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In accordance with a timeline suggested by the U.C. Office of the President, as part of its implementation of Governmental Accounting Standards Board (GASB) requirements for the reporting of the value of all University capital assets, Equipment Management will be conducting the physical inventory process according to the following general schedule:

For the purposes of conducting the Physical Inventory, campus departments have been divided into two groups of roughly equal numbers of assets (custody codes 1-4000 and 4001-6000), each group completing a Physical Inventory in alternating years. In this manner, individual departments complete a Physical Inventory every two years, while Equipment Management conducts the process on an annual basis, maximizing its resources and ability to respond to department questions and requests for assistance while maintaining its other, essential functions.

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The EQ920 is sorted by:

Only inventorial equipment with a unit value of $5,000 or more appears on the EQ920, with the exception of (a) firearms and (b) equipment to which the University does not hold title and which was acquired before the increase in the inventorial equipment threshold from $1,500 to $5,000 on July 1, 2004.

IMPORTANT NOTE

For the purposes of conducting physical inventories, most departments’ inventories are now divided into two categories of inventorial equipment:

1. ASSETS THAT MUST BE PHYSICALLY INVENTORIED: all assets with a value of $5,000 or greater, and firearms and non-UC title equipment, regardless of unit value. Office of the President has decided that only these assets require a physical inventory and has waived the requirement for the following group.

2. ASSETS THAT DO NOT NEED TO BE PHYSICALLY INVENTORIED: all UC-title assets that are not yet fully-depreciated and have not yet been included on a write-off list provided by Office of the President.

Because the write-off process will not be complete for several years, most departments will continue to have UC-title assets with a value of less than $5,000 on inventory. Initially, at least, the number of these assets will usually exceed that of assets with a value of $5,000 or greater.

While no physical inventory is required for assets with a value of less than $5,000, their disposal should continue to be reported to Equipment Management: departments should not passively wait for them to drop off inventory via the write-off process. Assets with a value of less than $5,000 continue to be included in the University’s financial depreciation calculations until fully depreciated; therefore, disposed assets should be removed from inventory AT THE TIME OF DISPOSAL.

Each year, several weeks after the official EQ920s have been distributed to campus departments, Equipment Management will distribute, FOR INFORMATION PURPOSES ONLY, separate lists of UC-title assets under $5,000. These lists DO NOT have to be returned to Equipment Management and will be provided solely to remind departments of the “other” assets still on their inventory whose disposal should be recorded in a timely fashion.

Because of the dual-tier nature of departments’ inventories for the next several years, the Inventory Report that is available to departments through the Data Warehouse (http://dw.isc.ucsb.edu) allows departments to choose whether they wish to print their entire inventory (both categories, just the list of assets requiring physical inventory, or just the assets not requiring physical inventory). A prompt allows departments to make the choice (it will not appear if a department has equipment in only one of the two categories). If you have not been set up to access equipment data through the Data Warehouse, contact Mary Wenzel (x8882) or Yen Tran (x5533) in IS&C for assistance.

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1. MAKE UPDATES/CORRECTIONS IN WRITING ON THE PRINTED EQ920.

Helpful Hint: If annotations to the EQ920 are hand-written, block print all letters and write as legibly as possible, given the limited amount of space. Because it is nearly impossible to distinguish the letter "O" from the number "0," please indicate a zero by drawing a slash through it: Ø.

It is always better to type all changes, either directly on the EQ920 or in the form of a printed attachment. Serial numbers, especially, are very difficult to record accurately when the information is hand-written. Other letter/number combinations which can be very difficult to interpret correctly include the letter "l" and the number "1", the letter "S" and the number "5", the letter "G" and the number "6", and the letter "Z" and the number "2".

1. Verify the existence and condition of all equipment on the EQ920.
   
   Correct errors by lining through them and entering the corrections next to (or below) them in type or block print. Block print all letters and write as legibly as possible. Fill in any missing or incomplete information. Check, verify and correct, where necessary, all of the data fields listed below under the MANDATORY DATA FIELDS.

2. The Department Chair/Director signs the completed and annotated EQ920 (departments with multiple listings may use one cover sheet in lieu of having the Chair/Director sign multiple pages).

3. Attach signed, original copies of any EIMRs and ESPDs.

4. Make a copy of the entire package for your department's records and send the original to Equipment Management.

2. ENTER UPDATES/CORRECTIONS ONTO A DEPARTMENTAL DATABASE OR EXCEL SPREADSHEET AND SEND IT TO EQUIPMENT MANAGEMENT.

Departmental Database. If your department maintains its own equipment database, you may use a printout of it to conduct the physical inventory ON THE CONDITION THAT (1) it is sorted in the same order as the EQ920, (2) contains all the same fields, (3) the number of items matches, and (4) the dollar value of individual items matches.

Excel Spreadsheet. Your department may obtain its inventory on an Excel spreadsheet by (1) requesting one from Equipment Management; or (2) printing one itself by using the Export function from the Department Inventory Report that is found in the UCSB Data Warehouse (http://dw.isc.ucsb.edu). If you have not been set up to access equipment data, contact Mary Wenzel (x8882) or Yen Tran (x5533) in IS&C for assistance.

Important Reminder: If extracting your inventory from the Data Warehouse, select only “Y” when the “Physical Inventory Required Flag” prompt appears; otherwise, you will extract ALL active assets, not just the $5,000 and over, firearms and non-UC title assets that require physical inventory.

1. Fill in any missing or incomplete information. Check, verify and correct, where necessary, all of the data fields listed below under the MANDATORY DATA FIELDS.

   IMPORTANT: Whether updating a Departmental Database or Excel spreadsheet, all corrections MUST BE HIGHLIGHTED (either via colored text or background shading) to be immediately visible to Equipment Management and allow it to make the updates efficiently. If corrections are not highlighted, the file will be returned.

2. The Department Chair/Director signs the completed and annotated Departmental Database or Excel spreadsheet, or a cover memo.

3. Attach signed, original copies of any EIMRs and ESPDs.

4. Make a copy of the entire package for your department's records and send the original to Equipment Management. (An Excel spreadsheet may also be emailed.)

3. ENTER UPDATES/CORRECTIONS DIRECTLY INTO CATS VIA DEPARTMENTAL ON-LINE ACCESS THROUGH ALLN01.

Departments have the ability to update their inventory records directly in CATS via the ALLN01 application. Complete instructions and an instruction manual for on-line CATS are available on our website. Click here to reference the .pdf document.

All of the MANDATORY DATA FIELDS can be updated except for the Description: contact Equipment Management to request changes to this field.

1. While performing the physical inventory, make notes regarding any changes in location or condition, corrections to manufacturer and model number, new serial numbers, etc.

2. Enter all modifications into CATS.

3. Prepare a cover memo, signed by your Chair/Director, stating that "All updates have been entered into CATS" and return it to Equipment Management attached to the official copy of the EQ920. Attach signed, original copies of EIMRs and ESPDs.

4. Equipment Management checks the inventory to ensure that updates have been made. If they have not, or have been made in insufficient numbers, Equipment Management may request follow-up before deeming the inventory completed.

4. ENTER UPDATES/CORRECTIONS ON ONE OF THE TWO BARCODE SCANNERS WHICH EQUIPMENT MANAGEMENT HAS AVAILABLE FOR LOAN TO CAMPUS DEPARTMENTS.

Full instructions, including a scanner operations manual, on how to conduct a Physical Inventory by using the barcode scanner are posted on the Equipment Management website. Click here to reference. A short summary of the process follows.

1. Contact Equipment Management to request use of one of the scanners and establish the period during which your Department will conduct the inventory.

2. After signing the Memo of Understanding, pick up the scanner, onto which the population of your department’s inventory that requires a physical inventory (all assets over $5,000, firearms and non-UC title assets) has been downloaded, and a printout of that inventory, from Equipment Management.

3. Conduct the physical inventory by scanning the property tag of each item, updating data fields on the scanner.
   
   Note: Because the inventory downloaded onto the scanner is restricted to assets that require a physical inventory, you will probably often get the error message “The item is not in the database” when scanning the barcode on a property tag. Unless your department has flagged the property tags of UC-title assets under $5,000 (and flagged or removed the property tags from assets that have been written off), you will not be able to distinguish, at a glance, between assets that require a physical inventory and those that do not need to be inventoried.

4. Return the scanner to Equipment Management, together with a cover memo signed by your Chair/Director. Attach signed, original copies of EIMRs and ESPDs.

5. Equipment Management uploads the scanner inventory into CATS. Three reports are produced and copies provided to your department: (i) list of items scanned and updates made; (ii) list of data errors (bad building/room numbers, condition codes); (iii) list of items not scanned. The last list is critical: these items have not been accounted for and follow-up is required, in the form of disposal EIMRs or location of the items through a more through physical inspection.

6. As in the preceding case, Equipment Management checks the inventory to ensure that updates have been made. If they have not, or have been made in insufficient numbers, Equipment Management may request follow-up before deeming the inventory completed.
   

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NO MATTER WHICH METHOD IS EMPLOYED, the following data fields must be verified and updated, where necessary, for each item on the inventory:

PHYSICAL LOCATION

A UCSB Building number is mandatory. While a Room number is optional, it is strongly recommended.

Helpful Hints: CATS only accepts valid UCSB Building numbers (three digits) and Room numbers (four digits plus, in some cases, one or two letters). CATS verifies building and room numbers against the official campus database maintained by Budget & Planning. Room numbers provided by departments are sometimes rejected: (1) obsolete room numbers may still be posted following space reconfiguration; or (2) only rooms with assignable space (offices, classrooms, laboratories, etc.) are accepted; hallways, storage space, mechanical closets, etc. are usually not assignable space, even if they have room numbers.

Three-digit room numbers (frequently found in trailers and temporary buildings) must usually be entered with a leading zero in order to be valid. For example, enter "0105" instead of "105."

If your department has equipment located in more than one building, be certain to enter the correct building number: while 3123 may be a valid room number for building 571, it may not be for building 657.

If equipment is not located in a specific building or room, but in a yard or hallway, enter the main department campus building and office as its "official" location. The "true" location may be entered into the Alternate Location field in CATS (this field does not print on the EQ920, as it has been specially created for the benefit of departments and Equipment Management).

If equipment is located off-campus, follow the same rule of thumb: if it is located at an employee's house or at a research station, please enter his or her building and campus office number as the "official" location. In all cases of off-campus use, your department must identify the "true" location of the equipment and report it to Equipment Management as an "Off-Campus Loan" via the on-line EIMR process, or on an EIMR.

NOTE: If your Department has access to the Datawarehouse, one of the standard reports, the "Inventory Report Alt Loc," automatically generates a list of all items on your inventory which have either a "Y" checked in the Off-Campus Use field or anything entered in the Alternate Location field. If your Department has a significant number of items located either off-campus (at employee's homes or research stations) or in non-standard locations (hallways, storage spaces, mechanical rooms, etc.), it may be helpful to run this report and use it as a guide while performing your inventory.

A User Code (two characters only) is optional but often helpful in locating equipment, especially in larger departments and ones in which equipment is moved frequently. It may be easier to locate equipment by conducting your Physical Inventory according to User Code (i.e., P.I) instead of by building and room number.

Helpful Hint: This field is limited to TWO alphanumeric characters; therefore, you cannot input a full name or project into it. Most frequently, the User Code is composed of the user's first and last initials. Some departments prefer the order of "last name/first name." If this is the case, please be consistent: if both "Mary Smith" and "Susan Mason" work in a large department, user codes may quickly become confused.

IDENTIFYING DATA

Departments should inform Equipment Management of any errors or discrepancies in the Description, Manufacturer or Model Number fields: they are not always clear on the purchase orders from which Equipment Management creates the item records and may contain errors.

Helpful Hints: The Description field cannot be updated on-line by departments. Please contact Equipment Management immediately if you wish to modify the Description or if there are significant discrepancies in this field; for example, if property tag 018001005 is affixed to a PowerMac and the EQ920 lists the property number as belonging to a Dell computer, a mistagging has occurred and both department and Equipment Management must work to resolve the problem and correctly tag both pieces of equipment, most probably via the provision of replacement property tags.

It is sometimes difficult for Equipment Management to determine the Manufacturer of a piece of equipment at the time that a Purchase Requisition is submitted: sometimes only the vendor's name (not necessarily the manufacturer) appears. Therefore, corrections may be required.

Frequently, Purchase Requisitions and Purchase Orders do not provide Equipment Management with a Model Number. Sometimes only a catalog number appears. Since a property number cannot be assigned with the model number field left blank, Equipment Management may need to enter the catalog number in this field and corrections may be required.

Sometimes it is better, for identifying and locating purposes, to enter the Model NAME instead of the Model Number: is it easier to find a PowerMac G4 or an MC3/245RS?

The Serial Number should be entered for all items of equipment having them, especially computing and high value items. It is the most critical item of information in reporting and tracing lost or stolen equipment. It is a mandatory element of the equipment record per Federal regulations.

Virtually all pieces of scientific and computer equipment have a Serial Number, although some specialized items do not. Equipment Management will NOT accept "NA" in the serial number field for an Apple computer!

CONDITION

Condition Code. The default is "N1." Where necessary, modify the two-character, alphanumeric code to best describe the condition of each item, using the reference grid below, in which N2 = purchased new, currently in good condition.

Helpful Hint: Most equipment should be coded N1, N2, or N3, as most University equipment is purchased new from vendors. Alpha characters E and O should be used only in cases where equipment, AT THE TIME OF ACQUISITION, was used (for example, a 1995 pick-up truck, purchased in 1999).

Percentage of Utilization. The default is 100%. Only in rare cases, such as when a piece of equipment is shared with another department, would this default be reduced to reflect the amount of usage by the department that is the official custodian.

1. Equipment Inventory Modification Requests (EIMRs)
   

   1. Two forms of EIMR are available:

      1. Paper: the form, along with complete processing instructions, is available for download at our website: Click here to reference.

      2. On-Line: disposal and transfer/loan transactions may be processed on-line using departmental access to CATS via ALLN01. This method is much simpler and efficient, especially when processing significant numbers of transactions. Complete instructions and an instruction manual are available on our website: Click here to reference.

   Helpful Hint: Only one type of transaction may be reported per EIMR: use separate EIMRs to report items which your department is unable to locate, items which have been cannibalized for parts or trashed, or other types of disposals.

   2. Use an EIMR to report:
      

      1. Equipment that is lost or cannot be located. In the case of multiple items or high value equipment, attach a cover memo signed by your Chair/Director explaining the circumstances surrounding the loss and the steps undertaken to prevent recurrence. Equipment will NOT be deleted from your inventory just because you write "lost" or "destroyed" or "traded-in" on the EQ920.

      2. Equipment that has been cannibalized for parts or trashed by your department and not previously reported to Equipment Management.

      3. Equipment that was traded in at the time new equipment was purchased and the trade-in was not recorded on the purchase order.

      4. Equipment that has been transferred to another department or institution and not previously reported to Equipment Management.

      5. Equipment discovered during the physical inventory and not included on the printout (except for acquisitions after the date of the report). Perhaps items were brought to the campus by an incoming professor or transferred from another department.

      Helpful Hint: Items originating from off-campus sources can only be reported on a paper EIMR; items originating from on-campus sources can be reported on an on-line EIMR, but the department that still holds official custody must initiate it.

2. Excess and Surplus Property Disposal Forms (ESPDs)
   
   
   Report surplus and excess equipment that your department wants picked up by Central Stores (or which you wish to drop off at Central Stores) on an Excess and Surplus Property Disposal (ESPD) form. This PDF form, along with complete processing instructions, is available for download on our website: Click here to reference.
   
   
3. Replacement Property Tags.
   
   If property tags are missing, do not have a barcode, do not scan correctly, or are located in an area which is difficult to access and read or scan, request replacement tags either by including a list as part of the inventory package returned to Equipment Management or via an email request.

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