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TABLE OF CONTENTS <br />I. Definitions ....................................................................................................................................................... <br />............................... 5 <br />II. Basic Recordkeeping Services ....................................................................................................................... <br />..............................6 <br />A. <br />Participant Account Establishment ....................................................................................................... <br />..............................6 <br />B. <br />Participant Account Information .......................................................................................................... <br />............................... 6 <br />C. <br />Investment Options .............................................................................................................................. <br />..............................6 <br />D. <br />Valuation of Participant Account Balances ........................................................................................... <br />..............................7 <br />E. <br />Contributions, Transfers and Limitations .............................................................................................. <br />..............................7 <br />F. <br />Automated Voice Response System ................................................................................................... <br />............................... 7 <br />G. <br />Participant Website ............................................................................................................................. <br />............................... 7 <br />H. <br />Client Service ...................................................................................................................................... <br />............................... 8 <br />I. <br />Plan Sponsor Access to Recordkeeping System ................................................................................. <br />..............................8 <br />J. <br />Reporting .............................................................................................................................................. <br />..............................8 <br />K. <br />Regulatory Updates .............................................................................................................................. <br />..............................9 <br />L. <br />Benefits, Tax Withholding and Reporting ............................................................................................. <br />..............................9 <br />M. <br />Qualified Domestic Relations Orders .................................................................................................. <br />............................... 9 <br />N. <br />Plan Document Services ..................................................................................................................... <br />.............................10 <br />0. <br />Rollovers from Other Eligible Retirement Plans .................................................................................. <br />.............................10 <br />P. <br />Code Section 402(f) Notice ................................................................................................................. <br />.............................10 <br />Q. <br />Monitoring the Deferral Limits ............................................................................................................. <br />.............................10 <br />III. Enhanced <br />Signatureless Recordkeeping Services ....................................................................................... <br />.............................10 <br />A. <br />General Requirements ........................................................................................................................ <br />.............................10 <br />B. <br />Deferral Reoordkeeping ...................................................................................................................... <br />.............................10 <br />C. <br />Beneficiary Recordkeeping ................................................................................................................. <br />.............................10 <br />D. <br />Beneficiary Confirmation for Death Benefit Claims ............................................................................. <br />.............................11 <br />E. <br />Online Enrollment ................................................................................................................................ <br />.............................11 <br />F. <br />Loans ................................................................................................................................................... <br />.............................11 <br />G. <br />In- Service Distributions at Age 59 % ................................................................................................... <br />.............................11 <br />H. <br />Required Minimum Distributions at Age 70 % z ..................................................................................... <br />.............................12 <br />IV. Communication <br />Services .............................................................................................................................. <br />.............................12 <br />A. <br />Special Representations ..................................................................................................................... <br />.............................12 <br />B. <br />Communication Materials .................................................................................................................... <br />.............................12 <br />C. <br />Group Presentations ........................................................................................................................... <br />.............................12 <br />D. <br />Individual Counseling Sessions ........................................................................................................... <br />.............................13 <br />E. <br />Plan Sponsor Committee Meetings ..................................................................................................... <br />.............................13 <br />City of Santa Ana Services Agreement 401 (a) 02 -02 -15 Page 2 <br />