DoD ESI IT Asset Management (ITAM): Software License ...

DoD ESI IT Asset Management (ITAM): Software License ...

Information Technology Asset Management (ITAM) Software License Management (SLM) Introduction Sept 2018 Webinar Information Audio dial-in number: 1-866-783-7350 Participant code: 6928919# URL: Teleconference audio will be muted for all participants Please submit any questions or comments via the webinar chat Questions will be addressed at the end, time permitting 2 DoD ESI Team Introductions Floyd Groce | DON CIO IT Strategic Jim Cecil| IT Management Consultant, Sourcing Lead, DoD ESI Co-Chair DoD CIO Leads the DON CIO Enterprise Licensing and strategic sourcing efforts for IT hardware, software and services. One of the DoD points of

contact for OMB Federal Strategic Sourcing Initiative (FSSI) SmartBUY software licensing initiative. Previously, held an unlimited contracting officer warrant for IT contracting. Enterprise IT asset management, portfolio management, strategic sourcing, and program management consultant with over 20 years of experience in managing and implementing commercial and custom information technology. Supports DoD CIO in IT Asset Management and Enterprise Software Licensing and Procurement. 3 DoD ESI DoD ESI is a joint DoD category management and strategic sourcing initiative to save time and money on acquisition of commercial software, IT hardware and services Executive Sponsor: DoD CIO Goals: Leverage enterprise scale and efficiencies in COTS IT acquisition Coordinate IT asset management across the enterprise 4 Agenda The need for Software License Management (SLM)

IT Asset Management (ITAM) SLM framework DoD approach Federal and DoD SLM policy and resources 5 The need for Software License Management (SLM) 6 Common SLM Stakeholder Needs Chief Information Officer (CIO) Are we maximizing the value of our IT portfolio? Are we complying with regulations and contractual requirements? Is our information secure? Is our IT service meeting the business needs? Is our IT keeping pace with industry innovation? Procurement

Are we buying the right products and services? Are we getting the best prices possible? Are our purchasing processes efficient? Does our purchasing satisfy buyers project schedule deadlines? System Manager Do we have enough resources? Are resources being used efficiently? Can we meet availability requirements? Is the IT infrastructure secure? Are we in compliance with policy and license agreements? How can I complete assigned work with limited staff resources? Cybersecurity Do we know what devices and software are on our networks? Are the configurations secure? Can we remediate risks?

Can we recover from incidents? 7 DoD SLM Requirements FY17 NDAA Section 1653: Cybersecurity Comply to Connect & License Management Forbids purchasing software costing more than $5 M unless automated inventory reporting tools are in place DoD CIO 10 July 2018 Memorandum reiterates software inventory requirement DODI 5000.76 (2017): Management and Accounting of Internal Use Software Requires property accountability for Internal Use Software and bulk license purchases MEGABYTE Act of 2016 & OMB Policy M-16-1 Directs Federal CIOs to implement enterprise software license management capabilities Requires agencies to maintain enterprise-wide license inventory reports FY15 NDAA / Federal IT Acquisition Reform Act (FITARA) Directs OMB to implement government-wide software licensing solutions FY14 NDAA Section 935: Software License Inventory Reporting Requires automated software license inventory reporting process RMF: Cybersecurity information security continuous monitoring (ISCM) NIST Risk Management Framework (RMF) & NIST SP 800-137 Requires visibility into all IT assets on DoD networks to assess and remediate vulnerabilities 8

SLM Challenges 9 What is a software license*? 10 Product Complexity in Licensed Software Complex Products Intangible Assets Evolving Business Models Unique rights for each product / license Bundled third-party licenses Software embedded in hardware devices Tracking upgrades received through maintenance or software assurance Identifying and reconciling software products (purchased vs. installed) Client Access Licenses (CAL)

Cannot see it Requires legal compliance Users rarely see or read license agreements Can be distributed electronically Can be virtualized only existing at run-time Authorized usage is defined in a license document not necessarily within the software program Subscription Licensing How do we pay? Enterprise Licenses How do we count? Open Source Software Who owns the code? Cloud computing Who is operating the software? Mergers & Acquisition Who controls the license agreement?

Agile Development Frequent changes 11 New Technology and Business Models Present Licensing Challenges Subscription Licenses Software as a Service Managed Seats Virtualization Bring Your Own Device (BYOD) Cloud Computing Enterprise Shared Resources Mobile Computing Embedded Software

12 IT Asset Management (ITAM) & SLM 13 IT Asset Management (ITAM) IT Asset Management is a systematic process that joins contractual, financial, inventory, and IT governance functions to - ITAM - support strategic decision-making - manage risks - optimize the value of IT assets 14 ITAM & Software License Management I T A s s e t M a n a ge m e nt ( I TA M ) Hardware Asset Management (HAM)

Software Asset Management (SAM) App. Portfolio Management Software License Management (SLM) Configuration Management SAM SAMincludes includespolicies/procedures policies/proceduresfor formanaging managingsoftware softwareassets assets purchasing, configuration management, deployment, purchasing, configuration management, deployment, patching, patching,maintenance,

maintenance,inventory inventorymanagement, management,license license management, modernization, end-of-life, etc. management, modernization, end-of-life, etc. SLM SLMincludes includespolicies/procedures policies/proceduresfor formanaging managingSoftware SoftwareLicenses Licenses planning, planning,negotiation, negotiation,procurement, procurement,assignment, assignment,license license compliance, license audits, upgrades, maintenance,

compliance, license audits, upgrades, maintenance,disposal, disposal,etc. etc. 15 IT Asset Life-Cycle 16 SAM Framework (Gartner Research) 17 Benefits Inventory Control Know what you have & where it is Best business practice Basic fiduciary duty Enables self audit & compliance Security Ensure Security & Integrity

Cost Control Avoid unnecessary purchases Customer Service Improve Experience Identify vulnerabilities Demand Management Better Service Desk Response Prevent unauthorized use Entitlement Management

Ensure patches & updates are deployed Asset Utilization Situational Awareness: Assets, Settings, Approved Configuration Strategic Vendor Management Event Correlation & Trend Analysis Faster Response Time 18 SLM Solution Elements 19 SLM Solution Elements

Requirements Orders Pricing Receiving Contracts Entitlements Installation Assignments Usage

Updates Data standards Planning Contract writing Ordering/Invoicing Property accountability Network/system management IT service desk automation Configuration management Asset discovery Cybersecurity monitoring License management Portfolio management Asset/license managers Accountable property officers Licensing experts IT procurement Vendor relationship managers IT service desk

People Data Programs Planning Finance/Accounting Procurement Legal/Contracts IT Service Desk Cybersecurity Technology Processes Policy Demand forecasting Funding

Negotiating Purchasing Configuration management Inventory reporting Category management Purchasing License compliance Patching/upgrading Monitoring Inventory reporting 20 Sample SLM Roles ITAM Director SAM Manager SLM Manager

Establish and Implement ITAM Policies & Procedures Manage SAM Processes Manage SLM Processes Procurement & Contract Management Record and enforce license terms including quantity and use rights IT Inventory Record and track all inventory records from receipt through retirement Financial Management Record & track all dollar values Change

Management Implement and execute change management 21 SLM Solution Conceptual Design Software License Management, Optimization & Reporting IT Service Management & Monitoring Systems Acquisition Systems Finance & Accounting Systems ADAPTED FROM NIST SPECIAL PUBLICATION 1800-5b, NIST CYBERSECURITY PRACTICE GUIDE FINANCIAL SERVICES IT ASSET MANAGEMENT Approach, Architecture, and Security Characteristics For CIOs, CISOs, and Security Managers, Draft, Oct. 3015 22 Software License Asset Data Source/Activity: Description

Data Agreement/ Contract Receiving License agreement data and a completed, signed copy of the agreement (License Grant). Compare License receipt with license agreement. Document and resolve discrepancies.

Product Part Number Version Publisher/OEM Vendor Agreement date Quantity Price Entitlements Order/Agreement number Date of receipt Part number Quantity etc. Deployment Device and location where software is deployed and used.

Date Quantity Device Location User Organization Changes/ Modifications Details regarding software updates, patches, fixes, disposal, etc. Date (due & actual) Quantity Device Location of software changes 23

Software Identification: Standards ISO/IEC 19770 19770-1 SAM Process 19770-2 NIST Common Platform Enumerator (CPE) Security Content Automation Asset naming schema Software Identification (SWID) Tags 19770-3 Government-driven Software Entitlement Tags 19770-4 Resource Utilization Metrics 19770-5 SAM Overview/Vocabulary Distributed Management Task Force (DMTF) Infrastructure management data standards Vendor-driven 24

Commercial ITAM / SLM Tool Landscape Decision support License Management / License Optimization Tools p m Co ar t en m le y License optimization Compliance/audit reporting Software deployment / harvesting Service desk automation Vulnerability management Patching Asset discovery

IT Service Automation Tools Operations Configuration management Network operations 25 DoD Way Ahead 26 DoD Software License Inventory Reporting Plan Requirement FY14 NDAA Sec. 935: Plan for an enterprise-wide automated software license inventory reporting process. Goal: To optimize the acquisition and use of software licenses. Approach: Leverage acquisition, finance and cybersecurity continuous monitoring systems Implementation Strategy Build on existing efforts to collect and report SLM data - Financial data & audit trail: Leverage Financial Improvement and Audit Readiness (FIAR) Internal Use Software (IUS) policy, guidance, business systems, and reporting processes License inventory status: Leverage Cybersecurity Information Security Continuous Monitoring (ISCM) [Asset

Management, Configuration Management, License Management] Analysis & Reporting: Implement reports and dashboards in ISCM reporting environment License Optimization: Leverage the DoD Enterprise Software Initiative (DoD ESI) IT Category Management Strategic Vendor Management (SVM) Enterprise licenses Enterprise purchasing vehicles 27 DoD SLM Reporting Solution Asset Management / SLM Accountable Property Systems License Inventory Licenses owned, Entitlements, Prices paid, Contract vehicles

Property Inventory DB: IUS License purchases Procurement Systems Finance/Accounting: Procurement, Property Accountability Licenses In-use License Management Tools Inventory of License installed software Assignments ISCM Data: Installed Base & Usage Programs installed & usage Autodiscovery Cybersecurity:

Information Security Continuous Monitoring (ISCM) 28 DoD CIO Memo: FY17 NDAA Sec. 1653 ISCM Comply to Connect& Software Licensing Restrictions 10 Jul 2018) Outlines Cybersecurity comply to connect (C2C) requirements Reiterates Cyber Task Order that requires implementation of Host Based Security (HBSS) Asset Configuration Compliance Module (ACCM) for software inventory reporting Defines guidance for Sec. 1653 license purchase limitations Limits purchasing to $5M for any product where automated software inventory reporting is not implemented Provides information on using HBSS/ACCM to meet automated inventory requirements to avoid license purchase limitations 29 Accounting for Internal Use Software (IUS) Reconvened IUS Account Working Group in May Clarifying guidance for implementation of DODI 5000.76 for Management and Accountability of IUS Developing use cases for accounting for software licenses Identifying DoD Component property accountability systems for IUS Facilitating requirements definition for IUS management and reporting enhancements for the Defense Property Accountability System (DPAS)

30 Implementation Status ISCM Organizational Software Inventory Report Phase 1 base software inventory report was implemented in the Cybersecurity Continuous Monitoring Risk Scoring (CMRS) dashboard system in April 2018 CMRS inventory report shows counts for installed software inventory, by Component Planned enhancements include software usage metrics IUS asset inventory IUS management function implemented in the Defense Property Accountability System (DPAS) in May 2018 Planned enhancements include inventory reporting Integration & License Management Initiating planning for: ISCM software identification Procurement data standards for software purchasing APSR & ISCM data integration License management and optimization solutions 31

Federal & DoD Guidance 32 SLM in Policy Finance, accounting, and acquisition Information technology investment management Cyber security Accountability Stewardship Security 33 Federal SLM Government Policy & Guidance: Foundation Federal Policy & Guidance Reference Description

Clinger-Cohen Act (1996) / USC Title 40 CIO Act / USC Title 10 DoD CIO Designed to improve the way the federal government acquires, uses and disposes IT. Title 10 defines additional responsibilities for DoD & MILDEP CIOs. 2. Executive Order 13103 Computer Software Piracy (December 1998) Prevent and combat computer software piracy by U.S. Government Agencies. Establish procedures to ensure that the agency has present on its computers and uses only computer software not in violation of applicable copyright laws, including: (1) installed software inventories of the software on its computers; (2) authorization software inventories; and (3) adequate recordkeeping systems. 3. Executive Order 13589 Promoting Efficient Spending (November 2011) Sec. 4. IT Devices. Assess current device inventories and usageensure that they are not paying for unused or underutilized IT equipment, installed software, or servicesconsider agency-wide IT solutions for desktop services, email, and collaboration tools. 4.

NIST Information Security Continuous Monitoring (SP 800-137) SP 800-137: (Asset Management) Maintain inventory of software and hardware within the organization. (License Management) Track license compliance, monitor usage status, and manage the software asset life cycle. 1. 34 Federal SLM Policy & Guidance: Current Priorities Federal Policy & Guidance Reference Description 5. GAO-14-413 Federal Software Licenses: Better Management Needed to Achieve Significant Savings Government-Wide May 2014 report that recommends adoption of leading practices for software license management across the Federal government 6.

Federal IT Acquisition Reform Act (FITARA) / FY15 NDAA Includes provisions that require the federal government to: inventory all IT and develop a federal strategic sourcing initiative for the use of government-wide software user license agreements. FITARA was included NDAA FY15. OMB Category Management Policy 161: Improving the Acquisition and Management of Common IT: Software Licensing (June 2016) Implements FITARA provisions for commercial software licenses. Requires agency CIOs to establish comprehensive software license management policy to: compile agency-wide license inventory; analyze inventory data to ensure compliance, consolidate redundant applications, and identify cost-savings opportunities; increase use of government-wide best in class purchasing agreement to reduce duplicative contract vehicles; ensure appropriate personnel have received adequate training in SLM; and, collect and report metrics on cost savings. MEGABYTE Act (Making Electronic Government Accountable By Yielding Tangible Efficiencies, Public Law 114-210, July 2016) Requires OMB to issue a directive on the management of software licenses, requiring executive agency CIOs to develop comprehensive SLM policy that

requires: establish a comprehensive license inventory using automated discovery and inventory tools; regularly track and maintain software licenses; analyze software usage to make cost-effective decisions; provide SLM training; establish SLM goals and objectives; and, consider the software license management life cycle phases to implement effective decision making and incorporate existing standards, processes, and metrics. 7. 8. 35 Recent DoD Policy & Guidance Policy Reference Description 1. FY14 NDAA Section 935 & FY13 NDAA Section 937 DoD Software License Inventory Reporting Plan and DoD Selected Software License Inventory data call 2.

Information Security Continuous Monitoring: JTF-GNO CTO 07-12 Deployment of Host Based Security System (HBSS), etc. Cyber Security Analytic Cloud (CSAC), Continuous Monitoring and Risk Scoring (CMRS), Host Based Security System (HBSS), Assured Compliance Assessment Solution (ACAS), etc. 3. DON Software Acquisition Training Requirements DASN AP memorandum requiring specialized software licensing training for all applicable DON contracting personnel. Related: DON IG: The Navys Management of Software Licenses Needs Improvement (August 7, 2013) 4. DoD ESI / DFARS 208.74 Enterprise software agreements FY17 NDAA Section 1653 Requires automated cybersecurity comply to connect solution with asset discovery.

Forbids large license purchases after FY17 unless automated discovery is in place. Financial Improvement and Audit Readiness (FIAR) Strategy for Internal Use Software, USD(C), September 30, 2015. Establishes accountability requirements for Internal Use Software (IUS), including commercial software licenses DODI 5000.76 USD(AT&L) policy for Management and Accounting of IUS 5. 6. 36 Additional Resources SLM Methodology and Best Practices Intal Assn of IT Asset Managers (IAITAM) ITAM Professional Association Software Management Standards IT Management

Frameworks ISO/IEC 19770 IT Infr. Libr. Service Asset Config. Mgmt (ITIL SACM) IT Asset Management Maintains asset information across the entire life cycle Control Objectives for Information & Related Technology (COBIT) Business Software Alliance (BSA) Pioneers compliance programs for legal software use Neutral not-for-profit certification authority for software tagging Intl Business Software

Management Assn (IBSMA) NIST Common Platform Enumerator (CPE) Nonprofit assn of bsns-focused software mgmt (SAM) professionals Structured naming scheme for information technology systems, software, and packages Monitoring & Security Controls GSA IT Acquisition Gateway Distributed Management Task Force (DMTF) Industry standards org. to simplify ISO/IEC 20000 Software Corridor ( manageability of network-accessible technologies NIST SP 800-137

NIST SP 800-53 Continuous IT Service Management 37 Questions? Please submit your questions via webinar chat or use Ask an Expert function on Briefing slides are posted to for download. Visit For additional IT acquisition resources and training information 38 BACKUP 39 SAM / SLM Linkage with Cyber Security 40 Software License Management (SLM) A mechanism for systematically ensuring compliance with system vendor and independent

software vendor (ISV) software licenses for example, maximum users, maximum nodes and maximum MIPS. (Gartner IT Glossary, May 7, 2015) 41 Example Tools Used in SLM Identity Management Asset Discovery CMDB / Common Software Library Problem Reporting Contract Management Inventory Management Problem Management Change Management License Management 42

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