Steps to Obtain a Pre-Approved Plan Document
- The employer must complete a Plan Establishment Kit (PEK) using either the printable documents below or the integrated Sertifi electronic submission and signature process.
- Ascensus will create plan documents based on the PEK information.
- Ascensus will send the new plan documents electronically to the employer.
- The employer can electronically sign the documents using Sertifi.
Document Service Agreement (DSA)
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 with the DSA, to provide the billing information that Ascensus will use to collect the annual service fee.
Plan Design Questionnaire (PDQ)
The PDQ gathers information needed to prepare Ascensus pre-approved plan documents. The information will be converted into an adoption agreement, a basic plan document, a summary plan description (if applicable), 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.
Option 2: Electronic Submission
Complete and Submit Documents through Sertifi
Before you begin, please have the following information available.
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Plan name, plan type, employer EIN, and plan provisions (e.g., contribution allocations, vesting, and loan provisions).
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Payment Information–including 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.