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PPCs A&A Workpapers

Schedule of Reportable Transactions

This template can be used to determine whether the supplemental schedule of reportable transactions is required to accompany the financial statements and be filed with the Form 5500 for the plan under audit.  The workbook can also be used to draft the required schedule.  It is based on the Form 5500 and instructions for Form 5500 for 2011 plan years.  Users preparing financial statements for years prior to or subsequent to 2011 should ensure that the supplemental schedule meets the requirements of the Form 5500 for those particular years.  The Form 5500 and Instructions for Form 5500 are available on the DOL's

Entering Information

Enter the current value of plan assets at the beginning of the plan year in the appropriate cell on the Requirements sheet.  This value will be used to determine if certain transactions should be included on the Schedule of Reportable Transactions.  Answer the four questions on the Requirements sheet.  Based on those answers, the workbook will indicate whether a schedule of reportable transactions should be attached to the Form 5500 and included in the plan's financial statements.  If a schedule of reportable transactions is not indicated, the Reportable Transactions sheet will not be visible.