With respect to the ABC Company, Inc. 401(k) Plan & Trust, Pacific Coast Pension Service, Inc. would propose to offer the following annual administrative services...

A. Preparation of the Annual Report & Review to Include:

  • Summary of Plan Provisions
  • Employee Census Report
  • Valuation as of each Plan Year-end to include:
    • Prior employee/employer account balances
    • Allocation of gains or losses on each account
    • Allocation of current year's employee/employer contributions
    • New employee/employer account balances
    • Percentages vested
    • Amounts vested
  • Schedule of Terminations (if any)
  • Individual Statements of Termination
    Benefits due terminated or retired participants (if any)
  • Individual Statement of Participation
  • Summary Annual Report

B. From your records kept by either the Plan Trustee or investment fund manager:

  • Balance Sheet
  • Plan Operation Summary

C. Completion of the following Federal forms:

  • 5500 & related Schedules I, P, R & T
  • Schedule A (if applicable)

D. Consultation time throughout the course of the plan year with regard to administrative procedure and clarification.


1. Copy of Plan/Trust Document (& Adoption Agreement, if a Prototype Plan).

2. Copy of last year's Valuation Report (prepared by the prior Administrator).

3. Copy of the last three years Trust Tax Forms (Form 5500-C/R & appropriate Schedules).

4. Plan Asset/Investment Information/Date (either "pooled" or "individually self-directed" accounts) for the past Plan Year to include:

  • Mutual fund accounts; stocks, bonds, CDs, T-bills, Real Estate (if any),etc.
  • Insurance policies (policy numbers, dates of issue, annual premium payments, cash values, etc.).
  • Loans (individual amortization schedules, individual loan repayment amounts, beginning loan balances, copies of promissory notes, loan agreements, etc.).

5. Retirement Plan Census information relative to each company employee, whether in the Plan or not (see attached Census Request Form).

6. Plan Anniversary Up-Date Form (relative to Key Employees, Officers, Team of Advisors).

7. Letter of Authorization/Retainer (to provide with Takeover) from responsible party.