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PPA Pre-approved Plan Workshop - PPD Document - 3 parts
Presentor: Derrin Watson Recorded Date: 7/7/2014 Duration: 325 Min.

This 3-part program was recorded during live presentations on July 7, 8, & 10, 2014 at 2:00PM EDT.

IMPORTANT: Use the "Register" or "Login to register" link to the right to register for the PPD Document presentation. If you wish to register for the Corbel document presentation, hit the back arrow and select the PPA Pre-approved Plan Workshop - Corbel Document .

The PPA restatement process has begun. Many practitioners enjoyed our live pre-approved plan workshops, but we want to make them available to all our document users. This three-part Web seminar covers the PPD document.

The program provides a line-by-line review using the prototype formatted volume submitter 401(k) Adoption Agreement, as well as a review of the basic plan document. The focus is primarily on the Adoption Agreement, giving background and explanations as to its use, including suggested completion of check-box and blank line options. We address new features and highlight the differences in the Prototype and the prototype formatted Volume Submitter Plan. Attendees receive a practical understanding of the PPD PPA Defined Contribution Prototype and prototype-formatted Volume Submitter documents. Save time and get an early start on the PPA restatement process.

Topics include:

  • Restatement deadlines
  • Effective date provisions
  • Contribution and allocation provisions
  • Changes to cross-tested plan options
  • Beneficiary distribution options
  • Automatic deferral options
  • Matching options
  • Eligibility, exclusions and vesting
  • Earnings and trust provisions
  • Forfeiture handling
  • Participating employers
  • Multiple employer plans


  • The trust officer, TPA, consultant, administrator, or practitioner with plan document responsibility.
  • Legal counsel who uses a pre-approved plan or represents a pre-approved plan sponsor.
  • Anyone who must be familiar with PPA changes to pre-approved plans (even if not using a SunGard plan).
  • Sponsors of pre-approved plans, employees of current pre-approved plan sponsors, or those employers who are considering sponsoring a pre-approved plan.
  • Attorneys, accountants, financial advisors, bankers, consultants, and business development personnel dealing with any aspect of pre-approved plans.

Prerequisites: There are no prerequisites or advance preparation for this program. The speaker will assume attendees have an understanding of the rules relating to 401(k) plans and the general process of working with prototype and volume submitter documents.

Level: Intermediate

Instructional Delivery Method
Group – Internet-Based

Speaker: S. Derrin Watson, J.D., APM
Recipient of ASPPA's 2006 Educator of the Year Award

Objectives: After attending the Web seminar, an attendee should be able to:

  1. Identify the deadlines for the PPA restatement.
  2. Design a proper matching contribution formula.
  3. Complete eligibility and vesting provisions correctly.
  4. Select the proper effective date for the plan.
  5. Determine the proper distribution options for participants and beneficiaries.
  6. Identify the appropriate method for allocating earnings.
  7. Explain contribution and allocation options to clients.
  8. Explain the changes to the provisions for cross-tested plans.

How To Participate
You will need a phone (speakerphone, for additional paid participants authorized to share the Primary registrant’s authorized connection) and Internet access. The graphics presentation and illustrations will be viewed via the Primary registrant’s web connection, while the speaker audio portion will be via the Primary registrant’s telephone.

Select the "Fees" link on the right side menu of this page for more information about who is authorized to connect to the program, and for the cancellation/transfer policy.

Program Schedule (Eastern Time)
Monday, Tuesday, and Thursday
July 7, 8, and 10, 2014
12:00 noon to 1:40 p.m. Eastern Time each day
(11:00 a.m. CT; 10:00 a.m. MT; 9:00 a.m. PT)

Program related requests, questions, or concerns may be emailed to: