficiently integrate technology solutions across typical “ancillary” platforms

80. Review and recommend platform upgrades and changes

81. Design and implement platform and process improvement changes

82. Review client engagement and communications programs for opportunities to mitigate risks and increase loyalty

83. If necessary, design enhancements to communications programs, client training programs, and client support materials

84. Review and assess training and communications programs for front line staff handling client data, client reporting, and client compliance and audit support

85. Recommend improvements in line with business needs and industry best-practices

86. Identify intersection and integration points with key client channels such as the plan sponsor web-site to maximize client efficiency

87. Assess business risks associated with current 5500 production processes, data sourcing, and workflows and recommend short term and long term mitigants

88. Document current 5500 production practices and work flows to facilitate future automation, and create an institutional body of knowledge

89. Recommend and design improvements that can be implemented to increase accuracy and efficiency in meeting 5500 reporting obligations over the next 18 monthsMeet Obligations Manage Client Relationships Manage Costs and Quality 11

90. Form 5500 Services Approach Assessment Our approach consists of three distinct phases that build upon each other to achieve an end-state designed to meet your business objectives, both short and long term. Analysis and Design Build-out and Implementation Our 3 phase process improvement approach can be enhanced by utilizing Enterprise Iron expert resources to assist with completing any current backlogs associated with 5500 preparation and production during implementation.

92. Compliance and legal policies, platforms, and procedures

93. Operations and services practices

94. Fees and commission calculations, reports, and disclosures

95. Technology and architecture

96. System and web interfaces

97. Self-directed brokerage

98. Special asset handling

99. Fund trading and accounting

100. Audit and control quality reviews

101. 5500 preparation process

102. Data sourcing, controls, validation and storage

103. Data integrity

104. Financial aggregation for 5500 purposes

105. Integration with annual plan reporting

106. Data adjustment and financial re-classification

107. System and web interfaces

109. Risk/benefits identification

110. Options/alternative solutions overview

111. Impact overview

112. Recommendations

113. Analysis and design phase plan

114. Week 1 – Arrange project events and schedule interviews

115. Week 2 - 4 - Conduct interviews, review existing documentation and any initiatives in motion

116. Week 5 – 7 – Formulate deliverables and socialize concepts

117. Week 8 – Present final deliverables13

119. Design client education framework

120. Define all data sources

121. Create business requirements document

122. Define business controls and validations

123. Define reporting requirements

124. Create functional design document

125. Refine cost and resource estimates

127. Annual Reporting Preparation

128. Non-discrimination testing

130. Client training

132. System interfaces

133. Recordkeeping system

134. Trust accounting system

136. Roles and responsibilities

137. Standard operating procedures

138. Training

140. Business requirements document (including controls, validations and reporting specifications)

141. Functional design document

142. Implementation project plan

143. Cost and resource estimates

144. Build vs. buy analysis

145. Business case justification

146. 6-10 weeks depending on complexity of requirements definition 14

148. Create and deploy platform and solution for 5500 generation

149. Design and perform testing effort

150. Perform data validation and production verification

151. Re-design of 5500 generation team processes

152. Re-design of workflow between teams

153. Re-design of quality control practices

154. Develop suite of Standard Operating Procedures (role based)

155. Design and deliver training program

156. Plan sponsor’s employee communications guide

157. Communications checklist

158. Disclosure documents list

159. Required forms list

160. Audit Guide for 5500 calculations and back up reports

162. Data Mart/Data Warehouse solution

163. Data interfaces

164. Test plans, test cases and test results

165. Production verification plans and results

166. Knowledge transfer program (SOPs, training program, transition effort)

167. Validation of business justification

168. Request for Proposal

169. Vendor evaluations with EI proprietary Comparator Tool

170. Product evaluations with EI proprietary Comparator Tool

171. Assistance during contract negotiations

172. Solutions review against industry standards and best practices

173. Business practice integration15

174. EI Tools and Techniques Assessment Interview Questionnaires / Interview Guide Work Flow Analysis Guide Alternatives Framework Template Risk Analysis Template System Architecture Designs Standard Data Mapping Analysis and Design Business Requirements Document Integration Scheme Standard Business Controls and Validations Data Schemas and File Layout Templates Implementation Project Plans & Budgets Functional Design Document Build-out and Implementation Use Case Templates Communi- cation Program Templates Sample Test Cases Standard training program outline Build vs Buy Review Vendor Product Evaluations Technical Design Document * Standard Datamart Design 16

176. Regulatory & compliance SME

177. Systems architect

178. Technical lead/programmer

179. Lead business analyst

180. Project manager

181. Regulatory & compliance SMEs

182. Systems architect

183. Database designer

184. Business requirements analysts

185. Business intelligence analyst

186. Specific software SMEs

187. Vendor/contract management analyst

188. Project manager

189. Systems architect

190. Tech lead/programmers

191. Testing lead and team

192. DBA

193. Business integration analysts

194. Vendor/contract management analyst** The number of consultants assigned will be based on the number of plans, type of plans, plans’ complexity, and asset mix 17

196. Equally critical to success is the way we interface with your team to plan and execute the strategy you choose.18

197. Integrating with Your Team Setting up your team with confidence that their talents will be valued during and after the new solutions are implemented can create a high performance work environment that provides the best chance of success. Critical integration activities include: Establish a project methodology that explains project purpose, structure, goals, activities and success measures. Pair EI resources with your existing teams to leverage diverse skill sets and facilitate knowledge transfer. Identify new team incentives and measures to be implemented Identify impact of EI alternatives on other business and technology initiatives Identify deployment opportunities for existing talent into newly defined roles Incorporating your corporate lexicon and current job roles into EI recommendations 19

199. Set the foundation for better on-going compliance cost structures.

200. Maximize your flexibility to handle future changes.In addition to regulatory and compliance benefits, implementing a complete Enterprise Iron solution will enable you to: Increase the odds of success in meeting your contractual obligations Maximize the value of any initiatives currently in motion Ensure team alignment as to solutions being proposed and implemented Execute in such a way as to maximize the opportunity to increase client support and loyalty Manage the cost of regulatory compliance within an overall target cost and profitability framework Build and store data in such a way as to enable future enhancements that leverage a customized data warehouse 20

201. Contact Enterprise Iron For more information see our website: http://www.eifis.com Contact Information: 485C Route 1 South Suite 350 Iselin, New Jersey 08830 Email: info@eifis.com Phone: +1.888.242.4682