Federal Agency Enrollment Handbook

• 1.0 Introduction
• 2.0 Enrollment Procedures
• 3.0 Equipment Specifications
• 4.0 Internal Controls/Security Guidelines
• 5.0 User Support

Download ASAP Forms

• Enrollment and User ID Request Form for Federal Agencies
  PDF File MS Word File
  
  
• Software Request Form for Federal Agencies
  PDF File MS Word File

Portable Document Format files are readable via the Adobe Acrobat Reader which is free to download and use.

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1.0 Introduction

The purpose of this handbook is to give users of the Automated Standard Application for Payments (ASAP) system the information needed to begin using the system. ASAP is a recipient-initiated payment and information system, designed to provide a single point of contact for the request and delivery of Federal Funds. ASAP was developed by the Financial Management Service (FMS) of the U.S. Treasury and the Federal Reserve Bank (FRB) of Richmond.

1.1 The objectives of ASAP are to provide:

• a standard, centralized, electronic application for recipient-initiated payment services for all Federal programs; and
• timely delivery of Federal funds to coincide with the outlays of recipient organizations to meet program needs.

1.2 User Groups

Users of ASAP are Federal Agencies, Recipient Organizations, Payment Requestors, and Auxiliary Users.

Federal Agencies

Federal Agencies provide funds to Recipient Organizations for various Federal programs.

Federal Agencies use on-line or batch processes to establish accounts in the ASAP system for Recipient Organizations. Once an account is established, the Agency can use on-line or batch processes to increase or decrease spending authorizations for the account.

Federal Agencies are required to develop internal contingency procedures for issuing ASAP payments to their recipient organizations in the event the ASAP system becomes temporarily inoperative or recipient organizations are unable to access ASAP to request payments. In certain isolated instances a Federal agency may have to initiate payment requests on behalf of a recipient organization through ASAP. As established in the General Accounting Office, Comptroller General's Standards For Internal Controls in the Federal Government and outlined in the Federal Agency Enrollment procedures, the person initiating the payment request, may NOT have access to enter accounts, enter authorizations, or certify authorizations.

Recipient Organizations

Recipient Organizations are the beneficiaries of Federal funds from specific Federal programs. In some instances a Recipient Organization has the authority to initiate payment requests, in which case it is considered a Payment Requestor as well as a Recipient Organization within ASAP. In other instances only a separate Payment Requestor, such as the State Treasurer or Controller, has the authority to draw down Federal funds for a Recipient Organization. ASAP distinguishes between the roles of Recipient Organizations and Payment Requestors because each role requires a different set of system capabilities.

Within ASAP, Recipient Organizations can inquire on various data related to their own accounts, such as available balances, authorization activity and payment requests made on their behalf.

Payment Requestors

Payment Requestors are entities authorized to request funds for designated Recipient Organizations. They may or may not also be Recipient Organizations.

Payment Requestors use an on-line process to request payments within the authorized account balances from accounts set up by the Federal Agencies.

Payment Requestors can elect to receive same-day payments within minutes via Fedwire or next-day payments via Automated Clearing House (ACH). ACH payments may be either next day or up to 32 calendar days from the request date (payment warehousing). They will receive timely notification of approval/rejection for all on-line payment requests.

Auxiliary Users

Auxiliary users include State Officials not directly involved in making payment requests and certain Federal Agency Department and/or Bureau officials not directly involved in establishing accounts and authorizations.

State Auxiliary users can make inquiries on the profile information and activity of all Payment Requestors and Recipient Organizations within their purview. Federal Agency Auxiliary users can make inquiries on the profiles and activity of offices within their Departments or Bureaus.

1.3 Hours of Operation

All hours of operation are Eastern Time, and refer to regular business days (excluding Saturdays, Sundays and Federal Reserve Bank holidays).

For on-line transactions:

Transaction	Hours of Operation
Account/Authorization	8:00 a.m. - 9:00 p.m.
Payment Requests - ACH	8:00 a.m. - 11:59 p.m.
Payment Requests - Fedwire	8:00 a.m. - 5:45 p.m.
Inquiry	8:00 a.m. - 11:59 p.m.

For batch processing:

Transaction	Hours of Operation
Account/Authorization	24 hours a day

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2.0 Enrollment Procedures

ASAP is designed for a one-time enrollment process, which means a Federal Agency enrolls once, regardless of how many recipients or programs that Agency deals with.

At a high level, the enrollment forms and enrollment process for Federal Agencies are as follows:

• FMS Form 2958 Delegation of Authority - if not presently on file, the Head of the Federal Agency provides their self-delegation.
  
  

• Letter of Self-Designation - supports FMS form 2958 Delegation of Authority.

• FMS Form 210 Designation for Certifying Officer - the Federal Agency designates a certifying officer(s) who will be responsible for verifying the information on the enrollment forms and signing those forms.
  
  Also, each individual who will have access to certify authorizations in ASAP must be designated as a Certifying Officer.

• ASAP Organization Enrollment and User ID Request Form for Federal Agencies
  PDF File MS Word File

  The Federal Agency provides information about the organization, which will be used to establish a profile in ASAP. This form is also used to request user IDs for individuals at the organization who need access to ASAP.

• ASAP Software Request Form for Federal Agencies
  PDF File MS Word File

  The Federal Agency provides information on the type and number of PC connections needed to access ASAP and, if applicable, to transmit batch files of accounts and/or authorizations to ASAP.

2.1 Forms

This section contains the instructions for filling out the ASAP enrollment forms and samples of each of the forms.

Please make copies of the forms before you begin filling them out, so that you will have a supply of forms to request additional software or User IDs, or to update information on your organization in the future. Note that some of the forms are two-sided.

**If your Agency currently has payments disbursed by the Financial Management Service, you are not required to submit this form; there is already a form on file for your Agency.

How to Fill Out the Form:

Upper right hand corner - fill in the date.

Section I: Delegation and Redelegation

mark the box for "Designate Certifying Officers" and indicate whether this authority may be redelegated. Also mark the box for Original Delegation.

Section II: Designee

provide the name, title, agency, effective date of the delegation and telephone number of the person that is the head of the agency.

Section III: Signature Samples of Designee

have the head of the agency sign all four signature blocks in black non-erasable ink.

Section IV: Delegator Signature

the head of the agency signs the signature block in black non-erasable ink. (In other words, the person named in Section II signs his/her own form. If authority has been redelegated to another individual, the person who submits a self-delegation will sign the designee's form in this section). Type or print that person's name, title and the name of the agency to the right of the signature block.

Section V: Revocation

leave blank

Section VI: Return Address of Delegator

provide the return address and telephone number of the person named in Section IV.

** E X A M P L E B E L O W **

Organization's Letterhead

( Date)

I acknowledge that I am the Head of the Organization as documented on enclosed FMS Form 2958, Delegation of Authority.

_____________________________________________
(Name)

_____________________________________________
(Title/Position)

______________________________________
(Telephone Number)

___________________________________________
(Signature of Head of Organization)

** If your Agency has an FMS 210 for Letter of Credit payments, and the same person(s) will be the ASAP Certifying Officer(s), there is no need to complete additional FMS 210 forms for ASAP.

** If an individual at your Agency has an FMS 210 on file as a Certifying Officer (CO) and would like to include the responsibility as an ASAP CO, you may do so by forwarding a letter to your ASAP Regional Financial Center requesting that the individual's authority be expanded to include ASAP. This letter must be signed by the individual with authority to designate COs as established on form 2958.

How to Fill Out the Form:

Upper right hand corner - fill in the date.

Section I: Designation and Redesignation

indicate the Agency Location Code(s) (ALCs) that your agency will be using for ASAP transactions. Mark the box for "Original Designation". If your 210 form is dated 12-94, mark the box for "SF 1193, 1193A Letter of Credit and 1194 Authorized Signature Card for Payment Vouchers on Letter of Credit." If your 210 form is dated 6-97, mark the box for "Other" and fill in "ASAP."

Section II: Designee

provide the name, title, name of agency, effective date and telephone number of the person being designated as a Certifying Officer.

Section III: Signature Samples of Designee

have the person named in Section II sign all four blocks in black non-erasable ink.

Section IV: Designator Signature

the head of the agency (or another individual with a 2958 Delegation of Authority with the authority to designate certifying officers) signs the block in black non-erasable ink. Type or print that person's name, title and agency to the right of the signature block.

Section V: Revocation

leave blank.

Section VI: Return Address of Designator

the return address and telephone number of the person named in Section IV.

Section VII: Disbursing Office(s)

mark the box for your ASAP servicing RFC (if you are located in the Eastern time zone, mark Philadelphia; if you are in the Central time zone, mark Kansas City; if you are in the Mountain or Pacific time zone or time zones further West, mark San Francisco)

Form Name:	ASAP Organization Enrollment and User ID Request Form for Federal Agencies PDF File MS Word File
Purpose of the Form:	To provide information that will be used to establish a Federal Agency profile in ASAP and to request user IDs for individuals at the Agency.

How to Fill Out the Form:

Section I: Organization Information

provide your organization's name.

provide an organization short name, up to 10 characters, alpha and/or numeric (this information will be part of the remittance information provided to Recipient Organizations with ASAP payments)

provide your agency's Agency Location Code that will be used for ASAP transactions.

provide primary and secondary contact names, phone numbers and fax numbers - the contacts should be individuals who will work with the ASAP system on a regular basis. If the primary and secondary contacts have Internet e-mail addresses, please provide them.

Section II: Individual User Information

in the Name column, mark the box for "Add", and provide the first name, middle initial and last name of individual(s) for whom User IDs are being requested.

provide the individual's telephone number in the Telephone Number column.

the next five columns indicate various functions that users may perform in ASAP. Indicate an "A" in the appropriate column(s) to indicate the level of access the individual should have. For example, if an individual should be able to Enter Accounts and Enter Authorizations in ASAP, you should put an A in those two columns and leave the other three columns blank.

PLEASE NOTE:

a single individual may NOT have access to both enter AND certify authorizations.

a single individual who has payment request access may NOT have access to enter accounts, enter authorizations, or certify authorizations.

All FPA users, except those with payment request access and Inquiry Only, have access to set Agency Review and Maximum Draw Amount and have access to review requests.

All Federal Agency users, except for Inquiry Only users, will have access to Book Entry Adjustment.

all individuals with access to certify authorizations must be designated as a Certifying Officer on an FMS 210 Designation for Certifying Officer. If you completed 210 form dated 12-94, the box for "SF 1193, 1193A Letter of Credit and 1194 Authorized Signature Card for Payment Vouchers on Letter of Credit" would be marked. If you completed 210 form dated 6-97, the box for "Other" would be checked with "ASAP" filled in.

in the Signature and Date column, have the individual for whom the ID is being requested sign and date.

Section III: Certifying Officer's Signature

signature, name, title, and phone number of a Certifying Officer as established on an FMS 210 Designation for Certifying Officer. Also provide the date.

PLEASE NOTE:

According to the Comptroller General’s Standard for Internal Controls in the Federal Government, the General Accounting Office (GAO) has recommended that functions performed by Federal Agencies should be separated from the duties performed by the Regional Financial Centers (RFCs). With this in mind, please ensure that enough people are provided with user IDs to perform Federal Agency back-up assistance, if the need should arise.

Form Name:	ASAP Software Request Form for Federal Agencies PDF File MS Word File
Purpose of the Form:	To request software to be used to access ASAP and (if applicable) to transmit batch files and receive reports.

How to Fill Out the Form:

Section I: Organization Information

same as Section I on the ASAP Organization Enrollment and User ID Request Form for Federal Agencies.

Section II: Software Request Information

Reference Name: indicate a reference name for the set(s) of software you are requesting. This can be anything you want it to be. This is how your software will be labeled when it comes to you. (Ensure that enough sets of CQ software are requested so that you can "back yourself up" in the event of an equipment or software failure.)

Name and Model of PC - indicate the name brand and model of personal computer on which you plan to install the software.

Operating System Type and Version - indicate the operating system type that is on the PC that you will install the software on, and the version of that operating system (like DOS 6.0, Windows 3.1, Win 95, NT, etc.)

Node Name/Pseudo ABA - leave this column blank.

Please be sure to answer the questions in the second half of Section II. These questions will determine if you will be sending in batch files of accounts and/or authorizations, whether you will have an automated interface in place immediately or in the future, and how you will receive reports.

Account-related reports include: Agency Account Transaction Report and monthly Directory of ASAP IDs (the Directory report is not available via fax).

Authorization-related reports include: Agency Authorization Transaction Report and Warehoused Authorizations Processed Report.

Payment-related reports include: 215 Deposit Tickets, 5515 Debit Vouchers, Agency Payment Report, Agency Warehouse Report, Payment Cancellation Report and Book Entry Adjustment Report.

Please indicate how/if you would like to receive these reports. You may receive the reports via automated interface or fax, or you may elect to receive no reports. If your automated interface will not be in place immediately, please choose either fax or none for each of the report groups. If fax is marked, a primary and secondary fax number must be provided

Section III: Certifying Officer's Signature

signature, name, title, and phone number of a Certifying Officer as established on an FMS 210 Designation for Certifying Officer. Also provide the date.

2.2 Submitting Completed Forms

Completed enrollment forms must be sent to your servicing Regional Financial Center (RFC).

If your organization is located in the Eastern Time Zone, submit your forms to:

Mailing Address:

Financial Management Service Philadelphia Financial Center Attn: ASAP Customer Support Staff P.O. Box 8676 Philadelphia, PA 19101-8676

Questions regarding the completion of the enrollment forms can be directed to ASAP Customer Support at (215) 516-8021.

If your organization is located in the Central Time Zone, submit your forms to:

Mailing Address:

Financial Management Service Kansas City Financial Center Attn: ASAP Customer Support Staff P.O. Box 12599-0599 Kansas City, MO 64116-0599

Questions regarding the completion of the enrollment forms can be directed to ASAP Customer Support at (816)414-2103.

If your organization is located in the Mountain or Pacific Time Zones, or time zones further West, submit your forms to:

Mailing Address:

Financial Management Service San Francisco Financial Center Attn: ASAP Customer Support Staff P.O. Box 193858 San Francisco, CA 94119-3858

Questions regarding the completion of the enrollment forms can be directed to ASAP Customer Support at (415) 817-7182.

2.3 What the Federal Agency will receive

Forms are processed by the RFC and the FRB. Once the process is completed, the following will be sent to the primary contact person indicated on the ASAP Organization Enrollment and User ID Request Form for Federal Agencies:

• ASAP ID and Organization Access Code (OAC).
  
  
• Software including installation instructions and initial logon procedures.
  
• ASAP Guide for Federal Agency Users.
  
  
• ASAP test data.

Finally, the FRB will telephone each individual for whom a User ID is requested to issue a User ID and temporary password.

The items mentioned above should arrive within 20 working days after the RFC receives the completed forms. If any item is not received timely, call the RFC to whom you submitted your enrollment forms.

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3.0 Equipment Specifications

Users connect to the ASAP system using personal computers (PCs). The type of software your organization will be issued is based upon the information you provide in Section II of the ASAP Software Request Form for Federal Agencies. Three connection types are available: CQ/3270 for DOS, CQ/3270 for Windows and Automated Interface. These connections are described below:

• CQ/3270 DOS
  
  
• CQ/3270 Software

  Through CQ/3270 software, users can access on-line features of ASAP. Equipment specifications are listed in Exhibit I and II of this section.

• Automated Interface
  Establishing an Automated Interface (mainframe to mainframe connection) allows you to transmit batches of accounts and authorizations and receive ASAP reports. Even if your agency will have an automated interface, you will still use CQ3270 software to certify authorizations on-one to ASAP. Please indicate in Section II on the Software Request Form if your agency will have an automated interface with ASAP.
  * Batch file formats are available from the RFC.

EXHIBIT I

EQUIPMENT REQUIREMENTS
CQ/3270 SOFTWARE
DOS Version

Hayes AutoSync Compatible Modems for Use with CQ3270 for DOS

Hayes Optima 9600, 14.4 and 28.8 (model numbers 5240 a.m. and 15310 AM)
(Note: most Hayes Optima Business modems are NOT compatible.)

Hayes Optima 28.8 Model #5201AM v3.1 (no longer sold, but is compatible with CQ):
If the modem is not a 6.1 version or higher, a firmware upgrade for the software driver is necessary. For further information, contact the Internet on CQ’s web page at http://www.cq-comm.com or Hayes' web page at http://www.hayes.com.

Hayes Optima 33.6 external modem

Hayes Optima 56K external modem

Hayes Ultra 9600

Hayes Optima 33.6 PCMCIA card modem

Agencies needing to purchase Hayes modems may purchase them from:

Other modems (especially newer models) may also be compatible.

Modems must be Hayes Autosync compatible - not just Hayes compatible.

EXHIBIT II

EQUIPMENT REQUIREMENTS
CQ/3270 SOFTWARE
WINDOWS VERSION

Hayes AutoSync Compatible Modems for Use with CQ3270 for Windows

Hayes Optima 33.6 external modem

Hayes Optima 56K external modem

Hayes Optima PCMCIA card modem (models 2690 or 2689 only)

Agencies needing to purchase Hayes modems may purchase them from:

Other modems (especially newer models) may also be compatible.

Modems must be Hayes Autosync compatible - not just Hayes compatible.

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4.0 Internal Controls/Security Guidelines

ASAP is a system that handles information relating to the disbursement of Federal funds; therefore, it is essential for all users to have proper internal controls and follow a basic security program.

4.1 Security

As described in the Equipment Specifications section of this handbook, all connections to ASAP are accomplished through PCs with an encryption device or an encryption can see them. Preferably, IDs and passwords should be memorized. If IDs and passwords mustboard installed in the PC. Encryption ensures the privacy of data as it is sent from the user to the ASAP system.

Additionally, an ASAP ID, OAC, User ID and password are necessary to access ASAP. The User ID and password provide security by segregating which users may access which function. The ASAP ID and OAC control what data an organization may access within the ASAP system. Listed below are a few steps to protect this information:

DO NOT write the OAC or your User ID and password where someone else be kept in hard copy, they should be stored in a secure location such as a locked drawer.

DO NOT share your User ID and password with your co-workers. The system audit trail tracks by the ID logged on when the transaction occurred. If an individual performs an erroneous or fraudulent transaction using the ID of another, the owner of the ID that was used will be considered responsible. Each individual user must be authorized to use ASAP and must have his/her own ID and password.

DO NOT log on to ASAP and leave your terminal unattended.

CHANGE YOUR PASSWORD immediately if you feel your password has been compromised.

CONTACT THE RFC immediately if you feel your agency's OAC has been compromised, and a new OAC will be issued.

4.2 Internal Control

All organizations using the ASAP system must establish internal controls to ensure the proper use of the system. The first internal control is established by the enrollment procedure contained in the Enrollment Procedures section of this document. Federal Agencies, Payment Requestors, Recipient Organizations and auxiliary users must all have a Certifying Officer signature on all enrollment forms to authorize users' access to the system. This allows the organizations to control which individuals have access to the system and which functions each user may access.

The Certifying Officer's signature will be compared to the signature samples previously provided on the FMS 210. Signatures MUST match before the incoming documents will be accepted. Certifying Officers must sign in the same manner as they did on the FMS 210. A substitute signature, a non-original (facsimile or reproduced) signature, or a signature by one individual for the properly designated Certifying Officer (e.g., signing "for someone") will not be accepted.

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5.0 User Support

The Financial Management Service and its Regional Financial Centers (RFCs) have the responsibility for training ASAP users and providing customer support to assist users in their operation of the ASAP system. Users must contact their servicing RFC for customer support:

Users in the Eastern time zone should call the ASAP Customer Support staff at the Philadelphia RFC at (215) 516-8021 from 7:30 a.m. to 5:00 p.m. Eastern Time.

Users in the Central time zone should call the ASAP Customer Support staff at the Kansas City RFC at (816) 414-2100 from 7:30 a.m. to 5:00 p.m. Central Time.

Users in the Mountain and Pacific time zone (and time zones further west) should call the ASAP Customer Support staff at the San Francisco RFC at (415) 817-7182 from 7:30 a.m. to 5:00 p.m. Pacific Time.

The Federal Reserve Bank of Richmond can be contacted at 804-697-7979 to find out the status of the Test and Production regions in ASAP.

For more ASAP info, the ASAP Web site address is http://www.fms.treas.gov/asap/index.html.