Qualified Retirement Plan Forms Checklist

Ascensus’ forms and documents are consistently monitored to accommodate changes brought about by new tax laws and, equally important, to respond to your requests and needs. This checklist will be updated periodically. You will receive an email communication from RPS-ContractAdministration@ascensus.com to alert you of updates that are made to the checklist.

If you need assistance or would like to update your forms inventory, contact a Customer Service Representative at customersupport@ascensus.com or 800-346-3860, option 2, suboption 1.

 

Ascensus Cycle 3 Pre-Approved Plan Documents

NOTE: Amendments and/or Summary of Material Modifications (SMM) may be required to be used in conjunction with these documents when new regulations or laws are passed that require a change to the content in the BPD, AA, or SPD.

Individual 401(k) Plan

No. Name Current Version
3100 QRP Defined Contribution Basic Plan Document 02 6/2020
Adoption Agreement
3101 Individual 401(k) Profit Sharing Standardized Adoption Agreement 6/2020
Summary Plan Description
3101-SD Individual 401(k) Profit Sharing Standardized Summary Plan Description 6/2020

 

401(k) Profit Sharing and Money Purchase Pension Plans

No. Name Current Version
Basic Plan Document
3000 QRP Defined Contribution Basic Plan Document 01 6/2020
Adoption Agreements
3001 401(k) Profit Sharing Nonstandardized Adoption Agreement (Alt 1) 6/2020
3011 401(k) Profit Sharing Nonstandardized Adoption Agreement (Alt 2) – Simplified Standardized 6/2020
3002 Money Purchase Pension Nonstandardized Adoption Agreement (Alt 1) 6/2020
3012 Money Purchase Pension Nonstandardized Adoption Agreement (Alt 2) – Simplified Standardized 3/2021
401(k) and Money Purchase Pension Summary Plan Descriptions (SPD)
3001-SD 401(k) Profit Sharing Nonstandardized Summary Plan Description (Alt 1) 6/2020
3011-SD 401(k) Profit Sharing Nonstandardized Summary Plan Description (Alt 2) – Simplified Standardized 6/2020
3002-SD Money Purchase Pension Nonstandardized Summary Plan Description (Alt 1) 6/2020
3012-SD Money Purchase Pension Nonstandardized Summary Plan Description (Alt 2) – Simplified Standardized 6/2020

Ascensus introduces alternative ‘simplified standardized’ versions of the nonstandardized 401(k) profit sharing and money purchase pension plan documents

The ‘Simplified Standardized’ versions of the nonstandardized 401(k) profit sharing and money purchase pension plan documents are approved by the IRS as alternatives to the nonstandardized versions of the documents. The Alternative 2 documents provide adopting employers with the plan provisions and appearance of a simplified standardized AA.

The simplified alternatives for the 401(k) profit sharing and money purchase pension plan documents rely on the same IRS Opinion Letters as the nonstandardized alternatives, so the opinion letters identify the simplified alternative documents as ‘Nonstandardized’.

Interested in viewing samples of our Cycle 3 Documents and QRP Transaction Forms?

Click the Cycle 3 Samples button and enter the following information in the Username and Password fields on Ascensus’ secure file transfer website.

Username: C3SAMPLEDOCS Password: C3SaMpLES2021$

Cycle 3 Samples

 

Qualified Retirement Plan (QRP) Transaction Forms

The forms listed in the following table are available for purchase in both copyright and print formats. Contact your Ascensus Sales Consultant for additional information.

NOTE: Qualified Plan Transaction Forms are updated when new regulations or laws are passed that require a change to the content.

No. Name Current Version
203 QRP Deposit Form 8/2001
208 QRP Employee Data Worksheet 1/2002
222 QRP Transfer Request 1/2002
223 QRP Withholding Reminder Notice 8/2001
235 QRP Certification for Late Rollover Contribution 10/2020
237 QRP Plan Administrator’s Guide 12/2020
279 401(k) Plan Administrator’s Guide 12/2020
481 QRP Designation of Beneficiary 4/2010
482 QRP Distribution Notice 8/2020
486 QRP Application for Distribution 7/2018
488 QRP Rollover Certification 7/2018
493 QRP Direct Rollover Request 3/2014
760 Employee Investment Handbook 12/2019
761 ERISA Section 404(c) Employer Guidelines 6/2020
764 Participant Fee Disclosure / 404(c) Employee Information Sheet 6/2020

 

Qualified Plan Supplemental Forms

Click the Supplemental Forms & Amendments button and enter the username and password given to you by your Ascensus Sales Consultant to access the participant notices, supplemental forms, and plan document amendments that are included in your sponsorship of Ascensus’ PPA and/or Cycle 3 plan documents.

NOTE: Participant notices are updated when new regulations or laws are passed that require a change to the content. Refer to your QRP Supplemental Forms and Instructions materials for more information.

Supplemental Forms & Amendments

 

Participant Notices

For use only with the Ascensus PPA Plan Documents (#4200 series)

No. Name Current Version
270-C Participant Notice – 401(k) Safe Harbor (Comprehensive) 6/2020
270-F Participant Notice – 401(k) Safe Harbor (Flexible)* 5/2019
270-S Participant Notice – 401(k) Safe Harbor (Simplified) 6/2020
270pa Participant Notice – 401(k) Safe Harbor Maybe Notice (Comprehensive) 6/2020
270pa-F Participant Notice – Safe Harbor Contribution Contingent (“Maybe”) Notice (Flexible)* 9/2018
271 Participant Notice – Reduction or Elimination of 401(k) Safe Harbor Contributions 6/2020
272ACA-C 401(k) Notice of Automatic Contribution Arrangement (ACA) (Comprehensive) 6/2020
272AEN-F 401(k) Notice of Automatic Enrollment (Flexible)* 11/2016
272ACA-S 401(k) Notice of Automatic Contribution Arrangement (ACA) (Simplified) 6/2020
272AIC Participant Notice – Notice of Automatic Increase 6/2020
272EACA-C Participant Notice – EACA (Comprehensive) 6/2020
272EACA-F Participant Notice – EACA (Flexible)* 11/2016
272EACA-S Participant Notice – EACA (Simplified) 6/2020
272QACA-C Participant Notice – EACA (Comprehensive) 6/2020
272QACA-F Participant Notice – QACA (Flexible)* 1/2019
272EACA-S Participant Notice – QACA (Simplified) 6/2020
281 Notice to Interested Parties 6/2020
285 Notice of Blackout Period 6/2020
529 Notice of Rights to Diversify Employer Securities 6/2020
530 Designation of Successor Plan Administrator/Trustee 6/2020
763 Notice of Default Investments 6/2020
4023 SIMPLE 401(k) Plan Contribution Notice 6/2020
6487 401(k)/403(b) Direct In-Plan Roth Rollover Request 5/2011
8270-PS Cross-Tested Trustee Contribution Notice 6/2020
8271-PS Discretionary Matching Contribution Plan Administrator/Trustee 6/2020
8272-PS Discretionary Matching Contribution Notice 6/2020
SCBR.PPS Prototype & Pre-Approved Document Sponsor – Sample Corporate Board Resolution (for amendments) 6/2020
Mandatory Additional Forms & Documents
No. Name Current Version
221 QRP Loan Kit 9/2020
482-AR Automatic Rollover Notice 6/2020
762 Supplemental ERISA Section 404(c) Employee Information Sheet 6/2020

 

Cycle 3 Plan Document Amendments

Hardship Distribution Amendments
No. Name Current Version
3000 HARDIST-BPD 401(k) Hardship Distribution Basic Plan Document Amendment 2/2020
3100 HARDIST-BPD Individual 401(k) Hardship Distribution Basic Plan Document Amendment 2/2020
3001 HARDIST-AA 401(k) Hardship Distribution Adoption Agreement Amendment 2/2020
Termination Amendments
No. Name Current Version
3000 TERMAMDT-MPP-C3-AA Cycle 3 Termination Amendment – Nonstandardized Money Purchase Pension Plan Documents 1/2021
3000 TERMAMDT-PS-C3-AA Cycle 3 Termination Amendment – Nonstandardized Profit Sharing Plan Documents 1/2021
4200-4400TERMAMDT PPA Termination Amendment – Prototype 401(k) Profit Sharing Plan Documents1 11/2020
4300TERMAMDT-BPD PPA Termination Amendment – Prototype Individual 401(k) Profit Sharing Plan Documents1 11/2019

1The PPA 401(k) and Individual(k) termination amendments listed in the table above will continue to satisfy the IRS’ plan document termination amendment requirements and can be used to terminate the Cycle 3 401(k) or Individual 401(k) plan documents until the Cycle 3 versions of these amendments are made available.

Cycle 3 Resources

What is Document Restatement?

Cycle 3 Webinar


If you are an existing Ascensus’ Cycle 3 document sponsor, your Cycle 3 documents and restatement materials are available to you on Ascensus’ secure eSignature website, Sertifi.

Click on the “Access My Cycle 3 Documents” button and enter your Sertifi username and password on the login page for easy access to your Cycle 3 restatement materials.

New to Sertifi? Follow the new user registration process on the Sertifi login page. You will need to use the same email account provided to Ascensus for your qualified retirement plan/s.

Access My Cycle 3 Documents