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Form 14568F: Model VCP Compliance Statement-Schedule 6 Employer Eligibility Failure (401(k) and 403(b) Plans Only)
IRS Form 14568-F is a Model VCP Compliance Statement – Schedule 6 for Employer Eligibility Failure of 401(k) and 403(b) plans. It requires the plan name, EIN, plan number, and a contribution‑cessation date no later than the VCP filing date.
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IRS Form 14568F - Model VCP Compliance Statement-Schedule 6 Employer Eligibility Failure (401(k) and 403(b) Plans Only)
IRS Form 14568-F is a Model VCP Compliance Statement – Schedule 6 for Employer Eligibility Failure of 401(k) and 403(b) plans. It requires the plan name, EIN, plan number, and a contribution‑cessation date no later than the VCP filing date.
Risk Radar
Scan points- 1Failing to cease contributions by the VCP filing date triggers a penalty.
- 2Omitting the plan name, EIN, or plan number on a page.
- 3Not checking the appropriate failure box in Section I.
- 4Leaving the type of organization sponsoring the 403(b) plan blank.
- 5Failing to list the plan year(s) during which the failure occurred.
Plain English
This form tells the IRS why a 401(k) or 403(b) plan did not meet the eligibility rules and how the employer will fix the problem. It lists the plan’s identifying information, the failure description, and the steps the employer will take to stop contributions and protect plan assets.
Submission Date
- Filing date: 2020-03-27 22:10:11
- 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 401(k) or 403(b) plan fails to meet employer eligibility requirements under the Internal Revenue Code.
- Do not use it when the plan is not a 401(k) or 403(b) plan.
- Check Form 14568-F instead when a VCP submission is required for an employer eligibility failure.
Form selector
Use this form or another form?
Employer eligibility failure for a 401(k) plan
Required to report the failure and proposed correction for 401(k) eligibility
✓ Verify plan type and eligibility criteria
Employer eligibility failure for a 403(b) plan
Required to report the failure and proposed correction for 403(b) eligibility
✓ Verify sponsoring organization classification
Any VCP submission addressing eligibility issues
Serves as the Model VCP Compliance Statement for Schedule 6
✓ Confirm VCP filing date matches contribution‑cessation date
Deadline or filing window
Not stated in the official source.
Checklist
What you need before filling it out
Section I – Identification of Failure
Description of failure type (401(k) eligibility or 403(b) eligibility) · Listed in Section I of Form 14568-F
Section II – Description of Proposed Method of Correction
Date contributions ceased and statements about future contributions and asset distribution · Provided in Section II of Form 14568-F
Section III – Change in Administrative Procedures
Explanation of how failures arose and corrective measures · Provided in Section III of Form 14568-F
Plan name, EIN, plan number
Plan identification information · Top of each page of Form 14568-F
Attachment labeling
Labels such as “Section I of Form 14568-F, Identification of Failure” · Required on any additional pages
Before you submit
- 1Enter the exact plan name at the top of the first page.
- 2Enter the applicant’s EIN at the top of the first page.
- 3Enter the plan number at the top of the first page.
- 4Check the appropriate failure box in Section I for 401(k) or 403(b).
- 5Insert the contribution‑cessation date no later than the VCP filing date in Section II.
- 6Confirm that no new employee or employer contributions are authorized in the statement.
- 7Label any additional pages with the required section title and include plan name, EIN, and plan number.
- 8Sign the form where indicated before submission.
How to file this form
- 1Complete the identification fields with plan name, EIN, and plan number on each page.
- 2Select the correct failure description in Section I.
- 3Provide the cessation date and correction statements in Section II.
- 4Write the administrative procedure changes in Section III.
- 5Attach and label any extra pages as instructed.
- 6Sign the form.
- 7Mail the signed form to the IRS address for VCP submissions and retain a copy as proof of filing.
Known limitations
- 1Only for 401(k) and 403(b) plans (Model VCP Compliance Statement – Schedule 6 Employer Eligibility Failure (401(k) and 403(b) Plans Only))
- 2Only for 403(b) plans where the sponsor was not a tax‑exempt organization described in IRC Section 501(c)(3) or a public educational organization described in IRC Section 170(b)(1)(A)(ii)
- 3Only for 401(k) plans where the employer failed to meet the eligibility requirements to establish an IRC Section 401(k) plan
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 the March 2020 revision (Rev. 3‑2020). The source does not reference a latest‑information page or indicate any changes.
What changed or needs a fresh check
- Edition date — confirm the revision reads Rev. 3‑2020
- 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 completed Form 14568-F and all attached pages in the plan’s permanent file
- 2Keep the retained documents for the period required for VCP records (e.g., seven years)
- 3Expect an IRS acknowledgment of receipt; if none is received, follow up with the IRS VCP contact center
- 4Verify that all employee and employer contributions actually stopped on the cessation date entered on the form, which must be no later than the VCP filing date
- 5If any information on the filed form is incorrect, submit a corrected Form 14568-F with revised data and clearly label the attachment as a correction
Sources
- SRCForm p.1 — Model VCP Compliance Statement - Schedule 6 Employer Eligibility Failure (401(k) and 403(b) Plans Only)
- SRCForm p.1 — Section 403(b) Plans: sponsor not a tax‑exempt organization described in IRC Section 501(c)(3) or public educational organization described in IRC Section 170(b)(1)(A)(ii)
- SRCForm p.1 — Section 401(k) Plans: employer failed to meet eligibility requirements to establish an IRC Section 401(k) plan
- SRCForm p.1 — Include the plan name, applicant’s EIN and plan number on each page of the compliance statement
- SRCForm p.1 — All contributions under the plan ceased as of (Insert date beginning no later than the date the VCP submission was filed with the IRS.)
- SRCForm p.1 — No new employee or employer contributions will be permitted in the future
- SRCForm p.1 — Attach additional pages as needed and label them “Section I of Form 14568-F, Identification of Failure” or “Section III of Form 14568-F, Change in Administrative Procedures”
- SRCNot stated in the official source — verify on the agency site
Common confusion points
Do I need to file this form for a 401(k) plan that was never established?
The form is for eligibility failures where a plan was adopted but the sponsor was ineligible.
→ Confirm the plan was adopted and the sponsor failed the eligibility test described in Section I.
Can I use this form for a 403(b) plan sponsored by a for‑profit corporation?
The form applies when the sponsor is not a tax‑exempt organization under IRC 501(c)(3) or a public educational organization under IRC 170(b)(1)(A)(ii).
→ Check the sponsor’s tax‑exempt status; a for‑profit sponsor triggers the eligibility failure category.
What date should I enter for the contribution‑cessation date?
The form requires a date no later than the VCP submission date.
→ Insert a date that is on or before the day the VCP filing is sent to the IRS.
Do I need to list the plan name, EIN, and plan number on every attachment?
The instructions state that each page of the compliance statement and each attachment must include the plan name, applicant’s EIN, and plan number.
→ Verify that the header on each page contains the plan name, EIN, and plan number.
Is a separate attachment required for Section III?
The instructions say to attach additional pages for Section III and label them accordingly.
→ Label any extra pages “Section III of Form 14568-F, Change in Administrative Procedures” and include the required identifiers.
What if I realize an error after filing?
Errors are corrected by filing a new Form 14568-F with the corrected information.
→ Submit a corrected form and clearly label it as a correction.
Questions about IRS Form 14568F
What is IRS Form 14568F used for?
This form tells the IRS why a 401(k) or 403(b) plan did not meet the eligibility rules and how the employer will fix the problem. It lists the plan’s identifying information, the failure description, and the steps the employer will take to stop contributions and protect plan assets.
Who must file IRS Form 14568F?
Plan sponsors (employers) whose 401(k) or 403(b) plan failed the eligibility test must file IRS Form 14568-F.
What information does IRS Form 14568F require?
The form collects the plan name, employer identification number, and plan number, identifies the specific eligibility failure in Section I, outlines the correction steps in Section II, and describes new administrative procedures in Section III.
How do I complete IRS Form 14568F?
The filer must place the plan name, EIN, and plan number at the top of each page. In Section I, the appropriate failure box is checked and the sponsor’s organization type and plan year(s) are described. Section II requires stating that all contributions ceased as of a date no later than the VCP filing date, that no new contributions will be permitted, and that assets will be distributed only upon permitted events. Section III must explain how the failures arose and what measures will prevent recurrence.
Do I need to file this form for a 401(k) plan that was never established?
The form is for eligibility failures where a plan was adopted but the sponsor was ineligible. Confirm the plan was adopted and the sponsor failed the eligibility test described in Section I.
Can I use this form for a 403(b) plan sponsored by a for‑profit corporation?
The form applies when the sponsor is not a tax‑exempt organization under IRC 501(c)(3) or a public educational organization under IRC 170(b)(1)(A)(ii). Check the sponsor’s tax‑exempt status; a for‑profit sponsor triggers the eligibility failure category.
What date should I enter for the contribution‑cessation date?
The form requires a date no later than the VCP submission date. Insert a date that is on or before the day the VCP filing is sent to the IRS.
Do I need to list the plan name, EIN, and plan number on every attachment?
The instructions state that each page of the compliance statement and each attachment must include the plan name, applicant’s EIN, and plan number. Verify that the header on each page contains the plan name, EIN, and plan number.
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