1. Form 5500 Support Services

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 requirement s 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

4. Operational outsourcing

6. Data clean-up

7. Platform installations and upgrades

9. Technology platform improvements

12. Design and manage customer and internal training

13. Design, manage, and distribute all customer outputs

14. Manage customer and auditor call center support

16. Last year’s certified statements and 5500 reports

17. Current year transactions and account history

18. Client demographic data

19. Separately held assets

20. Pre-conversion data

21. Validate Data between history and certified financial statements

22. Provide correcting entries to either history or financial statements

23. Produce all 5500 schedules and audit package

24. File 5500 via eFAST2

25. Create archival records

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

28. Last year’s certified statements and 5500 reports

29. Current year transactions and account history

30. Client demographic data

31. Separately held assets

32. Pre-conversion data

33. Validate Data between history and certified financial statements

34. Provide correcting entries to either history or financial statements

35. Produce all 5500 schedules and audit package

36. File 5500 via eFAST2

37. Create archival records

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

40. Collection of Prior Year’s data

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

47. 24 hours manned security

48. Access Control with card readers

49. CCTV & Internet TV

50. Video conferencing facilities

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

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

54. Training on privacy and security norms

55. Use encryption for transmission

56. Background checks performed on all personnel

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

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

60. T1 links from Iselin office to Client office

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

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

64. Cabling – Optic fiber backbone and Structured Cabling

66. Oracle and SQL Server Desktops - HPs

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

69. Proprietary customized data validation routines

70. Flexible correcting transactions and entries

72. Proprietary archival and retrieval tools

73. Complete workflow and imaging platform

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

76. 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

77. Review and recommend platform upgrades and changes

78. Design and implement platform and process improvement changes

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

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

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

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

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

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

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

86. 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

87. 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.

89. Compliance and legal policies, platforms, and procedures

90. Operations and services practices

91. Fees and commission calculations, reports, and disclosures

92. Technology and architecture

93. System and web interfaces

94. Self-directed brokerage

95. Special asset handling

96. Fund trading and accounting

97. Audit and control quality reviews

98. 5500 preparation process

99. Data sourcing , controls, validation and storage

100. Data integrity

101. Financial aggregation for 5500 purposes

102. Integration with annual plan reporting

103. Data adjustment and financial re-classification

104. System and web interfaces

106. Risk/benefits identification

107. Options/alternative solutions overview

108. Impact overview

109. Recommendations

110. Analysis and design phase plan

111. Week 1 – Arrange project events and schedule interviews

112. Week 2 -4 - Conduct Interviews, review existing documentation and any initiatives in motion

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

115. Design client education framework

116. Define all data sources

117. Create business requirements document

118. Define business controls and validations

119. Define reporting requirements

120. Create functional design document

121. Refine cost and resource estimates

123. Annual Reporting Preparation

124. Non-discrimination testing

126. Client training

128. System interfaces

129. Recordkeeping system

130. Trust accounting system

132. Roles and responsibilities

133. Standard operating procedures

134. Training

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

137. Functional design document

138. Implementation project plan

139. Cost and resource estimates

140. Build vs. buy analysis

141. Business case justification

143. Create and deploy platform and solution for 5500 generation

144. Design and perform testing effort

145. Perform data validation and production verification

146. Re-design of 5500 generation team processes

147. Re-design of workflow between teams

148. Re-design of quality control practices

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

150. Design and deliver training program

151. Plan sponsor’s employee communications guide

152. Communications checklist

153. Disclosure documents list

154. Required forms list

155. Audit Guide for 5500 calculations and back up reports

157. Data Mart/Data Warehouse solution

158. Data interfaces

159. Test plans, test cases and test results

160. Production verification plans and results

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

162. Validation of business justification

163. Request for Proposal

164. Vendor evaluations with EI proprietary Comparator Tool

165. Product evaluations with EI proprietary Comparator Tool

166. Assistance during contract negotiations

167. Solutions review against industry standards and best practices

170. Regulatory & compliance SME

171. Systems architect

172. Technical lead/programmer

173. Lead business analyst

174. Project manager

175. Regulatory & compliance SMEs

176. Systems architect

177. Database designer

178. Business requirements analysts

179. Business intelligence analyst

180. Specific software SMEs

181. Vendor/contract management analyst

182. Project manager

183. Systems architect

184. Tech lead/programmers

185. Testing lead and team

186. DBA

187. Business integration analysts

188. 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

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

193. 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

194. 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