Attachment_G_-_Past_Performance.pdf

Offerors shall complete the Client Listing Questionnaire below with defined benefit plan client references that are similar in either participants and/or assets to our Plan.

At least three references, including one reference that has recently left your firm, are required. References should be limited to a maximum of five.

Client Listing Information (Minimum of 3, Maximum of 5)

1. Company Name:

Company Contact:

Plan Size (participants/assets): ________________________________________ Geographic Location:

Phone Number:

E-mail address: ________________________________________ Date Relationship Began/Ended: ____________________________________

2. Company Name:

Plan Size (participants/assets): ________________________________________ Geographic Location:

Phone Number:

E-mail address: _________________________________________

3. Company Name:

Plan Size (participants/assets): ________________________________________ Geographic Location:

Phone Number:

4. Company Name:

Plan Size (participants/assets): _________________________________________ Geographic Location:

Phone Number:

5. Company Name:

Plan Size (participants/assets):

Geographic Location:

Phone Number:

QUESTIONNAIRE

1. Please provide the number of defined contribution plans managed or administered by your organization that were gained/lost over the past three years.

Plans Gained Plans Lost Total

2. For lost business over the last 3 years, what percentage of your clients left due to the following issues:

Service % Fees % Merger/dissolution/bankruptcy % Other %

3. In the last five years, has your organization been cited or threatened with any regulatory action by federal or state regulators for violations of any state or federal law? If so, please explain.

4. Have you had any license problems in the last 5 years? If so, please explain.

5. Describe any past or pending litigation, within the last 5 years, relating to the services you are proposing.

6. Provide a copy of your custodial trust agreement.

7. How often is the system upgraded?

8. What system enhancements do you have planned over the next three years for:

• Core recordkeeping system

• Service technology

9. Describe your maintenance and backup procedures including daily backups, retention timetable and off-site backup storage approach. Where are your off-site backup facilities located?

10. What checks and balances do you have in place to ensure transactional integrity?