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ACH Compliance Audit 2011


ACH Compliance Audit 2011


Each Participating DFI, and any third-party service provider that provides ACH services to the DFI, shall, in accordance with standard auditing procedures, conduct an internal or external audit of compliance with provisions of the ACH rules in accordance with the requirements of the NACHA Rules. These audit provisions do not prescribe a specific methodology to be used for the completion of an audit but identify key rule provisions that should be examined during the audit process. An annual audit shall be conducted under these Rule Compliance Audit Requirements no later than December 1 of each year. This audit shall be performed under the direction of the audit committee, audit manager, senior level officer, or independent (external) examiner or auditor of the Participating DFI or third-party service provider. The Participating DFI must retain proof that they have completed an audit of compliance in accordance with these rules. Documentation supporting the completion of an audit must be (1) retained for a period of six years from the date of the audit, and (2) provided to NACHA upon request.

Standard (Non-IT) Audit Program



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