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Form 14568A: Model VCP Compliance Statement - Schedule 1: Plan Document Failures for 403(b) Plans
Internal Revenue Service Form 14568-A is a Model VCP Compliance Statement used by 403(b) plan sponsors to report plan document failures, such as missing written plans or untimely amendments; the initial remedial amendment period ended on June 30 2020.
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IRS Form 14568A - Model VCP Compliance Statement - Schedule 1: Plan Document Failures for 403(b) Plans
Internal Revenue Service Form 14568-A is a Model VCP Compliance Statement used by 403(b) plan sponsors to report plan document failures, such as missing written plans or untimely amendments; the initial remedial amendment period ended on June 30 2020.
Risk Radar
Scan points- 1Submitting the form without the required signed plan or amendment copies will block a favorable determination letter.
- 2Omitting the plan name, applicant’s EIN, or plan number from the header of each page.
- 3Failing to list every identified document failure in Section I of the compliance statement.
- 4Not specifying the year of the Required Amendments List for each statutory item in Section I.
- 5Leaving Section II blank or not describing the proposed method of correction for the failure.
Plain English
This form lets a 403(b) plan sponsor tell the IRS which parts of the plan’s documents are not in compliance. It also shows how the sponsor will fix the missing written plan or untimely amendments and what paperwork is being attached.
Submission Date
- Filing date: 2023-08-01 22:11:55
- Preparation window: collect IDs, supporting records, and signatures in advance.
- Final review: verify names, dates, and required fields before submission.
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What this form is for
- Use this form when a 403(b) plan has written plan failures or untimely amendments as described in Section I of the Model VCP Compliance Statement.
- Do not use it when the plan is not a 403(b) plan or has no document failures.
Form selector
Use this form or another form?
Written plan not adopted on time
Required to report the missing written plan failure for a 403(b) plan
✓ Verify the failure is listed in Section I before proceeding
Initial remedial amendment missed
Used to report untimely amendment for the initial remedial period
✓ Ensure amendment year and IRS notice are cited
Other plan document failure not listed
Applies to any additional failure described in Section I
✓ Confirm attachment is labeled per instructions
Deadline or filing window
Not stated in the official source.
Checklist
What you need before filling it out
Plan name
Plan name as entered on the form · Section at top of each page
Applicant’s EIN
Employer Identification Number · Section at top of each page
Plan number
Assigned plan identifier · Section at top of each page
Section I - Identification of Failures
List of each failure with year and IRS notice reference · Section I of the form
Section IV - Enclosures
Copies of signed and dated plan documents or amendments · Enclosures checklist in Section IV
Before you submit
- 1Enter the plan name, Applicant’s EIN, and plan number on the top of every page
- 2Mark each applicable failure in Section I and include the year and IRS notice reference
- 3Describe the correction method in Section II with a statement that the plan has been updated
- 4List steps taken to prevent recurrence in Section III
- 5Attach the signed and dated written plan for missing plan failures as required in Section IV
- 6Attach signed and dated amendment documents for untimely amendment failures as required in Section IV
- 7Sign the form before mailing and keep a copy for your records
How to file this form
- 1Complete all required fields on Form 14568-A, including identification and failure sections, then compile the package
- 2Attach the signed and dated plan or amendment documents as specified in Section IV
- 3Mail the completed form and attachments to the IRS address provided in the instructions
- 4Retain the mailing receipt and a copy of the submission as proof of filing
Known limitations
- 1The form does not apply to retirement plans other than 403(b) plans. (Form p.1)
- 2The form does not cover failures that are not related to the written plan requirement, required amendment list, or other plan document failures listed. (Form p.1)
- 3Individually designed 403(b) plans that first required changes before March 31 2020 are not covered by the “Individually Designed Plans” section. (Form p.1)
- 4Failures that occurred after the initial remedial amendment period ended June 30 2020 are not addressed by the initial remedial amendment period provision. (Form p.1)
Field map
Compact field-by-field guide
General Info
2 items
Full legal name and taxpayer identification number (SSN or EIN).
Current mailing address.
Details
2 items
Complete all applicable sections of this form according to the official IRS instructions.
Enter the relevant dollar amount if this form involves tax calculation.
Certification
1 items
Read and acknowledge any certifications required by this form.
Signatures
1 items
Sign and date. Unsigned forms cannot be processed.
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Fillable formOpen in Editor->The form is Revision 7-2023 (July 2023) as shown on the cover; the source does not reference a separate latest‑information page.
What changed or needs a fresh check
- Edition date — confirm Rev. 7-2023 (July 2023) as shown on the form cover
- Fee — Not stated in the official source
- Mailing address — Not stated in the official source
- Signature — Not stated in the official source
Quick Facts
Downloads
After you file
- 1Retain the signed Form 14568-A and all attached documents in the plan’s records.
- 2Keep the records for the period required by the IRS for plan documents, generally at least several years.
- 3Expect to receive a determination letter from the IRS confirming the VCP submission status.
- 4If the IRS requests additional information, submit the required documents promptly.
- 5Correct any filing errors by submitting an amended Form 14568-A with updated enclosures.
Sources
- SRCForm p.1 — the form applies only to 403(b) plans.
- SRCForm p.1 — “All 403(b) Plans” heading defines the scope.
- SRCForm p.1 — written plan requirement described under IRC Section 403(b).
- SRCForm p.1 — the initial remedial amendment period ended June 30, 2020.
- SRCForm p.1 — Individually Designed Plans changes first occurring after March 31, 2020.
- SRCForm p.2 — Section IV enclosures list required attached documents.
- SRCForm p.2 — bullet for written plan not timely adopted requires copy of signed plan.
- SRCForm p.2 — bullet for not timely amended requires copy of amendments and prior written plan.
Common confusion points
Do I need to include the plan name, EIN, and plan number on every page?
The instructions require those identifiers on each page, but filers often omit them on attachments.
→ Verify that the plan name, Applicant’s EIN, and plan number appear at the top of every page, including attachments.
What qualifies as an “Other” plan document failure?
The form lists specific failure categories, yet also offers an “Other (specify)” option without definition.
→ If the failure does not match the written plan or amendment requirements, select “Other” and describe the issue.
When must I attach a copy of the signed written plan?
Section IV lists enclosures, but filers may be unsure which bullet applies.
→ Attach the signed and dated written 403(b) plan only when the written plan was not timely adopted.
Do I need to attach the prior written plan for a remedial amendment?
The amendment bullet mentions a copy of the signed written plan in effect prior to any amendments.
→ Include the original signed plan when submitting amendments for the initial remedial amendment period.
Is a separate attachment required for each failure listed in Section I?
The instructions say to label attachments but do not limit the number of pages.
→ Label each attachment “Section I of Form 14568-A, Identification of Failures…” and include required identifiers.
Can I submit the form electronically?
The source only references the paper form and does not mention electronic filing.
→ Use the paper version unless the IRS later authorizes electronic submission.
Workflow map
Related forms and next steps
Before
Current
After
Often used with
⚠ If something goes wrong
- Form 14568-A – submit an amended VCP compliance statement with corrected information.
Questions about IRS Form 14568A
What is IRS Form 14568A used for?
This form lets a 403(b) plan sponsor tell the IRS which parts of the plan’s documents are not in compliance. It also shows how the sponsor will fix the missing written plan or untimely amendments and what paperwork is being attached.
Who must file IRS Form 14568A?
The plan sponsor (the applicant) of a 403(b) retirement plan must file IRS Form 14568-A.
What information does IRS Form 14568A require?
It collects the plan name, applicant’s EIN, plan number, a list of the specific document failures (Section I), the proposed correction method (Section II), steps to prevent recurrence (Section III), and the required enclosures (Section IV).
How do I complete IRS Form 14568A?
The sponsor writes the plan name, applicant’s EIN, and plan number at the top of every page. In Section I the sponsor lists each plan document failure, attaching extra pages labeled as instructed. Section II describes the correction method, Section III outlines steps to prevent recurrence, and Section IV lists the required enclosures, such as the signed plan or amendment copies. The completed statement is then submitted to the IRS.
What happens if IRS Form 14568A is filed incorrectly?
Failure to correct the failures may prevent the IRS from issuing a favorable determination letter for individually designed 403(b) plans.
Do I need to include the plan name, EIN, and plan number on every page?
The instructions require those identifiers on each page, but filers often omit them on attachments. Verify that the plan name, Applicant’s EIN, and plan number appear at the top of every page, including attachments.
What qualifies as an “Other” plan document failure?
The form lists specific failure categories, yet also offers an “Other (specify)” option without definition. If the failure does not match the written plan or amendment requirements, select “Other” and describe the issue.
When must I attach a copy of the signed written plan?
Section IV lists enclosures, but filers may be unsure which bullet applies. Attach the signed and dated written 403(b) plan only when the written plan was not timely adopted.
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