June 2009

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ASAP OverviewASAP is a centralized electronic payment and

information system: Allows grantee organizations to draw from

accounts pre-authorized by federal agencies Makes payments to financial agents that are

performing financial services for FMS and other federal agencies

Highly Secure and 508 Compliant Internet Based and User-Friendly

• Similar to Internet-Based Home Banking or Bill Payment Technology

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ASAP FeaturesOnline Help Screens and Tutorials

• Convenient to Access and ComprehensiveLog On IDs

• ASAP issues individual User IDs and PasswordsUser-Specific Messages

• Emails, Homepage/Broadcast Messages, and Notifications

No Fees to Federal Agencies or Recipient Organizations

Downloadable Reports and Inquiries3

Department of the Interior Acquisition Guidance Release (DIG) 2008-05

1. Purpose:The purpose of this financial assistance guidance release is to provide staff with enrollment and basic user information for the Department of the Treasury’s Automated Standard Application Payments (ASAP) system.

2. Effective Date:Effective immediately upon issuance.

3. Background and Explanation:Public Law 106-107 required the streamlining and simplification of the award payment process used to transfer cash from Federal agencies to recipients. As a result of Federal streamlining initiatives, on June 16, 1998, the Chief Financial Officers’ Council made the unanimous decision to establish a consolidated payment systems policy to eliminate Federal payment systems that are redundant and that increase costs and administrative burdens for recipients. The policy requires each Federal agency that makes payments to recipients to adopt one of two Federal grant payment systems: the ASAP system provided by the Department of the Treasury, or the Payment Management System provided by the Department of Health and Human Services. The Department has selected the ASAP system as the preferred payment system that will integrate with Financial and Business Management System eGrants Plus due to its cost-effective highly secured automated interface between account management authorizations and reporting functions. ASAP is an all-electronic payment and information system utilized for the request and delivery of award funds. The system was developed jointly by the U.S. Treasury and the Federal Reserve Bank of Richmond. ASAP is an internet based application (https://www.asap.gov) and can be utilized by recipients to draw cash from multiple agencies in one transaction.

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4. Responsibilities:Bureaus are responsible for coordination with the Department of the Treasury, Financial Management Service, to ensure that recipients are contacted and enrolled in the ASAP system. Bureaus must inform recipients in their award agreements of the requirement to use ASAP as the payment method. Bureaus are also responsible for inputting authorized spending data into ASAP and reconciling their accounting records with the ASAP information data. Recipient organizations are responsible for executing awards; maintaining minimum federal cash on hand by requesting funds from the ASAP system only for immediate disbursement; reporting cash disbursements to the system; and, maintaining accounting records. In accordance with OMB Circulars A-102 and A-110, award funds are to be used for immediate disbursement needs. Recipient requests for disbursements may be at any time as long as it is within the program established period of availability of funds. Bureaus and recipient organizations receiving federal funds must complete a one time registration process in ASAP. There is no fee charged to the Bureau or recipient organization to use the ASAP system.

5. Procedures:The following provides instructions on how to use the ASAP system.

A. Bureau User Instructions. Step 1: Establish Bureau Accounts in ASAP. Once all of the recipient organization enrollment

tasks are completed, the enrollment application will notify the Bureau that the enrollment has been completed, after which fund accounts can be created. ASAP accounts can be established for recipient organizations via on-line or batch processes. It is important that Bureau users are aware that there is not a minimum dollar threshold before grant or cooperative agreement data is entered into the ASAP system.

Step 2: Authorize and Validate Spending Transactions in ASAP. Bureaus maintain accounts in ASAP to control the flow of funds to recipient organizations. Spending authorizations are entered into ASAP accounts according to specific program needs and schedules. Authorizations can be entered to increase or decrease the available balance of ASAP accounts at the budget or finance officer’s discretion. Both on-line and batch-processed authorizations can be effective as of the current processing day, or they can be effective up to a year in advance, in which case the authorization is warehoused until its effective date. Authorization transactions, once certified, immediately update the system. Bureaus are able to perform ASAP account and authorization functions on-line from 8:00 a.m. until 9:00 p.m. Eastern Standard Time each business day. Bureaus can initiate batch processes for ASAP account and authorization activity 24 hours a day. ASAP submits summary data and detailed transactions data to the Bureau or Awarding Agency. Bureaus can view relevant data on-line, such as up-to-the-minute account balances, account history, and the status of payment requests affecting their ASAP accounts. 5

5. Procedures:

The following provides instructions on how to use the ASAP system.

A. Bureau User Instructions. Step 1: Establish Bureau Accounts in ASAP. Once all of the recipient organization enrollment tasks

are completed, the enrollment application will notify the Bureau that the enrollment has been completed, after which fund accounts can be created. ASAP accounts can be established for recipient organizations via on-line or batch processes. It is important that Bureau users are aware that there is not a minimum dollar threshold before grant or cooperative agreement data is entered into the ASAP system.

Step 2: Authorize and Validate Spending Transactions in ASAP. Bureaus maintain accounts in ASAP to control the flow of funds to recipient organizations. Spending authorizations are entered into ASAP accounts according to specific program needs and schedules. Authorizations can be entered to increase or decrease the available balance of ASAP accounts at the budget or finance officer’s discretion. Both on-line and batch-processed authorizations can be effective as of the current processing day, or they can be effective up to a year in advance, in which case the authorization is warehoused until its effective date. Authorization transactions, once certified, immediately update the system. Bureaus are able to perform ASAP account and authorization functions on-line from 8:00 a.m. until 9:00 p.m. Eastern Standard Time each business day. Bureaus can initiate batch processes for ASAP account and authorization activity 24 hours a day. ASAP submits summary data and detailed transactions data to the Bureau or Awarding Agency. Bureaus can view relevant data on-line, such as up-to-the-minute account balances, account history, and the status of payment requests affecting their ASAP accounts.

B. Recipient Organization User Instructions. Step 1: Completion of Enrollment Forms. In order for a recipient organization to enroll in ASAP, the

following forms must be completed and submitted to the local servicing Regional Financial Center via the Internet or by paper. All paper enrollment forms are available on the Financial Management Service ASAP Homepage or by request from the local servicing Regional Financial Center.

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(a) ASAP Officials Authorization Form is completed for the purpose of designating individuals’ access to ASAP. The Federal Enrollment Initiator starts the enrollment process by identifying the recipient organization to be enrolled, and entering the DUNS, TINS, type of organization, and the point of contact information; unique DUNS, TINS and emails are required; the role of the point of contact is critical to the ASAP.gov enrollment process; the point of contact confirms the information entered by the enrollment initiator and is responsible for identifying the recipient organization’s officials; and, the head of organization/authorized representative approves the officials identified by the point of contact.

(b) ASAP Organization Enrollment Form is completed for the purpose of establishing the recipient organization’s profile in ASAP and to specify the software to be used.

(c) User ID Request Form is completed to identify authorized staff persons who need access to ASAP. Once a recipient organization has completed enrollment forms, then a seven digit identification number will be assigned. The number is necessary to access the system.

(d) ASAP Bank Information Form is completed for the purpose of providing information on the financial institution(s) and account(s) where payments will be directed. If a recipient organization’s banking information changes, the financial official should log onto ASAP.gov, select the enrollment tab, and then make the necessary changes. The financial official is responsible for entering the bank account information for the recipient organization.

Step 2: Payment Request Process. (a) Recipient organizations can use on-line processes to request payments. Recipient organizations are

able to initiate same day payment requests and receive the payment within minutes from 8:00 a.m. to 5:45 p.m. Eastern Standard Time each business day. Recipient organizations are able to initiate payment requests for an Automated Clearinghouse (ACH) payment from 8:00 a.m. to 11:59 p.m. Eastern Standard Time. Payment requests are approved or rejected automatically, unless placed on Bureau review or based on the amount of available funds in the ASAP account. The available balance for an ASAP account is displayed when initiating the payment request. Recipient organizations will receive immediate notification of approval or rejection for all on-line payment requests with the exception of those subject to Bureau review. The ASAP system also provides recipient organizations with a book entry feature to make adjustments between accounts without having to initiate a payment request. Recipient organizations are also able to return funds to an ASAP account via the FEDWIRE and ACH payment systems.

(b) ASAP submits the funds and payment data to the payment requestor’s financial institution. Approved requests for next-day or future-day payments are accomplished via the ACH system. Same-day payments are accomplished via the FEDWIRE system.

6. Additional Information:If you have customer service or operational issues questions, please contact the Financial Management Service, through the ASAP Customer Support team at http://www.fms.treas.gov/. For questions about this guidance, you may contact Anita Hairston of my staff, at 202-208-3433. 7

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Federal Agency Enrollment Process

Regional Financial Center Creates Agency Profile & Identifies

Certifying Officers & Point of Contacts

Certifying Officer Approves Users & Roles

ASAP Issues User ID & Password

Point of Contact Enters Agency Users & Roles

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PKI for Certifying OfficersPublic Key Infrastructure (PKI) is a computer

system environment that provides for the management of digital identities of users through the use of certificates and keys.

PKI technology enables user’ s the ability to be authenticated using information stored in the public key certificates.

Certifying Officers will be required to use a digital certificate for two-factor authentication and digitally signing authorization transactions

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Federal Agency Functions Establish, maintain, and fund accounts for

their Recipient Organizations Controls account status

Open, Suspend, or Closed Sets account parameters

Agency Review Maximum Draw

Certifying Officers will digitally sign transactions to fund accounts

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Federal Agency Functions Available functions are role dependent

Create Account Modify Account Enter Online Authorizations Certify Online Authorizations Set Agency Review Review Payment Requests Cancel Payment Requests Book Entry Adjustments

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Internet Enrollment Process Enrollment for Agencies and Recipient

Organizations via InternetASAP will send email reminders concerning

enrollment actions Each user’s enrollment is required to have a

unique email address

Recipient Organizations are required to have Unique DUNS and TIN

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Enrollment begins with the recipient contacting the agency to request an ASAP Participation Request form.

Upon completion, the form should be returned to the agency via fax, mail, or email.

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The agency can now initiate enrollment by doing the following

Log on to ASAPHover over the “Enrollments” buttonSelect “Initiate Recipient Organization

Enrollment” from the drop down menu

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Step 1 of 3 requires you to enter the Organization Name, DUNS, EIN, and Organization Type. This information should be provided on the ASAP Participation Request form submitted by the recipient.

It is important to enter the information correctly here. Changes to this information can only be made by submitting a written request to ASAP.

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It is possible the recipient is already enrolled in ASAP doing business with another agency. If this is the case, you will receive the following screen after completing step 1 of 3. If the POC matches what is on the ASAP Participation Form, you can click “Submit”. By accepting this information, all of the recipients previous enrollment information will carry over (except banking information).

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If the recipient is not enrolled with another agency, you should see the following screen. Enter the POC information provided on the ASAP Participation Request form. Click “Submit” when finished.

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In some cases, a name may already exist in the ASAP system. This can happen if the POC does business with more than one ASAP account, or if the recipient attempted to enroll in the past and was rejected. You will be given the opportunity to select the existing user or enter a new user. The following screenshot shows an example.

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When the POC information has been entered, click “Submit”. A screen will show ASAP processing the request. When the Initiation request is complete, you will see the following screen. You should print this screen for your records.

Notice the yellow highlighted rectangle. This number is the ASAP ID. You can use this number to check account balances, view the enrollment process etc.

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After Initiation ASAP will email the recipient POC notification

along with an ASAP user IDAn ASAP password is mailed separately via U.S.

Postal Service. If the recipient has received their user ID, and would like to get a password by phone, they can contact the Federal Reserve Bank and request one (804-697-8384)

At this point, your job as the Enrollment Initiator is done. It is the recipients responsibility to complete the remaining tasks for enrollment.

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The nightmare begins!!

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Six Steps to Success1. Enrollment Initiator Initiates Recipient

Organization and Point of Contact.2. Point of Contact Names Organization Officials3. Head of Organization Approves Officials4. Authorizing Official Defines Recipient Profile5. Authorizing Official Defines Recipient Org

Users6. Financial Official Defines Banking Information

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Recipient Organization Enrollment Process

Enrollment Initiator Identifies RO to be enrolled

Point of Contact Verifies RO that RO data is correct

Identifies RO Officials

Head of Organization

Approves RO Officials Authorizing

Official Enters RO’s Address Information,

Identifies Users & Role(s)

Financial Official Enters & Maintains Banking Information

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Agency employees with ASAP access will receive an automatic email when recipients complete enrollment. Below is an example.

When the recipient completes the final task for enrollment, they become “Active” in ASAP. There is a 7 to 10 business day wait before funds can be drawn while ASAP verifies recipient financial information.

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INQUIRIES Payment Request Status Inquiry Account Balance Inquiry Account Statement Balance Authorization Transaction Inquiry Account Profile Inquiry Federal Program Agency Inquiry Payment Requestor Inquiry Recipient Organization Inquiry Book Entry Adjustment Inquiry

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REPORTS Agency Account Transaction Report Agency Authorization Transaction Report Agency Book Entry Adjustment Report Agency Payment Cancellation Report Agency Payment Report Agency Payment Warehouse Report Cancelled Certified Authorization Report Total Draws by Account ID Report Uncertified Batch Authorizations Report Uncertified Online Authorization Report

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Recipient Enrollment InquiryCheck the status of a recipients enrollmentVerify a recipient has completed enrollment

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Sign into ASAPHover over the “Inquiries” buttonChoose “Recipient Enrollment Status

Inquiry FPA” from the drop down menu.

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Enter the ASAP IDEnter an Originating Date Range Choose Pending, Completed, or Rejected for the Enrollment

Status. All three can be selected if desiredChoose output Format. PDF and HTML are good choices.

CSV will format data for exporting to ExcelClick Submit

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Retrieving your InquiryHover over the “Inquiries” buttonSelect “Retrieve Results” from the drop down

menu

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Choose the desired inquiry from the displayed list

(Inquiries are listed by time and date. The most recent inquiry will always be at the top of the list)

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Below is an example of a completed enrollment.Section 1. - Shows the search parameters you enteredSection 2. – Shows Recipient informationSection 3. – Shows verification that each step was

completed

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Additional Enrollment Inquiry ExamplesAdditional Enrollment Inquiry ExamplesPending Enrollment In the example below, ASAP is waiting for the recipient to enter banking information.

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Rejected Enrollment The enrollment below rejected because the Head of Organization did not complete

the required task within the designated timeframe.

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Account Balance InquiryThe Account Balance Inquiry shows all accounts

under a given recipient ID

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Log in to ASAPHover over the “Inquiries” buttonChoose “Account Balance Inquiry” from the

drop down menu

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To bring up all account ID’s for a recipient, enter the Recipient ID and select the desired format.

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Retrieve your InquiryBelow is a Sample Account Balance Inquiry

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Account Settlement Report

The Account Settlement Report shows all transactions against a single Account ID.

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Log in to ASAPHover over the “Reports” buttonSelect “Run Predefined Report” From the drop down menu, select “Account

Settlement Report”

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Enter the following:Recipient IDAccount ID Transaction Date (All Dates shows every transaction for the life of the

account)

Format

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Retrieving your reportHover over the “Reports” buttonChoose “Retrieve Report results” from the

drop down

Choose your report from the list

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Below is an example of the Account Settlement Report.

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Agency Payment Report Enhanced

The Agency Payment Report Enhanced allows the agency to view a detailed payment history including the name of the Payment Requestor.

The Agency Payment Report Enhanced views an entire days transactions for your agency. You must look through all transactions for that day.

Unless you know the exact day a transaction took place, it is best to run an Account Settlement report first to help determine the day you need.

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Log in to ASAPHover over the “Reports” buttonSelect “Run Predefined Report”Select “Agency Payment Report Enhanced”

from the drop down menu

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For this report, only the date and format needs to be entered

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Below is a sample of the Agency Payment Report Enhanced

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Customer Service

Philadelphia RFC(215) 516-8021

Kansas City RFC(816) 414-2100

San Francisco RFC(510) 594-7182

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Contact InformationRFCs Day-to-Day Operational Support

Philadelphia: 215/516-8021 Kansas City: 816/414-2100 San Francisco: 510/594-7182

Richmond Federal Reserve 804/697-8384ASAP Password Resets Last Name and Email Address Changes

ASAP Application: www.asap.gov

FMS ASAP General Information and Program Updates: http://www.fms.treas.gov/asap

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Contact InformationASAP.gov Operations StaffCarol Cole202-874-6542 carol.cole@fms.treas.gov

Faye Allen202/874-7113faye.allen@fms.treas.gov

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