Conduct a thorough review of electronic data interchange (EDI) processes within your company with this sample audit program, which is designed to assess the key aspects of transmitting information between clients and carriers, focusing on interface setup, design, testing and documentation practices. The program aims to ensure the integrity and efficiency of data exchanges by evaluating the completeness and accuracy of transmitted data, as well as confirming that robust controls are in place for monitoring interfaces and resolving processing errors.

This structured approach ensures that each interface's purpose is clear, risks are mitigated, documentation is adequate, data integrity is upheld, error resolution processes are efficient, and all transmissions adhere to prescribed protocols. This culminates in an environment where EDI operations align with the company’s strategic objectives while safeguarding against operational inefficiencies or data-related vulnerabilities.

Best-practice audit steps include:

• Confirming that the file transfer catalog is updated and maintained in a central repository with access for key individuals representing all divisions
• Evaluating the adequacy of documentation available for each in-scope interface (e.g., interface narratives)
• Confirming that up-to-date interface documentation/diagrams are in place and formal processes to maintain the accuracy of interface documentation exist (e.g., periodic reviews/updates)
• Determining if owners are identified for each interface and understanding the process for updating interface-supporting documentation regularly