Form 14035 - Pilot Questionnaire For Governmental Plans Initiative Page 21
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24Pilot Questionnaire for Governmental Plans Initiative
44. Are former employees who are eligible for retirement benefits contacted at the time they reach benefit
eligibility?
Yes
No
45. Is there communication with employers whose employees participate in the Plan about Plan amendments
or changes in policies or procedures that affect Plan administration?
Yes
No
46. Is any Plan financial information communicated to participants?
Yes
No
If you responded “Yes,” what form is the communication?
Comprehensive Annual Financial
Report Summary of Financial Statements
Audited Financial Statements
Other
(please specify):
PART 6 - PLAN ADMINISTRATION
This section relates to the administration of the Plan and the internal controls and procedures
used by the Plan. Among other things, we are interested in how governmental plan assets are
administered with respect to the exclusive benefit rule (section 401(a)(2)). Under the Code,
the exclusive benefit rule requires that, except for the payment of plan expenses, plan assets
must be used for the exclusive benefit of participants.
47. Is there a Board of Trustees authorized to administer the Plan (e.g., hire third party administrators and
investment advisors, make investment decisions, etc.)?
Yes
No
If you responded “No,” who has authority to administer the Plan?
48. Is a third-party administrator used to administer the Plan?
Yes
No
49. Who makes investment decisions for the Plan?
50. Are third-party investment advisors used for the investment of Plan assets?
Yes
No
14035
Form
(Rev. 02-2009)
Catalog Number 52098A
Page 21
Department of the Treasury - Internal Revenue Service
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