A tailored course, built for your situation
Deeper command of retirement plan governance frameworks
Master the standards, structure, and regulatory expectations shaping modern retirement plans
$199 one-time
24-hour access provisioning
30-day money-back guarantee
Hand-built implementation playbook
12 modules. 12 chapters per module. 144 chapters total.
12 modules, each with 12 chapters (144 chapters total), text-based, plus downloadable templates and a hand-built implementation playbook delivered alongside course access.
The situation this course is for
Who this is for
Senior retirement plan governance professional overseeing multi-plan portfolios with increasing regulatory and operational complexity
Who this is not for
Entry-level administrators, third-party recordkeepers without governance decision rights, or consultants focused only on plan marketing
What you walk away with
- Full command of ERISA Title I and IRS Code Section 401(a) requirements as applied to real-world plan designs
- Confidence to independently structure plan amendments with full regulatory downstream mapping
- Ability to anticipate DOL audit triggers and preemptively align documentation
- Clear decision framework for handling fiduciary delegation and service provider oversight
- Repeatable process for maintaining plan document integrity through annual cycles and M&A events
The 12 modules (with all 144 chapters)
Module 1. Core anatomy of qualified retirement plans
Break down the structural components of 401(k), profit-sharing, and defined benefit plans with emphasis on plan document, trust, and operational alignment.
12 chapters in this module
- Plan types and IRS classifications
- Master plan vs. volume submitter
- Adoption agreements deep dive
- Trust structure and fiduciary roles
- Plan year and cycle timing
- Initial qualification process
- Amendment frequency patterns
- Operational compliance linkage
- Participant notice requirements
- Funding method distinctions
- Termination triggers
- Restoration procedures
Module 2. ERISA Title I compliance architecture
Map ERISA’s fiduciary duties, reporting obligations, and participant rights to daily governance decisions.
12 chapters in this module
- Fiduciary standard definition
- Plan sponsor vs. appointed fiduciary
- Prohibited transaction boundaries
- DOL Form 5500 components
- Summary plan description rules
- Participant disclosure calendar
- Claims and appeals process
- Service provider contracts
- Fee transparency rules
- Participant fee disclosures
- Fiduciary liability insurance
- Fiduciary committee charters
Module 3. IRS Code Section 401(a) design rules
Apply IRS qualification requirements to plan design, including nondiscrimination testing, coverage, and contribution limits.
12 chapters in this module
- Eligibility rule standards
- Entry date calculations
- Nondiscrimination testing overview
- ADP/ACP test mechanics
- Top-heavy rules application
- Defined benefit integration
- Contribution type limits
- Safe harbor design options
- Auto-enrollment provisions
- Catch-up contribution handling
- Plan loan rules
- Hardship withdrawal criteria
Module 4. Plan document governance workflow
Build a living plan document process with version control, amendment tracking, and cross-functional sign-off.
12 chapters in this module
- Document ownership assignment
- Amendment initiation triggers
- Legal vs. operational changes
- Change impact assessment
- Stakeholder review cycle
- Execution and dating rules
- Record retention standards
- Cross-reference to SPDs
- Service provider alignment
- Year-end reconciliation
- External audit prep
- Document exception logging
Module 5. Fiduciary decision mapping
Structure and document fiduciary decisions using consistent frameworks and evidence trails.
12 chapters in this module
- Fiduciary decision taxonomy
- Vendor selection criteria
- RFP process design
- Due diligence documentation
- Investment menu design
- Benchmarking methodology
- Monitoring frequency rules
- Performance review minutes
- Fee reasonableness analysis
- Conflict of interest disclosures
- Delegation to third parties
- Fiduciary training logs
Module 6. DOL audit readiness framework
Prepare for Department of Labor exams with structured documentation, testing logs, and response protocols.
12 chapters in this module
- Common DOL audit triggers
- Document request categories
- Field exam process stages
- Participant testing samples
- Contribution timing review
- Loan compliance checks
- Vesting schedule verification
- Fiduciary process walkthrough
- Service provider oversight audit
- Remediation action plans
- Voluntary correction programs
- Audit response coordination
Module 7. Compliance calendar orchestration
Align annual, quarterly, and event-driven compliance activities into a single operational rhythm.
12 chapters in this module
- Annual cycle anchor points
- Form 5500 filing timeline
- IRS determination letter cycle
- Nondiscrimination testing window
- Plan amendment deadlines
- Participant notice schedule
- Fiduciary meeting cadence
- Service provider reviews
- Internal audit coordination
- Regulatory change monitoring
- Year-end testing prep
- Plan document update window
Module 8. Participant communication governance
Design and maintain participant-facing materials with regulatory accuracy and clarity.
12 chapters in this module
- Summary plan description update
- Summary of material modifications
- Safe harbor notice design
- Auto-enrollment notices
- Loan default disclosures
- Vesting schedule notices
- Benefit statement accuracy
- Website disclosure standards
- Multilingual requirements
- Electronic delivery rules
- Error correction notices
- Participant education strategy
Module 9. Service provider oversight structure
Establish clear governance for third-party administrators, recordkeepers, and investment advisors.
12 chapters in this module
- Provider role definition
- Contract clause negotiation
- Fee benchmarking approach
- Performance metric tracking
- Service level agreement design
- Change management process
- Data privacy requirements
- Business continuity checks
- Subcontractor oversight
- Compliance attestation collection
- Annual review process
- Termination protocols
Module 10. Internal control design for retirement plans
Implement operational controls to prevent errors, detect breaches, and ensure fidelity to plan terms.
12 chapters in this module
- Control environment setup
- Segregation of duties rules
- Access control policies
- Contribution deposit timing
- Loan processing controls
- Distribution authorization
- Testing and sampling approach
- Error detection mechanisms
- Corrective action tracking
- Quarterly control review
- Audit trail maintenance
- Management override logging
Module 11. M&A and plan integration governance
Manage plan mergers, transfers, and spin-offs with minimal disruption and full compliance.
12 chapters in this module
- Due diligence checklist
- Plan document harmonization
- Eligibility and vesting alignment
- Contribution continuity rules
- Loan and distribution porting
- Fiduciary transition planning
- Participant communication plan
- Regulatory filing updates
- IRS determination letter timing
- Service provider coordination
- Integration timeline
- Post-merger audit prep
Module 12. Governance program maturity roadmap
Elevate your governance approach from compliance-driven to strategic asset with formalized practices and continuous improvement.
12 chapters in this module
- Maturity model stages
- Self-assessment framework
- Annual governance audit
- Executive reporting structure
- Benchmarking against peers
- Regulatory horizon scanning
- Innovation adoption criteria
- Cross-functional alignment
- Resource allocation model
- Succession planning
- Stakeholder feedback loop
- Continuous improvement cycle
How this maps to your situation
- Overseeing annual compliance cycle
- Leading plan amendment process
- Preparing for DOL exam
- Managing third-party providers
Before vs. after
Before
Navigating retirement plan governance through fragmented knowledge and reactive processes
After
Commanding the full framework with structured, repeatable decision-making and authoritative documentation
What's included with your purchase
- 12 modules with 12 chapters each (144 chapters)
- Downloadable templates and worked examples for every module
- Hand-built implementation playbook delivered alongside course access
- 30-day money-back guarantee
Delivery and format
- Course and learning environment access provisioned within 24 hours of purchase
- Hand-built implementation playbook delivered alongside course access
Format: Text-based modules and chapters in the Art of Service learning environment, plus downloadable templates and worked examples for every chapter, plus the hand-built implementation playbook delivered alongside course access.
Time investment: Approximately 3-4 hours per module, designed for completion over 6-8 weeks with flexible pacing.
How this compares to the alternatives
Unlike generic compliance webinars or vendor-led training, this course delivers deep, framework-first mastery of retirement plan governance with no sales agenda, real-world templates, and structured progression from operational to strategic command.
Frequently asked
Is this course specific to 401(k) plans?
It covers 401(k), profit-sharing, and defined benefit plans with emphasis on cross-cutting governance principles.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Are the templates customizable?
Yes, all templates are provided in editable format for adaptation to your plan environment.
$199 one-time. Approximately 3-4 hours per module, designed for completion over 6-8 weeks with flexible pacing..
Within 24 hours your account in the learning environment is provisioned and the tailored implementation playbook is delivered alongside it.
30-day money-back guarantee·
144 chapters·
Hand-built playbook included·
Account access within 24 hours