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POLICY & PROCEDURES GUIDE

Prudent Practices for Investment Stewards
PS Guide: Administration & Reporting
PS Guide: Investments
PS Guide: Committee Meetings
PS Guide: Governance & Documentation
PS Guide: Selecting Service Providers

Education - Investments - ISP
Education - Plan Administration
Education - Defining Plan Success
Education - Fiduciary Guide
Education - Plans - Providers

Plan Gov & Documentation - Simple
Required Disclosures

DOL Interp Bulletin Part Inv Edu
Education Policy Statement Template
Education Policy Statement Template 2

ERISA 404c
ERISA 404a
ERISA 408b
Fee Policy Statement
Fiduciary Calendar
Fiduciary Map

INVESTMENT REVIEW

fi360 Investment Review Sample
QDIA Guide
QDIA Type Assessment
Sample QDIA Policy - Balanced Funds
Sample QDIA Policy - Managed Accounts
Sample QDIA Policy - Target Date Funds

Committee Member Packet
Investment Committee Code of Ethics
Investment Committee Conflict of Interest Policy

PARTICIPANT EDUCATION

DOL Interp Bulletin Part Inv Edu
Participation Education Guide
Participant Inquiry Resolution
Employee Report Card
Enrollment Kit
Participant Education Materials

Invesco Glossary

PLAN DOCUMENTS

Plan Document
Service Agreement
Summary of Plan Description
Summary of Material Modifications
Service Provider Contracts
Fidelity Bond Documentation
Fidelity Insurance Documentation

FIDUCIARY FILE

Templates & Forms

Fiduciary File Checklist
Fiduciary Audit Checklist
Exam Prep File Checklist
Year End Services Checklist
Employer Report Card
Fiduciary Acknowledgement Letter
Fiduciary Resignation Letter
Trustee Acknowledgement Letter
Roles & Responsibilities Worksheet

INVESTMENT Policy
Committee (IPC)

Investment Committee Bylaws
Sample 401k Committee Charter
Sample Acceptance to Serve on IC
IPC Acknowledgement Letter
Meeting Notes Form
IPC Meeting Minutes

INVESTMENT POLICY
STATEMENT (IPS)

401k Questionnaire
401k Questionnaire ONLINE
Sample IPS Committee P&P
Sample IPS
IPS Review Checklist - Template
IPS Review Checklist
408 Disclosure Worksheet
404c Information Checklist
404c Checklist
Needs Assessment Worksheet

INVESTMENT REVIEW

Benchmark Reports
Quarterly Investment Reports from Custodian
Investment Review Checklist 
Investment Replacement Worksheet
fi360 Investment Review Sample
Custodian Notification of Changes 1
Custodian Notification of Changes 2

 PARTICIPANT EDUCATION

Education Policy Statement Template
Education Policy Statement Template 2
Participant Education Notifications
Participant Education Attendance Confirmation
Participant Education Sign In Sheet
Participant Inquiry Resolution
RiskAlyze Sample Report on Funds in Plan

FEES

Fee Policy Statement
Plan Expense Worksheet
Fee Assessment Worksheet
Fee Addendum 1
Fee Addendum 2

PLAN QUESTIONNAIRES

Plan Goals and Objectives
IPS Questionnaire 401k
SAFE Questionnaire FILLABLE
fi360 SAFE for Investment Stewards

Completed

Fiduciary File Checklist
Fiduciary Audit Checklist
Exam Prep File Checklist
Year End Services Checklist
Employer Report Card
Fiduciary Acknowledgement Letter
Fiduciary Resignation Letter
Trustee Acknowledgement Letter
Roles & Responsibilities Worksheet

INVESTMENT POLICY
COMMITTEE (IPC)

Investment Committee Bylaws
401k Committee Charter
Sample Acceptance to Serve on IC
IPC Acknowledgement Letter
Meeting Notes Form
IPC Meeting Minutes

INVESTMENT POLICY
STATEMENT (IPS)

401k Questionnaire
401k Questionnaire ONLINE
Sample IPS Committee P&P
Investment Policy Statement
IPS Review Checklist Completed
IPS Review Checklist
408 Disclosure Worksheet
404c Information Checklist
404c Checklist
Needs Assessment Worksheet

INVESTMENT REVIEW

Benchmark Reports
Quarterly Investment Reports from Custodian
Investment Review Checklist
Investment Replacement Worksheet
fi360 Investment Review
Custodian Notification of Changes 1
Custodian Notification of Changes 2

PARTICIPANT EDUCATION

Education Policy Statement Template
Education Policy Statement Template 2
Participant Education Notifications
Participant Education Attendance Confirmation
Participant Education Sign In Sheet
Participant Inquiry Resolution
RiskAlyze Report on Funds in Plan

FEES

Fee Policy Statement
Plan Expense Worksheet
Fee Assessment Worksheet
Fee Addendum 1
Fee Addendum 2

PLAN QUESTIONNAIRES

Plan Goals and Objectives
IPS Questionnaire 401k
SAFE Questionnaire Completed
SAFE Report

ARCHIVES

This information was developed as a general guide to educate plan sponsors, but since we are not lawyers or accountants, is not intended as authoritative guidance or tax or legal advice. Each plan has unique requirements, and you should consult your attorney or tax advisor for guidance on your specific situation. In no way does advisor assure that, by using the information provided, plan sponsor will be in compliance with ERISA regulations.