1. Federal Software Asset Management: The Government’s SAM Framework
Alan Vander Mallie, Program Manager
U.S. General Services Administration
Office of Governmentwide Policy
September 2009

2. Software Asset Management
Case Study: Running the Government’s SAM Framework
The GSA Role
Federal SAM/ITAM Program
The Government’s SAM Framework
How’s it working for US?
Successes, Challenges & Trends

3. GSA Role GSA has a major role in managing Government assets:
Real Property (over $1.4 trillion)
Personal Property (disposes > $21 billion per year)
Travel and Transportation (>600,000 vehicles/1,460 aircraft/$12.3 billion in annual travel expenditures)
Information Technology Strategy (purchase $71 billion/year)
Regulatory Information (FAR, FMR, FTR, GSAM)
Federal Advisory Committees (public transparency)

4. Information Technology spending for FY 2009 may total $71 Billion
GSA Role
Information Technology spending for FY 2009 may total $71 Billion
Mission Systems – approx $36 billion
6236 business cases for mission systems
Infrastructure – approx $30 billion
25 major business cases for IT infrastructure
Source: OMB VUE-IT Application for FY 2009:

5. Federal SAM Program Purpose
Support technology strategy efforts so govt is running in the most secure, open, and efficient way possible
Help govt realize technical and social goals -focus on process solutions vs technology solutions
Create strategic value from SAM/ITAM
Goals:
Manage Smarter, Buy Smarter, and Increase compliance of IT assets

6. Federal SAM Program Benefits include support for:
Aggregated buys through vehicles such as SmartBUY
Improved infrastructure optimization and efficient software/hardware usage
Closer alignment with approved lists of COTS software (FEA and EA)
Better use of acquisition, finance, and installed versus actual usage data
Assurance that security features are incorporated into software products as required (e.g., NIST FIPS preclude the use of unvalidated encryption protection of sensitive or valuable data within Federal systems)
Achieving Section 508 compliance for software/hardware use by persons with disabilities
Going Green with IT purchase decisions for more energy efficient IT operating environments & end-of-use disposal

7. Federal SAM Program Cont’d
Support for desktop management & core configurations
Auto-discovery of installed software
Scheduling maintenance upgrades and software/hardware disposition
Improving and clarifying software-use policies (who, what, where, when, why)
Development of standard federal-wide license use clauses to protect intellectual property and prevent software piracy
Informed software security patching and upgrades, installation and deployment
Informed user and IT support staff training.

8. Federal SAM Program Challenges to Establishing Effective SAM:
Reason it is not being already done – it is very hard
Commercial sector does not always do it well either
Data standards for feeder systems do not exist
Overall SAM Enterprise Frameworks do not exist
Implementing policy that integrates multiple key business processes
Dealing with tangible and intangible assets that have many different terms of use depending on the vendor, dealing with each vendor requires a unique approach
Try not to create a process that requires excessive overhead for agencies

9. Federal SAM Program - Roadmap
Implement
Govtwide SAM Programs
Promote Govtwide standardization, consolidation and optimization
FedITAM website available share
best practices and tools
This is an overview of the where the Federal Asset Sales program has traveled over the past 3 years
Phase 1 - FOUNDATION: In September 2005, we completed our planning for the future solution and rolled out interim improvements to FirstGov.gov
Phase 2 - ADOPTION: In FY 2006, we developed the FAS infrastructure and began deploying the long-term solution.
Phase 3 - TRANSFORMATION: In FY 2007 and beyond, agencies are migrating to GovSales.gov. The program is now in its Operations and Maintenance (O&M) phase.
Invest
FedITAM Program Realization
Launch Website so Citizens, Industry & Government can participate in advancing SAM
Highlight use of automated tools
Work with Agencies and LOBs re benefits
Architect
Discovery & Program Foundation
Recommend guidelines and strategic framework
Document lessons learned internal/industry
Asses current state-of-SAM across Government

10. Federal SAM Framework
The Federal SAM Framework focuses on process improvements using ISO and other SAM/ITAM related standards and tools for:
Capturing inventories of deployed software, lists of approved software within FEA and agency enterprise architectures, CPIC investment portfolios, and authorized user data from CIOs;
Capturing acquisition, purchasing, and negotiated license usage rights information from CAOs; and
Capturing invoice, payment and finance information from CFOs.

11. Federal SAM Framework
Highlights six key SAM process areas (ISO ) and 17 questions from chief officers:
Supports routine and extraordinary efforts to standardize, consolidate, and optimize the management, purchase, and increased compliancy of IT assets.
Supports collaboration and partnerships across the disciplines and between those responsible for enterprise architecture and standards, financial management, strategic sourcing and acquisition, IT operations, and asset management.

12. Federal SAM Framework
NOTES: The Federal SAM framework leads agencies towards higher levels of maturity in their software asset management programs so they do not continue to waste time and money with manual inventories, ineffective decision processes, and redundant software purchasing efforts.
Through inputs to and relationships with federal-wide (SmartBUY) or agency strategic sourcing efforts and the IT Infrastructure LOB program the SAM framework (1) moves vendors towards constantly improving and better securing their products for government enterprise use and (2) moves IT operations and their vendors away from spending too much time and money on purchasing or marketing on many disparate levels.

13. Federal SAM Framework
The goal of communicating a common framework across Government is to:
-- foster visibility of standards and assets, and promote better management, strategic sourcing, and accurate tracking
-- so that information, assets, people, and processes are adequately detected/identified, protected and connected across the federal government.

14. Federal SAM Framework
NOTES: The Federal SAM Program & Framework recommends that every software acquisition should be aligned with:
OMB policy and guidance for software acquisition and SmartBUY acquisition
Federal enterprise architecture (FEA)
Agency strategic plans and enterprise architectures
Federal security standards
Capital planning and investment controls (CPIC)
Legislated acquisition and IT requirements.

15. Federal SAM Framework
“The Govts SAM framework offers a view into integrated lifecycle management for IT assets”
The Government’s SAM Framework – 6 process areas that cross organizational boundaries:
Approving Software & Hardware
Managing the Buy
Managing Contract Compliance
Monitoring Inventory Usage
Complying with Policies & Standards
Financial & Capital Planning

16. Federal SAM Framework

17. Framework Process Areas
Approving IT Architecture Software & Hardware
What IT assets are approved to run on the network architecture?
What unapproved products are running on the network or are being purchased for deployment, exposing us to risk?
Are we addressing the security areas of patch-management and network identity-management?

18. Framework Process Areas
Managing the Buy
What IT assets are good candidates for cost-saving Smart Buy, GWACs, and other Strategic Sourcing agreements?
What are relevant contract terms and clauses for enterprise-wide compliant use of assets?
Do our ordering practices reflect the actual depletion, deployment, saturation, and utility rates of my organization?

19. Framework Process Areas
Managing Contract Compliance
What installed assets expose us to piracy liabilities because they lack licensing agreements?
Do our installations exceed authorized licensing?
Are agencies in compliance with contract terms and are S/W and H/W vendors in compliance with federal policies?

20. Framework Process Areas
Monitoring Inventory Usage
What installed assets are not being actively used; and (how) should they be re-used or retired?
What assets are sitting on the shelf in large quantities reflecting potentially unwarranted ongoing expenses?
What critical asset inventories are nearly depleted?

21. Framework Process Areas
Fostering Compliance with Policies & Standards
What Federal policies and guidelines govern particular categories of IT assets?
How are we working toward compliance with ISO 19770, UNSPSC, and other current or emerging global standards?
What are current ITAM policy guidelines issued by OMB, NIST, and OGP; and is our agency in compliance?

22. Framework Process Areas
Financial & Capital Planning
What are opportunities to increase return on investment and improve cash-flow through smarter buys and uses?
What are noteworthy variances in unit pricing for similar products and how best can we close gaps and avoid costs?

23. How is it Working for US?
ID Management technology strategy for Implementing HSPD12
Initiative has clear and visible govtwide architecture related to a govtwide acquisition strategy which includes a public list of approved & certified products and services.
Website:

24. How is it Working for US?
SmartBuy/ESI/GWACs and other Strategic Sourcing agreements
Initiative has CoBranding between GSA and DoD - Use of common clauses, terms & conditions to achieve best value – Mandatory consideration of Smart Buy/ESI contracts in FAR Case
Website:

25. How is it Working for US? IT Infrastructure Line of Business (LoB)
Initiative promotes use of automated tools and adoption of SAM/ITAM processes – Consolidated hundreds of infrastructure investments into 25 and applied highend consulting and engineering expertise to five-year plans.
Website:

26. How is it Working for US?

27. How is it Working for US? Strategic View of Tools # of Tools % Total
Infrastructure Operations
520
46%
Planning & Management
317
28%
IT Security
291
26%
Total
1128
100%

28. How is it Working for US? Questions Raised by Tool Analysis:
Do CIOs have the personnel, policies, and procedures in place to optimize IT assets?
Do CIOs know what they have, where it is, who is using their IT assets?
Do CIOs have the right tools and enough information to optimize and manage their IT assets?
Are CIOs buying tools using SmartBUY agreements?

29. How is it Working for US?
Created SAM Framework and built proof-of-concept Federal SAM repository and reporting tool
Initiative identified common data inputs and sources for using SAM automated tools.
Website:

30. How is it Working for US?
NOTES: Optimizing COTS software use requires collecting and analyzing SAM data using standard data collection best practices, such that data can be used within and across agencies toward making the Federal Government a leader in software investment management.

31. Sample Inputs for Automated Tools and Life-Cycle Reporting
Sample Data Inputs
Acquisition & Finance
(CAO) (CFO) (CIO)
Human
Resources
(CIO) (CHCO)
IT Inventory
System
(CIO) (CFO)
(Optional) Personnel Information
Agency org code
Sub agency org code
Region code
File send date
File Source Name
File Number
Sender
POC Name
POC Phone No.
POC Address
Employment Status
Department
Acquisition & Financial Info
Product Name
Product Version
Manufacturer Name
Contract Number
License type
SIN Number
License description
National Stock Number
Price category
Quantity Purchased
Quantity Ordered
Contract Type
Contract Description
Date of Order
Order Number
Cont’d…
Deployed Software Inventory Discovery
User Name
Machine Name
IP Address
MAC Address
Machine Platform
Location
Machine type (formerly Class)
Model No (formerly Model)
RAM
Free HDD Capacity
Total HDD Capacity
Processor Type
Sample Inputs for Automated Tools and Life-Cycle Reporting
IT Architecture
(CIO)
Agency’s Approved Software List
Product version
Product Type
Product Description
Software Category
Product OS
Version Release Date
Approving Agency Name
Transaction Code
Load Type

32. cont’d, Sample Data Inputs
Acquisition & Finance
Human
Resources
IT Inventory
System
(Optional) Personnel Information
Acquisition & Finance, Cont’d…
Date of Receipt
Person to Contact
No of Licenses Received
Receiving person
License Start Date
License End Date
Smart BUY Status
Federal-wide Flag
Vendor Name
Vendor Number
Initial License Cost
Annual Subscription Cost
Annual Support Cost
Annual Subscription & Support
BPA number
Invoice number
ACT number
Fund Code
Deployed Software Inventory Discovery
Cont’d…
No. of Processors
Server Flag
Machine Serial Number
OS Domain
DNS Host Name
Server Manager Name
Server Used as
Server Name
Server Contact Name
Host Name
Software category
Installed quantity
Date Last Used
Date Installed
OS Platform
Processor/CPU speed
No. IPS Machine
Sample Inputs for automated tools and Life-Cycle Reporting
IT Architecture
Agency’s Approved Software List

33. Reports Summary & Detailed Reporting aggregated by Organization
View by Product Name (Oracle, Lotus Notes, MS Windows, etc.)
View by Manufacturer (IBM, Microsoft, McAfee, etc.)
View by Server Name
View by Contract or Blanket Purchase Agreement Number
View by Fiscal Year (original purchase date)
List of Expired Licenses
List of Approved & Non-Approved Products
List of Charge Card Purchases
Customized Reporting (you create your own report template)
Administrative: List of SAM Tool Users
Administrative: History of Agency Data Refreshes
Executive Dashboard Reports:
Actionable Advices and Alerts
Executive Spreadsheet
Store Documents and Reports

34. How is it Working for US?
Published website at to make technology strategy for Federal SAM visible to citizens, industry, and government so we can work together.
Contact and interact with US at
Alan Vander Mallie
Federal SAM/ITAM Program Manager
Office of Governmentwide Policy
U.S. General Services Administration
Phone: (202)