Ascensus Pre-Approved Qualified Retirement Plan (QRP) Forms & Documents 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. Ascensus pre-approved QRP document sponsors will receive email communications from RPS-ContractAdministration@ascensus.com when updates 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 by calling 800-346-3860, option 2, suboption 1.

 

Cycle 3 Pre-Approved Plan Documents

As an Ascensus plan document sponsor, order your paper documents on demand or contact your Ascensus Sales Consultant for more information and to purchase a copyright license.

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 Obsolete Version
Basic Plan Document
3100 QRP Defined Contribution Basic Plan Document 02 6/2020  
Adoption Agreement
3101 Individual 401(k) Profit Sharing Standardized Adoption Agreement 6/2020  
3013 Trust and Custodial Agreement (must accompany the adoption agreement) 2/2022  
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

Ascensus introduces a simplified alternative version of its nonstandardized 401(k) profit sharing and money purchase pension plan documents.

Our simplified, Alternative 2 versions of the nonstandardized 401(k) profit sharing and money purchase pension plan documents provide adopting employers with the plan provisions and appearance of a simplified standardized adoption agreement.

NOTE: Alternative 2 plan documents rely on the same IRS opinion letters as the nonstandardized documents, so the opinion letters for Alternative 2 sponsorship identify the simplified alternative versions also as “nonstandardized.”

 

No. Name Current Version Obsolete Version
Basic Plan Document
3000 QRP Defined Contribution Basic Plan Document 01 6/2021  
Adoption Agreements
3001 401(k) Profit Sharing Nonstandardized Adoption Agreement (Alternative 1) 6/2021  
3011 401(k) Profit Sharing Nonstandardized Adoption Agreement (Alternative 2) 6/2021  
3002 Money Purchase Pension Nonstandardized Adoption Agreement (Alternative 1) 6/2020  
3012 Money Purchase Pension Nonstandardized Adoption Agreement (Alternative 2) 3/2021  
3013 Trust and Custodial Agreement (must accompany the adoption agreement) 2/2022  
Summary Plan Descriptions (SPDs)
3001-SD 401(k) Profit Sharing Nonstandardized Summary Plan Description (Alternative 1) 6/2020  
3011-SD 401(k) Profit Sharing Nonstandardized Summary Plan Description (Alternative 2) 6/2020  
3002-SD Money Purchase Pension Nonstandardized Summary Plan Description (Alternative 1) 6/2020  
3012-SD Money Purchase Pension Nonstandardized Summary Plan Description (Alternative 2) 6/2020  

 

NOTE: Amendments and summaries of material modifications (SMMs) may be required to be used with these documents when new regulations or laws are passed that require a change to the content in the basic plan document, adoption agreement, or summary plan description. Refer to the Supplemental Forms & Amendments section, below.

 

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

 

Click the Cycle 3 Samples button and enter the following credientials on Ascensus’ secure file transfer website. Username: C3SAMPLEDOCS Password: C3SaMpLES2021$

 

If you are interested in becoming an Ascensus Cycle 3 pre-approved plan document sponsor, contact an Ascensus Sales Consultant at salessupport@ascensus.com or by calling 800-346-3860.

QRP Transaction Forms

These forms are available for purchase in both copyright and print formats. Order paper now – or contact your Ascensus Sales Consultant for more information and to purchase a copyright license.

No. Name Current Version Obsolete Version
203 QRP Deposit Form 8/2001  
208 QRP Employee Data Worksheet 1/2002  
221 QRP Loan Kit 9/2020  
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 11/2021  
279 401(k) Plan Administrator’s Guide 11/2021  
465 QRP Beneficiary Distribution Election (For deaths occurring before 2020)  7/2022  
481 QRP Designation of Beneficiary 4/2010  
482 QRP Distribution Notice 8/2020  
485 QRP Beneficiary Distribution Election (For deaths occurring on or after January 1, 2020) 7/2022  
486 QRP Application for Distribution 3/2022 Any prior to 3/2022. 3/2022 version compliant only if includes attached 1/2023 version Withholding Instructions (IRS Form W-4R)
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 6/2021  
762 Supplemental 404(c) Employee Information Sheet 6/2012  
6487 401(k)/403(b) Direct In-Plan Roth Rollover Request 5/2011  

 

QRP Supplemental Forms & Amendments

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

NOTE: Refer to the QRP Supplemental Forms and Instructions that accompany these items for more information about how each of the items is used.

 

Participant Notices and Supplemental Forms

No. Name Current Version Obsolete Version
270-C Participant Notice – 401(k) Safe Harbor (Comprehensive) 6/2020  
270-S Participant Notice – 401(k) Safe Harbor (Simplified) 6/2020  
271 Participant Notice – Reduction or Elimination of 401(k) Safe Harbor Contributions 6/2020  
272AEN-F 401(k) Notice of Automatic Enrollment (Flexible) 11/2016  
272EACA-C Participant Notice – EACA (Comprehensive) 6/2020  
272QACA-F Participant Notice – QACA (Flexible) 1/2019  
285 Notice of Blackout Period 6/2020  
529 Notice of Rights to Diversify Employer Securities 6/2020  
763 Notice of Qualified Default Investment Alternatives 6/2020  
764 Participant Fee Disclosure 6/2020  
482-AR Automatic Rollover Notice 6/2020  
272ACA-C 401(k) Notice of Automatic Contribution Arrangement (ACA) (Comprehensive) 6/2020  
272ACA-S 401(k) Notice of Automatic Contribution Arrangement (ACA) (Simplified) 6/2020  
272AIC Participant Notice – Notice of Automatic Increase 6/2020  
272EACA-S Participant Notice – EACA (Simplified) 6/2020  
272QACA-C Participant Notice – EACA (Comprehensive) 12/2021  
272QACA-S Participant Notice – QACA (Simplified) 12/2021  
281 Notice to Interested Parties 6/2020  
530 Designation of Successor Plan Administrator/Trustee - Individual(k) 6/2020  
4023 SIMPLE 401(k) Plan Contribution Notice 6/2020  
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  

 

Cycle 3 Plan Document Amendments

Secure Cares Amendments
No. Name Current Version Obsolete Version
3000SCMAMDT-BPD-401K-KIT

401(k) / Profit Sharing Secure Cares Basic Plan Document Amendment Kit

7/2022  
3000SCMAMDT-BPD-MPPP-KIT Money Purchase Pension Secure Cares Basic Plan Document Amendment Kit 7/2022  
3100SCMAMDT-IK-BPD-KIT Individual 401(k) Secure Cares Basic Plan Document Amendment Kit 7/2022  
3001SCMAMDT-401(K)-AA-KIT 401(k) / Profit Sharing Secure Cares Adoption Agreement Amendment 7/2022  
3002SCMAMDT-MP-AA-KIT Money Purchase Pension Secure Cares Adoption Agreement Amendment 7/2022  
3011SCMAMDT-401(K)-AA-KIT Simplified 401(k) / Profit Sharing Secure Cares Adoption Agreement Amendment 7/2022  
3012SCMAMDT-MP-AA-KIT Simplified Money Purchase Pension Secure Cares Adoption Agreement Amendment 7/2022  
3100SCMAMDT-IK-AA-KIT Individual 401(k) Secure Cares Adoption Agreement Amendment 7/2022  
Hardship Distribution Amendments
No. Name Current Version Obsolete 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 03 401(k) Hardship Distribution Adoption Agreement Amendment 6/2021  
Termination Amendments
3000 TERMAMDT-MPP-C3-AA Cycle 3 Termination Amendment – Nonstandardized Money Purchase Pension Plan 6/2021  
3000 TERMAMDT-401(K)-C3-AA Cycle 3 Termination Amendment – Nonstandardized Profit Sharing Plan 6/2021  
3100 TERMAMDT-IK-C3-BPD Cycle 3 Termination Amendment – Standardized Individual 401(k) Profit Sharing Plan 6/2021  

 

Cycle 3 Resources

 

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

This includes a sample of each basic plan document and adoption agreement that you sponsor, your IRS opinion letter for each plan type that you sponsor, master SPD for reproduction, a sample Cycle 3 restatement cover letter to employers, and a Cycle 3 restatement FAQ for employers. Refer to the Supplemental Forms & Amendments section, above for all your participant notices, supplemental forms, and plan document amendments.

Click the Access My Cycle 3 Documents button and enter your Sertifi username and password on the login page.

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