Plan Design - Continued

9.	How are the types of funds offered by your organization selected?
	(Select one.)
	1.		Types of funds within asset classes are chosen before selecting external fund manager(s)
	2.		External fund manager(s) is/are selected before choosing the types of funds within asset classes
	3.		Other(Please provide your answer in the space provided below.)
	4.		Not sure
	5.		No response

	9a. If you selected "Other," please provide additional information for your response here.

10.	Who is the primary decision-maker for selecting your company's service providers for 401(k) plan investment option activities?
	(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.

11.	Who is the primary decision-maker for selecting plan service providers for recordkeeping activities?
	(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.

12.	Is your company's 401(k) plan intended to meet the optional provisions under section 404(c) of the Employee Retirement Income Security Act (ERISA) for sponsors that are seeking liability protection from investment losses resulting from participants' investment decisions?
	(Select one.)
	1.		Yes
	2.		No
	3.		Not sure
	4.		No response

13.	Did your company's most recent Form 5500 submission designate the plan as 404 (c)?
	(Select one.)
	1.		Yes
	2.		No
	3.		Not sure
	4.		No response

14.	Who is the primary decision-maker for handling non-investment decisions for your company's 401(k) plan, such as the level of the employer match and rules about loans, vesting, and coverage?
	(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.

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Full Report: GAO-08-774

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