Minnesota Department of Transportation

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MnDOT Policies

IT Asset Management

MnDOT Policy DM003
View/print signed policy (PDF)

Policy statement

MnDOT will record, track, and verify the status of information technology (IT) assets. MnDOT will work with MN.IT Services* to establish purchasing standards for IT assets. MnDOT will establish purchasing guidelines for IT assets not covered by MN.IT Services, and will establish department-wide hardware replacement cycles to ensure responsible purchasing.

MnDOT will maximize its investment in IT assets by first exploring internal uses and then external options for donation of IT assets no longer needed by the current employee or organizational unit. MnDOT will ensure that the State of Minnesota’s hazardous waste requirements are met when computer equipment is transferred, donated, or recycled. MnDOT will protect government data that resides on any computer hardware that is in storage, donated or recycled.

MnDOT employees will be responsible for IT assets which are assigned to them, including an annual physical verification. They will coordinate with IT staff for the move, donation or recycling or any IT asset which is assigned to them.

*MN.IT Services is a new name to reflect the change to a single consolidated IT organization. Formerly known as the Office of Enterprise Technology, MN.IT Services provides technology services to the State’s executive branch and many other Minnesota government customers.

Reason for policy

MnDOT’s information technology assets are state resources and account for a significant investment of state funds. Documented procedures to record, track, and verify the status of IT assets help to deter theft and misuse, to avoid loss, and to monitor compliance with purchasing guidelines.

MnDOT’s Audit Office has recommended that MnDOT develop and implement procedures for department-wide use in managing computer procurement, inventory and disposition.

Who needs to know this policy

All MnDOT employees and other users of MnDOT resources must follow State of Minnesota policy, MnDOT policy and any additional standards, procedures, and other guidance regarding the recording, tracking and verification of the status of IT assets in MnDOT.

Procedures

Purchasing IT Assets

  • MnDOT will work on an on-going basis with the MN.IT Services to establish statewide purchasing standards for IT assets.
  • MnDOT will establish purchasing guidelines for IT assets not covered by MN.IT Services.
  • MnDOT will establish and follow consistent department-wide replacement cycles for major categories of computer hardware.

Tracking of IT Assets

  • MnDOT will establish and publish a list of specific computer hardware assets that will be tracked.
  • Offices and districts may make a request to the Audit Office for an evaluation of expanding, contracting, or receiving a waiver from the requirements of the established computer hardware asset tracking list to meet local asset management needs.
  • MnDOT will establish and publish which specific information (attributes) will be tracked on computer hardware.
  • MnDOT will establish standard tools and procedures to record and track computer hardware.
  • MnDOT will create a record for new computer hardware at the time of receipt of the hardware.
  • MnDOT will assign a fixed asset number and place an asset sticker on computer hardware which costs more than $5,000. Generic stickers will be placed on assets which cost less than $5,000 (which are not subject to the State of Minnesota’s Capital Asset requirements).

Physical Verification of Hardware Assets

  • Physical verifications of assets tracked in MnDOT’s IT asset management system are to be conducted annually, or as needed to conform to the requirements or findings of the MnDOT Audit Office. MnDOT will reconcile its physical inventory of computer hardware with its asset management records. Any asset not verified must be reported using the procedures for lost or stolen IT assets. (MnDOT ITAMS - Stolen, Lost or Recovered IT Assets with a Cost of Less than $5,000 form - Note: for employees only)
  • Any office or district may conduct more frequent verifications to ensure the accuracy of its IT asset inventory.
  • MnDOT’s Audit Office may periodically audit the physical verification and certification records.

Donation and Recycling of IT Assets

  • Although computer peripherals that have no market value and contain no hazardous waste are not regulated by the approval and removal processes of the Department of Administration, they should be recycled rather than disposed.
  • Computer hardware awaiting reassignment, donation, or recycling will be securely stored. Hard drives of computers will be sanitized as quickly as possible. Equipment that can easily be removed, such as laptops, will be stored in a locked location.
  • Hard drives of computers being donated or recycled must be sanitized to meet Department of Administration standards. Physical destruction of the hard drive is not an acceptable method. A degausser (a magnetic device) may be used to sanitize hard drives that have failed.
  • The method and name of the person responsible for the sanitizing must be documented in MnDOT’s computer asset management records and on the Department of Administration “Property Disposition Request” form (761 Property Disposition Form).

Lost and Stolen IT Assets

  • Prompt and appropriate action will be taken to locate and recover a lost or stolen IT asset.
  • Damaged, lost or stolen IT assets that are not recovered must be tracked as lost or stolen in MnDOT’s IT asset management system.
  • If the IT asset costs more than $5,000, MnDOT will follow the Department of Administration procedures for tracking of lost, stolen or recovered capital assets.

Forms/instructions

MnDOT has implemented department-wide procedures, processes and applications for information technology asset management. Asset Management page (note: for employees only)

Definitions

Capital Asset

As defined by the Minnesota Department of Administration, Materials Management, a capital asset includes property that costs $5,000 or more, has a normal useful life exceeding two years, and maintains its identity while in use. Capital Asset was formerly known as “fixed asset.”

Donate

Change ownership to an entity other than MnDOT at no cost to the receiving entity.

IT Assets

Computer hardware and peripherals tracked in MnDOT’s IT asset management system, IT Asset Management (note: for employees only).

Physical Verification

Inventory and confirm the status/location of IT assets in MnDOT.

Recycle

Transfer ownership to a vendor who is responsible for the disposal of the hardware in accordance with federal, state and local requirements, including hazardous waste requirements.

Sanitize

To remove or over-write all data in such a way as to prevent access by unauthorized persons.

Responsibilities

Purchasing responsibilities

  • OI&TS (Office of Information & Technology Services) will follow the purchasing guidelines for standard hardware and standard replacement cycles for IT hardware published by MN.IT Services.
  • IT staff in offices and districts will follow the purchasing guidelines and standard replacement cycles for IT hardware published by MN.IT Services.
  • Office Directors and District Engineers will ensure that purchasing guidelines and replacement cycles are followed, or if needed, an exception request is submitted and approved.

Tracking responsibilities

Offices and Districts:

  • District Engineers and Office Directors will ensure that local staff are assigned to record and track IT
    assets.
  • Offices and districts will establish check-out procedures for portable computing devices that are shared among employees.

Audit Office (with input from IT staff in offices and districts, will establish minimum requirements for):

  • Hardware assets to be tracked
  • The definition of information to be collected

OI&TS will:

  • Ensure MnDOT has the capability to record and track computer hardware department-wide by providing procedures for offices and districts to enter data into MnDOT’s IT asset management system.
  • Establish and update procedures to update MnDOT’s computer asset records upon the transfer, donation or recycling of equipment.
  • Develop a quality assurance plan for the integrity and accuracy of asset management records.

Physical verification responsibilities

OI&TS will provide technology solutions for annual physical verifications of IT asset inventories. Responsibilities include:

  • Establish procedures for physical inventory of hardware assets.
  • Provide offices and districts with access to reports to assist physical verification.
  • Provide the Audit Office with reports upon request.

Audit Office will:

  • Maintain records of certifications submitted by offices and districts.
  • Periodically audit the hardware inventory procedures of OI&TS.
  • Send an annual physical verification reminder to each Office Director/District Engineer, the IT Contact for the Office/District, and the administrative manager or division business manager for the area.
  • If the Office or District misses their date for conducting the physical verification and submitting the Certification form, the Audit Office will send a notice regarding the non-compliance to the District Engineer/Office Director in charge of the non-compliant area, with a copy of the notice sent to the
    appropriate manage or division business manager, and IT Contact for the area.
  • Establish a uniform date each year for each Office/District to complete the physical verification and submit the certification form.

Each Office Director and District Engineer will ensure that annual physical verifications are conducted and certification forms are submitted for their respective areas.

Supervisors are responsible to ensure that IT assets assigned to any employee are returned when an employee leaves the Office or District and to coordinate with IT staff for its reassignment or disposition, (OI&TS will provide access to a report to facilitate this requirement).

MnDOT employees shall be responsible for IT assets which are assigned to them, including an annual physical
verification.

Donation responsibilities

  • OI&TS will establish and update procedures for preparing computer hardware for reassignment, donation or recycling, including preparation of hard drives.
  • Employees will coordinate with IT staff for the move, donation or recycling of any IT asset which is assigned to them.

Lost/Stolen responsibilities

  • The Audit Office will publish procedures for reporting lost, stolen or recovered IT assets.
  • Supervisors/Managers – if the IT asset has been stolen, or if theft is suspected, the supervisor/manager must report the theft to law enforcement.
  • Employees – when an IT asset is lost, stolen, or recovered, the MnDOT employee to whom the asset is assigned will immediately report this to his/her supervisor or manager, to the IT Service Desk or local IT Contact, and to the Audit Office. Information on this can be found on iHUB A to Z under, “Lost” or “Stolen.”

Related information

  • Department of Administration, Information Bulletin 03-01, January 21, 2003, requires state agencies to clean hard drives prior to donating or recycling equipment.

History of policy updates or amendments

Amended

  • Policy FM001 – IT Asset Management, established 8-8-12

Supersedes

  • Policy 4.18 – IT Asset Management, established 9-12-03, revised 9-11-07 and 3-17-10

Ownership

Responsible Senior Officer

Tracy Hatch
Deputy Commissioner/COO/CFO
tracy.hatch@state.mn.us
651-366-4811

Policy Owner

Daniel Kahnke
Director, Office of Audit
dan.kahnke@state.mn.us
651-366-4140

Policy Contact

Lisa Marie Stroschein
Auditor
lisamarie.stroschein@state.mn.us
651-366-4151