Regulators and the ACH Rules require all financial institutions to conduct an ACH audit annually. And, as a result of the 2019 removal of Appendix Eight from the ACH Rules, institutions are now encouraged to take a risk-based approach to their audit. If you are conducting your audit internally, this fully interactive workbook will eliminate guesswork and guide you through the process. Bringing in pertinent criteria from the ACH Rules, the workbook examines ODFI and RDFI internal controls, OFAC controls, the ACH Operator relationship and related regulatory requirements. Several enhancements have been made in 2021 to incorporate member-feedback and make the workbook even more user-friendly including bookmarks for quick navigation between audit sections, icons to indicate questions pertaining to ACH Rules requirements and radio buttons for increased efficiency. Instructions for use are included. Upon completion of the workbook pages, a summary report is generated to help you quickly identify and prioritize changes to reduce risk.

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