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Next Steps: Implementing YOUR Plan Guardian Retirement SolutionsTM understands the requirements for a smooth transition of your qualified plan to us as your service provider. Below is a guideline of action steps that usually occur during each phase of the implementation process. Plan Sponsor 1.Plan sponsor selects Guardian Retirement SolutionsTM as a service provider PHASE 1 Acceptance PHASE Review 2 3. Relationship established with TPA 4.Information sharing between plan sponsor and TPA –Plan documents given to TPA –Valuations and Form 5500 given to TPA 2.New case submission paperwork is completed –Investment options chosen –QDIA option elected 1. Paperwork is reviewed –Case submission documents are in “good order” –Evaluation of plan documents, including plan features Establishment PHASE 4 Implementation GIAC Plan Sponsor Financial Professional TPA GIAC Financial Professional TPA GIAC 6.Transfer of assets package given to plan sponsor –Liquidation letter to prior vendor –Blackout notice to participants 7.Introductory call with payroll provider (if applicable) 8.Participant enrollment/education meeting held 9.Completed forms returned to Guardian Retirement SolutionsTM Plan Sponsor Financial Professional TPA GIAC 2.Implementation specialist assigned to the plan –Introductory call is made to plan sponsor to discuss: 3 TPA Plan Sponsor 1. Plan set up on Guardian Retirement SolutionsTM system PHASE Financial Professional 3.Enrollment method: census, forms, or online 4.Contributions 5.Web access 1. Transfer of assets is complete –Conversion receives final sign-off 2. Participant accounts are allocated and confirmed 3. Plan is ready to receive new contributions 27