Moving Beyond Compliance: The Evolution of Massachusetts General Hospital s Research Capital Asset Management System

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1 Moving Beyond Compliance: The Evolution of Massachusetts General Hospital s Research Capital Asset Management System Lauren Barsanti, Space Analyst Patricia Frederico, Manager of Research Operations Research Space Management Group Massachusetts General Hospital 55 Fruit Street (BAR516) Boston, MA 02114, USA LBarsanti@partners.org Abstract In compliance with federal regulations, Massachusetts General Hospital s asset management system provides managers with valuable information regarding research equipment. This system has evolved to become an invaluable inventory management database, as well as a useful tool supporting sharing of equipment among researchers and planning for relocations and renovations. Ten years ago, a Microsoft Access database was developed to inventory research equipment. This database captured price, quantity, and location information from the hospital s accounts payable system. Today, we have incorporated inventory management data into a multi-functional database known as the Space Management System (SMS). The new asset module of SMS enables more extensive tracking of equipment information, such as pertinent electrical and mechanical specifications, function, and sharing potential. An analyst can retrieve this information from the system when equipment specifications are needed for design or renovation of a laboratory, or an investigator inquires about the location of a particular piece of equipment s/he wishes to share. In this way, the SMS asset module saves valuable planning time, promotes camaraderie among investigators in the hospital, and creates efficient use of space. The principles involved in developing the asset management system can be applied in other research institutions aiming to achieve similar goals. The Need for an Inventory Tracking System Required compliance with the Office of Management and Budget s (OMB) Circular A110 necessitated the development of an equipment inventory tracking system at Massachusetts General Hospital (MGH). The regulations contained in Section 34 of the A110 Circular stipulate that a system of accountability must be established for identifying, tracking, and disposing of research equipment. This section of the Circular mandates research institutions to collect all necessary equipment data, including description, serial/model number, acquisition date, percentage of federal fund participation in the purchase, location, condition, and acquisition cost. Other requirements include promoting shared equipment among investigators and documentation of any loss, damage, or theft of equipment. The tracking system is also necessary for equipment transfers when researchers relocate to new institutions. Along with these federal requirements, it is also useful to track equipment purchased off of non-federal funds to maintain a detailed hospital inventory. It is vital for a large research institution such as MGH to know what types of equipment it owns, especially unusual or expensive equipment. Original Design of MGH s Access Inventory Tracking Database The original inventory tracking system was developed over ten years ago using a Microsoft Access database located on a shared network server. Purchase order (PO) information was captured from a Peoplesoft purchasing system used by the hospital s Purchasing Department. A daily feed was generated that would be manually imported into the

2 database when items were paid for or received. All research equipment having a purchase price of $500 or greater was tracked, leading to a large daily influx of items. The Access equipment inventory database was designed simply to fulfill federal requirements. The database permitted assignment of unique 6-digit inventory tag numbers to equipment with which all information was linked. It also prevented duplicate entries of tag numbers, allowed the user to search the database by inventory tag or PO number, and enabled editing of equipment information. Seven years after equipment was fed into the system, data was archived, or rendered with an inactive designation, that prevented further modifications to the item s record. However, the user could still view archived information. The archive date was not an effective way to maintain records, as much laboratory equipment was in use for a period of time greater than seven years, and some equipment was obsolete before this period ended. This database was able to generate reports, however they were limited in number and simplistic in nature. Often when investigators transfer to other institutions or internally to new departments, equipment that is no longer needed becomes available for use by other investigators. A report of all equipment for a particular investigator was generated for review so s/he could determine what s/he would make available, as stipulated in section 34C of the A110 Circular. Unfortunately, this report did not fully describe the age, structural, and electrical needs for a specific piece of equipment, so this report did not provide significant information about available equipment to other investigators. Below are two figures (Figure 1 and Figure 2) that illustrate the simplistic functions and outdated utilities of the original Access equipment inventory database. Figure 1: Main Menu Screen from the Access Equipment Inventory Database

3 Figure 2: Utilities Menu Screen from the Access Equipment Inventory Database Issues with the Access Database Although the previous system was useful for basic federal compliance functions, there were several issues that hindered the equipment tracking process. It was difficult to obtain information from the database, as a user needed to know the PO or inventory tag number to obtain information on a piece of equipment. The Access database was not functional for general searches about a type of equipment or equipment in a certain locations, as any information beyond location, manufacturer, model, and serial number was not stored, and the location field was a free-text field that did not enable database searches. This frustrated efforts to promote shared resources, as it was difficult to determine what was located in a certain area without a PO or tag number. Closer examination revealed the need to develop a system designed to capture additional information, improve efficiency and accuracy of reports, and be user-friendly and cost-effective in tracking and locating equipment. The failure of this database to fully comply with the federal requirements and its inability to fulfill management s needs in aiding moves and transfers encouraged questioning and examination of future requirements of this database. Questions that still needed to be answered; Should we be collecting data beyond the OMB Circular requirements for our own needs? Would a more automated database save data collection and entry time? Would a greater number of more detailed reports help both investigators and managers obtain important equipment information more efficiently? MGH s Research Space Management Group (RSMG) decided that a more extensive, robust, and automated database would be a wise investment. By collecting more comprehensive information during the inventory process and providing it to investigators, MGH could assemble a central source of information that would be useful to many hospital departments. Adding and utilizing detailed specification information on equipment would expedite relocations (i.e. moves and transfers of labs and investigators). Information on equipment that several researchers could use would promote sharing, conserving available dollars and space for other uses. It soon was realized that incorporating equipment tracking with MGH s Space Management System would aid in achieving these goals.

4 The Space Management System MGH s Research Space Management System (SMS) was the first integrated multifunctional space management decision support application installed in an academic research setting. The successful implementation of this multiapplication system required the development of new models for understanding the complex relationships between space, people, research funding, equipment and research activity. MGH s Research Space Analysts use the system to link space, grants, equipment, and staff to Principal Investigators (PIs) and to PI-specific research sites. The system can then be used to generate space utilization metrics as measures of research activity. MGH s SMS system categorizes its research departments into Group, Unit, Unit-Site, and PI Unit-Sites. The asset module was developed to be a fully integrated component of SMS. Equipment assets are linked in the same way as space, grants, and staff - to PI specific Unit-Sites. Each asset is associated with the PI Unit-Site that is using it, as well as the location where it is being used. Assets are treated as a component of a research site, in the same way as space, grants, and staff. The amount and types of equipment a PI Unit-Site contains is variable based upon the size of the research program and the research being performed. If shared among two or more PI Unit-Sites, assets are allocated only to the primary PI Unit-Site that uses or purchased them. A user accesses the asset module from SMS main edit screen (Figure 3). By selecting a Group, Unit, Unit-Site, and PI Unit-Site, a user can choose to view a particular PI Unit-Site s space, staff, agreements, or assets. The asset module can also be accessed directly through this screen by selecting the Asset Inventory button on the left side of the screen. Figure 3: Main Edit Screen of SMS

5 Development and Design of the SMS Asset Module View Feed New asset records are created in the SMS asset module primarily through the import of a feed from the Purchasing Department s Peoplesoft system. Feeds are automatically imported each workday, instead of being manually imported as the old Access system required. The feed includes all research equipment purchases with an initial acquisition cost of $1500 or greater, a change from the original minimum of $500. This change reduced the number of items imported daily, allowing the user to track more expensive and durable equipment with greater detail. If desired, the user can view the feed by using the View Feed feature. When View Feed is accessed, a screen displays every purchase order line item that was imported the last time a feed was run. In this way, a user can determine if any data relevant to major pieces of equipment has been imported that should be inventoried immediately. Relevant information about an asset that is imported through the feed includes a unique PO/line number combination, grant information, description, PO date, order quantity, PI whose grant purchased the equipment, name of the individual who placed the order, vendor information, and the location to where it was delivered. The feed summary screen accessed through the View Feed feature is displayed below in Figure 4. Figure 4: Feed Summary Screen from the SMS Asset Module Worklist Another important feature is the worklist. The worklist is automatically displayed when the user accesses the asset module. It displays a list of all assets that currently need to be inventoried (Figure 5). The user can select to view an asset in more detail from this screen by clicking on the asset s/he wishes to view. The worklist can also be sorted by any of its fields. The user can sort by a variety of options: price to view the most expensive items that have not yet been tagged, or by PI or lab personnel prior to going out in the field to tag all items that belong to a specific PI Unit-Site. By sorting the list, the user can select a group of assets by highlighting them. Once highlighted, the user can use the Print Worklist feature to print the specific assets that s/he wishes to inventory on a particular day. Print Worklist downloads the highlighted information to a Microsoft Excel spreadsheet from the asset module for manual data collection. This ability to print only specific assets a user would like to inventory at a particular time is a new feature that was not available in the Access database. The original database would print only new feed items each day, which would have to be filed and stored until the user was able to inventory them. This new feature is more eco-friendly and time efficient, printing out only necessary items when desired.

6 Figure 5: Worklist Screen from the SMS Asset Module Asset Detail From the worklist, selecting as asset moves the user into the Asset Detail screen. This screen consists of three screens that contain all information about an asset; both information imported from the daily feed as well as information entered by the user following field data collection. The first screen is the Asset Summary screen (Figure 6). This screen provides information imported from the feed, as well as user completed fields. User entered information includes tag number, RSMG status, accessories and duplicates. The RSMG status is used to determine if an item is in use (In service, Tagged or Not Tagged), or if the item is not in use (Lost, Stolen, Donated, Discarded, Sold, etc). The RSMG status is a vast improvement over the archived designation used in the Access database, as the status of an item is not changed at a pre-set interval, but when the item actually is no longer is use by the investigator. The user may categorize an item included on a PO as an accessory when a purchase order contains one primary piece of equipment and also has several smaller items that are necessary for the function of the primary item. For example, one purchase order may include a centrifuge and a number of rotors. Since it is not feasible to tag and track individual rotors, the user can identify the rotors as accessories of the centrifuge an assign one tag number for the entire system. The duplicate feature is used when the purchasing agent used one line on a purchase order to order multiples of the same item (ex, six computers). The user can enter all information about one of the items, and then choose to Duplicate This Line. All information that had been entered for the item is automatically copied to the new entry, reducing the need for time-consuming manual data-entry. The accessory and duplicate functions of the asset module are great improvements over the Access database. Prior to the development of the asset module, accessories were not linked to a primary item, but simply marked with a generic code that made it challenging to locate and view them in the database. There was also no duplicate function in the Access system, so all data for multiple items had to be entered manually for each item.

7 Figure 6: Asset Detail Summary Screen from the SMS Asset Module The next screen of Asset Detail is the User Detail screen (Figure 7), which contains all pertinent information about the grant from which funds were provided to purchase the equipment. It is on this screen that the user enters information regarding where the equipment is located. Location-related information, which appears when each field is selected, is drawn from tables in the database, thus ensuring consistency throughout SMS. The information appears in a relational hierarchical fashion, with data in each field restricted by that the user selected in the immediately proceeding field. Location data allows the user to conduct location-related queries. This differs from the old Access database s free-text entries that impeded searches. There is also an Other Location free-text box on the User Detail screen. It is used for equipment that is located off-site, and thus not represented in the hierarchical drop-down boxes. Items such as computers and printers may be located at an investigator s residence, or equipment may be located at another research institution affiliated with MGH. The Equipment Detail screen (Figure 8) is the final screen of the Asset Detail section, and stores all federally required information such as manufacturer, model, and serial number and pertinent technical specifications. It also contains two RSMG equipment descriptors, which help categorize the equipment into general terms to facilitate searches (centrifuge, freezer, optical). Fields available on this screen make it possible to enter specific utility and infrastructure requirements, information which is invaluable when planning renovation projects and lab relocations. Three buttons appear at the bottom of all three Asset Detail screens. The PO Summary button allows the user to quickly view all items purchased on the current PO. The View Distribution button displays the percentage distribution among grants if multiple fund sources were used to purchase a piece of equipment, a federal auditing requirement. This feature is also helpful to PIs and lab managers who often desire to know which of their grants purchased a specific item. The Comments button is a standard SMS feature that allows the user to enter and save text comments related to a particular PO.

8 Figure 7: Asset Detail User Detail Screen from the SMS Asset Module Figure 8: Asset Detail Equipment Detail Screen from the SMS Asset Module

9 Create New Asset The Create New Asset feature is located on the Worklist screen. It is used to produce a record for items that are not imported through the Purchasing Department s Peoplesoft system feed, but for which RSMG needs to capture information. This includes items that a PI transfers to MGH from another institution or for equipment purchased by a non-mgh researcher and shipped to MGH for use in research. This feature allows the user to create a unique purchase order number, and enter all relevant information about an asset that usually would be imported through a feed, as well as other information that would usually be entered after the asset was inventoried in the field. Asset Search The Asset Search function allows the user to locate asset records in the database. There are several criteria that the user can search by and any combination of the criteria can be used. The criteria on the asset search screen (Figure 9) include PO number, tag number, SMS PI, user, Group, Unit, Unit-Site, PI Unit-Site, location, and type of equipment (primary and secondary descriptors). The user can also choose to search for either inactive (not in use) or active (in use) assets, as determined through their RSMG statuses. This search functionality is much enhanced from the prior database, and is useful as a search can easily be generated by almost every field that is tracked, allowing for searches by location, investigator, type of equipment, etc. All equipment records are easily located and accessed through this feature. Figure 9: Asset Search Screen from the SMS Asset Module Audit The Audit section of the asset module is a new component not available in the original version of the database. Although it is still in the development phase, initial versions of this section allowed the user to track which assets were included in a particular audit, as well as the results of the audit. The results include comments on whether the item was located during the audit and, if not, its status. This section will be a valuable tool in creating an audit trail,

10 determining what types of items are historically audited, and storing results of audits for future improvements that will increase efficiency in the inventory tracking process. Reports SMS includes a powerful reports module that utilizes the analytical capabilities integrated into the database, as well as Crystal Reports software. Reports related to asset activities are initiated from the reports module. The reports module (Figure 10) allows the user to view specific information for a variety of purposes. Many different types of reports were developed to meet specific needs for both administrative purposes and to assist investigators in managing their equipment. A list of all available reports follows. The Backlog Report consists of a list of all items that have not yet been assigned an MGH inventory tag or an appropriate RSMG status (some RSMG statuses do not require a tag number). The user can choose to include federal items, non-federal items, or both. This selection criteria was created because it allowed the user to prioritize tagging for various purposes, such as federal audits. This report is required by federal auditors on an annual basis to ensure institutional compliance with tracking requirements outlined in the A110 Circular. The Equipment in Service Report is run by Group, Unit, Unit-Site, and PI Unit-Site. This report is used as an inventory of all equipment located in a particular Group, Unit, Unit-Site, or PI Unit-Site, as it can be run from any of these hierarchical levels. The user can choose to include inactive equipment in the report. This information is supplied to departments or investigators on an annual basis to inform them of their current equipment inventory. The Equipment Inventory by Location Report allows a user to view all equipment in a certain location (campus, building, floor, room), and can even narrow the report to include just a particular type of equipment in an area. This report is useful when PIs would like to know if there is a specific item in close proximity to their current laboratory that they could share, or when management would like to know the number of a certain item located on a particular campus or in a specific building. The Equipment Inventory by PI Report is a list of all equipment that a particular PI owns, even if the investigator has multiple research sites. This report is useful when a PI leaves MGH and would like to take some of his/her equipment to a new institution. Using this report, all items purchased by a specific PI s grants can be identified, facilitating the required equipment transfer sheet process. The Relocation Inventory Assistant Report can be run either by location or Group. This report details all the special requirements (electrical, mechanical, etc.) that an item might possess. When a certain group is moving to another location, or a room is being renovated, this report generates a list of all the equipment in an area with its requirements. With this list, moves and renovations can occur more smoothly, and without a lot of redundant equipment data collection. The Restricted Backlog Report is very similar to the Backlog Report, except that the user can limit the date range. This report is useful for viewing items that were purchased in certain years and still need to be inventoried. In this way, backlogged items for a certain fiscal year can easily be accessed.

11 Figure 10: Report Selection Screen from the SMS Asset Module Future Improvements and Uses There are many possibilities of future improvements to the asset module that will help streamline and automate the equipment tagging process. One such planned improvement is the creation of an automatic process by which an is sent out to the person who ordered a particular piece of equipment when new information is received via the feed. This will request information about the location of the item, saving the user time in contacting PIs to locate equipment. The assets will also be linked to a floor plan to aid the user in locating items, saving time in the field. Another improvement currently being investigated is the use of handheld devices with barcode readers in the field. Each inventory tag placed on a particular item contains a unique 6-digit number along with a barcode. By using a handheld device in the field, data can be entered directly into the device then downloaded into SMS, saving time, as opposed to writing down the information in the field and entering the data manually. If wireless internet technology is in use at a particular institution, the data can also be entered and downloaded directly to the database, thus enabling real-time data entry. By utilizing a scanning feature on the hand-held device along with wireless technology to connect to the database remotely, all pertinent information about a particular item from the Summary, User Detail, and Equipment Detail screens can be viewed in the field by simply scanning the bar code of a particular item. A barcode reader can be utilized in this way for the collection of special requirement data for relocations. A PI can simply point to the equipment that s/he wishes to move, and all information can be stored though the handheld for later use. The collection of warranty information, repairs made, and manufacturer problems for a particular piece of equipment are also potential functionalities. By gathering this information and supplying it to PIs, they can avoid purchasing equipment that is known to have a poor service history. These records can be reviewed, helping to ensure the purchase of high-quality products. Warranty information from different vendors could be compared to ensure the hospital is getting the most benefit from the purchase. Discussions are also underway to allow certain functions of the asset module to be available online to investigators and lab managers. This feature could allow PIs to enter and track equipment in their own laboratories, saving valuable data entry time. An online asset management system could also allow PIs to post ads for equipment needed or for sale, and obtain locations of equipment around the hospital that other investigators are willing to share or charge a service fee to use. The warranty and service history information could also be available online to allow for PIs to make informed decisions about equipment purchases.

12 Application of the Asset Module in other Institutions By gathering more information than the basic requirements set by the OMB, other institutions can create a more efficient and cost effective inventory tracking process, decreasing technician time in the field, and aiding PIs in the equipment transfer process. The utility and special requirement section of the module can assist any institution in more effective equipment data collection for renovations and relocations. Also, by being able to search for specific items by location, investigators can find and share expensive equipment, improving relations among different groups in the hospital, and saving hospital funds.

13 Working Bibliography Office of Management and Budget. Circular A-110. ONLINE. Revised The Executive Office of the President. Available: [June/July 2004].