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Ascensus Prototype Document Service

Ascensus, a leading retirement plan solutions provider, will act as the prototype sponsor for your client’s retirement plan. As prototype sponsor, Ascensus will provide a plan document for employers to establish a plan and will provide all required future amendments and restatements.

Establish Agreement

Steps to Obtain a Prototype Document 

  1. The employer must complete a Plan Design Questionnaire (PDQ) and Document Service Agreement (DSA) using either the printable documents below or the integrated Sertifi electronic submission and signature process. 
  2. Ascensus will create plan documents based on the PDQ information. 
  3. Ascensus will send the new plan documents electronically to the employer.
  4. The employer can electronically sign the documents using Sertifi.
Document Service Agreement
The employer must sign a DSA, which specifies the roles and responsibilities between the employer and Ascensus. The employer must also complete the Payment Authorization Form (PAF), included in the DSA to provide the billing information that Ascensus will use to collect the annual document fee.

Plan Design Questionnaire
The PDQ gathers information needed to prepare Ascensus prototype documents. The information will be converted into an adoption agreement, a basic plan document, a summary plan description, and all applicable plan amendments.
There are two ways to complete the required documents: 1) Complete, print, and fax the forms to Ascensus or 2) submit forms electronically through Sertifi.
Option 1: Fax Submission

Complete, print, and fax forms to Ascensus. Please fax to 218-825-5713.
Select the appropriate plan type to download the Plan Establishment Kit. Each kit contains the applicable PDQ, DSA, and PAF.

Owner-Only (Individual) 401(k) Plan 401(k) Plan
Profit Sharing Plan Money Purchase Plan

Option 2: Electronic Submission

Complete and Submit Documents through Sertifi
Before you begin, please have the following information available.

Plan name, plan type, employer EIN, and plan provisions (e.g., contribution allocations, vesting, and loan provisions).

Payment Informationincluding bank name, routing number, and account number.
Provide the Employer/Authorized Signer's email address and select the appropriate plan type below. You must complete the documents in one session and electronically sign.
NOTE: The Employer/Authorized Signer must be present to sign while the forms are being completed because the forms cannot be electronically forwarded for signature.

    • A 401(k) plan designed for sole proprietors with no employees, or for owners and their spouses, offering elective deferrals and/or profit sharing contributions.
    • A 401(k) plan designed for businesses with employees, offering elective deferrals, profit sharing contributions, and employer matching contributions.
    • A retirement plan offering discretionary employer profit sharing contributions (does not allow elective deferrals).
    • A retirement plan that requires a fixed annual employer contribution (Elective deferrals and other discretionary employer contributions are not allowed in a money purchase plan).