agenda - friday, august 11, 2017 - kane county,...

KANE COUNTY LENERT, Dahl, Allan, Gillam, Martin, Scheflow, Smith

HUMAN SERVICES COMMITTEE

FRIDAY, AUGUST 11, 2017

County Board Room Agenda 9:00 AM

Kane County Government Center, 719 S. Batavia Ave., Bldg. A, Geneva, IL 60134

Kane County

1. Call to Order

2. Approval of Minutes: July 14, 2017

3. Public Comment

4. Monthly Financial Reports

A. July Monthly Reports (attached)

B. FY18 Budget (if needed)

5. Veteran's Assistance Commission

A. Monthly Report (attached)

6. Department of Human Resource Management

A. Monthly EEO Reports (attached)

B. August IPBC Funding Sheet (attached)

C. 2017 July Lump Sum Payments (attached)

D. 2017 June NACo Prescription Drug Plan (attached)

E. 2017 July MERP Update (attached)

F. Presentation: Nova Time for Time/Attendance/Schedule Software System by Roger Fahnestock, Executive Director of Information Technologies

G. Discussion: 2018 Open Enrollment (attached)

7. Compliance

8. Old Business

9. New Business

A. Discussion: Proposed Amendment to the Ethics Ordinance

B. Presentation: Current Kane County 457(b) Plans by Phillip Steele, HPM Partners (attached)

10. Reports Placed On File

11. Executive Session (if needed)

12. Adjournment

Current Month Transactions

Total Amended Budget

YTD Actual Transactions

Total % Received

660 Veterans' Commission 9,642 331,071 164,542 49.70%380 Veterans' Commission 9,642 331,071 164,542 49.70%

Grand Total 9,642 331,071 164,542 49.70%

Human Services Committee Revenue Report - SummaryThrough July 31, 2017 (66.7% YTD)

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YTD Actual Transactions

YTD Encumbrances Total % Used

120 Human Resource Management 216,747 2,483,207 2,532,276 3,368 102.11%001 General Fund 33,411 392,167 261,915 874 67.01%010 Insurance Liability 183,336 2,091,040 2,270,362 2,494 108.69%

660 Veterans' Commission 25,544 331,071 197,320 0 59.60%380 Veterans' Commission 25,544 331,071 197,320 0 59.60%

Grand Total 242,291 2,814,278 2,729,596 3,368 97.11%

Human Services Committee Expenditure Report - SummaryThrough July 31, 2017 (66.7% YTD, 65.38% Payroll)

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YTD Encumbrances Total % Used

120 Human Resource Management 216,747 2,483,207 2,532,276 3,368 102.11%001 General Fund 33,411 392,167 261,915 874 67.01%

Personnel Services- Salaries & Wages 27,523 309,934 207,744 0 67.03%Personnel Services- Employee Benefits 5,265 65,644 38,096 0 58.03%Commodities 103 5,317 4,480 874 100.71%Contractual Services 520 11,272 11,594 0 102.86%

010 Insurance Liability 183,336 2,091,040 2,270,362 2,494 108.69%Personnel Services- Salaries & Wages 26,636 147,639 121,853 0 82.53%Personnel Services- Employee Benefits 6,921 43,152 31,748 0 73.57%Contractual Services 149,779 1,900,249 2,116,760 2,494 111.53%

660 Veterans' Commission 25,544 331,071 197,320 0 59.60%380 Veterans' Commission 25,544 331,071 197,320 0 59.60%

Personnel Services- Salaries & Wages 14,460 188,634 122,806 0 65.10%Personnel Services- Employee Benefits 7,239 92,798 56,763 0 61.17%Commodities 0 3,002 266 0 8.87%Contractual Services 3,845 46,492 17,484 0 37.61%Capital 0 145 0 0 0.00%

Grand Total 242,291 2,814,278 2,729,596 3,368 97.11%

Human Services Committee Expenditure Report - DetailJuly 31, 2017 (66.7% YTD, 65.38% Payroll)

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Vendor Invoice No. Invoice Description Status Held Reason Invoice Date Due Date G/L Date Received Date Payment Date Invoice AmountFund 001 - General Fund

Department 120 - Human Resource ManagementSub-Department 120 - Human Resource Management

Account 55000 - Miscellaneous Contractual Exp1299 - Kane County Regional Office of Education

0000009662 Fingerprinting Paid by EFT # 41876

06/30/2017 07/10/2017 07/10/2017 07/24/2017 520.00

Account 55000 - Miscellaneous Contractual Exp Totals Invoice Transactions 1 $520.00Account 60000 - Office Supplies

3578 - Warehouse Direct Office Products 3529009-0 Office Supplies Paid by EFT # 41736

06/27/2017 06/29/2017 06/29/2017 07/10/2017 97.65

3578 - Warehouse Direct Office Products 3521460-0 Office Supplies-tri-fold folders

Paid by EFT # 41736

06/20/2017 06/30/2017 06/30/2017 07/10/2017 63.38

3578 - Warehouse Direct Office Products C3521460-0 Credit memo/returned 3 pocket folders

Paid by EFT # 41736

06/28/2017 07/03/2017 07/03/2017 07/10/2017 (63.38)

Account 60000 - Office Supplies Totals Invoice Transactions 3 $97.65Account 60080 - Employee Recognition Supplies

9235 - Susan Brown 071217 Employee Recognition Supplies

Paid by EFT # 41778

07/12/2017 07/10/2017 07/10/2017 07/24/2017 50.04

Account 60080 - Employee Recognition Supplies Totals Invoice Transactions 1 $50.04Sub-Department 120 - Human Resource Management Totals Invoice Transactions 5 $667.69

Department 120 - Human Resource Management Totals Invoice Transactions 5 $667.69Fund 001 - General Fund Totals Invoice Transactions 5 $667.69

Fund 010 - Insurance LiabilityDepartment 120 - Human Resource Management

Sub-Department 130 - Insurance Liability- HRMAccount 50150 - Contractual/Consulting Services

1248 - Kinnally Flaherty Krentz Loran Hodge & Masur PC

5301-00/49 (PMK) Special Asst State's Attorney-Board Meeting

Paid by Check # 357781

06/30/2017 07/14/2017 07/14/2017 07/24/2017 427.50

Account 50150 - Contractual/Consulting Services Totals Invoice Transactions 1 $427.50Account 53000 - Liability Insurance

8258 - CCMSI 0041167-IN Liability Funding Request

Paid by EFT # 41787

06/30/2017 07/10/2017 07/10/2017 07/24/2017 6,264.33

8764 - General Medical Devices Inc(dba AED Professionals)

54385 AID Supplies Paid by EFT # 41840

07/03/2017 07/10/2017 07/10/2017 07/24/2017 98.28


53342 AED Supplies Paid by EFT # 41840

07/03/2017 07/10/2017 07/10/2017 07/24/2017 3,720.00



06/30/2017 07/10/2017 07/10/2017 07/24/2017 280.00



07/03/2017 07/10/2017 07/10/2017 07/24/2017 1,233.20



07/03/2017 07/10/2017 07/10/2017 07/24/2017 666.50

1016 - Wine Sergi Insurance (Acrisure, LLC)

20122 Notary-Tindall Paid by EFT # 41994

07/10/2017 07/10/2017 07/10/2017 07/24/2017 25.00

Run by Finance Reports on 08/03/2017 04:44:58 PM Page 1 of 3

Human Services Accounts Payable by GL Distribution

Payment Date Range 07/01/17 - 07/31/17

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Vendor Invoice No. Invoice Description Status Held Reason Invoice Date Due Date G/L Date Received Date Payment Date Invoice AmountFund 010 - Insurance Liability

Department 120 - Human Resource ManagementSub-Department 130 - Insurance Liability- HRM

Account 53000 - Liability Insurance1016 - Wine Sergi Insurance (Acrisure, LLC)

20098 Notary-Olalde Paid by EFT # 41994

07/10/2017 07/10/2017 07/10/2017 07/24/2017 25.00

Account 53000 - Liability Insurance Totals Invoice Transactions 8 $12,312.31Account 53010 - Workers Compensation

8258 - CCMSI 0041166-IN WC Advanced Funding Request

Paid by EFT # 41787

06/30/2017 07/10/2017 07/10/2017 07/24/2017 120,833.13

Account 53010 - Workers Compensation Totals Invoice Transactions 1 $120,833.13Account 53110 - Employee Training

9925 - Sunbelt Rentals 70180749-0001 Operator Training Paid by EFT # 41966

06/23/2017 07/10/2017 07/10/2017 07/24/2017 350.00

Account 53110 - Employee Training Totals Invoice Transactions 1 $350.00Sub-Department 130 - Insurance Liability- HRM Totals Invoice Transactions 11 $133,922.94

Department 120 - Human Resource Management Totals Invoice Transactions 11 $133,922.94Fund 010 - Insurance Liability Totals Invoice Transactions 11 $133,922.94

Fund 380 - Veterans' CommissionDepartment 660 - Veterans' Commission

Sub-Department 660 - Veterans' CommissionAccount 52140 - Repairs and Maint- Copiers

8930 - Impact Networking, LLC 863846 Copier Overage for June

Paid by EFT # 41865

06/29/2017 07/29/2017 07/06/2017 07/03/2017 07/24/2017 33.95

Account 52140 - Repairs and Maint- Copiers Totals Invoice Transactions 1 $33.95Account 53110 - Employee Training

4750 - Thomas G. Benson 061917 Travel Expenses for Tom Benson NACVSO Training Conference

Paid by EFT # 41552

06/19/2017 06/22/2017 06/22/2017 06/19/2017 07/10/2017 490.00

10531 - Nathaniel Johnson 061917 Travel Expenses for Nate Johnson NACVSO Training Conference


06/19/2017 06/22/2017 06/22/2017 06/19/2017 07/10/2017 490.00

4749 - Steven L. Wells 061917 Travel Expenses for Steve Wells NACVSO Training Conference

Paid by EFT # 41742

06/19/2017 06/22/2017 06/22/2017 06/19/2017 07/10/2017 551.00




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Vendor Invoice No. Invoice Description Status Held Reason Invoice Date Due Date G/L Date Received Date Payment Date Invoice AmountFund 380 - Veterans' Commission

Department 660 - Veterans' CommissionSub-Department 660 - Veterans' Commission

Account 53110 - Employee Training9019 - Jacob Zimmerman 061917 Travel Expenses for

Jacob Zimmerman NACVSO Training Conference


06/19/2017 06/22/2017 06/22/2017 06/19/2017 07/10/2017 440.00

Account 53110 - Employee Training Totals Invoice Transactions 4 $1,971.00Account 53120 - Employee Mileage Expense

10531 - Nathaniel Johnson 070617 Roundtrip travel to Warrior Summit Resource Fair @ Soldier Field


07/06/2017 08/06/2017 07/06/2017 07/06/2017 07/24/2017 16.00

9019 - Jacob Zimmerman 071417 Travel to Warrior Summit Resource Fair - Soldier Field


07/14/2017 08/14/2017 07/06/2017 07/14/2017 07/24/2017 35.39

Account 53120 - Employee Mileage Expense Totals Invoice Transactions 2 $51.39Account 60000 - Office Supplies

1024 - Ready Refresh by Nestle (Ice Mountain)

17F8106647400 Water Service for June Paid by EFT # 41689

06/24/2017 06/29/2017 06/29/2017 07/10/2017 8.27

Account 60000 - Office Supplies Totals Invoice Transactions 1 $8.27Sub-Department 660 - Veterans' Commission Totals Invoice Transactions 8 $2,064.61

Department 660 - Veterans' Commission Totals Invoice Transactions 8 $2,064.61Fund 380 - Veterans' Commission Totals Invoice Transactions 8 $2,064.61

Grand Totals Invoice Transactions 24 $136,655.24




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Vendor Invoice No. Invoice Description Status Held Reason Invoice Date Due Date G/L Date Received Date Payment Date Invoice AmountFund 120 - Grand Victoria Casino Elgin

Department 010 - County BoardSub-Department 020 - Riverboat

Account 45420 - Tuition Reimbursement9484 - Cecilia Govrik 1603-01 Sustainability 101 &

Strategy Tools for Sustainability Transform

Paid by EFT # 38220

11/29/2016 12/15/2016 11/30/2016 12/27/2016 500.00

10478 - Margaret Todd-Cave 1523-02 PSPA611 Rev Analysis & Fin Mgmt

Paid by EFT # 38351

12/15/2016 12/15/2016 11/30/2016 12/27/2016 867.76

6259 - Michael Widlarz 1615-01 Math 460, Mgtm 1100, Math 1100, CIS 1150


01/13/2017 01/13/2017 11/30/2016 01/23/2017 1,886.00

10454 - Joshua Axelsen 1612-01 EDU6530 Curriculum Dev & EDU6590 Educational Leaders


01/13/2017 01/27/2017 11/30/2016 02/06/2017 1,410.00

10618 - Melissa Castrovillo 1609-02 FO644A Practicum Paid by Check # 355274

01/13/2017 01/27/2017 11/30/2016 02/06/2017 696.00

9020 - Christopher Janovsky 1604-02 CAHC521 Counseling Children


01/13/2017 01/27/2017 11/30/2016 02/06/2017 741.12

7753 - VANESSA R ROGALLA 1607-02 POS150 American Gov't National


01/19/2017 01/27/2017 11/30/2016 02/06/2017 187.50

10384 - Guadalupe Vargas 1616-01 HUMS 340 Working w/Families & HUMS 310 Military Case Work


01/25/2017 01/27/2017 11/30/2016 02/06/2017 435.00

6265 - Willie Mayes 1703-01 MBA-6810 Servant Leadership


03/15/2017 03/24/2017 03/24/2017 04/03/2017 1,012.50

11100 - Kevin Tindall 1704-01 FSM 332 Lab Rel; 421 Pro Devel; 423 Comm Risk Red


05/04/2017 05/05/2017 05/05/2017 05/15/2017 1,693.00

6021 - Richard A. Grenda 1705-01 EDU6565 Leaders Role in Fiscal Mgmt


05/12/2017 05/19/2017 05/19/2017 05/30/2017 705.00

9020 - Christopher Janovsky 1702-01 CAHC570 Consultation & Mgmt Dev School Counseling Pgm


05/17/2017 05/19/2017 05/19/2017 05/30/2017 741.12

10454 - Joshua Axelsen 1701-01 EDU6565-Fiscal Mgmt & EDU6595 Intern Edu Leaders


06/09/2017 06/16/2017 06/16/2017 06/26/2017 1,410.00

4525 - Halle Cox 1707-01 ALA Annual Conference Paid by EFT # 41808

06/29/2017 07/14/2017 07/14/2017 07/24/2017 285.00

9457 - Ellen Fultz-Schmid 1706-01 American Library Association Conference

Paid by EFT # 41832

06/28/2017 07/14/2017 07/14/2017 07/24/2017 300.00

Account 45420 - Tuition Reimbursement Totals Invoice Transactions 15 $12,870.00Sub-Department 020 - Riverboat Totals Invoice Transactions 15 $12,870.00Department 010 - County Board Totals Invoice Transactions 15 $12,870.00

Fund 120 - Grand Victoria Casino Elgin Totals Invoice Transactions 15 $12,870.00Grand Totals Invoice Transactions 15 $12,870.00


Tuition Reimbursement YTD - FY17Payment Date Range 12/01/16 - 07/31/17

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Kane County Purchasing Card Information

Human Services Committee

July 2017 Statement

Transaction Date Merchant Name Additional Information Transaction Amount

Department Total

Committee Total

Page 1 of 18/7/2017Packet Pg. 9

Organized under Chapter 330, Section 45 of the Illinois Compiled Statutes,

a statutory body comprised of the veterans organizations in Kane County, Illinois.

COUNTY OF KANE VETERANS ASSISTANCE COMMISSION

Monthly Report on Commission Activities

131.2 134 134 131.9 130.8129.6 129 128.4

129.8118.1

120.8120.1 121.3 125.2 123.4 121.4

60.8 62.9 64.1 64.5 63.8 64.1 64.6 64.9

8.5

23.6 26.6 26.7 29.8

45.8

0

20

40

60

80

100

120

140

160

Average Days Pending for Claims Fiscal YTD

Average ILCompensation

VACCompensation

Average ILPension

VAC Pension

8,479 8,494 8,605 8,3678,229

7,881

8,023

7,425

113 117 126 120 114 117 120 118

0

1,000

2,000

3,000

4,000

5,000

6,000

7,000

8,000

9,000

10,000

Total Claims Pending

All IL

VAC

JACOB A. ZIMMERMAN

Superintendent

COUNTY GOVERNMENT CENTER

719 South Batavia Avenue, Building A

Geneva, Illinois 60134-3077

Phone: (630) 232-3550

Fax: (630) 232-5403

www.countyofkane.org/pages/veterans.aspx

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Organized under Chapter 330, Section 45 of the Illinois Compiled Statutes,

a statutory body comprised of the veterans organizations in Kane County, Illinois.

020406080

100120140160180200

165

24 5 1543

22

2 1 06

Claims Applications Filed

July

ThroughJune

1,357

190

1,250

1,300

1,350

1,400

1,450

1,500

1,550

1,600

Forms

Forms Completed

July

ThroughJune

$126,218.90

$2,170,515.83

New VA Payments to Claimants Fiscal YTD

July

ThroughJune

Financial Assistance Expenditures

Shelter Gas Electric

Water Sewer Garbage

Food Personal Burial

Packet Pg. 11

VETERANS ASSISTANCE COMMISSION CLAIM REPORT

Category December January February March April May June July August September October November FY 2017 Total

Service-Connected Disability Claims 24 30 18 24 21 21 27 22 187

Non-Service Connected Pension Claims 2 4 2 4 3 4 5 2 26

Dependent's Compensation Claims 0 1 0 1 1 1 1 1 6

Survivor's Pension Claims 1 1 2 4 2 2 3 0 15

Intent-to-File 15 26 4 20 24 17 18 20 144

§5103 Response / Claims Follow up 5 14 8 6 13 5 18 8 77

Total Forms Completed 179 231 136 242 211 173 185 190 1,547

Claims Decision Reviews 6 12 2 13 6 17 6 8 70

Appeals Filed 1 1 1 0 0 1 0 3 7

VA Health Care Applications 5 10 3 15 7 1 2 6 49

Federal Ancillary Benefit Applications 6 3 3 6 2 6 1 1 28

Burial Benefits Applications 2 3 6 3 0 1 2 7 24

eBenefits Registration 3 3 4 4 9 31 4 6 64

DD-214 / Military Records Requests 10 17 7 25 19 5 4 18 105

Corrections / Upgrade Military Records 0 3 0 3 0 0 4 0 10

Dependent's Ancillary Applications 1 1 2 0 0 6 2 1 13

State Ancillary Benefit Applications 13 29 6 28 9 38 10 9 142

VAC Outreach (Man Hours) 23.0 48.0 39.0 46.5 30.5 46 21.5 49 303.0

Training (Man Hours) 0 71.5 8 0 16 2 141.5 16.5 256

Total Claims Pending 113 117 126 0 114 117 120 118

Intent-to-File Pending 131 127 123 120 126 124 122 126

New VA Monetary Awards 347,123.73$ $346,374.02 214,930.88$ 411,339.99$ 244,231.64$ 314,680.48$ 291,835.09$ 126,218.90$ 2,296,734.73$

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AUGUST 2017 - Number of Job Applicants by Position

Department Position

Elected Official

Director

Department Head

Superviosor Date Position Posted

Total Work

Days

Open

No. of

Applicants

During Report

Month

Total No. of

Applicants to

Date** Position Filled Date FilledAnimal Control Kennel Assistant PT Weekend/Holiday Brett Youngsteadt, Administrator 1/31/17 129 1 13 Open Open

Auditor Deputy Auditor Terry Hunt, Elected Official 7/5/17 18 1 1 Open Open

Circuit Clerk's Office Deputy Clerk (Few Openings) Supervisor to division 4/11/17 56 3 9 Filled Filled April thru May

Court Services Supervisor Juvenile Justice Center Lisa Aust, Executive Director 5/26/17 46 8 16 Open Open

Court Services Supervisor Court Services Lisa Aust, Executive Director 7/19/17 - 7/28/17 8 1 1 Open interveiwed/no offer

Court Services JJC Youth Counselor Lisa Aust, Executive Director 6/27/17 29 19 22 Open Hired 3 / 3-more open

Health Department CHSII Public Health Nurse Barbara Jeffers, Executive Director 11/1/16 180 0 16 Open Offer Declined /Review Apps

Health Department CHSIII Planner Barbara Jeffers, Executive Director 6/29/17 27 4 10 Filled 7/10/17

Health Department Medical Reserve Corp Coordinator Barbara Jeffers, Executive Director 7/17/17 11 0 0 Open Open

O.C.R. Workforce Development Business Service Representative Renata Robinson, Director of Workforce Operations 10/6/16 194 2 68 Open Open

O.C.R. Workforce Development Career Resource Specialist (3 Positions) Renata Robinson, Director of Workforce Operations 8/26/16 243 1 57 Open One Still Open

Kane County Division of Transportation Project Manager Civil Engineer Thomas Rickert, Deputy Director Pgm. Admin. Srvs. 10/20/16 119 1 16 Open Open

Transportation Permit Engineer Thomas Rickert, Deputy Director Pgm. Admin. Srvs. 6/28/17 28 1 1 Open Open

NA * General Application NA* NA* NA* N/A 8 24 NA NA

* NA - No Position posted 50

* State's Attorney - posting apply direct

with department

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Kane County New Hire Report

6/18/2017 - 7/15/2017

Department Employee Name HireDateStatusJobTitle

STOREY, JESSICA TCircuit Clerk 06/19/2017ACTIVEDeputy Clerk

HEROUT, CARL HCoroner 07/02/2017ACTIVEPara Deputy Coroner

WASER, ABIGAIL ECourt Services/Court Services Administration 06/19/2017ACTIVEProbation Officer

HAUSER, LISE CHealth 07/03/2017ACTIVEAsst Dir Public Health Nursing

OMALLEY, EVERETT TInformation Technologies 06/26/2017ACTIVECAD Specialist II

BRODHEAD, STEPHEN RJudiciary and Courts 06/22/2017ACTIVE RETIREECourt Bailiff

BURNETTE, JEFF AJudiciary and Courts 07/05/2017ACTIVECourt Bailiff

ENGLISH, MIKE JJudiciary and Courts 07/05/2017ACTIVECourt Bailiff

HENNESS, MONICA LJudiciary and Courts 07/05/2017ACTIVECourt Bailiff

HUDSON, NANCY AJudiciary and Courts 07/12/2017ACTIVECourt Bailiff

SMOGER, DARREN GJudiciary and Courts 07/05/2017ACTIVECourt Bailiff

ALGRIM, KATHLEEN MRegional Office of Education 07/03/2017ACTIVEDir of Innovative Professional Learning

CUEVAS-ESCOBEDO, MANUELSheriff/Adult Corrections 07/10/2017ACTIVECorrectional Officer

IBARRA, FRANCISCO J JrSheriff/Adult Corrections 07/10/2017ACTIVECorrectional Officer

RAUGHLEY, SCOTT RSheriff/Adult Corrections 07/10/2017ACTIVECorrectional Officer

BECK, ZACHARY JSheriff/Court Security 06/26/2017ACTIVECourt Security Officer

GARCIA, RAYMOND KSheriff/Court Security 06/26/2017ACTIVECourt Security Officer

OLSON, VICKI LSheriff/Court Security 06/26/2017ACTIVECourt Security Officer

ZOCHERT, SARAH TSheriff/Court Security 06/26/2017ACTIVECourt Security Officer

19 New Hire Employees

Page 1 of 18/2/2017

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Kane County New Hires EEO Report6/18/2017 - 7/15/2017

1

Administrative Support

3

Professionals

13

Protective Serv ices:

Sworn

1

Technicians

0.0%0

Administrative Support 5.6%1

Professionals 16.7%3

Protective Serv ices: Sworn 72.2%13

Technicians 5.6%1

Total: 100.0%18

EEOC Category

8

Female

11

Male

Female 42.1%8

Male 57.9%11

Total: 100.0%19

Gender

3

Hispanic or Latino

16

White

Hispanic or Latino 15.8%3

White 84.2%16

Total: 100.0%19

Race

Page 1 of 2

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Kane County New Hires EEO Report6/18/2017 - 7/15/2017

1Circuit Clerk

1Coroner

1

CourtServices/Court

ServicesAdministration

1Health

1

Regional Office ofEducation

3

Sheriff/AdultCorrections

4

Sheriff/CourtSecurity

Circuit Clerk 5.3%1Coroner 5.3%1Court Services/Court Services Administration 5.3%1Health 5.3%1Information T echnologies 5.3%1Judiciary and Courts 31.6%6Regional Office of Education 5.3%1Sheriff/Adult Corrections 15.8%3Sheriff/Court Security 21.1%4

T otal: 100.0%19

Department

Page 2 of 2

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Kane County Termination Report

6/18/2017 - 7/15/2017

Department Employee Name Termination Date

THOMAS, TYLER JBuilding Management 7/14/2017

SMITH, WENDY LCircuit Clerk 7/5/2017

COLE, TOYYA MCourt Services/Adult Drug Court 6/28/2017

TERESE, MICHAEL RCourt Services/Court Services Administration 7/1/2017

FEARDAY, JENNIFER AHealth 6/23/2017

MCCRAVEN, SHEILAHuman Resource Management 7/1/2017

LAKE, WILLIAM DInformation Technologies 6/30/2017

BRACKETT, ROBERTJudiciary and Courts 6/30/2017

GREGORY, DONALD GJudiciary and Courts 7/14/2017

ADAM, MONA MPublic Defender 6/30/2017

BROWN, CARREN MRecorder 7/4/2017

KAMPS, ELLEN JRegional Office of Education 6/30/2017

EISENMAN, FRANCISCO SSheriff/Adult Corrections 7/1/2017

LANDBERG, KEITH DSheriff/Court Security 6/23/2017

MAGLIO, LAURA RState's Attorney 7/7/2017

15 Terminated Employees

Page 1 of 18/2/2017

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Kane County Terminations EEO Report6/18/2017 - 7/15/2017

14

Full Time

1

Part Time

Full Time 93.3%14

Part Time 6.7%1

Total: 100.0%15

EEOC Category

8

Female

7

Male

Female 53.3%8

Male 46.7%7

Total: 100.0%15

Gender

1

Asian

2

Black

1

Hispanic or Latino

11

White

Asian 6.7%1

Black 13.3%2

Hispanic or Latino 6.7%1

White 73.3%11

Total: 100.0%15

Race

Page 1 of 2

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Kane County Terminations EEO Report6/18/2017 - 7/15/2017

1

BuildingManagement

1Circuit Clerk

1

CourtServices/Adult

Drug Court

2

Judiciary andCourts

1Public Defender

1Recorder

1

Regional Office ofEducation

1

Sheriff/AdultCorrections

Building Management 6.7%1Circuit Clerk 6.7%1Court Services/Adult Drug Court 6.7%1Court Services/Court Services Administration 6.7%1Health 6.7%1Human Resource Management 6.7%1Information T echnologies 6.7%1Judiciary and Courts 13.3%2Public Defender 6.7%1Recorder 6.7%1Regional Office of Education 6.7%1Sheriff/Adult Corrections 6.7%1Sheriff/Court Security 6.7%1State's Attorney 6.7%1

T otal: 100.0%15

Department

Page 2 of 2

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INTERGOVERNMENTAL PERSONNEL BENEFIT COOPERATIVE

Illustrative Premium Equivalent Rates

Kane County

August-17

Coverage 7/1/17 - 6/30/18

Life Insurance

Life/$1,000 $0.0920 21,424,500 $1,971.05

AD & D/$1,000 $0.0200 21,424,500 $428.49

EAP $0.2500 550 $137.50

GBS Fee $0.3000 491 $147.30

Life Ins. Total $2,684.34

Medical Waivers

Fees $2.10 142 $298.20

Waiver Total $298.20

HMO

HMOI Non Union H00596

Single $612.79 3 $1,838.37

Single + Sp. $1,217.35 1 $1,217.35

Single + Ch. $1,217.35 1 $1,217.35

Family $1,780.53 8 $14,244.24

Single Retiree < 65 $612.79 0 $0.00

Retiree < 65 + Sp. < 65 $1,217.35 0 $0.00

Retiree < 65 + Ch. < 65 $1,217.35 0 $0.00

Retiree < 65 + Family $1,780.53 0 $0.00

Medicare Single $555.96 0 $0.00

Medicare Single + 1 Dep. Medicare $1,111.92 0 $0.00

Medicare Single + 1 Non-Medicare $1,168.75 0 $0.00

Medicare Single + Dep. Medicare + Dep. Non-Medicare $1,700.09 0 $0.00

HMOI Union H00456

Single $625.29 15 $9,379.35

Single + Sp. $1,242.19 2 $2,484.38

Single + Ch. $1,242.19 2 $2,484.38

Family $1,816.86 5 $9,084.30

Single Retiree < 65 $625.29 0 $0.00

Retiree < 65 + Sp. < 65 $1,242.19 0 $0.00

Retiree < 65 + Ch. < 65 $1,242.19 0 $0.00

Retiree < 65 + Family $1,816.86 0 $0.00





BAHMO Non Union B04108

Single $570.64 105 $59,917.20

Amount

PayableRate Tier Rate

Volume/

Covered Lives

Packet Pg. 21

Single + Sp. $1,132.87 41 $46,447.67

Single + Ch. $1,132.87 18 $20,391.66

Family $1,656.62 108 $178,914.96

Single Retiree < 65 $570.64 0 $0.00

Retiree < 65 + Sp. < 65 $1,132.87 0 $0.00

Retiree < 65 + Ch. < 65 $1,132.87 0 $0.00

Retiree < 65 + Family $1,656.62 0 $0.00





BAHMO Union B04479

Single $582.28 133 $77,443.24

Single + Sp. $1,155.98 40 $46,239.20

Single + Ch. $1,155.98 33 $38,147.34

Family $1,690.42 141 $238,349.22

Single Retiree < 65 $582.28 12 $6,987.36

Retiree < 65 + Sp. < 65 $1,155.98 3 $3,467.94

Retiree < 65 + Ch. < 65 $1,155.98 0 $0.00

Retiree < 65 + Family $1,690.42 0 $0.00





HMO Total 671 $758,255.51

PPO

PPO - Non-Union - PC1132

Single $793.66 75 $59,524.50

Single + Sp. $1,579.26 55 $86,859.30

Single + Ch. $1,579.26 11 $17,371.86

Family $2,311.74 72 $166,445.28

Single Retiree < 65 $793.66 0 $0.00

Retiree < 65 + Sp. < 65 $1,579.26 0 $0.00

Retiree < 65 + Ch. < 65 $1,579.26 0 $0.00

Retiree < 65 + Family $2,311.74 0 $0.00


Medicare Single + 1 Dep. Medicare $737.63 0 $0.00


PPO - Union - PC0346

Single $809.86 62 $50,211.32

Single + Sp. $1,611.48 18 $29,006.64

Single + Ch. $1,611.48 5 $8,057.40

Family $2,358.91 39 $91,997.49

Single Retiree < 65 $809.86 18 $14,577.48

Retiree < 65 + Sp. < 65 $1,611.48 7 $11,280.36

Retiree < 65 + Ch. < 65 $1,611.48 0 $0.00

Retiree < 65 + Family $2,358.91 0 $0.00

Medicare Single $403.49 8 $3,227.92

Medicare Single + 1 Dep. Medicare $752.68 3 $2,258.04Packet Pg. 22


PPO Total 373 $540,817.59

Benefit Fund Distribution

Credit/Debit $0.00

Total $0.00

Terminal Reserve Activity

Credit/Debit $0.00

Total $0.00

Total $1,302,055.64

*Total 2016-2017 funding number on bottom of funding sheet may not match your ACH debit due to your reported changes in enrollment.

Packet Pg. 23

Public Defender Department Lump SumBILBREY, KIMBERLY R $1,250.00

FEDA, NICHOLAS J $1,000.00

SALONEN, NICOLE F $1,000.00

SAVASTIO, LAUREN R $1,000.00

YOON, EUN K $1,000.00

$5,250.00

Run by Brown, Susan on 08/03/2017 12:50:09 PM Page 1 of 1Packet Pg. 24

Packet Pg. 25

July 10, 2017

EXECUTIVE SUMMARY

This short summary provides an overview of the presentations held and upcoming presentations scheduled for Kane

County’s new health care benefit, Medical Employee Reimbursement Program, as known as MERP.

MERP PRESENTATIONS HELD

DATE TIME TYPE DEPARTMENT DEPARTMENT HEAD

ADDRESS

5/15/2017 7am -12pm Open Session

Sheriff’s Training Room

Sheriff Kramer

37W755 IL-38 St Charles, IL 60175

5/16/2017 8:30 am – 12:30 pm

Open Session

Government Center Auditorium

719 S Batavia Ave Geneva, IL 60134

5/17/2017 8:30 am – 1:30pm

Open Session

Government Center Fox River Room


5/18/2017 12pm – 4pm

Open Session



5/19/2017 10:30am – 2:30pm

Open Session

Judicial Center 37W777 IL-38, St Charles, IL 60175

5/30/2017 9am-12pm Open Session


5/31/2017 9am-12pm Department Circuit Clerk Tom Hartwell 540 Randall Rd St Charles, IL 60174

6/1/2017 9am-12pm Department Health Barb Jeffers 1240 N Highland Ave Aurora, IL 60506

5/30/2017 1pm – 3:30pm

Open Session



5/31/2017 1pm – 3:30pm

Open Session


6/1/2017 1pm – 3:30pm

Department Circuit Clerk Tom Hartwell 540 Randall Rd St Charles, IL 60174

7/6/2017 12pm – 12:30pm

Department Environmental Management

Ken Anderson 719 S Batavia Ave Geneva, IL 60134

6/22/2017 8:30pm – 12pm

Department Health & Animal Control

Barb Jeffers 1240 N Highland Ave Aurora, IL 60506

7/5/2017 2:30 – 3:30pm

Department Transportation Carl Schoedel 41W011 Burlington Rd, Campton Hills, IL 60175

7/6/2017 12:30pm – 1pm

Departments Environmental Workforce Dev.

Ken Anderson Scott Berger


7/7/2017 10am – 10:30am

Departments HRM Chairman’s Office Finance

Sylvia Wetzel Chris Lauzen Joe Onzick


7/7/2017 10am – 10:30am

Department Auditor Terry Hunt 719 S Batavia Ave Geneva, IL 60134

7/7/2017 10am – 10:30am

Department Treasurer Dave Rickert 719 S Batavia Ave Geneva, IL 60134

Does not have any ee’s that are eligible

Packet Pg. 26

MERP PRESENTATIONS SCHEDULED

7/11/2017 9:30am – 10am

Department Court Services

Lisa Aust 1330 N Highland Ave Aurora Il 60506

7/12/2017 11am – 11:30am

Department Supervisor of Assessment

Mark Armstrong


7/12/2017 2:00pm – 2:30pm

Department Information Technology

Roger Fahenstock


7/12/2017 2:00pm – 2:30pm

Department Building Management

Don Biggs 719 S Batavia Ave Geneva, IL 60134

7/17/2017 1pm- - 1:30pm

Department Court Services-Adult Drug Court

Lisa Aust 37W777 IL-38, St Charles, IL 60175

7/18/2017 10am – 10:30am


Lisa Aust 113 S Grove Ave Elgin Il 60123

7/19/2017 11:30am - 12pm

Department ROE Pat Dal Santo

28 N 1st St, Geneva, IL 60134

7/19/2017 3pm – 3:30pm

Department SAO Joe McMahon

37W777 IL-38, St Charles, IL 60175

7/27/2017 3pm – 3:30pm


Lisa Aust 37W777 IL-38, St Charles, IL 60175

PRESENTATIONS TO BE DETERMINED

Judiciary & Courts

Doug Naughton 100 S 3rd St, Geneva, IL 60134

Public Defender

Kelli Childress 37W777 IL-38, St Charles, IL 60175

KaneComm Dave Farris 719 S Batavia Ave Geneva, IL 60134

Coroner Rob Russell 719 S Batavia Ave Geneva, IL 60134

County Clerk Jack Cunningham


Development Mark Vankerkoff


Aurora Election

ENROLLMENT

Four Enrollees as of 08/04/2017

Packet Pg. 27

Register for Your Health Evaluation Today!

Kane County has partnered with Interactive Health to provide the

Healthy Advantage program that makes healthy living fun and

flexible.

Earn Rewards! Insured employee and insured spouses who completed the biometric

screening and health assessment will earn INCENTIVE LANGUAGE

HERE.

Sign Up Today Register for your free, onsite preventive health evaluation, which

includes a health questionnaire, finger stick blood test, blood pressure

screening, and onsite consultation. The evaluation includes:

total cholesterol

HDL cholesterol

total cholesterol/HDL ratio

LDL cholesterol

triglycerides

fasting glucose

blood pressure

height & weight

waist circumference

…and results obtained onsite – all in less than 20 minutes!

There is no cost to you for the health evaluation.

HEALTH EVALUATION LOCATIONS

October 17 & 22 Sheriff’s Department 6:30 a.m. – 12:00 p.m.

October 16 & 23 Government Center 8:30 a.m. – 12:00 p.m.

October 19 & 25 Judicial Center 8:30 a.m. – 12:00 p.m.

October 21 & 30 Circuit Clerk’s Office 7:00 a.m. – 10:00 a.m.

Scheduling an onsite health evaluation appointment is easy;

turn over for details!

Packet Pg. 28

How to Schedule Your Onsite Health Evaluation Appointment

1. Register online at www.myinteractivehealth.com. First time website users can

register using sponsor code K3V4G.

2. Click the “Schedule Your Health Evaluation” box at the top of the page.

3. Select your appointment location, date and time and complete your health

questionnaire.

4. Continue until you are prompted to confirm your appointment.

You may also schedule your appointment by calling Interactive Health at

(855) 271-5132 between 8:00 a.m. and 6:00 p.m. Central Time.

Your results are 100% confidential and will not be shared with your employer.

You will need to Fast before your appointment

Please fast for 12 hours before your test. Drink plenty of plain water – no food or

other beverages. If you are diabetic, pregnant, on medication, or have a medical

condition that will prevent you from fasting 12 hours, please follow your doctor’s

instructions regarding fasting.

Unable to attend onsite? Participate at a nearby lab! You may select a lab location when you register, or call Interactive Health at (855) 271-5132 and ask to Test at a Lab. Deadline to complete the lab voucher is XX/XX/XX.

Interactive Health will then send a packet to your home address which will contain an introduction letter, instructions, return envelope, HIPAA letter, a Test Requisition form, the participating testing center closest to your home, and how to access your results online. Please make sure to request your packet a week prior to the deadline in order to allow time for delivery!

Reasonable alternative standard information: If you are medically unable to participate, which is required for you to earn an incentive under this wellness program, you may qualify for an opportunity to earn the same incentive through an alternative course of action. This alternative course of action must be completed by XX/XX/2017. Please contact Interactive Health at least 2 weeks prior to this date at (855) 271-5132 or at [email protected] and ask our health management team about a reasonable alternative standard to qualify for the incentive.

Packet Pg. 29

mailto:[email protected]

INVESTMENT ADVISORY WEALTH MANAGEMENT RETIREMENT PLAN SERVICES

BLOOMFIELD HILLS CHICAGO CLEVELAND LOS ANGELES NEW YORK ORANGE COUNTY

August 2017

Kane County 457(b) Plan Analysis

BLOOMFIELD HILLS CHICAGO CLEVELAND LOS ANGELES NEW YORK ORANGE COUNTY

Philip Steele, AIFPartner, HPM Partners

227 W. Monroe Street, Suite 2090Chicago, IL 60606

Packet Pg. 30

Confidential & ProprietaryHPM PARTNERS

2

Mission Statement

Programs that are created and operated to

the exclusive benefit of employees (which in

turn provides the most substantial economic

results) also provides the highest level of

liability protection for the sponsoring entity.

Packet Pg. 31


3

Overview

- Perceived advantages of Multi-Vendor no longer

relevant – a single institutional platform can provide

all elements needed.

- More investment choices are not beneficial.1

- Cost and transparency of using annuity products is

often problematic for both sponsor and employees.

- Conflicts of interest are common and result in

heightened liability to sponsor and committee.

- Retail (versus institutional) funds are unnecessary

and create cost and liability problems.

- Compensation to providers needs to be transparent

and not buried in product expense ratios.

- Education, if provided, is typically overly plan centric

and of minimal help to employees and their families.

1 - Choice Overload and Simplicity Seeking, Sheena S. Iyengar, Columbia University, Graduate School of Business; and Emir Kamenica, University of Chicago, Graduate School of Business; February 2007.

Packet Pg. 32


4

Multi-Vendor Issues

The prevalence of multi-vendor 403(b) and 457(b) arose

from the ERISA exception from the application of Title I of

ERISA for a salary-reduction only 403(b) or 457(b).2

This was reiterated by the DOL that for the exception to

apply, the 403(b) arrangement generally must offer a

choice of more than one 403(b) contractor and more than

one investment product.3

This was primarily driven by the fact that a plan was

previously only able to access a vendor’s investment

products by engaging that provider’s services.

2 - http://www.aon.com/attachments/human-capital-consulting/Schwallie-A-Few-403(b)-Compliance-Quirks-JDC-Fall-2016.pdf3 - ERISA regulation, 29 C.F.R. § 2510.3-2(f)(3)(i)

Packet Pg. 33


5

Multi-Vendor Issues

While this arrangement used to be common practice, a

multi-vendor solution is no longer an optimal solution.

The advent of technology has changed this dynamic

with the prevalence of a wide array of investment

options now being available through a single vendor.

Added onto this is the increased likelihood of

operational compliance issues when using a multi-

vendor system. The DOL attempted to stifle this issue

with the final 403(b) regulations released in 2007 and

effective January 1, 2009, which required a written

403(b) plan document. However, the IRS continues to

find increased noncompliance resulting from multiple

vendors.4

4 - IRS Publication 4483, “Tax-Sheltered Annuity Plans for Sponsors: Be Aware of Common Mistakes”Packet Pg. 34


6

Investment Options

In conjunction with the increased availability of

investment products through a singe-vendor,

research1 continues to demonstrate that reducing the

number of available investment options:

- Increases a participant’s willingness to participate

- Improves a participant’s ability to select an

appropriate investment portfolio.

1 - Choice Overload and Simplicity Seeking, Sheena S. Iyengar, Columbia University, Graduate School of Business; and Emir Kamenica, University of Chicago, Graduate School of Business; February 2007.

Packet Pg. 35


7

One of the most referenced articles1 on this subject found that

“On average, for every additional 10 funds available, the

predicted individual participation probability declined by about

2%.”:

These research findings continue to be supported.5

Investment Options

54%56%58%60%62%64%66%68%70%72%74%

5 35 56

Number of Investments Offered by Plan

Participation Rate vs. Investment Offerings

ParticipationRate

1 - Choice Overload and Simplicity Seeking, Sheena S. Iyengar, Columbia University, Graduate School of Business; and Emir Kamenica, University of Chicago, Graduate School of Business; February 2007. 5 - http://www.nber.org/papers/w21854 Packet Pg. 36


8

Fiduciary Liability Concerns

Another issue surrounding the use of a multi-vendor

platform is the prevalence of conflicts of interests and

self-dealing. This arises from the selected vendors

offering primarily their own products to plan

participants. Added onto this, is the lack of

transparency of the compensation received by these

providers by using retail share class investments that

provide indirect compensation. These factors helped

lead to the introduction of ERISA 408(b)(2) requiring

appropriate disclosure of compensation by all

covered service providers.6

6 - https://www.dol.gov/sites/default/files/ebsa/about-ebsa/our-activities/resource-center/fact-sheets/final-regulation-service-provider-disclosures-under-408b2.pdf

Packet Pg. 37


9

Rise in Litigation Issues

Shortly following the issuance of ERISA 408(b)(2)

regulations, litigation began to arise against

organizations that did not review and ensure that

arrangements with their service providers are

“reasonable” and that only “reasonable”

compensation is paid for services.

Packet Pg. 38


10


The most notable cases are those which have been

brought against large market qualified plan providers

by their own employees for issues found within their

own qualified plans:

78

9 10

7 - Schmitt v. Nationwide Life Ins. Co. , S.D. Ohio, No. 2:17-cv-00558, complaint filed 6/27/17.8 - Bilewicz, et al. v. FMR, filed in 2013, and Yeaw et al. v. FMR9 - http://www.latimes.com/business/la-fi-capital-group-retirement-20170622-story,amp.html10 - https://www.bna.com/franklin-templeton-401k-n73014462369/ Packet Pg. 39


11


One trend that should be of particular concern is the

recent wave of litigation against 403(b) plan sponsors

who have plans of similar design to that of Kane

County.11 The litigation highlights:

“The use of multiple record keepers for a single plan constitutes a breach of fiduciary duty.”

“Too many investment options or allegedly duplicative investment options are ERISA violations”

“A fiduciary has no basis to offer actively managed investment options when a lower-cost passively managed fund is available.”

More than a dozen top universities are mired in class

action lawsuits for plan design flaws identical to those in

Kane’s 457(b) plan.12

11 - http://www.planadviser.com/Magazines/2017/January-February/Recent-403b-Litigation/12 - https://www.law360.com/articles/862765/403-b-plan-sponsors-beware-of-excessive-fee-litigation Packet Pg. 40


12

Summary of Fiduciary Liability Concerns

The Kane County 457(b) plan demonstrates many of

the litigious deficiencies identified in the slides

before:

- Excessive number of investments

79 total funds offered

- Proprietary Investment offerings

66% of investments are proprietary

- Unreasonable overall plan costs

Current plan costs are estimated at 1.43% of

plan assets compared to 0.53% under

proposed single vendor solution.Packet Pg. 41


13

Excessive Cost Reduces Participant Outcomes

$0

$10,000,000

$20,000,000

$30,000,000

$40,000,000

$50,000,000

$60,000,000

2015Year End

Assets

Year 3 Year 5 Year 10 Year 15 Year 20 Year 30

5% Gross Investment Return under Single Vendor Structure with Pasive Investments

5% Gross Investment Return under Current Multi Vendor Structure Actively Managed Investments

$11 million of Kane County employees’ savings could be lost.

Packet Pg. 42


14

Excessive Cost Reduces Participant Outcomes

Assumptions

- A 35 year old participant investing for 30 years

- Earning $40,000 in year one with 3% annual increases

- Contributes 6% of pay each year

- A beginning balance of $51,000 in their 457(b)

$354,719.39

$433,060.94

$0

$50,000

$100,000

$150,000

$200,000

$250,000

$300,000

$350,000

$400,000

$450,000

$500,000

0 5 10 15 20 25 30

current solution

optimal solution

Projected Outcomes

- Optimal Solution assumes an annualized rate of return

net of expenses of 4.47% (5.00% - 0.53%) and adds

$78,341.55 more to the participant’s account at age 65

- Current Solution assumes an annualized rate of return

net of expenses of 3.57% (5.00% - 1.43%)

Difference

of 22.09%

Packet Pg. 43


15

Proposed Institutional Passive InvestmentsAvg. Annualized Returns Expense

RatioInvestment Category Fund Name Ticker 1 Year 3 Year 5 Year

TARGET DATE FUNDS

Target Date Fund Vanguard Target Retirement 2060 VTTSX 17.0% 5.9% 11.2% 0.16%

Target Date Fund Vanguard Target Retirement 2050 VFIFX 17.0% 6.0% 11.2% 0.16%

Target Date Fund Vanguard Target Retirement 2040 VFORX 16.5% 5.9% 11.1% 0.16%

Target Date Fund Vanguard Target Retirement 2030 VTHRX 13.4% 5.4% 9.9% 0.15%

Target Date Fund Vanguard Target Retirement 2020 VTWNX 10.3% 4.9% 8.4% 0.14%

Target Date Fund Vanguard Target Retirement Income VTINX 5.2% 3.5% 4.9% 0.13%

LARGE CAP

Large Blend Schwab S&P 500 Index SWPPX 17.8% 9.5% 14.5% 0.03%

Large Blend Schwab Total Stock Market Index SWTSX 18.5% 9.0% 14.5% 0.03%

MID / SMALL CAP

Mid-Cap Blend Vanguard Mid Cap Index Adm VIMAX 17.3% 8.1% 14.8% 0.06%

Small Blend Schwab Small Cap Index SWSSX 24.6% 7.4% 13.7% 0.05%

INTERNATIONAL / GLOBAL

Diversified Emerging Mkts Vanguard Emerging Mkts Stock Idx Adm VEMAX 18.9% 0.6% 3.4% 0.14%

Foreign Large Blend Schwab International Index SWISX 19.9% 1.2% 8.6% 0.06%

Foreign Large Blend Vanguard Total Intl Stock Index Admiral VTIAX 20.1% 1.4% 7.7% 0.11%

SPECIALTY

Real Estate Vanguard REIT Index Adm VGSLX -1.9% 8.1% 9.3% 0.12%

BONDS

High Yield Bond Vanguard High-Yield Corporate Adm VWEAX 10.3% 4.7% 6.3% 0.13%

Inflation-Protected Bond Vanguard Shrt-Term Infl-Prot Sec Idx Adm VTAPX 0.2% -0.1% -- 0.07%

Intermediate Government Vanguard Interm-Tm Govt Bd Idx Admiral VSIGX -2.1% 2.0% 1.3% 0.07%

Intermediate-Term Bond Vanguard Total Bond Market Index Adm VBTLX -0.4% 2.4% 2.1% 0.05%

Short-Term Bond Vanguard Short-Term Bond Index Adm VBIRX 0.1% 1.3% 1.2% 0.07%

World Bond Vanguard Total Intl Bd Idx Admiral VTABX -0.6% 3.6% -- 0.12%

CASH / CASH EQUIVALENTS

Money Market Vanguard Federal Money Market Investor VMFXX 0.5% 0.2% 0.1% 0.11%

Packet Pg. 44


16

Employee Education

In a recent Consumer Financial Protection Bureau

survey, 81% of participants indicated their

personal financial problems hindered their job

performance.13

Holistic financial wellness assists employees and their

families with the financial hurdles affecting them day-

to-day to ensure their road to retirement remains

clear.

With no products to sell or commissions to gain,

financial wellness coaches truly have employees’ best

interests at heart.

13 - “Financial wellness at work: A review of promising practices and policies.” Consumer Financial Protection Bureau. August 2014.Packet Pg. 45


17

Employee Education

- Enrollment- Investment / Deferral Review and

Changes- Retirement Income Projections- Cash Flow & Budget Analysis- Debt & Credit Management- Home Purchase & Real Estate

Investing- Wills, Trust & Estate Planning- Insurance & Risk Evaluation- College Savings Programs- Liquidity Evaluation- Post-Retirement Planning, Social

Security, Medicare- More…

- Enrollment- Investment / Deferral

Review and Changes- Retirement Income

Projections

Packet Pg. 46


18

Optimal Solution Nationwide VOYA

Manufactures and distributes products:

No. Totally objective. A tailored

conflict-free program is created

for each client based upon their

specific needs.

Yes. An off-the-rack program

that most closely fits the client’s

needs is delivered.

Yes. An off-the-rack program

that most closely fits the

client’s needs is delivered.

Platform provides appropriate and

conflict-free investment options:

Yes. Open architecture platform

is accessed with no proprietary

fund requirements.

No. Internal investment division

exists and proprietary fund

requirements is the norm,

especially for fixed accounts.

No. Internal investment

division exists and proprietary

fund requirements is the norm,

especially for fixed accounts.

Plan Sponsor’sfiduciary role is

recognized:

Yes. Participant best interest is

always considered and plan

sponsor potential liability is

mitigated with deliverable.

No. The plan sponsor takes on

full responsibility and assumes

the potential liability as a result.

No. The plan sponsor takes on

full responsibility and assumes

the potential liability as a result.

Revenue sharing is used to provide

indirect compensation:

No. Only low cost zero revenue

sharing funds are instituted.

Yes. Revenue sharing funds

are used to provide indirect

compensation.

Yes. Revenue sharing funds

are used to provide indirect

compensation.

On-site participant financial wellness is

provided:

Yes. Private on-site financial

wellness coaching is provided by

salaried, trained educators using

in depth planning technology.

No. Plan-centric tools are made

available for participant use via

the website.

No. Plan-centric tools are

made available for participant

use via the website.

Estimated Annual Recordkeeping & Custodial Fees:

0.19% asset based: (0.19% x

$13.2 mil.) = $25,540


$13.2 mil.) = $118,800


$13.2 mil.) = $132,000

Investment Advisory & Fiduciary Fees:


$13.2 mil.) = $30,360N/A N/A

Provider Comparison

Packet Pg. 47


19

Optimal Solution Nationwide VOYA

Selects the appropriate custodian:

Yes. Multiple custodians are available.

Due diligence is performed to select

the most suitable.

No. The custodian is internal

to the organization and built

into the product.

No. The custodian is internal

to the organization and built

into the product.

InformationTechnology staff

available for custom projects:

Yes. The staff directly supports the

record keeper’s deliverable to the

client. If special project work is

needed to accommodate the client, it’s

readily available.

No. The IT staff supports the

off-the-shelf products.

Custom project work for a

client is atypical.

No. The IT staff supports the

off-the-shelf products.

Custom project work for a

client is atypical.

Participantmessaging via

website and statement:

Yes. Messaging is available via the

participant website and statement.

No. Messaging is available

via the participant statement,

but typically not via the

website.

No. Messaging is available

via the participant statement,

but typically not via the

website.

Plan sponsormessaging and

custom reporting:

Yes. Custom messaging to the plan

sponsor via the portal is available

along with custom report creation.

No. Typically the plan

sponsor is given access to a

portal with pre-built reporting

and limited self-customization

capabilities.

No. Typically the plan

sponsor is given access to a

portal with pre-built reporting

and limited self-customization

capabilities.

Dedicated Relationship

Manager:

Yes. One person is assigned and

daily direct access is granted. This

person will have 15+ years industry

experience.

Yes. A relationship manager

is assigned. Daily access to a

team is normal until escalation

is needed. Tenure of < 10

years is common.

Yes. A relationship manager

is assigned. Daily access to

a team is normal until

escalation is needed. Tenure

of < 10 years is common.

Holistic financialwellness

technology:

Yes. The optimal solution includes a

holistic financial wellness tool

integrated with the recordkeeping

system.

No. Although self-serve tools

are available, their capabilities

are limited.

No. Although self-serve tools

are available, their

capabilities are limited.

Provider Comparison

Packet Pg. 48


20

Optimal Plan Features

A simplified, modern plan design offers:

- Low cost and efficient institutional investment

offerings

- Minimal fiduciary liability to Plan Sponsor

- A meaningful, holistic education program for

employees

- Reduced operational and administrative burden

- Cost savings to plan and participants in excess of

60%Packet Pg. 49


21

Contact Information

This analysis has been prepared by HPM Partners for

Plan Sponsor review only and is not authorized for

public distribution. This information contained within is

confidential and proprietary.

For questions or additional information, please contact:

Philip Steele

Partner, HPM Partners

227 W. Monroe Street, Suite 2090

Chicago, IL 60606

Email: [email protected]

Office: (312) 715-3800

Cell: (310) 924-4336Packet Pg. 50

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