State of Connecticut

Exhibit D - Major Responsibilities for TPA
ACTIVITY DESCRIPTION LIMITED SCOPE TPA PROVIDERS
     
Participant Education Sets standards. Participates in meetings. Can convene and participate in educational meetings. Conducts educational meetings. Participates in meetings
Participant Enrollment Meetings Sets standards. Conducts enrollment meetings
Materials describing 457 Plan and benefits Prepares in consultation with providers. Prepares uniform piece for distribution. Distributes materials.
Marketing materials describing investment options Sets standards and approves materials. Prepares and distributes materials.
Participant recordkeeping and services Sets standards and monitors performance levels. Maintains records and provides services directly to participants.
Plan recordkeeping and services Provides to OSC based on data obtained from providers. Provides Limited Scope TPA with aggregate data regarding plan participants.
Investment performance - plan sponsor Consolidates data for submission to OSC. Conducts periodic performance review with OSC Prepares data for submission to Limited Scope TPA.
Investment performance - plan participants Establishes standards and model performance report. Provides performance data to participants within standards set by Limited Scope TPA.
Investment Policy Statement Develops together with OSC. Provides consolidated investment statement. May provide input to Limited Scope TPA.
Investment Options - Evaluation and Selection Reviews all investment options currently available. Recommends to OSC those investment options which should continue to be made available to participants. OSC decides on plan options. Offers only investment options which meet Investment Policy guidelines and which are acceptable to Limited Scope TPA and OSC.
Payroll and Cash Flow Processing Works with OSC and providers to develop processes and guidelines. Meets guidelines established by Limited Scope TPA and OSC. Works with Limited Scope TPA to take advantage of additional effiiciencies.
Payroll and Account Reconciliation Works with OSC and providers to develop processes and guidelines. Meets guidelines established by Limited Scope TPA and OSC. Provides information necessary for Limited Scope TPA.
Hardship Withdrawals Develops and applies guidelines. Accepts decisions of Limited Scope TPA.
Qualified Domestic Relations Orders Develops and applies guidelines. Accepts decisions of Limited Scope TPA.

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