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The following is a list of documents that you should have current and centrally located in your retirement plan audit file.

Put a check next to any of the following documents that are NOT currently in your retirement plan audit file.

Question Title

Fiduciary Responsibility Documents

A. Investment Committee Charter or By-laws

B. Code of Ethics

C. Conflict of Interest Policy

D. Fiduciary Resignation Letters

E. Investment Committee Appointment and Acknowledgement Letters

F. Other Fiduciary Appointment and Acknowledgement Letters

G. Trustee Appointment and Acknowledgement Letter

H. Fiduciary Training Initiatives & Documentation

I. Internal Fiduciary Worksheet (Identifying all plan fiduciaries)

J. Investment Committee Meeting Minutes

Question Title

Investment Selection and Monitoring Documents

A. Investment Call to Action Worksheet

B. Investment Policy Statement

C. Investment Policy Statement Annual Review Checklist

D. Quarterly Investment Reviews

Question Title

Participant Communication Documents

A. Annual Participation Education Calendar

B. Enrollment Kit

C. ERISA Section 404(c) Checklist and back-up documents to demonstrate the provisions of 404(c) are being met

D. Fiduciary Adviser documents (from the Pension Protection Act - Adviser selection, service contract, annual audit, etc.)

E. Participant Education Material Samples

F. Participant Health Report (showing appropriate asset allocation, participant polling results, % on-track for a successful retirement)

Question Title

Plan Administration Documents

A. 5500 Report

B. Adoption Agreement

C. Annual Plan Admin. Calendar

D. Discrimination Testing

E. Fidelity Bond Documentation

F. Fiduciary Insurance Documentation

G. Plan Document

H. Summary Plan Description

I. Summary of Material Modification

Question Title

Service Provider Due Diligence Documents

A. Provider Benchmark Reports

B. Provider Expense Documentation

C. Provider Annual Review Checklists

D. Provider Initial Selection Checklists

E. Service Provider Contracts