Ascensus Qualified Retirement Plan Documents & Forms Checklist

This checklist will be updated periodically. 

If you need assistance with your Ascensus documents and forms, contact a Customer Service Representative at customersupport@ascensus.com or by calling 800-346-3860, option 2, suboption 1.

Defined Contribution Cycle 3 Pre-Approved Plans

Ascensus documents are available to its plan document sponsors through our Plan Adoption System (PAS), a state-of-the-art online application that includes plan wizards to guide users for an efficient and compliant document drafting process. Collapsible documents – means the adoption agreement, summary plan description, and participant notices only include content that applies to the adopting employer’s plan, essentially providing each employer with customized plan documents, including “simplified” plans. PAS also allows you to export plan data, produce safe harbor and annual notices, and much more. Alternatively, you can generate Ascensus plan documents on demand through a copyright license.

Individual 401(k)

401(k) Profit Sharing and Money Purchase Pension

Our flexible 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 standardized adoption agreement and are available through a copyright license only.

IMPORTANT: Amendments and summaries of material modifications (SMMs) may be required to be used with these documents when legislative and regulatory changes 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 defined contribution Cycle 3 preapproved plan documents and QRP transaction forms?

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

For information on becoming an Ascensus employer-sponsored retirement 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 to Ascensus plan document sponsors for digital purchase. Contact your Ascensus Sales Consultant for more information and pricing.

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 defined contribution Cycle 3 plan documents.

Participant Notices and Supplemental Forms

Defined Contribution Cycle 3 Plan Document Amendments

IMPORTANT: Our current termination amendments are designed for Ascensus Cycle 3 pre-approved plans that terminated or terminate in 2024. Prior versions of the termination amendment should not be used with plans that terminated or terminate in 2024.

Defined Contribution Cycle 3 Restatement Resources

If you are an existing Ascensus Cycle 3 plan document sponsor, your Cycle 3 plan documents and restatement materials are available to you on the 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(s) for reproduction, a sample Cycle 3 restatement cover letter to employers, and a Cycle 3 restatement FAQ for employers. 

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 plan documents.