Conducting Your "NEW 2020" Annual ACH Rules Compliance Audit - a Step-by-Step Guide


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This training program will outline the recent changes to the process of the annual ACH Rules Compliance Audit and the removal of Appendix 8 from the Rules Book. It will outline what this Rules change means to your process when conducting your ACH Audit and offer tips and guidance for creating your own personalized ACH Audit. It will also help attendees to identify the details of the ACH audit for each participant, the ODFI, RDFI, TPSP and TPS with NACHA’s Operating Guidelines.

Why Should You Attend:

The NACHA Operating Rules and Guidelines require that all participating depository financial institutions, third-party senders and third-party service providers that provide ACH services to the RDFI or ODFI conduct an annual ACH audit to be performed by December 31 of each year (ACH Rules, Article 1).

Due to a recent NACHA Rules amendment, the process you currently use to do your Audit is changing, are you aware of how your ACH Annual Rules Compliance Audit will be affected?
With the requirement that each participant conducts an annual ACH audit, this session will cover all the details and changes to the ACH Audit that will help ensure compliance with the NACHA Operating Rules.

Learning Objectives:

  • Define general audit requirements
  • Identify the details of the ACH audit for the ODFI (and how this pertains to their originators)
  • Outline the audit requirements for the third-party sender – including the new requirement for registration with NACHA
  • List what the third-party service provider is responsible for in regard to the annual ACH audit
  • Provide tips to help the auditor performing the annual ACH audit – to ensure compliance with the NACHA Operating Rules
  • Review best practices and requirements for additional audit requirements (as defined by NACHA)
  • Overview of questions to ask while performing the annual ACH rules compliance audit

Areas Covered in the Webinar:

  • Outline the changes to the process of the annual ACH Rules Compliance Audit and the removal of Appendix 8 from the Rules Book
  • Define what the General Audit Requirements are (now in Article 1)
  • Discussion on the NACHA Operating Guidelines where the new “guidance” is located for conducting the annual ACH Rules Compliance Audit.
  • Discussion on flexibility when conducting the Audit for each participant, the ODFI, RDFI, TPSP and TPS with NACHA’s Operating Guidelines
  • Describe “how-to” ensure Rules Compliance after determination of what ACH activities are being audited
  • Recommended areas to check (audit) in addition during the ACH Audit

Who Will Benefit:

  • ACH Operations staff
  • Compliance Officers
  • Treasury professionals
  • Third-Party Payment Processors
  • Third-Party Senders
  • ACH Managers
  • Electronic Payments Professionals
  • ACH auditors (internal and external)
Webinar Events
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Training CD-DVD

Physical CD-DVD of recorded session will be despatched after 72 hrs on completion of payment


Recorded video

Recorded video session




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