Third-Party Sender (TPS) Information



Third-Party Sender (TPS) InformationThird-Party Sender Name FORMTEXT ?????DBA(s) FORMTEXT ?????City and State FORMTEXT ?????Tax ID Number(s) FORMTEXT ?????List the name(s) and ABA/Routing Number(s) of the ODFI(s) used for processing Financial InstitutionABA/Routing NumberStarting Date FORMTEXT ????? FORMTEXT ????? FORMTEXT ????? FORMTEXT ????? FORMTEXT ????? FORMTEXT ????? FORMTEXT ????? FORMTEXT ????? FORMTEXT ?????Third-Party Sender’s ACH InformationWhat services are available? (check all that apply): FORMCHECKBOX Payroll/Payroll taxes FORMCHECKBOX Bill Payment FORMCHECKBOX Payment Collection (rent/royalties) FORMCHECKBOX Debt Collection FORMCHECKBOX Check Conversion FORMCHECKBOX Taxes FORMCHECKBOX Other services FORMTEXT ?????Please list primary ACH ContactsChief Risk Officer - FORMTEXT ?????Operations Manager– FORMTEXT ?????Inbound ACH data – FORMTEXT ?????Outbound ACH data – FORMTEXT ?????Rejected Entries/Returns/NOCs – FORMTEXT ?????Additional staff or functions - FORMTEXT ?????IT/Information Security – FORMTEXT ?????Audit – FORMTEXT ?????Marketing – FORMTEXT ?????Due Diligence/Credit Underwriting – FORMTEXT ?????Is there an Accredited ACH Professional (AAP) on staff? FORMCHECKBOX Yes FORMCHECKBOX NoIf yes, name: FORMTEXT ?????Is there an Accredited Payments Risk Professional (AP) on staff? FORMCHECKBOX Yes FORMCHECKBOX NoIf yes, name: FORMTEXT ?????Do you perform ACH training and in what form?Describe training activities FORMTEXT ?????Is ACH activity balanced daily? FORMCHECKBOX Yes FORMCHECKBOX NoIs the balancing activity reviewed by another staff member? FORMCHECKBOX Yes FORMCHECKBOX NoIs the current year of the NACHA Operating Rules & Guidelines available to staff? FORMCHECKBOX Yes FORMCHECKBOX NoPrior Year’s AuditWhat is the date of the last ACH Audit? FORMTEXT ?????Have all outstanding issues from the last audit been addressed or corrected? FORMTEXT ?????What audit information is currently reported to management? FORMTEXT ?????Do you provide proof of completion to your ODFI(s)? FORMTEXT ?????What additional information is provided to the ODFI(s)? FORMTEXT ?????ACH Risk AssessmentHave you conducted an ACH specific Risk Assessment? FORMCHECKBOX Yes FORMCHECKBOX NoWhat weaknesses were identified from the risk assessment and what solutions were implemented into the risk management program? FORMTEXT ?????Origination InformationHow many Originators/Clients? FORMTEXT ?????What type(s) of Standard Entry Class (SEC) codes are approved for origination?Consumer Entries FORMCHECKBOX PPD credits Payroll FORMCHECKBOX PPD debits PaymentsCorporate Entries FORMCHECKBOX CCD credits FORMCHECKBOX CCD debits FORMCHECKBOX CTX credits FORMCHECKBOX CTX debitsSpecial Authorizations FORMCHECKBOX TEL FORMCHECKBOX WEB debit FORMCHECKBOX WEB creditCheck Conversion Entries FORMCHECKBOX ARC FORMCHECKBOX BOC FORMCHECKBOX POP FORMCHECKBOX RCKInternational FORMCHECKBOX IATSame Day ACH FORMCHECKBOX Credits FORMCHECKBOX Debits What due diligence is performed for new Originators/Clients? FORMTEXT ?????Provide sample of procedures for audit review.Are there written procedures for periodic reviews of existing Originators/Clients? FORMCHECKBOX Yes FORMCHECKBOX No FORMTEXT ?????Does the TPS monitor ACH Files for: FORMCHECKBOX Specific SEC codes FORMCHECKBOX Exposure Limits FORMCHECKBOX per File FORMCHECKBOX per day FORMCHECKBOX per Effective Date FORMCHECKBOX per Batch FORMCHECKBOX per EntryInbound ACH data from Originators/Client:How does the TPS receive ACH data from Originators/Client? (check all that apply) FORMCHECKBOX Paper/Fax FORMCHECKBOX Email – secure/password protected FORMCHECKBOX Yes or FORMCHECKBOX No FORMCHECKBOX CD/USB FORMCHECKBOX Secure Transmission FORMCHECKBOX Web-based portal FORMCHECKBOX API – Application Protocol Interface FORMCHECKBOX Other FORMTEXT ????? Who is responsible for the creation of the NACHA formatted ACH File? FORMCHECKBOX Originator/Client FORMCHECKBOX Third-Party Service Provider FORMCHECKBOX Third-Party Sender FORMTEXT ?????What cutoff times are established for Originators/Client? FORMTEXT ?????Origination of Outbound ACH Files:How are Outbound ACH Files delivered to the ODFI(s)? FORMCHECKBOX Email – secure/password protected FORMCHECKBOX Yes or FORMCHECKBOX No FORMCHECKBOX CD/USB FORMCHECKBOX Secure Transmission/FTP FORMCHECKBOX Online Banking System FORMCHECKBOX Other FORMTEXT ????? What area is responsible for collecting and sending Inbound ACH data to the ODFI(s) for processing? FORMTEXT ?????Describe funding procedures for all Originator/Clients? FORMCHECKBOX ACH FORMCHECKBOX Wire Transfer FORMCHECKBOX Check FORMCHECKBOX Bank Transfer Do you require ACH credit Files to be prefunded by Originators/Clients? FORMCHECKBOX Yes FORMCHECKBOX NoDo you verify receipt of funds from the Originator/Client prior to File delivery to the ODFI? FORMCHECKBOX Yes FORMCHECKBOX NoRejects/Returns/NOC Entries:What area is responsible for Rejects/Returns/NOC Entries? FORMTEXT ?????How are Originators/Clients notified of Rejects/Returns/NOCs? FORMCHECKBOX Phone Call FORMCHECKBOX Paper/Fax/Mail FORMCHECKBOX Email – secure/password protected FORMCHECKBOX Yes FORMCHECKBOX No FORMCHECKBOX Online ReportingDoes the TPS have a contact person for each Originator/Client regarding Rejects/Returns/NOC Entries? FORMCHECKBOX Yes FORMCHECKBOX NoDoes the TPS monitor and track each Originator/Clients Rejects/Returns/NOC activities? FORMCHECKBOX Yes FORMCHECKBOX NoDo you reinitiate debit Return Entries for NSF or Uncollected items? FORMCHECKBOX Yes FORMCHECKBOX NoIf yes, do you use RETRY PYMT in the Entry Description Field? FORMCHECKBOX Yes FORMCHECKBOX NoDo you have procedures to promptly provide copies of Proof of Authorizations to the ODFI(s) when requested? FORMCHECKBOX Yes FORMCHECKBOX NoACH Data Security ACH Data Security Framework – ACH participants are required to protect the security and integrity of certain ACH data throughout its lifecycle. How do you protect sensitive ACH data (in-transit and at rest)? FORMTEXT ?????How do you control access to ACH data? FORMTEXT ?????When was the last self-assessment conducted for data security policies, procedures and systems? FORMTEXT ?????Do you utilize a commercially reasonable fraud detection system? FORMTEXT ?????If yes, describe: FORMTEXT ????? Additional Comments for Auditor FORMTEXT ????? ................
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