ACH Audit Certification Form

"Each Participating DFI, Third-Party Service Provider, and Third-Party Sender must, 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 this Appendix Eight. 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 must be conducted under these Rule Compliance Audit Requirements no later than December 31* of each year. This audit must be performed under the direction of the audit committee, audit manager, senior level officer, or independent (external) examiner or auditor of the Participating DFI, Third-Party Service Provider, or Third-Party Sender.

The Participating DFI, Third-Party Service Provider, or Third-Party Sender 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 the National Association upon request. Failure of a Participating DFI to provide proof of completion of an audit according to procedures determined by the National Association may be considered a Class 2 rule violation pursuant to Appendix Ten, subpart 10.4.7 (Fines and Penalties)."

**2011 NACHA Operating Rules and Guidelines: Appendix 8, Section 8.1, page OR 188

*Approved November 2, 2011, the audit deadline was extended to December 31st beginning in 2011.

Certification Statement* I hereby confirm that this financial institution has conducted its 2011 Rules Compliance Audit in accordance with Appendix Eight of the ACH Operating Rules, and if applicable, has received certification from any third-party service provider of completion of their audit.*

Name*

First Name

Last Name

Title*

Financial Institition*

ABA/Routing Number*

Address*

City

State

Zip Code

Email*

Name and Address of Auditor

Date of Certification :

	ACH Audit Certification Form "Each Participating DFI, Third-Party Service Provider, and Third-Party Sender must, 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 this Appendix Eight. 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 must be conducted under these Rule Compliance Audit Requirements no later than December 31* of each year. This audit must be performed under the direction of the audit committee, audit manager, senior level officer, or independent (external) examiner or auditor of the Participating DFI, Third-Party Service Provider, or Third-Party Sender. The Participating DFI, Third-Party Service Provider, or Third-Party Sender 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 the National Association upon request. Failure of a Participating DFI to provide proof of completion of an audit according to procedures determined by the National Association may be considered a Class 2 rule violation pursuant to Appendix Ten, subpart 10.4.7 (Fines and Penalties)." ***2011 NACHA Operating Rules and Guidelines: Appendix 8, Section 8.1, page OR 188* *Approved November 2, 2011, the audit deadline was extended to December 31st beginning in 2011.
	Certification Statement* I hereby confirm that this financial institution has conducted its 2011 Rules Compliance Audit in accordance with Appendix Eight of the ACH Operating Rules, and if applicable, has received certification from any third-party service provider of completion of their audit.*
	Name* First Name Last Name
	Title*
	Financial Institition*
	ABA/Routing Number*
	Address* City State Zip Code
	Email*
	Name and Address of Auditor
	Date of Certification Month Day Year Hour Minute : AM/PM