Mandatory Data Collection for the Required Annual Announcements (2018)

Recent IRS audits of the 403(b) and 457(b) plans have reinforced the critical importance of compliance with universal availability and annual notice requirements. During an audit, the IRS examiner requires documentation that such notice of the availability of the election to make elective deferrals was delivered to all eligible employees for the calendar year(s) under examination. Please completed the information below to properly document your organization has satisfactorily met these IRS requirements for 2018.

Please feel free to call CCC at 503-968-8961 or toll free at 877-222-3090 if you have questions regarding the announcement or this questionaire.

(Please note: if your organization's name is followed by a * in the dropdown list below, CCC has not received a response for last year's survey. If your organization has yet to do so, please complete the 2017 Universal Availability Survey in addition to the questionnaire below.)

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* 1. Choose your employer from this drop-down list:

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* 2. What is your name?

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* 3. Are any employees ineligible to make 403(b) TSA elective deferrals under your plan?

(Note: Eligibility rules and any exclusions to eligibility appear in the 403(b) Plan Document and are explained in the 2018 Universal Availability Notice provided by CCC. For the vast majority of CCC clients, all employees are eligible to participate in the plan.)

No, all employees who receive paychecks for services rendered are eligible to make 403(b) elective deferrals.

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* 4. CCC made available for download draft Eligibility and Limits Announcements in email messages in October 2017 with subject “CCC CLIENT ACTION REQUIREMENT: 2018 Announcement - Eligibility and Limits.” Was a version of this announcement distributed to your employees?

Yes, a version of the 2018 Eligibility and Limits Announcement was distributed.

No such announcements have been distributed (please explain).

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* 5. Please indicate all distribution methods used to distribute the announcement (use of multiple methods recommended):

Email (if certain employees do not use email as a part of their job, additional methods are required)

Paycheck Stub Envelope Stuffers (anyone not paid during the month of distribution must be contacted using another method)

Office Mail Boxes

USPS Mail

Eligibility Notice Memo On All Paycheck Stubs

Other (please explain)

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* 6. Please check all of the following employee categories to which announcements were distributed (note: for most CCC clients all employees should receive the announcement per the rules in your 403(b) Plan Document and will also appear on your 2018 Announcement):

Administrators

Administrative Support Staff (Classified)

Teachers (Certified)

Substitute Teachers

Part-Time Staff

Coaches

Nutritional Staff

Transportation Staff (Bus Drivers)

Information Technology (IT) Staff

Teaching Assistants

On-Site Health Professionals

Please explain why any unchecked employee categories were excluded. Examples might be:
• Substitute Teachers are employed by the district’s ESD, not by the district;
• Bus Drivers are contract workers, not district employees; or
• We don't employ Teacher Assistants.

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* 7. Was the announcement distributed to ALL employees of ALL employee groups using the same distribution method(s)?

Yes, the same distribution method was used for all employees in all employee groups.

No, different distribution methods were used for different employee groups.

It no, please provide further information.

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* 8. On what date or dates (up to three) were the announcements distributed?

First date

Date

Second date, if any

Date

Third date, if any

Date

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* 9.
Please check all of the following approaches that are being utilized to supplement the initial distribution of the written announcements for 2018 and make sure all eligible employees are notified:

Included in New Employee Packets (this is important to inform new hires of their eligibility for the 403(b) Plan)

Included in Benefits Handbooks (strongly recommended)

Included in Substitute Teacher Sign-up Materials (strongly recommended)

Presented on the Employer’s Website

Discussed in New Employee Orientation Video

Posted to Bulletin Boards in Work Areas

Other (please specify)

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* 10. If the employer's website includes pages that provide information about the 403(b) plan and the 457(b) plan (if applicable), please provide web addresses (URLs) for up to four such pages below:

First URL:

Second URL:

Third URL:

Fourth URL:

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* 11. Was the draft announcement provided by CCC distributed with no edits?

Yes, the draft announcement was distributed with no edits.

No, the draft announcement was edited before distribution. (If an edited version was circulated, please upload a copy of each edited announcement distributed to any group of employees to the CCC website using the document upload feature available at www.ncompliance.com/upload.aspx with the comment "2018 UA Notice" and your employer's name.)

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* 1. Choose your employer from this drop-down list:

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* 2. What is your name?

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* 4. CCC made available for download draft Eligibility and Limits Announcements in email messages in October 2017 with subject “CCC CLIENT ACTION REQUIREMENT: 2018 Announcement - Eligibility and Limits.” Was a version of this announcement distributed to your employees?

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* 5. Please indicate all distribution methods used to distribute the announcement (use of multiple methods recommended):

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* 6. Please check all of the following employee categories to which announcements were distributed (note: for most CCC clients all employees should receive the announcement per the rules in your 403(b) Plan Document and will also appear on your 2018 Announcement):

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* 7. Was the announcement distributed to ALL employees of ALL employee groups using the same distribution method(s)?

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* 8. On what date or dates (up to three) were the announcements distributed?

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* 9. Please check all of the following approaches that are being utilized to supplement the initial distribution of the written announcements for 2018 and make sure all eligible employees are notified:

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* 10. If the employer's website includes pages that provide information about the 403(b) plan and the 457(b) plan (if applicable), please provide web addresses (URLs) for up to four such pages below:

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* 11. Was the draft announcement provided by CCC distributed with no edits?

* 9.
Please check all of the following approaches that are being utilized to supplement the initial distribution of the written announcements for 2018 and make sure all eligible employees are notified: