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$
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
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.