Form 14035 - Pilot Questionnaire For Governmental Plans Initiative Page 8
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24Pilot Questionnaire for Governmental Plans Initiative
12. Who has authority to amend/change the terms of the Plan? (check all that apply)
State Legislature
Local/ County government legislative body
Board of Trustees of the Plan
Executive Branch of State or local government
Employers/Members via Referendum
Other
(please specify):
13. Are there legal considerations that might prevent the party described in question 12 from being able to
amend the Plan on at least an annual basis?
Yes
No
If you responded “Yes,” describe below.
14. Financial statements
a. Are financial statements of the Plan or System prepared?
Yes
No
b. If you responded “Yes” to a., are financial statements prepared for the:
Plan
System
c. If you responded “Yes” to a., are the financial statements audited?
Yes
No
PART 2 - PLAN DOCUMENT INFORMATION
This section requests information on the form of the documents used to administer the Plan
and whether the Plan has ever requested a determination letter or used any of the IRS
compliance programs available to tax-qualified retirement plans. This information will assist
our understanding of the unique structure of governmental plan documents and will assist us
in determining whether we need to do further outreach to heighten the governmental plan
community’s awareness of the various compliance programs currently available to them.
15. Has the Plan or System ever received an IRS determination letter? (See Question 7 for the distinction
between a “determination letter” and a letter ruling on the status of the Plan or System as a “governmental
plan”)
Yes
No
Unknown
If you responded “Yes,” was the determination letter received by the:
Plan
System
If you responded “Yes,” indicate the date of the most recent IRS determination letter (located in the top
right corner of the determination letter).
Date
(Use mm/dd/yyyy)
14035
Form
(Rev. 02-2009)
Catalog Number 52098A
Page 8
Department of the Treasury - Internal Revenue Service
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