Ascensus Pre-Approved Qualified Retirement Plan (QRP) Forms & Documents Checklist

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 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, contact your Ascensus Sales Consultant for your document delivery options, including to purchase a copyright license for all your plan documents and forms.

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

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.”

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.

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

Cycle 3 Plan Document Amendments

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.