DOI ASAP

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DOI ASAP

• June 2009

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ASAP Overview

• ASAP 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 Features

• Online Help Screens and Tutorials
• Convenient to Access and Comprehensive
• Log On IDs
• ASAP issues individual User IDs and Passwords
• User-Specific Messages
• Emails, Homepage/Broadcast Messages, and
  Notifications
• No Fees to Federal Agencies or Recipient
  Organizations
• Downloadable Reports and Inquiries

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

• 1. PurposeThe purpose of this financial
  assistance guidance release is to provide staff
  with enrollment and basic user information for
  the Department of the Treasurys Automated
  Standard Application Payments (ASAP) system.
• 2. Effective DateEffective immediately upon
  issuance.
• 3. Background and ExplanationPublic 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. ResponsibilitiesBureaus 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. ProceduresThe 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
  officers 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 800 a.m.
  until 900 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.

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• 5. ProceduresThe 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
  officers 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 800 a.m.
  until 900 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 organizations
  officials and, the head of organization/authorize
  d representative approves the officials
  identified by the point of contact.
• (b) ASAP Organization Enrollment Form is
  completed for the purpose of establishing the
  recipient organizations 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
  organizations 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 800 a.m. to 545 p.m. Eastern
  Standard Time each business day. Recipient
  organizations are able to initiate payment
  requests for an Automated Clearinghouse (ACH)
  payment from 800 a.m. to 1159 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 requestors 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 InformationIf 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.

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Federal Agency Enrollment Process
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Federal Agency Enrollment Process
Regional Financial Center Creates
Agency Profile Identifies Certifying Officers
Point of Contacts
Point of Contact Enters Agency Users
Roles
Certifying Officer Approves Users Roles
ASAP Issues User ID Password
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PKI for Certifying Officers

• Public 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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Initiating Recipient Enrollment
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Internet Enrollment Process

• Enrollment for Agencies and Recipient
  Organizations via Internet
• ASAP will send email reminders concerning
  enrollment actions
• Each users 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 ASAP
• Hover over the Enrollments button
• Select 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 ID
• An 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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Recipient Enrollment Tasks

• The nightmare begins!!

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Six Steps to Success

• 1. Enrollment Initiator Initiates Recipient
  Organization and Point of Contact.
• 2. Point of Contact Names Organization Officials
• 3. Head of Organization Approves Officials
• 4. Authorizing Official Defines Recipient
  Profile
• 5. Authorizing Official Defines Recipient Org
  Users
• 6. 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 ROs Address
Information, Identifies Users Role(s)
Financial Official Enters Maintains Banking
Information
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Enrollment Completion
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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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Commonly Used Agency Functions in ASAP
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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 Inquiry

• Check the status of a recipients enrollment
• Verify a recipient has completed enrollment

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• Sign into ASAP
• Hover over the Inquiries button
• Choose Recipient Enrollment Status Inquiry FPA
  from the drop down menu.

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• Enter the ASAP ID
• Enter an Originating Date Range
• Choose Pending, Completed, or Rejected for the
  Enrollment Status. All three can be selected if
  desired
• Choose output Format. PDF and HTML are good
  choices. CSV will format data for exporting to
  Excel
• Click Submit

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Retrieving your Inquiry

• Hover over the Inquiries button
• Select 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
  entered
• Section 2. Shows Recipient information
• Section 3. Shows verification that each step
  was completed

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Additional Enrollment Inquiry Examples

• Pending 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 Inquiry

• The Account Balance Inquiry shows all accounts
  under a given recipient ID

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• Log in to ASAP
• Hover over the Inquiries button
• Choose Account Balance Inquiry from the drop
  down menu

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

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• Retrieve your Inquiry
• Below 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 ASAP
• Hover over the Reports button
• Select Run Predefined Report
• From the drop down menu, select Account
  Settlement Report

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• Enter the following
• Recipient ID
• Account ID
• Transaction Date (All Dates shows every
  transaction for the life of the account)
• Format

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• Retrieving your report
• Hover over the Reports button
• Choose 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 ASAP
• Hover over the Reports button
• Select 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
San Francisco RFC [phone]
Philadelphia RFC [phone]
Kansas City RFC [phone]
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Contact Information

• RFCs Day-to-Day Operational Support
• Philadelphia 215/516-8021
• Kansas City 816/414-2100
• San Francisco 510/594-7182
• Richmond Federal Reserve 804/697-8384
• ASAP 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 Information

• ASAP.gov Operations Staff
• Carol Cole
• 202-874-6542
• carol.cole_at_fms.treas.gov
• Faye Allen
• 202/874-7113
• faye.allen_at_fms.treas.gov