Roth IRA: Distribution

Is a distribution from a designated Roth account for reasons beyond a participant’s control (e.g., plan termination or severance from employment) a qualified distribution from a designated Roth account even though it doesn’t meet the criteria for a qualified distribution?

No, if the account has not been held for more than 5 years or if the distribution is not made after death, disability or age 59 ½, then the distribution is not a qualified distribution. However, the participant could roll the distribution over into a designated Roth account in another plan or into the participant’s [...]

Since an employee makes designated Roth contributions from after-tax income, can the employee make tax-free withdrawals from his or her designated Roth account at any time?.

This cannot be done, the same restrictions on with drawls apply on pre-tax elective contributions also apply to designated Roth contributions. If you have a hardship, and your plan permits distributions from 401(k) or 403(b) accounts, you can choose to receive hardship distributions from your designated Roth account. Your hardship will consist of a pro-rata [...]

That happens if an employee takes a distribution from his or her designated Roth account before the end of the 5-taxable-year period?

If you take a distribution from your designated Roth account before the end of the 5-taxable-year period, is is a non-qualified distribution. You must include the income portion of the non-qualified distribution in gross income. The basis portion of the distribution is determined by multiplying the amount of the non-qualified distribution by the ratio of [...]

What types of distributions cannot be qualified distributions and must be included in gross income?

You cannot treat the following types of distributions from a designated Roth account as qualified distributions (or eligible rollover distributions) and must include any earnings paid out in gross income: Corrective distributions of elective deferrals in excess of the §415 limits (lesser of $46,000 (for 2008, $49,000 in 2009) or 100% of earnings) Corrective distributions [...]

What is a 5-taxable-year period of participation? How is it calculated?

Your first day of the taxable year, for which you make your first designated Roth contributions to the plan begins your 5-taxable-year period of participation. This will end when your 5 year taxable years pass. If the employee makes a direct rollover from a designated Roth account under another plan, the 5-taxable-year period for you [...]

What is a qualified distribution from a designated Roth account?

Qualified distributions are general distributions that are made after a 5-year-taxable period of participation and are either: Made on or after the employee reaches age 59 ½ If the employee dies If the employee is disabled The distribution is made to a alternate payee or beneficiary, then the employee’s age, death or disability is used [...]

Does “separate account” refer to the actual funding vehicle or does it refer to separate accounting within the plan’s trust?

If your employer can separately and accurately track your designated Roth contributions, along with corresponding gains and losses under 402A, the “separate account” requirement can be satisfied.

Does an employer need to establish a new account under its 401(k) or 403(b) plan to receive an employee’s designated Roth contributions?

This has to happen, your employer must establish a new separate account for designated Roth contributions, and they also must keep the designated Roth contributions completely separate from you previous and current 401(k) or 403(b) traditional, pre-tax elective contributions.

What is a designated Roth account?

A designated Roth account is when your employer allocates your designated Roth contributions, gains, and losses which is a separate account in a 401(k) or 403(b) plan. You employer must separately account for all contributions, gains. And losses to your Roth account until you balance is completely distributed.