Common use of Compliance Measurement Clause in Contracts

Compliance Measurement. The parties agree that measurement of the service levels and standards set forth herein shall not commence until 60 days after the Trust goes live in order to provide for an orderly start-up of services to the Transfer Agent. The Transfer Agent will utilize its own internal quality review process (or, any third party quality review process as the Transfer Agent may elect from time to time to utilize, such process, “Quality Review”) to monitor the quality of services provided under the Agreement and the Transfer Agent’s satisfaction of the standards and levels set forth herein. The Transfer Agent will measure its performance in accordance with industry standards for (i) timelines and accuracy of Financial and Non Financial transactions and Call Centers and Correspondence and (ii) systems availability through its Quality Review. The Trust may, at any time, elect to retain, at its own expense, NQR (or, such other industry-recognized, external quality review process as the Trust may elect from time to time to utilize). In the event the Trust retains NQR or another third party quality review process, the Transfer Agent will use all reasonable commercial efforts to assist and cooperate with NQR (or such other industry recognized external quality review process as the Trust may elect from time to time to utilize). In addition, the Transfer Agent will provide to the Trusts detail from the Quality Review on a monthly basis. The Transfer Agent and the Trust agree to review the Quality Review scores to implement process improvements going forward in the event that improvements are necessary. Call Center and Processing Standards ACTIVITY MONTHLY REPORTING STANDARDS TIMELINESS STANDARDS Call Center Average Speed of Answer 15 seconds Abandonment Rate 2% Service Levels 85% within 15 seconds Correspondence Financial Inquiries 3 days Non-Financial Inquiries 6 days XXX Acct Transfer Request Notices 3 days XXX Acct Transfer Reminder Notices 15, 30, and 45 days Transactions Adjustments 98% within 2 days Exchanges 100% date of receipt Maintenance 98% within 3 days New Accounts 98% date of receipt Purchases 98% date of receipt Redemptions 98% date of receipt Transfers 98% within 2 days Commission Runs 3 business days Trail Commissions 5 business days ACCURACY STANDARDS Adjustments 95% Exchanges 98% Maintenances 98% New Accounts 93% Purchases 98% Redemptions 97% Transfers 97% Overall Quality Standard 96% Systems Availability: System/Applications Hours of Availability* *Holidays with 7 calendar days advance notice System Availability AS/400 Boston Financial AWD Databases Monday-Friday 6:00 AM to 11:00 PM (EST) 99.0% Saturday 1:30 AM to 5:00 PM (EST) Sunday 1:30 AM to 11:00 PM (EST) TA2000 Monday-Friday 7:00 AM to 11:00 PM (EST) 99.0% Please refer to our response below for additional information Saturday-Sunday Generally available, other than scheduled maintenance or events AS400: Server availability is defined as the monthly availability rate that the Transfer Agent (through its parent DST Systems, Inc., “DST”) guarantees to maintain for servers in the AWD Data Center in regard to server hardware, operating system, and AWD applications. The monthly availability rate does not include any third party applications, including any custom code. TA2000 Availability: TA2000 is generally available in some capacity on 24 hours a day, 7 days a week basis. Below we have provided a description of general availability: Service level agreements between DST and Boston Financial require that the CICS regions be fully functional between the hours of 7:00 AM EST to the agreed upon start of the nightly, generally 10:00 PM EST on all days during which the New York Stock Exchange is open for business however, in actuality the system is much more widely available than the service level agreement implies. During the nightly cycle, certain files are sporadically unavailable for batch updates. When the shareowner master and history files are unavailable, alternate files are allocated to the on-lines to allow some limited lookup and transaction functionality. Unless there is scheduled maintenance or other activity, such as a purge or conversion, CICS regions are fully available and functional on all non-business days. Scheduled DST maintenance occurs routinely, generally late on a Saturday night or early on a Sunday morning. Purge and conversion events occur over weekends, generally early Saturday morning through mid-afternoon. When these events occur, the system is usually unavailable. For most purge and conversion events, it is possible to implement the alternate file process. All scheduled maintenance and other scheduled activities are reported via change control at least two weeks in advance of the event.

Compliance Measurement. The parties agree that measurement of the service levels and standards set forth herein shall not commence until 60 days after the Trust goes live in order to provide for an orderly start-up of services to the Transfer Agent. The Transfer Agent will utilize its own internal quality review process (or, any mutually agreed upon third party quality review process as the Transfer Agent may elect from time to time to utilize, such process, “QAT” or “Quality Review”) to monitor the quality of services provided under the Agreement and the Transfer Agent’s satisfaction of the standards and levels set forth herein. The Transfer Agent will measure its performance in accordance with industry standards for (i) timelines and accuracy of Financial and Non Financial transactions and Call Centers and Correspondence and (ii) systems availability through its Quality Review. The Trust Fund may, at any time, elect to retain, at its own expense, NQR National Quality Review (“NQR”) (or, such other mutually agreed upon industry-recognized, external quality review process as the Trust Fund may elect from time to time to utilize). In the event the Trust Fund retains NQR or another third party quality review process, the Transfer Agent will use all reasonable commercial efforts to assist and cooperate with NQR (or such other industry recognized external quality review process as the Trust Fund may elect from time to time to utilize). In addition, the Transfer Agent will provide to the Trusts Funds detail from the Quality Review on a monthly basis. The Transfer Agent and the Trust Fund agree to review the Quality Review scores to implement process improvements going forward in the event that improvements are necessary. Call Center and Processing Standards Standards. ACTIVITY MONTHLY REPORTING STANDARDS 1, 3 TIMELINESS STANDARDS Call Center Average Speed of Answer 15 seconds Abandonment Rate <2% Service Levels Level 85% within 15 seconds Correspondence Financial Inquiries 3 days (Primary) – 96-98% 6 days (Secondary) –100% Non-Financial Inquiries 6 days (Primary) – 96-98% 10 days (Secondary) – 100% XXX Acct Transfer Request Notices 3 days XXX Acct Transfer Reminder Notices 15, 3015,30, and 45 days Transactions Adjustments Email Inquiries 98% within 2 days Exchanges of receipt Transactions Adjustments 99-100% date day of receipt Exchanges 99-100% day of receipt Maintenance 9899-100% within 3 days of receipt New Accounts 9899-100% date day of receipt Exhibit (h)(1)(iii) Purchases 9899-100% date day of receipt Call Center and Processing Standards (continued). ACTIVITY MONTHLY REPORTING STANDARDS 1, 3 Redemptions 9899-100% date day of receipt Transfers 98-100% within 2 days Commission Runs 3 business days Trail Commissions 5 business days ACCURACY STANDARDS Adjustments 95of receipt Overall Transaction Timeliness 99% Exchanges 98(98.5% Maintenances 98% New Accounts 93% Purchases 98% Redemptions 97% Transfers 97% Overall Quality Standard 96% Systems Availability: System/Applications Hours of Availability* *Holidays with 7 calendar days advance notice System Availability AS/400 Boston Financial AWD Databases Monday-Friday 6:00 AM & above will be rounded to 11:00 PM (EST) 99.0% Saturday 1:30 AM to 5:00 PM (EST) Sunday 1:30 AM to 11:00 PM (EST) TA2000 Monday-Friday 7:00 AM to 11:00 PM (EST) 99.0% Please refer to our response below for additional information Saturday-Sunday Generally available, other than scheduled maintenance or events AS400: Server availability is defined as the monthly availability rate that the Transfer Agent (through its parent DST Systems, Inc., “DST”) guarantees to maintain for servers in the AWD Data Center in regard to server hardware, operating system, and AWD applications. The monthly availability rate does not include any third party applications, including any custom code. TA2000 Availability: TA2000 is generally available in some capacity on 24 hours a day, 7 days a week basis. Below we have provided a description of general availability: Service level agreements between DST and Boston Financial require that the CICS regions be fully functional between the hours of 7:00 AM EST to the agreed upon start of the nightly, generally 10:00 PM EST on all days during which the New York Stock Exchange is open for business however, in actuality the system is much more widely available than the service level agreement implies. During the nightly cycle, certain files are sporadically unavailable for batch updates. When the shareowner master and history files are unavailable, alternate files are allocated to the on-lines to allow some limited lookup and transaction functionality. Unless there is scheduled maintenance or other activity, such as a purge or conversion, CICS regions are fully available and functional on all non-business days. Scheduled DST maintenance occurs routinely, generally late on a Saturday night or early on a Sunday morning. Purge and conversion events occur over weekends, generally early Saturday morning through mid-afternoon. When these events occur, the system is usually unavailable. For most purge and conversion events, it is possible to implement the alternate file process. All scheduled maintenance and other scheduled activities are reported via change control at least two weeks in advance of the event.99%)

Compliance Measurement. The parties agree that measurement of the service levels and standards set forth herein for purposes of the Service Level Termination Right or otherwise shall not commence until 60 days after the Trust goes live January 1, 2006 in order to provide for an orderly start-up transition of services to the Transfer Agent. The Beginning in January 2006, the Transfer Agent will utilize its own internal quality review process (or, any third party quality review process as the Transfer Agent may elect from time to time to utilize, such process, “"Quality Review”") to monitor the quality of services provided under the Agreement and the Transfer Agent’s 's satisfaction of the standards and levels set forth herein. The Transfer Agent will measure its performance in accordance with industry standards for (i) timelines timeliness and accuracy of Financial and Non Financial transactions and Call Centers and Correspondence and (ii) systems availability through its Quality Review. The Trust Fund may, at any time, elect to retain, at its own expense, NQR (or, such other industry-recognized, external quality review process as the Trust Fund may elect from time to time to utilize). In the event the Trust Fund retains NQR or another third party quality review process, the Transfer Agent will use all reasonable commercial efforts to assist and cooperate with NQR (or such other industry recognized external quality review process as the Trust Fund may elect from time to time to utilize). In addition, the Transfer Agent will provide to the Trusts Funds detail from the Quality Review on a monthly basis. The Transfer Agent and the Trust Fund agree to review the Quality Review scores to implement process improvements going forward in the event that improvements are necessary. Call Center and Processing Standards Standards. ACTIVITY MONTHLY REPORTING STANDARDS -------- --------------------------- TIMELINESS STANDARDS Call Center Average Speed of Answer 15 seconds Abandonment Rate 2% Service Levels 85% within 15 seconds Correspondence Financial Inquiries 3 days Non-Financial Inquiries 6 days XXX Acct Transfer Request Notices 3 days XXX Acct Transfer Reminder Notices 15, 3015,30, and 45 days Transactions Adjustments 98% within 2 days Exchanges 100% date of receipt Maintenance 98% within 3 days New Accounts 98100% date of receipt Purchases 98100% date of receipt Redemptions 98100% date of receipt Transfers 98% within 2 days Commission Runs runs 3 business days Trail Commissions commissions 5 business days ACCURACY STANDARDS Adjustments 95% Exchanges 98% Maintenances 98% New Accounts 93% Purchases 98% Redemptions 97% Transfers 97% Overall Quality Standard 96% Schedule 1.6 - 2 Systems Availability: System/System/ System Applications Hours of Availability* Availability *Holidays with 7 calendar days advance notice System Availability AS/400 99.0% Boston Financial AWD Databases Monday-Friday 6:00 AM to 11:00 PM (EST) 99.0% AWD Databases Saturday 1:30 AM to 5:00 PM (EST) Sunday 1:30 AM to 11:00 PM (EST) TA2000 99.0% Monday-Friday 7:00 AM to 11:00 PM (EST) 99.0% Please refer to our response below for additional information Saturday-Sunday Generally available, other than for scheduled maintenance or events AS400: Server availability is defined as the monthly availability rate that the Transfer Agent (through its parent DST Systems, Inc., “"DST”") guarantees to maintain for servers in the AWD Data Center in regard to server hardware, operating system, and AWD applications. The monthly availability rate does not include any third party applications, including any custom code. TA2000 Availability: TA2000 is generally available in some capacity on 24 hours a day, 7 days a week basis. Below we have provided a description of general availability: Service level agreements between DST and Boston Financial require that the CICS regions be fully functional between the hours of 7:00 AM EST to the agreed upon start of the nightly, generally 10:00 PM EST on all days during which the New York Stock Exchange is open for business however, in actuality the system is much more widely available than the service level agreement implies. During the nightly cycle, certain files are sporadically unavailable for batch updates. When the shareowner master and history files are unavailable, alternate files are allocated to the on-lines to allow some limited lookup and transaction functionality. Unless there is scheduled maintenance or other activity, such as a purge or conversion, CICS regions are fully available and functional on all non-business days. Scheduled DST maintenance occurs routinely, generally late on a Saturday night or early on a Sunday morning. Purge and conversion events occur over weekends, generally early Saturday morning through mid-afternoon. When these events xxxxx occur, the system is usually unavailable. For most purge and conversion events, it is possible to implement the alternate file process. All scheduled maintenance and other scheduled activities are reported via change control at least two weeks in advance of the event. FanWeb and Voice Response Unit (VRU) Availability Internet websites and VRU will be available 99.5% of the time on a 7 day/24 hour basis, excluding for regularly scheduled maintenance to the Website and VRU.

Compliance Measurement. The Transfer Agent agrees to retain, at its expense, National Quality Review ("NQR") through December 31, 2005 for the purposes of measuring compliance with the levels and standards set forth below. The parties agree agree, however, that measurement of the service levels and standards set forth herein for purposes of the Service Level Termination Right shall not commence until 60 days after the Trust goes live January 1, 2006 in order to provide for an orderly start-up transition of services to the Transfer Agent. The Beginning in January 2006, the Transfer Agent will utilize its own internal quality review process (or, any third party quality review process as the Transfer Agent may elect from time to time to utilize, such process, “"Quality Review”") to monitor the quality of services provided under the Agreement and the Transfer Agent’s 's satisfaction of the standards and levels set forth herein. The Transfer Agent will measure its performance in accordance with industry standards for (i) timelines timeliness and accuracy of Financial and Non Financial transactions and Call Centers and Correspondence and (ii) systems availability through its Quality Review. The Trust Fund may, at any time, elect to retain, at its own expense, NQR (or, such other industry-recognized, external quality review process as the Trust Fund may elect from time to time to utilize). In the event the Trust Fund retains NQR or another third party quality review process, the Transfer Agent will use all reasonable commercial efforts to assist and cooperate with NQR (or such other industry recognized external quality review process as the Trust Fund may elect from time to time to utilize). In addition, the Transfer Agent will provide to the Trusts Funds detail from the Quality Review on a monthly basis. The Transfer Agent and the Trust Fund agree to review the Quality Review scores to implement process improvements going forward in the event that improvements are necessary. Call Center and Processing Standards ACTIVITY CALL CENTER AND PROCESSING STANDARDS. MONTHLY REPORTING ACTIVITY STANDARDS -------- --------- TIMELINESS STANDARDS Call Center CALL CENTER Average Speed of Answer 15 seconds Abandonment Rate 2% Service Levels 85% within 15 seconds Correspondence CORRESPONDENCE Financial Inquiries 3 days Non-Financial Inquiries 6 days XXX Acct Transfer Request Notices 3 days XXX Acct Transfer Reminder Notices 15, 3015,30, and 45 days Transactions TRANSACTIONS Adjustments 98% within 2 days Exchanges 100% date of receipt Maintenance 98% within 3 days New Accounts 98100% date of receipt Purchases 98100% date of receipt Redemptions 98100% date of receipt Transfers 98% within 2 days Commission Runs runs 3 business days Trail Commissions commissions 5 business days ACCURACY STANDARDS Adjustments 95% Exchanges 98% Maintenances 98% New Accounts 93% Purchases 98% Redemptions 97% Transfers 97% Overall Quality Standard 96% Systems AvailabilitySYSTEMS AVAILABILITY: System/Applications Hours of AvailabilitySYSTEM/ SYSTEM APPLICATIONS HOURS OF AVAILABILITY* AVAILABILITY *Holidays with 7 calendar days advance notice System Availability 2 AS/400 99.0% Boston Financial AWD Databases Monday-Friday 6:00 AM to 11:00 PM (EST) 99.0% AWD Databases Saturday 1:30 AM to 5:00 PM (EST) Sunday 1:30 AM to 11:00 PM (EST) TA2000 99.0% Monday-Friday 7:00 AM to 11:00 PM (EST) 99.0% Please refer to our response below for additional information Saturday-Sunday Generally available, other than for scheduled maintenance or events AS400: Server availability is defined as the monthly availability rate that the Transfer Agent (through its parent DST Systems, Inc., “"DST”") guarantees to maintain for servers in the AWD Data Center in regard to server hardware, operating system, and AWD applications. The monthly availability rate does not include any third party applications, including any custom code. TA2000 AvailabilityAVAILABILITY: TA2000 is generally available in some capacity on 24 hours a day, 7 days a week basis. Below we have provided a description of general availability: Service level agreements between DST and Boston Financial require that the CICS regions be fully functional between the hours of 7:00 AM EST to the agreed upon start of the nightlynightly cycle, generally 10:00 PM EST on all days during which the New York Stock Exchange is open for business business; however, in actuality the system is much more widely available than the service level agreement implies. During the nightly cycle, certain files are sporadically unavailable for batch updates. When the shareowner master and history files are unavailable, alternate files are allocated to the on-lines to allow some limited lookup and transaction functionality. Unless there is scheduled maintenance or other activity, such as a purge or conversion, CICS regions are fully available and functional on all non-business days. Scheduled DST maintenance occurs routinely, generally late on a Saturday night or early on a Sunday morning. Purge and conversion events occur over weekends, generally early Saturday morning through mid-afternoon. When these events xxxxx occur, the system is usually unavailable. For most purge and conversion events, it is possible to implement the alternate file process. All scheduled maintenance and other scheduled activities are reported via change control at least two weeks in advance of the event. FANWEB AND VOICE RESPONSE UNIT (VRU) AVAILABILITY Internet websites and VRU will be available 99.5% of the time on a 7 day/24 hour basis, excluding for regularly scheduled maintenance to the Website and VRU.

Compliance Measurement. The parties agree that measurement of the service levels and standards set forth herein shall not commence until 60 days after the Trust goes live in order to provide for an orderly start-up of services to the Transfer Agent. The Transfer Agent will utilize its own internal quality review process (or, any third party quality review process as the Transfer Agent may elect from time to time to utilize, such process, “Quality Review”) to monitor the quality of services provided under the Agreement and the Transfer Agent’s satisfaction of the standards and levels set forth herein. The Transfer Agent will measure its performance in accordance with industry standards for (i) timelines and accuracy of Financial and Non Financial transactions and Call Centers and Correspondence and (ii) systems availability through its Quality Review. The Trust may, at any time, elect to retain, at its own expense, NQR (or, such other industry-recognized, external quality review process as the Trust may elect from time to time to utilize). In the event the Trust retains NQR or another third party quality review process, the Transfer Agent will use all reasonable commercial efforts to assist and cooperate with NQR (or such other industry recognized external quality review process as the Trust may elect from time to time to utilize). In addition, the Transfer Agent will provide to the Trusts detail from the Quality Review on a monthly basis. The Transfer Agent and the Trust agree to review the Quality Review scores to implement process improvements going forward in the event that improvements are necessary. Schedule 1.4-1 Call Center and Processing Standards ACTIVITY MONTHLY REPORTING STANDARDS TIMELINESS STANDARDS Call Center Average Speed of Answer 15 seconds Abandonment Rate 2% Service Levels 85% within 15 seconds Correspondence Financial Inquiries 3 days Non-Financial Inquiries 6 days XXX IRA Acct Transfer Request Notices 3 days XXX IRA Acct Transfer Reminder Notices 15, 30, and 45 days Transactions Adjustments 98% within 2 days Exchanges 100% date of receipt Maintenance 98% within 3 days New Accounts 98% date of receipt Purchases 98% date of receipt Redemptions 98% date of receipt Transfers 98% within 2 days Commission Runs 3 business days Trail Commissions 5 business days ACCURACY STANDARDS Adjustments 95% Exchanges 98% Maintenances 98% New Accounts 93% Purchases 98% Redemptions 97% Transfers 97% Overall Quality Standard 96% Systems Availability: System/Applications Hours of Availability* *Holidays with 7 calendar days advance notice System Availability AS/400 Boston Financial AWD Databases Monday-Friday 6:00 AM to 11:00 PM (EST) 99.0% Saturday 1:30 AM to 5:00 PM (EST) Sunday 1:30 AM to 11:00 PM (EST) TA2000 Monday-Friday 7:00 AM to 11:00 PM (EST) 99.0% Please refer to our response below for additional information Saturday-Sunday Generally available, other than scheduled maintenance or events Schedule 1.4-2 AS400: Server availability is defined as the monthly availability rate that the Transfer Agent (through its parent DST Systems, Inc., “DST”) guarantees to maintain for servers in the AWD Data Center in regard to server hardware, operating system, and AWD applications. The monthly availability rate does not include any third party applications, including any custom code. TA2000 Availability: TA2000 is generally available in some capacity on 24 hours a day, 7 days a week basis. Below we have provided a description of general availability: Service level agreements between DST and Boston Financial require that the CICS regions be fully functional between the hours of 7:00 AM EST to the agreed upon start of the nightly, generally 10:00 PM EST on all days during which the New York Stock Exchange is open for business however, in actuality the system is much more widely available than the service level agreement implies. During the nightly cycle, certain files are sporadically unavailable for batch updates. When the shareowner master and history files are unavailable, alternate files are allocated to the on-lines to allow some limited lookup and transaction functionality. Unless there is scheduled maintenance or other activity, such as a purge or conversion, CICS regions are fully available and functional on all non-business days. Scheduled DST maintenance occurs routinely, generally late on a Saturday night or early on a Sunday morning. Purge and conversion events occur over weekends, generally early Saturday morning through mid-afternoon. When these events occur, the system is usually unavailable. For most purge and conversion events, it is possible to implement the alternate file process. All scheduled maintenance and other scheduled activities are reported via change control at least two weeks in advance of the event. FanWeb and Voice Response Unit (VRU) Availability Internet websites and VRU will be available 99.5% of the time on a 7 day/24 hour basis, excluding for regularly scheduled maintenance to the Website and VRU.