Private Pensions: GAO Survey of 401(k) Plan Sponsor Practices (GAO-08-870SP, July 2008), an E-supplement to GAO-08-774

Plan Monitoring - Continued

17.	*Who is primarily* responsible for monitoring the performance-as compared to investment goals or policy-of your company's 401(k) plan investments?**
	(Select one.)
	1.		Plan sponsor management
	2.		Plan sponsor committee(s)
	3.		External 401(k) provider
	4.		External investment/financial advisor
	5.		Other external pension consultant
	6.		Internal attorney
	7.		External employee benefits attorney
	8.		Accountant
	9.		Other(Please provide your answer in the space provided below.)
	10.		Not sure
	11.		No response

	If you selected "Other," please provide additional information for your response here.

18.	Does your company use a third-party investment advisor?
	(Select one.)
	1.		Yes
	2.		No (Click here to skip to Question 19.)
	3.		Not sure (Click here to skip to Question 19.)
	4.		No response

	18a. If your company uses a third-party investment advisor, how would you classify them?
	(Select one.)
	1.		Securities or insurance broker
	2.		Registered investment advisor
	3.		Other (Please provide your answer in the space provided below.)
	4.		Not sure
	5.		No response

	If you selected "Other," please provide additional information for your response here.

	18b. Do you know how your company's investment advisor is compensated (i.e., flat fee, commission, etc.)? (Please provide your answer in the space provided below.)

	18c. Is your company's investment advisor affiliated with any of the service providers for your 401(k) plan?
	(Select one.)
	1.		Yes
	2.		No
	3.		Not sure
	4.		No response

Full Report: GAO-08-774

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