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Plan Documentation

We offer a range of plan documentation services for our defined benefit and defined contribution clients.

Preparation of New Plan Documents

We will prepare the plan document and related forms for new plans, which includes drafting proposed language for individually designed plans and client-requested changes to plan documentation. Items included in plan document preparation (for review by legal counsel) are:

  • Plan Document and Administrative Policies
  • Summary Plan Description
  • Ancillary Beneficiary Forms
  • Salary Deferral Agreement, if applicable
  • 401(k) Safe Harbor Notice, if applicable (if prepared at the same time as new plan document)
  • Participant Loan Policy, if applicable (if prepared at the same time as new plan document)

Alternatively, we can consult with the client’s attorney to assist in plan preparation.

Preparation of Plan for Submission to IRS

Once a retirement plan is adopted, we will provide any necessary filings for the plan to be submitted to the IRS, thus assuring qualified status.

Plan Amendments and Restatements

Plan amendments may be required to adapt a plan to the client’s changing needs. We will draft proposed amendments for review by legal counsel or consult with the client’s attorney to assist the attorney in preparing the desired amendments.

Qualified retirement plan documents must be restated from time to time to stay up-to-date with changes in law and regulations. The deadlines for doing so are typically set by the IRS. When a restatement is required, we notify the client and, if requested, provide a restated, up-to-date document for review by legal counsel. We offer a full range of volume submitter documents.

Contact us today to find out more about our plan document services.

Read about our Plan Termination Services →