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Great -West Life & Annuity Life Insurance <br />AGREEMENT FOR RECORDKEEPING AND COMMUNICATION SERVICES <br />Great -West Life & Annuity Insurance Company ("Great - <br />West"), and /or any successor, assign or affiliate, and City <br />of Santa Ana ('Plan Sponsor ") make this Agreement for <br />Recordkeeping and Communication Services, with respect <br />to the services to be provided by Great -West, to the City of <br />Santa Ana 401(a) Plan (the "Plan "). <br />WHEREAS, Plan Sponsor has established or adopted the <br />Plan for its eligible current and former employees <br />(Participants) in accordance with Code Section 401(a), and <br />all other applicable federal, state and municipal laws, for <br />the purpose of providing a voluntary deferred <br />compensation retirement plan to Participants for voluntary <br />contribution; and <br />WHEREAS, Plan Sponsor (or its designee) serves as the <br />Plan Administrator and Named Fiduciary of the Plan; and <br />WHEREAS, Plan Sponsor has placed all Plan assets into a <br />trust, custodial account or annuity contract that meets the <br />requirements of the Code and will continue to meet such <br />requirements for the duration of this Agreement for <br />purposes of establishing an unbundled open- architecture <br />investment arrangement; and <br />WHEREAS, Great -West acts in a non - fiduciary capacity as <br />a directed, nondiscretionary service provider and to <br />perform the services described herein as directed by Plan <br />Sponsor, in compliance with all applicable federal, state <br />and local laws and regulations; <br />WHEREAS, Great -West agrees to act as record keeper <br />and provide communication services for an open - <br />architecture platform with per -share identified by NAV (net <br />asset value) where the Plan Sponsor may select, add and <br />change Plan investment options from the universe of funds <br />(that Great -West has the contractually ability to record <br />keep) at Plan Sponsor's discretion and use of Great -West <br />funds or securities are not contractually required; <br />WHEREAS, Great -West agrees that fund investment <br />option changes may not occur without Plan Sponsor <br />authorization; <br />WHEREAS, Great -West agrees that nothing in this <br />Agreement restricts Great -West from offering or providing <br />additional record keeping or other Plan service <br />improvements, as mutually agreed upon; <br />NOW, THEREFORE, the parties agree as follows: <br />I, DEFINITIONS <br />The following terms and definitions shall apply <br />throughout this Agreement: <br />a. ACH — Automated Clearinghouse <br />b. Agreement — this Agreement for Recordkeeping <br />and Communication Services <br />c. Authorized Investment Options — the investment <br />options available under the Plan, as <br />selected by Plan Sponsor <br />d. Business Day — any day, and only for as many <br />hours as, the New York Stock Exchange is <br />open (typically until 4:00 pm Eastern Time) <br />e. Code — the Internal Revenue Code of 1986, as <br />amended from time to time, including all <br />Treasury Regulations promulgated <br />thereunder <br />f. Designated Investment Option — the investment <br />option designated by Plan Sponsor to <br />receive all Participant contributions, <br />transfers and direct rollovers, and other <br />amounts with respect to a Participant, that <br />are received without complete allocation <br />instructions <br />g. Effective Date — the date upon which this <br />Agreement takes effect, as specified below <br />h. Great -West— Great -West Life & Annuity Insurance <br />Company <br />I. Named Fiduciary — the fiduciary(ies)who jointly or <br />severally have the authority to control and <br />manage the operation and administration of <br />the Plan, as described in ERISA <br />j. Participant — Plan Sponsor's current and former <br />employees participating in the Plan <br />k. PDI — Payroll Data Interchange <br />City of Santa Ana Services Agreement 401 (a) 02 -02 -15 Page 5 <br />