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Educational tool

SPD/SMM Distribution Checklist

Help users track SPD/SMM delivery, timing, source, audience, owner, and evidence of distribution.

Purpose

Help users track SPD/SMM delivery, timing, source, audience, owner, and evidence of distribution.

When to use

Use when distributing an SPD or SMM, checking delivery evidence, or reviewing ERISA document communication controls.

Who should use this

HR, compliance reviewer, plan-document owner, employer sponsor, advisor, or evidence-file owner.

Review boundary

SPD/SMM content, timing, and delivery should align with plan terms and qualified ERISA review.

Resource sections
1

Document type

  • Identify whether the item is an SPD, SMM, wrap document, amendment, or related communication.
  • Record source/version and date.
  • Confirm it matches the plan document file.
2

Audience

  • Define who should receive the document.
  • Identify employee classes, eligible populations, former employees, or special groups when applicable.
  • Route uncertain audience questions.
3

Delivery trigger

  • Record the event that requires distribution, such as new plan, amendment, renewal, or participant request.
  • Note timing assumptions.
  • Route deadline questions.
4

Delivery method

  • Record method, sender, and channel.
  • Confirm method fits the approved workflow.
  • Do not use this resource to send communications.
5

Timing

  • Record planned or actual delivery timing.
  • Separate calendar planning from legal deadline determinations.
  • Retain reviewer note for timing questions.
6

Source/version

  • Record document version, date, and source location.
  • Retain superseded versions with replacement notes.
  • Flag outdated or unknown source versions.
7

Owner

  • Name the routine owner for distribution.
  • Identify support role or vendor if applicable.
  • Keep owner notes in the evidence file.
8

Review owner

  • Name the ERISA or compliance reviewer.
  • Route content, timing, and method questions before relying on the distribution.
  • Retain review notes.
9

Delivery evidence

  • Define delivery log, list, campaign report, certificate, or other proof.
  • Record evidence location.
  • Connect evidence to audit index.
10

Exception notes

  • Capture bounced, missed, corrected, or special deliveries.
  • Name escalation owner.
  • Retain exception note and resolution evidence.
Evidence to retain
  • SPD or SMM version - Retain with the audit file, evidence map, or review record as applicable.
  • Delivery list or log - Retain with the audit file, evidence map, or review record as applicable.
  • Delivery date/method - Retain with the audit file, evidence map, or review record as applicable.
  • Reviewer note - Retain with the audit file, evidence map, or review record as applicable.
  • Exception note - Retain with the audit file, evidence map, or review record as applicable.
  • Evidence location - Retain with the audit file, evidence map, or review record as applicable.

Evidence is not saved in this static version. Assign an owner, repeat the process consistently, review exceptions, explain the rationale, and retain copies in the employer file or local project record.

Related resources
Plan Document ChecklistERISA Evidence File ChecklistNotice Resource Library & Source Control FlowNotice Checklist & Delivery Evidence Log
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SPD/SMM content, timing, and delivery should align with plan terms and qualified ERISA review.