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Form 5307 (Rev. 9-2001)
Page
Procedural Requirements Checklist
**********Form 5307**********
Use this list to ensure that your submitted package is complete. Failure to supply the appropriate information may result
in a delay in the processing of the application.
Is Form 8717, User Fee for Employee Plan Determination Letter Request, attached to your submission?
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2
Is the appropriate user fee for your submission attached to Form 8717?
If appropriate, is Form 2848, Power of Attorney and Declaration of Representative, or a privately designated
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authorization attached? (For more information, see the Disclosure Request by Taxpayer in the instructions.)
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Is a copy of your plan’s latest determination letter, if any, attached?
Is the Employer Identification Number (EIN) of the plan sponsor/employer (NOT the trust’s EIN) entered on line 1b?
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Does line 4d list the plan’s original effective date?
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Is the application signed and dated?
Have interested parties been given the required notification of this application?
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(See the instructions for line 3c.)
If your plan is a master or prototype, have you included a copy of the adoption agreement and opinion letter?
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If your plan is a volume submitter, have you included:
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A copy of the plan document;
The current advisory letter;
A list of modifications from the approved plan;
A copy of the trust instrument; and
A copy of the plan amendments?
(See What To File in the instructions.)
If you answered “Yes” to line(s) 6a and/or 6b, have you included the information requested in the instructions for
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lines 6a and 6b?
If you answered “Yes” to line 9a, have you included the information specified in the instructions for line 9a?
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If you are requesting additional determinations, is page 3 completed and/or the Schedule Q attached?
If filing a Schedule Q, are all appropriate demonstrations attached?
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(See Instructions for Schedule Q)
Demo 1
Demo 5
Demo 8
Demo 11
Demo 3
Demo 6
Demo 9
Demo 4
Demo 7
Demo 10
5307
Form
(Rev. 9-2001)