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Data Request Forms

New Plan Forms

Participant Forms

Data Request Forms

The following are the generic forms referenced in our annual data request package including the separate request for completion of Form 1099-R’s. Regulations and filing requirements make it necessary for us to request information about each plan every year. It is vital that we receive updated information in order to work on your plan(s).

The annual data request sent to you directly contains customized instructions on the information we need. To access the specific generic forms referenced there, please click on the links below. Note that when IAI administers more than one plan, we may need forms completed for each plan. Should you have any questions about the forms or need assistance completing them, please contact your consultant directly.

When submitting the forms to us electronically, please use a secure method such as uploading to the “_Client Uploads” folder of your ShareFile account. Please note that an attachment to a general email is not secure. Download and print any of the forms that you prefer to complete by hand or return to us in hard copy.

Information Checklist (Adobe Acrobat PDF): We need compliance information for each plan that we administer and/or include in non-discrimination testing. If this is the first year of the plan or you need more room than is provided on the Information Checklist to indicate changes to information previously provided, then please also complete the Plan Questionnaire.

Bonding and Audit Requirements (Adobe Acrobat PDF): This form is required for all plans that cover employees other than owners and their spouses. For more information on bonding requirements, please see our Bonding Requirements Memo (Adobe Acrobat PDF).

Asset Information Packet (Adobe Acrobat PDF): The administrative report we prepare and the 5500 forms require that we not only know the balance of plan assets, but also have sufficient information to reconcile the change in value during the year. In order to do so, an accounting of the trust must be performed. This may be done by you or the plan trustee, your accountant, or by us.

If your plan has a 401(k) feature, please complete also complete a 401(k) Deposit Summary (Adobe Acrobat PDF). If your plan contains insurance products, we will need additional information to complete the administration. Please see Insurance Information for a detailed list of the information we will need on the policies.

Form 1099-R Data Request: If you would like IAI to prepare the Form(s) 1099-R for your plan(s) for distribution(s) made during the year, please download and complete one of these forms for easy electronic completion of this request: 1099-R Worksheet (Microsoft Excel Worksheet) or 1099-R Worksheet (Adobe Acrobat PDF)

New Plan Forms

New Client Study Request Form (incorporated business) (Adobe Acrobat PDF): Complete this form to request a plan design study for a new plan for an incorporated business (i.e. Inc. or LLC).

New Client Study Request Form (sole-proprietorship or partnership) (Adobe Acrobat PDF): Complete this form to request a plan design study for a new plan for a sole-proprietorship or partnership.

Participant Forms

Beneficiary Designation Form (Adobe Acrobat PDF): Each plan participant should have a completed beneficiary designation form as part of the plan’s records. Please select one of the following versions based on your plan’s type and/or provisions: defined benefit plan, defined contribution plan without Joint & Survivor requirements or defined contribution plan with Joint & Survivor requirements.

Salary Deferral Agreement Election Form (Adobe Acrobat PDF): Each new 401(k) plan participant must complete a salary deferral agreement to elect whether or not they would like to defer compensation. This form can also be used for existing participants who would like to change their election. Please select one of the following versions based on your 401(k) plan’s allowed types of deferral contributions: traditional 401(k) deferrals only or traditional & Roth 401(k) deferrals.

Participants are required to receive the appropriate notice (Roth or No Roth) no more than 180 days prior to the date their pension is scheduled to commence if any part of their benefit is eligible to be rolled over to an IRA or other qualified plan.