1. Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan
2012 2013
2012 2013
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan
Maintain D&O, Happy Employees & Happy IRS/DOL Agents
COPYRIGHT MILLENNIUM | WWW.REDUCELIABILITY.COM
Legend: MILLENNIUM
Quarterly monitoring report to committee
Investment Policy review
Required Minimum Distributions paid
Issue Certification of Reasonable Fees
Coordinate and ensure Top Heavy testing completed
Verify 1099Rs sent
Ensure document definition of pay matches contributions
Verify excess deferrals/excess contributions
Apply cash out rule (<$5,000 gone)
Send ERISA 404C communication
Review new Required Minimum Distribution recipients
Quarterly monitoring report to committee
Review IRS Form 5500 line 4D conflicts
Update fidelity bond
Ensure deferrals deposited timely
Review allocation of GAIN LOSS for auditors
Rebalance plan models
Review “party in interest transactions” for auditors
Prepare ERISA 404A5 “Plan Costs $X.XX” notice
Review/sign IRS Form 5500
Deliver quarterly monitoring report to committee
Review stable value and GIC contracts
Ensure fiduciary manual’s Conflicts of Interest &
Code of Ethics Policies acknowledged
Review vender contracts
IRS Form 5500 extension verified
Ensure BrightScope reviewed and
updated
Ensure retail funds eliminated
Ensure Safe harbor
notices sent
Review Fee
Policy
Quarterly monitoring report delivered to employees and committee
Update Errors And Omission declaration for all venders
Renew Fiduciary Liability policy
Send plan (SPD/SMM) communication
Ensure ERISA Budget & forfeiture Accounts empty
Review census request
Mail IRS Fm 2848 Designated Representative Form