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Great -West and Plan Sponsor agree to maintain <br />and hold in confidence all Nonpublic Personal <br />Information ( "NPI ") received in connection with the <br />performance of services under this Agreement. NPI <br />includes personally identifiable financial information <br />as defined by Title V of the Gramm - Leach - Bliley Act. <br />Great -West shall not use or disclose NPI to any third <br />party, other than affiliates and service providers <br />appointed by Plan Sponsor, without Plan Sponsor's <br />written consent, except as permitted or required by <br />law. Any third party service provider retained by <br />Great -West to provide services under this <br />Agreement, and who has access to NPI, shall agree <br />in writing to be bound by confidentiality and non- <br />disclosure provisions, and to use such NPI only for <br />the performance of specific services under this <br />Agreement. Great - West's current Privacy Notice is <br />attached to this Agreement as the Privacy Notice <br />Exhibit. By executing this Agreement, Plan Sponsor <br />acknowledges receipt of this notice. Great -West will <br />update the notice periodically and make the updates <br />available to Plan Sponsor. <br />B. Business Continuity Plans Notice <br />GWFS Equities, Inc.'s current Business <br />Continuity Plans notice is attached to this Agreement <br />as an exhibit. By executing this Agreement, Plan <br />Sponsor acknowledges receipt of this notice. Great - <br />West will update the notice periodically and make the <br />updates available to Plan Sponsor, <br />As soon as practicable following a disaster, <br />Great -West agrees assist Plan Sponsor in business - <br />continuity recovery and restoration efforts until full <br />normal service levels and staffing are achieved. <br />C. Affiliates <br />Plan Sponsor acknowledges and agrees that <br />Great -West may utilize the services of any affiliate, <br />including but not limited to FASCore, LLC; Advised <br />Assets Group, LLC; GWFS Equities, Inc.; GW Capital <br />Management, LLC, within its controlled group to <br />perform any services under this Agreement. Great - <br />West shall provide to Plan Sponsor its organizational <br />chart including, but not limited to affiliate, <br />subsidiaries, third parties or other agents and their <br />specific responsibilities and duties related to Plan <br />recordkeeping, management, services and <br />operations. <br />D. Exclusivity <br />Plan Sponsor appoints Great -West as the Plan's <br />exclusive provider of the recordkeeping, <br />communication, and other services set forth in this <br />Agreement for the term of this Agreement. <br />E. Responsibilities at Termination <br />Great -West shall provide all Participant and Plan <br />data in the standard file format for any Plan transition <br />within 10 Business Days. Any additional requests for <br />data will be reviewed and delivered <br />independently. Upon Great -West relinquishing <br />responsibilities at the termination of this Agreement, <br />as requested, investment balances for all Participants <br />will be provided in the recordkeeping system's <br />standard format, to assure appropriate account <br />balances, within 10 Business Days of termination. <br />Participant statements and Employer Plan <br />Summaries and Disclosures will be provided up to <br />and including the statement for the last calendar <br />quarter covered by this Agreement until Plan <br />Sponsor determines that the transition is complete. <br />Once recordkeeping responsibilities are transferred, <br />Great -West, as requested by Plan Sponsor, will stop <br />all communications and statements to Participants. <br />F. Error Correction <br />For purposes of this section, "Great- West" refers <br />to Great -West Life & Annuity Insurance Company <br />and certain of its affiliates. If Great -West, as the <br />recordkeeper, makes an error that results in an <br />investment transaction gain or loss, and it is brought <br />to Great - West's attention within 90 days after the <br />Participant statement date following the occurrence <br />of the error, Great -West will retroactively correct the <br />error by putting the Participant back in the financial <br />position where the Participant would have been had <br />the error not occurred. However, if the Plan or <br />affected Participant knew or should have known of <br />the error but failed to bring it to Great - West's <br />attention within 90 days after the statement date <br />following the occurrence of the error, the error will be <br />corrected prospectively. If a correction is made at <br />Great - West's expense and results in a net loss, <br />Great -West will bear the loss. However, if the <br />correction results in an unintended net gain, Great - <br />West will retain the gain as compensation for <br />services provided to the plan and to defray <br />City of Santa Ana Services Agreement 4 -16 -14 (one -year term) Page 13 <br />