Plan Design

	Please answer the following questions for your company's largest 401(k) plan if it has more than one plan.

5.	How many committees manage your company's 401(k) plan?
	(Select one.)
	1.		One committee
	2.		More than one committee
	3.		No committee (Click here to skip to Question 6.)
	4.		Not sure (Click here to skip to Question 6.)
	5.		No response

	5a. How many people serve on the committee(s) that manages your company's 401(k) plan?

	5b. Who serves on the committee(s) that manages your company's 401(k) plan?

		Yes	No	No response
	a. Human resources personnel
	b. Finance personnel (including personnel engaged in finance, treasury, or investment functions)
	c.Senior management
	d. Attorney/general counsel
	e. Other (Please provide your answer in the space provided below.)
	f. Not sure

	If you selected "Other," please provide additional information for your response here.

6.	Who is the primary decision-maker for determining investment goals and objectives for your company's 401(k) plan?
	(Select one.)
	1.		Plan sponsor management
	2.		Plan sponsor committee(s)
	3.		External 401(k) provider
	4.		External investment/financial advisor
	5.		Other external pension consultant
	6.		Internal attorney
	7.		External employee benefits attorney
	8.		Accountant
	9.		Other (Please provide your answer in the space provided below.)
	10.		Not sure
	11.		No response

	If you selected "Other," please provide additional information for your response here.

7.	Does your company's 401(k) plan have a written investment policy statement?
	(Select one.)
	1.		Yes
	2.		No (Click here to skip to Question 8.)
	3.		Not sure (Click here to skip to Question 8.)
	4.		No response

	7a. If yes, who was the primary decision-maker for establishing a written investment policy statement?
	(Select one.)
	1.		Plan sponsor management
	2.		Plan sponsor committee(s)
	3.		External 401(k) provider
	4.		External investment/financial advisor
	5.		Other external pension consultant
	6.		Internal attorney
	7.		External employee benefits attorney
	8.		Accountant
	9.		Other (Please provide your answer in the space provided below.)
	10.		Not sure
	11.		No response

	If you selected "Other," please provide additional information for your response here.

8.	Who is the primary decision-maker for selecting the menu of investment options for your company's 401(k) plan?
	(Select one.)
	1.		Plan sponsor management
	2.		Plan sponsor committee(s)
	3.		External 401(k) provider
	4.		External investment/financial advisor
	5.		Other external pension consultant
	6.		Internal attorney
	7.		External employee benefits attorney
	8.		Accountant
	9.		Other (Please provide your answer in the space provided below.)
	10.		Not sure
	11.		No response

	If you selected "Other," please provide additional information for your response here.

---

Full Report: GAO-08-774

Table of Contents | Previous | Next