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					SAM ASSESSMENT REPORT

The goal for infrastructure optimization (IO) is to help companies build the people-ready business by helping them
realize the full value of their IT infrastructure to drive business results. IO is centered on using an organization’s IT assets
to support and advance the business. IO helps businesses measure their level of infrastructure optimization and drive
for a truly people-ready infrastructure.


The SAM Assessment Report is aligned with the Infrastructure Optimization (IO) Model and provides a framework to
accurately evaluate SAM processes, policies, and tools.


The IO model is used to benchmark an organization’s current IT infrastructure and help create a more-secure and
better-managed environment. The primary objectives of IO are to rationalize and reduce IT costs, reallocate
underutilized IT resources, and streamline IT business processes.


Implementing SAM, which is an integrated set of policies, processes, people, and tools dedicated to discovery and
management of an organization’s software holdings, is necessary so that an organization can optimize its IT assets.


Using the IO stages of Basic, Standardized, Rational, and Dynamic, the SAM partner conducts a SAM Optimization
assessment based on 10 SAM core competencies.


The end goal of the assessment is to evaluate the SAM Optimization level of the customer based on a set of established
and objective criteria. Once customers know their optimization level, they can work to advance from one optimization
level to another, based on guidance from the partner.
                                                     Next
Getting Started:                                     Page          Note: Enable Macro Option above
Fill in Customer Name
Fill in Partner Name
Fill in Partner MSPP ID
Fill in Volume License Agreement Number
The SAM Optimization process is executed with the customer
in the four phases: 1) workshop preparation, 2) infrastructure
analysis, 3) SAM discussions, and 4) optimization and planning.
If additional information is needed on the process, please visit
www.microsoft.com/io.


This workbook will provide a framework for your customer
SAM optimization review, as well as capture the
assessment ratings for each of the 10 competency areas.


Start by:
1) Enabling the macros in the security options above.
2) Entering the name of the Customer, in cell 'F2' above.
3) Entering the Partner Name in cell 'F3'.
4) Entering the Partner MSPP ID in cell 'F4'.
5) Enter the Agreement Number in cell 'F5'.


There is a tab for each competency. On each tab is a
definition of the competency, guidance on how to evaluate the
SAM optimization level, and the final assessment rating for the
specific category. You can also enter notes, as needed, at
the bottom of each tab.


The 'SAM Optimization Summary' tab, provides the
consolidated assessment ratings across all 10 competencies.
From this tab, you can save a copy of this summary
information to e-mail to Microsoft by clicking the 'Create
Final Report' button. Note: You need to enable the Macro
Option above in the Security Warning.


The 'SAM Optimization Graph' tab provides a graph based
on this summary assessment data.


The last tab, 'Competency Rating Information', provides
definitions for each competency and optimization level, along
with additional assessment guidance.
                                                                                                            Assessment
 ISO 19770-1 Categories          Key Competency                  Current Optimization                                             (Initial) Observation
                                                                                                              Rating


                                                                     All infrastructure groups in the
                                                                     organization are centralized using
 Organizational Management   SAM throughout Organization   Dynamic                                              4        Resources are not assigned to SAM initiatives.
                                                                     the same procedures and
                                                                     inventories.




                                                                     Continuous improvement SAM
                                                                     maturity processes are                              Budget is not designated for SAM
 Organizational Management   SAM Improvement Plan          Dynamic                                              4
                                                                     implemented to support a flexible                   improvement.
                                                                     controlled environment.




                                                                     The % is tracked and is greater
                             Hardware and Software                                                                       Communication with vendor is not
       SAM Inventory                                       Dynamic   than 99%. Exceptions are                   4
                             Inventory                                                                                   occurring.
                                                                     continuously decreasing.




                                                                     Reconciliation is done                              Communication with vendor is not
       SAM Inventory         Accuracy of Inventory         Dynamic                                              4
                                                                     continuously.                                       occurring.




                                                                     The % is tracked and is greater
                                                                                                                         Management does not have SAM
      SAM Verification       License Entitlement Records   Dynamic   than 99%. Exceptions are                   4
                                                                                                                         goals/initiatives.
                                                                     continuously decreasing.




                                                                     Deployment and entitlement                          Management does not have SAM
      SAM Verification       Periodic Self Evaluation      Dynamic                                              4
                                                                     reconciliation is done continuously.                goals/initiatives.




                                                                     All local business units,
                                                                     infrastructure groups, business
SAM Operations Management & Operations Management                    functions, legacy acquired comp-                    SAM is not perceived throughout the
                                                           Dynamic                                              4
         Interfaces          Interfaces                              anies and corporate headquarters                    organization.
                                                                     follow the same strategy,
                                                                     processes and technology for SAM.
                                                                    The % is tracked and is greater
Lifecycle Process Interfaces   Acquisition Process    Dynamic       than 99%. Exceptions are          4   Enter observation.
                                                                    continuously decreasing.




                                                                    The % is tracked and is between
Lifecycle Process Interfaces   Deployment Process    Rationalized                                     3   Enter observation.
                                                                    96% and 98%.




                                                                    The % is tracked and is greater
Lifecycle Process Interfaces   Retirement Process     Dynamic       than 99%. Exceptions are          4   Enter observation.
                                                                    continuously decreasing.
SAM ASSESSMENT REPORT
The chart is based on the SAM Optimization rating for each of the 10 competency categories. Once customers know the
they can work to advance from one optimization level to another.

SAM Optimization Level Assessment Ratings: 1= Basic, 2=Standardized, 3=Rationalized, 4=Dynamic




                                                                                                            Assessment Rating
                4

                3

                2

                1

                0
                                     SAM Improvement Plan




                                                                                                                                                                                                           Deployment Process
                    SAM throughout




                                                                                                                                  Periodic Self Evaluation
                                                            Hardware and Software


                                                                                    Accuracy of Inventory




                                                                                                                                                                                     Acquisition Process
                                                                                                            License Entitlement




                                                                                                                                                             Management Interfaces
                     Organization




                                                                                                                  Records




                                                                                                                                                                 Operations
                                                                 Inventory
                                                                          Next
                                                                   Back
                     Fill in Customer Name                                Page

ompetency categories. Once customers know their optimization level,



dized, 3=Rationalized, 4=Dynamic




t Rating




                                                    Assessment Rating
          Deployment Process


                               Retirement Process
                                                                                                                                                                                                 Next
                                                                                                                                                                                  Back
                                                                                                                                                                                                 Page
SAM ASSESSMENT REPORT                                          Fill in Customer Name
   ISO 19770-1
                        Organizational Management              Instructions: Use the information below to help with the competency assessment rating.
    Categories


     Software Asset Maturity (SAM) Assessment                                                                       Data to Support Assessment Rating




 Key Competency       SAM throughout Organization                           Key Questions to Ask                        Verification of SAM Optimization            Test of Operating Effectiveness


                                                               How has software asset management (with                Collect summary SAM reports &               Evaluate Infrastructure Group data
                      SAM is actively managed in each group    documented procedures, roles, responsibilities and     organizational diagrams to provide the      collected.
    Objective
                      throughout the organization.             executive sponsorship) been implemented in each        following information for each IT
                                                               infrastructure group?                                  Infrastructure Group:                       To be Standardized: Verify if each
                                                               Are the policies, processes and procedures that
                                                                                                                                                                  infrastructure group is defined for every
                      SAM is not being actively managed as a   are in place designed in a way to ensure the
       Risk                                                                                                           - Location(s)                               subsidiary/business unit in the
                      priority by qualified individuals.       existence of SAM throughout the organization?
                                                                                                                      - Estimated Hardware Count                  organization and a representative with
                                                                                                                      - IT Infrastructure Group Name              direct managerial responsibility for SAM
                      Resources are not assigned to SAM                                                               - Description and Hardware Used             is identified for each infrastructure group.
Initial Observation
                      initiatives.                                                                                    - O/S
                                                                                                                      - SAM Tool or Supporting Processes          To be Rationalized: Verify if the
                                                                                                                      - Representative/Manager                    infrastructure data maturity is
Assessment Rating                           4                                                                         - Software Products Used and Qty            standardized and additionally the
                                                                                                                                                                  company has a periodic
                                                                                                                      Complete an infrastructure group template   deployment/entitlement summary
 Current Maturity                                                                                                     to aggregate and organize the information   reconciliation for each infrastructure
                                      Dynamic                                                                         collected.                                  group then they have reached
      Level
                                                                                                                                                                  rationalized.




                      All infrastructure groups in the
 Current Maturity
                      organization are centralized using the
    Summary
                      same procedures and inventories.
                                                                                                                                                                                            Next
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SAM ASSESSMENT REPORT                                         Fill in Customer Name
    ISO 19770-1
                            Organizational Management         Instructions: Use the information below to help with the competency assessment rating.
     Categories


        Software Asset Maturity (SAM) Assessment                                                                Data to Support Assessment Rating




  Key Competency         SAM Self Improvement Plan                         Key Questions to Ask                     Verification of SAM Optimization              Test of Operating Effectiveness


                                                                                                                 Collect the organizations current SAM Self   Evaluate SAM Self Improvement Plan and
                                                              Does your organization have an approved SAM        Improvement Plan                             Historical maturity assessments.
      Objective          SAM improvement is demonstrated.
                                                              self-improvement plan?                             Collect evidence of executive sponsor
                                                                                                                 review and budget approval of the Plan.      To be Standardized: Verify if SAM self
                                                              Are the policies, processes and procedures that
                                                                                                                                                              improvement plan has a defined scope,
                         A SAM improvement plan is not        are in place designed in a way to ensure the
         Risk                                                                                                    Collect previous SAM maturity assessment     schedule and resource allocation. Verify if
                         approved.                            existence of SAM competence & self
                                                                                                                 or completed comparison to previous          the plan has received executive sponsor
                                                              improvement plan?
                                                                                                                 assessment.                                  sign off and if budget has been allocated.
                         Budget is not designated for SAM
  Initial Observation
                         improvement.                                                                                                                         To be Rationalized: Verify if Standardized
                                                                                                                                                              and verify if the organization has
                                                                                                                                                              increased in SAM maturity since the last
 Assessment Rating                          4                                                                                                                 assessment.




Current Maturity Level                  Dynamic


                         Continuous improvement SAM
  Current Maturity       maturity processes are implemented
      Summary            to support a flexible controlled
                         environment.
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SAM ASSESSMENT REPORT                                               Fill in Customer Name
   ISO 19770-1
                        Organizational Management                   Instructions: Use the information below to help with the competency assessment rating.
    Categories


     Software Asset Maturity (SAM) Assessment                                                                         Data to Support Assessment Rating




 Key Competency        Hardware and Software Inventory                           Key Questions to Ask                     Verification of SAM Optimization                Test of Operating Effectiveness


                                                                    What percentage of user PCs and servers are         Collect software and hardware inventory by      Evaluate the Software and Hardware
                      Hardware inventory and software               included in a centralized software                  device for all hardware in all infrastructure   inventory by comparing multiple
    Objective
                      inventory contains majority of title spend.   inventory/CMDB (configuration management            groups. The data may be limited to              independent sources for the same
                                                                    database)?                                          machines that contain in scope software.        inventory population and identify records
                                                                    What % PCs and servers are currently seen and       The hardware inventory should include all       that are not consistent in all sources.
                      Inventory records are not kept or are
       Risk                                                         inventoried by a hardware and software tracking     details to support the software license         Evaluate the software and hardware
                      inaccurate.
                                                                    tool?                                               metrics (cpu count, cpu type, etc.).            identified in the software inventory
                                                                    Are the policies, processes and procedures that     Virtualized servers should identify the         compared to the hardware identified in
                      Communication with vendor is not              are in place designed in a way to ensure the        underlying base hardware.                       the hardware inventory and vice versa
Initial Observation
                      occurring.                                    Completeness of Software and Hardware
                                                                    Inventory?

Assessment Rating                         4


 Current Maturity
                                     Dynamic
      Level


                      The % is tracked and is greater than
 Current Maturity
                      99%. Exceptions are continuously
    Summary
                      decreasing.
                                                                                                                                                                                                                  Next
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SAM ASSESSMENT REPORT                                               Fill in Customer Name
   ISO 19770-1
                        Organizational Management                   Instructions: Use the information below to help with the competency assessment rating.
    Categories


     Software Asset Maturity (SAM) Assessment                                                                           Data to Support Assessment Rating




 Key Competency        Accuracy of Inventory                                     Key Questions to Ask                       Verification of SAM Optimization                  Test of Operating Effectiveness


                                                                    How often do you reconcile software inventories       Collect sample software and hardware data        Reconcile software inventory with other
                      Hardware inventory and software               with other sources to verify accuracy of assumed      from "high-risk" machines which were 1)          independent sources to verify that it accurately
    Objective                                                                                                                                                              includes all applicable software and hardware
                      inventory contains majority of title spend.   license metrics (for example user counts based on     identified in 1 or less software inventory
                                                                                                                                                                           metrics required to reconcile software
                                                                    HR employee records)?                                 sources; or 2) that were collected based on
                                                                    Are the policies, processes and procedures that                                                        deployments and software usage to license
                                                                                                                          manual assumptions.                              entitlement.
                      Inventory records are not kept or are         are in place designed in a way to ensure the
       Risk
                      inaccurate.                                   Accuracy of Hardware and Software Inventory?
                                                                                                                          The sample data collected must include all       Evaluate the software inventory by comparing
                                                                                                                          details to support the software license          multiple independent sources for the same
                      Communication with vendor is not                                                                    metrics that are applicable (user, concurrent inventory population and identify records that
Initial Observation                                                                                                                                                        are not consistent in all sources. Use sample
                      occurring.                                                                                          user, CPU count, CPU type). Sample data
                                                                                                                                                                           testing to verify/support inventory assumptions.
                                                                                                                          may be collected by individually inspecting
                                                                                                                                                                           (For example is Microsoft® Office installed on
                                                                                                                          machines or by leveraging an additional          desktops that are only identified in active
Assessment Rating                         4                                                                               source of inventory (i.e. HR records, active     directory, or for example that there are an
                                                                                                                          directory, LDAP email lists).                    average of 2 CPUs on servers that are only in the
                                                                                                                                                                           software inventory, or for example that HR
                                                                                                                                                                           records in the organization verify that a certain
 Current Maturity                                                                                                         Collect evidence of internal review of SAM
                                     Dynamic                                                                              inventory accuracy.
                                                                                                                                                                           number of user calls are required. )
      Level
                                                                                                                                                                           To be Standardized: Once a year or more the
                                                                                                                                                                           organization reconciles the inventory with other
 Current Maturity                                                                                                                                                          independent sources to verify accuracy.
                      Reconciliation is done continuously.                                                                                                                 To be Rationalized: Quarterly or more the
    Summary
                                                                                                                                                                           organization reconciles the inventory with other
                                                                                                                                                                           independent sources to verify accuracy.
                                                                                                                                                                                                             Next
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SAM ASSESSMENT REPORT                                           Fill in Customer Name
   ISO 19770-1
                        Organizational Management               Instructions: Use the information below to help with the competency assessment rating.
    Categories


     Software Asset Maturity (SAM) Assessment                                                                        Data to Support Assessment Rating




 Key Competency       License Entitlement Records                            Key Questions to Ask                          Verification of SAM Optimization                 Test of Operating Effectiveness


                                                                What percentage of procured software licenses are        Collect entitlement records centrally           Evaluate the software entitlement records by
                      Entitlement records are reconciled with   recorded in a license entitlement inventory (a central   accessible and/or controlled within the         comparing the customer's controlled entitlement
    Objective                                                                                                                                                            records with the entitlement records that are
                      vendor records.                           repository/tracking of all licenses owned and/or         company. Specifically collect available Proof
                                                                                                                                                                         available to the software vendor.
                                                                previously acquired)?                                    of Entitlement for licenses that were not
                                                                Are the policies, processes and procedures that                                                          Evaluate how the entitlement records compare
                                                                                                                         purchased in volume (FPP) that will be not      to the infrastructure groups identified in 1a:
                      Entitlement records are not kept or       are in place designed in a way to ensure the
       Risk                                                                                                              accessible to the software vendor.              Existence of SAM throughout Organizational
                      organized.                                Completeness and Accuracy of License
                                                                                                                         Collect entitlement records accessible and      structure organizational scope. Evaluate if
                                                                Entitlement Records?                                                                                     software vendor has included all in-scope
                                                                                                                         or/controlled by the software vendor
                      Management does not have SAM                                                                       and/or reseller.                                organizations that changed as a result of M&A
Initial Observation                                                                                                                                                      & divestitures.
                      goals/initiatives.
                                                                                                                                                                         Evaluate how product migration, product
                                                                                                                                                                         substitutions, and contract agreements have
                                                                                                                                                                         migrated from the original transaction records
Assessment Rating                          4                                                                                                                             to create the current entitlement position.


                                                                                                                                                                         To be Standardized: Complete and accurate
                                                                                                                                                                         entitlement records are controlled centrally.
 Current Maturity
                                       Dynamic                                                                                                                           To be Rationalized: Entitlement records are
      Level                                                                                                                                                              periodically reconciled with software vendor's
                                                                                                                                                                         records.

                      The % is tracked and is greater than
 Current Maturity
                      99%. Exceptions are continuously
    Summary
                      decreasing.
                                                                                                                                                                                                  Next
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SAM ASSESSMENT REPORT                                            Fill in Customer Name
   ISO 19770-1
                        Organizational Management                Instructions: Use the information below to help with the competency assessment rating.
    Categories


     Software Asset Maturity (SAM) Assessment                                                                        Data to Support Assessment Rating




 Key Competency       Periodic Self Evaluation                                 Key Questions to Ask                      Verification of SAM Optimization              Test of Operating Effectiveness


                                                                 How often do you reconcile software deployments       Collect most recent of periodic SAM reports Evaluate how often SAM stakeholders
                      Regular, periodic sign-off on SAM          (usage) to software entitlements (purchases)?         which have been prepared for SAM             and/or executive sponsors review and
    Objective
                      reports.                                   Software entitlements are software licenses owned     stakeholders.                                sign off on SAM reports.
                                                                 or previously acquired.
                                                                 Are the policies, processes and procedures that
                                                                                                                       Collect evidence of report review sign off   To be Standardized: Once a year or more
       Risk           Periodic SAM reporting is not occurring.   are in place designed in a way to ensure the
                                                                                                                       by SAM stakeholders and/or executive         the organization SAM stakeholders
                                                                 Existence of Periodic Reporting and Self
                                                                                                                       sponsors.                                    and/or executive sign off on the SAM
                                                                 Evaluation?
                                                                                                                                                                    reports which include at least a
                      Management does not have SAM                                                                                                                  deployment and entitlement
Initial Observation
                      goals/initiatives.                                                                                                                            reconciliation of high risk software titles.


                                                                                                                                                                    To be Rationalized: Quarterly or more the
 Self Assessment
                                           4                                                                                                                        organization SAM stakeholders and/or
      Rating
                                                                                                                                                                    executive sign off on the SAM reports
                                                                                                                                                                    which include at least a deployment and
 Current Maturity                                                                                                                                                   entitlement reconciliation of high risk
                                       Dynamic                                                                                                                      software titles.
      Level



 Current Maturity     Deployment and entitlement
    Summary           reconciliation is done continuously.
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SAM ASSESSMENT REPORT                                            Fill in Customer Name
   ISO 19770-1
                        Organizational Management                Instructions: Use the information below to help with the competency assessment rating.
    Categories


     Software Asset Maturity (SAM) Assessment                                                                                 Data to Support Assessment Rating




 Key Competency       Operations Management Interfaces                           Key Questions to Ask                               Verification of SAM Optimization                Test of Operating Effectiveness

                                                                 How do the various Operations Management functions               Collect a hardware and software inventory      Evaluate if each Operations management
                      Operations manages a federated asset       (contracts, financial fixed assets, service support, security,   for all hardware and software that is          function used within the organization
    Objective
                      inventory.                                 networking) use software and hardware inventories in                                                            manage an inventory to track the assets they
                                                                                                                                  managed by Operations management
                                                                 their daily roles?
                                                                                                                                  functions (i.e. IT support, financial fixed    control.
                                                                 Are the policies, processes and procedures that
                                                                                                                                  asset tracking, security, and network
                      SAM tools are not in place or not          are in place designed in a way to ensure the
       Risk                                                                                                                       administration).                               Evaluate if interfaces between federated
                      integrated.                                Completeness of Operations Management                                                                           inventories accurately and completely
                                                                 records and interfaces?                                                                                         reconcile sources.
                                                                                                                                  Note that asset inventories are often
                      SAM is not perceived throughout the                                                                         required by Operations management              Note: Independent inventories that are
Initial Observation                                                                                                                                                              collected in the data request are also tested
                      organization.                                                                                               functions in order to track and manage
                                                                                                                                                                                 in SAM Core - Inventory 2a through 2c.
                                                                                                                                  their asset; these inventories are often not
                                                                                                                                  actively managed in Basic companies.
                                                                                                                                                                                 To be Standardized: Operations
Assessment Rating                         4
                                                                                                                                                                                 management functions (i.e. IT support,
                                                                                                                                  The collected data may be limited to in
                                                                                                                                                                                 financial fixed asset tracking, security, and
                                                                                                                                  scope software. The software inventory
                                                                                                                                                                                 network administration) each manage
 Current Maturity                                                                                                                 should include all details to support the
                                      Dynamic                                                                                     software license metrics (user, concurrent
                                                                                                                                                                                 inventories to track the assets they control.
      Level
                                                                                                                                  user, etc.). Virtualized servers should
                                                                                                                                                                                 To be Rationalized: Operations management
                      All local business units, infrastructure                                                                    identify the underlying base hardware.
                                                                                                                                                                                 functions (i.e. IT support, financial fixed asset
                      groups, business functions, legacy
 Current Maturity                                                                                                                                                                tracking, security, and network
                      acquired comp- anies and corporate
                                                                                                                                                                                 administration) manage a complete and
    Summary           headquarters follow the same
                                                                                                                                                                                 accurate federated system for tracking assets
                      strategy, processes and technology for
                                                                                                                                                                                 which includes interfaces between asset
                      SAM.
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   ISO 19770-1
                        Organizational Management              Instructions: Use the information below to help with the competency assessment rating.
    Categories


     Software Asset Maturity (SAM) Assessment                                                                    Data to Support Assessment Rating




 Key Competency       Acquisition Process                                  Key Questions to Ask                      Verification of SAM Optimization               Test of Operating Effectiveness


                                                               What percentage of total software purchases in      Collect list of approved software vendors.    Evaluate if purchases are made through
                      Software purchases are based on          your organization are made through or are           Collect list of who has access to entitlement software vendors that are approved by
    Objective
                      deployment/entitlement reconciliation.   controlled & tracked by centralized procurement? records and entitlement summaries.               centralized procurement. (For example
                                                                                                                                                                 software purchases may be made by
                                                               Are the policies, processes and procedures that                                                   distributed procurement and may use
                                                                                                                   See data collection from 3a: Completeness
                      Software purchasing is not managed or    are in place designed in a way to ensure the
       Risk                                                                                                        and Accuracy of License Entitlement           company credit cards; however, the
                      controlled.                              Effectiveness of Acquisition Process(es)?
                                                                                                                   Records for entitlement record and 3b:        purchases must be controlled through
                                                                                                                   Existence of Periodic Reporting and Self      detective reconciliation.)
                                                                                                                   Evaluation for deployment/entitlement
Initial Observation   Enter observation.                                                                                                                         Evaluate if bulk contract purchases are made
                                                                                                                   report.
                                                                                                                                                                 based on analysis of periodic SAM reporting.
                                                                                                                                                                 Reconcile sample bulk purchases with
                                                                                                                                                                 periodic deployment entitlement report.
Assessment Rating                          4
                                                                                                                                                                 To be Standardized: Software purchases are
                                                                                                                                                                 controlled through centralized procurement
 Current Maturity
                                     Dynamic                                                                                                                     using approved vendors.
      Level                                                                                                                                                      To be Rationalized: Software entitlement
                                                                                                                                                                 contract purchases are based on periodic

                      The % is tracked and is greater than                                                                                                       deployment/entitlement reconciliation
 Current Maturity                                                                                                                                                reports; and entitlement records are
                      99%. Exceptions are continuously
    Summary                                                                                                                                                      accessible to organizational stakeholders (IT
                      decreasing.
                                                                                                                                                                 Operations, End-users, Legal, HR, CIO)
                                                                                                                                                                 through approved usage rights.
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                                                                                                                                                                                                             Page

   ISO 19770-1
                        Organizational Management              Instructions: Use the information below to help with the competency assessment rating.
    Categories


     Software Asset Maturity (SAM) Assessment                                                                          Data to Support Assessment Rating




 Key Competency        Deployment Process                                    Key Questions to Ask                            Verification of SAM Optimization                Test of Operating Effectiveness

                                                               What percentage of total software deployed across           Collect controlled list of software approved   Evaluate if software deployed in the
                      Software purchases are based on          organization's PCs and servers (considering all operating   for deployment.                                environment is approved by centralized IT
    Objective                                                  systems) is installed through centralized sources or
                      deployment/entitlement reconciliation.                                                               Collect list of who has access to              operations. (For example software that is
                                                               through a controlled distribution environment?
                                                                                                                           deployment records and deployment report deployed should be reviewed by security for
                                                               Are the policies, processes and procedures that                                                            security risk before it is deployed.)
                                                                                                                           summaries.
                      Software deployment is not managed or    are in place designed in a way to ensure the
       Risk
                      controlled.                              Effectiveness of Deployment Process(es)?                                                                   Evaluate if only approved users have access
                                                                                                                                                                          to the deployment summary reports. (For
                                                                                                                                                                          example if only the IT administrators have
Initial Observation   Enter observation.                                                                                                                                  the deployment reports and if procurement
                                                                                                                                                                          doesn't have access to know what is
                                                                                                                                                                          deployed then the organization is basic.)

Assessment Rating                          3
                                                                                                                                                                          To be Standardized: Software deployment is
                                                                                                                                                                          controlled through centralized deployment
 Current Maturity
                                    Rationalized                                                                                                                          processes using approved software.
      Level                                                                                                                                                               To be Rationalized: Software deployment
                                                                                                                                                                          summary reports and records are accessible
                                                                                                                                                                          to organizational stakeholders (i.e.
 Current Maturity     The % is tracked and is between 96%                                                                                                                 Procurement, IT Operations, End-users,
    Summary           and 98%.                                                                                                                                            Legal, HR, CIO) through pre-approved usage
                                                                                                                                                                          rights.
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SAM ASSESSMENT REPORT                                        Fill in Customer Name
   ISO 19770-1
                        Organizational Management            Instructions: Use the information below to help with the competency assessment rating.
    Categories


     Software Asset Maturity (SAM) Assessment                                                                   Data to Support Assessment Rating




 Key Competency       Retirement Process                                 Key Questions to Ask                       Verification of SAM Optimization               Test of Operating Effectiveness


                                                             What percentage of retired hardware assets are       Collect evidence to show that retired assets   Evaluate the retirement process to ensure
    Objective         Retired software is reused.            tracked in a way to enable the software on them      are tracked and controlled centrally.          that software inventory is being tracked
                                                             to be reused?                                                                                       at the point of retirement.
                                                                                                                  Collect evidence to show that software
                                                             What % of installed software is recorded and re-
                                                                                                                  licenses for retired assets are added back     Evaluate that software and hardware
                      Software on retired machines is not    harvested upon retirement of the underlying
       Risk                                                                                                       into entitlement inventories for reuse.        inventory is added back into the
                      being uninstalled and/or reused.       hardware?
                                                                                                                                                                 entitlement inventory for reuse.
                                                             Are the policies, processes and procedures that      Document at a high level, or collect and
                                                             are in place designed in a way to ensure the         review existing supporting documentation.      To be Standardized: Upon retirement of
Initial Observation   Enter observation.
                                                             Effectiveness of Retirement Process(es)?                                                            hardware, installed software is recorded
                                                                                                                                                                 within a centrally controlled system.


Assessment Rating                          4                                                                                                                     To be Rationalized: Upon retirement of
                                                                                                                                                                 hardware, installed software is recorded
                                                                                                                                                                 within a centrally controlled system, and
 Current Maturity                                                                                                                                                licenses are added into the entitlement
                                     Dynamic                                                                                                                     inventory so they can be reused.
      Level


                      The % is tracked and is greater than
 Current Maturity
                      99%. Exceptions are continuously
    Summary
                      decreasing.
Provided below is detailed information on the principles of the SAM optimization framework to support the SAM progress to next level of optimization. All of this
score card and testing could fit as an IS) 19700-1 Verification and Compliance Process; however, this is testing the verification and compliance of all the process areas
of the framework. This measures the "tipping points" or objectives that are required to move to the next level. The scope of the organization/enterprise must be
equivalent to the scope at which purchases are made. The benefit of having mature SAM is that Operations management is able to more effectively manage
Relationships and Contracts, Finance (i.e. fixed assets), Service Level Management, and Security. The disconnect between procurement purchasing software and
deploying software is the biggest risk throughout the life cycle.


Notes: The model defines what it means to be at each level of maturity for each component. The KPI multiple choice questions are not a comprehensive set of
questions for determining maturity, but are intended to facilitate discussions.

    ISO 19770-1                     Key Competency                       Competency Question                                          Basic                                                   Objectives To Become Standardized                                     Objectives To Become Rationalized
                                                                    How has software asset                                                                                   For each infrastructure group within the organization, identify who
                                                                    management (with                                                                                         has direct management responsibility for each unique SAM               For each infrastructure group within the organization, identify a
                                                                    documented procedures,           A Project Manager is assigned to SAM-related projects on a per-         inventory throughout the organization. Specifically identify: 1) all   complete and accurate organizational view of the enterprise.
                        1a: Existence of SAM throughout             roles, responsibilities, and     project basis. SAM roles and responsibilities are not defined. IT       locations, 2) estimated quantity of each hardware platform at each     Specifically, for each infrastructure group, identify 1) an aggregated
                        Organizational structure                    executive sponsorship) been resources are not assigned to meet SAM objectives, or those                  location, 3) a functional description of each group, 4) a              summary of hardware and software deployments; and again, 2)
                                                                    implemented in each         assigned have no previous SAM experience or training.                        representative's name with direct responsibility for the groups SAM    identify who has direct management responsibility for each unique
                                                                    infrastructure group                                                                                     processes, and 5) a description of the SAM process and/or tool used SAM inventory throughout the organization.
   Organizational
                                                                    throughout your                                                                                          for the group.
    Management
                                                                                                                                                                                                                                                    Comparing the historical baseline of a previously developed SAM
                                                                                                                                                                                                                                                    maturity assessment to a current SAM maturity assessment
                                                                    Does your organization have There is no documented executive vision for SAM. There is no SAM             A SAM self-improvement plan has been developed and has been
                        1b: Existence of SAM Competence &                                                                                                                                                                                           demonstrates evidence of increased maturity. Evidence of historical
                                                                    an    approved     SAM      self- development plan. Communication with software vendors is rare or       approved with defined funding/budget which specifically defines
                        Self-Improvement Plan                                                                                                                                                                                                       progress and a revised SAM improvement plan has been reviewed
                                                                    improvement plan?                not occurring.                                                          scope, schedule, and resources for SAM.
                                                                                                                                                                                                                                                    by SAM stakeholder sponsors, and budget has been approved for
                                                                                                                                                                                                                                                    the current plan.

                                                                    What percentage of user                                                                                  A centralized hardware inventory contains between 68% and 95% of
                                                                                                                                                                                                                                                    A centralized hardware inventory contains >=98% of servers and all
                                                                    PCs and servers are included Software and hardware inventories are only accessible locally               all servers and between 68% and 95% of all PCs that have installed
                                                                                                                                                                                                                                                    PCs that have installed software owned by the company.
                                                                    in the centralized software (software administrator, subsidiary, business unit, division). There is      software owned by the company.
                        2a: Completeness of Hardware and
                                                                    inventory/CMDB                   no centralized, managed software and hardware inventory.
                        Software Inventory                                                                                                                                                                                                          A centralized software inventory representing >=98% of software
                                                                    (configuration management Centralized asset inventory contains records for less than 68% of              A centralized software inventory representing the between 68% and
                                                                                                                                                                                                                                                    spend includes software deployments from all hardware in the
                                                                    database);    which  is   software. (1 std deviation in a normal curve)                                  95% of software spend includes software deployments from all
                                                                                                                                                                                                                                                    hardware inventory.
     SAM Core -                                                     populated by a software                                                                                  hardware in the hardware inventory.
      Inventory                                                     How often do you reconcile
                                                                    software inventories with                                                                                Once a year or more the centralized software asset inventory is        Once a quarter or more, the centralized software asset inventory is
                                                                    other    sources   to   verify   Inventories are based on manually collected deployment estimates;       reconciled with other independent sources to verify that it            reconciled with other independent sources to verify that it
                        2b: Accuracy of Hardware and Software
                                                                    accuracy of assumed license or discovery tools are not used. For example, Microsoft® Office              accurately includes all applicable software and hardware metrics       accurately includes all applicable software and hardware metrics
                        Inventory
                                                                    metrics (for example user        Excel® files with original build documentation are used to manage       required to reconcile software deployments and software usage to       required to reconcile software deployments and software usage to
                                                                    counts    based    on     HR     inventories. Complete and accurate reports are not available in a       license entitlement.                                                   license entitlement.
                                                                    employee records.)?              timely manner.

                                                                    What percentage of
                                                                    procured software licenses
                                                                                                     Procurement managers manage contracts and maintain local                For each infrastructure group and business units in the scope of the
                                                                    are recorded in a license                                                                                                                                                       For each infrastructure group and business units in the scope of the
                        3a: Completeness and Accuracy of                                             (subsidiary, business unit, division) records that are not accessible   enterprise, there is a centralized entitlement inventory which
                                                                    entitlement inventory (a                                                                                                                                                        enterprise, there is a centralized entitlement inventory which is
                        License Entitlement Records                                                  centrally. Procurement manages contracts that are not accessed by       completely and accurately includes all records required to reconcile
                                                                    central repository/tracking                                                                                                                                                     periodically reconciled with software vendor records.
                                                                                                     IT Managers.                                                            software deployments and software usage to deployment inventory.
                                                                    of all licenses owned and/or
     SAM Core -                                                     previously acquired by the
     Verification
    SAM Core -
                                                                How often do you reconcile
    Verification
                                                                software deployments
                                                             (usage) to software
                                                                                                                                                                             Once a year or more, SAM executive sponsors review and sign off on Once a quarter or more, SAM executive sponsors review and sign off
                     3b: Existence of Periodic Reporting and entitlements (purchases)?              IT operations is managed on an ad-hoc basis, like a fire drill. Tools
                                                                                                                                                                             SAM reports, which include at least a deployment and entitlement       on SAM reports, which include at least a deployment and
                     Self Evaluation                         Software entitlements are              are not leveraged to identify new hardware or track asset inventories.
                                                                                                                                                                             reconciliation of high risk software titles.                           entitlement reconciliation of high risk software titles.
                                                                the software licenses owned
                                                                or previously acquired by
                                                                the organization.
                                                                How do the            various
                                                                Operations       Management         Operations management functions (i.e. IT support, financial fixed
SAM Core -                                                                                                                                                                                                                                          Operations management functions (i.e. IT support, financial fixed
                                                                functions        (contracts,        asset tracking, security, and network administration) do not follow      Operations management functions (i.e. IT support, financial fixed
Operations           4a: Completeness of Operations                                                                                                                                                                                                 asset tracking, security, and network administration) manage a
                                                                financial fixed assets, service an aligned strategy for SAM. SAM-related strategies that exist are           asset tracking, security, and network administration) each manage
management and       Management records and interfaces                                                                                                                                                                                              complete and accurate federated system for tracking assets, which
                                                                support,        security,       not communicated and committed to. SAM is not considered part                inventories to track the assets they control.
interfaces                                                                                                                                                                                                                                          includes interfaces between asset inventories.
                                                                networking) use software            of M&A risk planning and company integration.
                                                                and hardware inventories in
                                                                What percentage of total    Enterprise software licenses are purchased in bulk and not based on                                                                                     Software entitlement contract purchases are based on periodic
                                                                software purchases in your usage inventories. End-users can individually purchase and expense                                                                                       deployment/entitlement reconciliation reports; and entitlement
                                                                                                                                                                Software purchases are controlled through policies established by
                     5a: Effectiveness of Acquisition Process   organization are made       software (procards) without central approval or coordination.                                                                                           records are accessible to IT Operations and other organizational
                                                                                                                                                                centralized procurement using approved vendors.
                                                                through or are controlled & Software is purchased on a per project basis without reviewing                                                                                          stakeholders (i.e. End-users, Legal, HR, CIO) through approved usage
                                                                tracked by centralized      licenses that may be available or are not be being used optimally.                                                                                      rights.
                                                                procurement?
                                                                What percentage of total
                                                                software deployed across
                                                                your organization's PCs and                                                                                                                                                         Software deployment summary reports and records are accessible to
                                                                                                    Software is deployed by end-users in distributed locations and is not Software deployments are controlled through policies established          Procurement and other organizational stakeholders (i.e. IT
 Lifecycle Process   5b: Effectiveness of Deployment Process servers (considering          all
                                                             operating systems)                is   controlled by centralized IT.                                            by centralized IT, and only approved software is deployed.             Operations, End-users, Legal, HR, CIO) through approved usage
     Interfaces                                                                                                                                                                                                                                     rights.
                                                                installed through centralized
                                                                sources     or   through        a
                                                                controlled distribution

                                                                What percentage of retired Software that is installed on machines is disposed of with the                                                                                           Upon retirement of hardware, installed software on retired assets is
                                                                hardware assets are tracked hardware asset, and licenses are not tracked. There is no organized              Upon retirement of hardware, installed software on retired assets is   tracked within a centrally controlled inventory; deployment and
                     5c: Effectiveness of Retirement Process    in a way to enable the              retirement process. Un-utilized software is not tracked and              tracked within a centrally controlled inventory.                       license records are updated and license entitlements are available
                                                                software on them to be              reassigned. No IT asset retirement policy or procedure is                                                                                       for re-use.
                                                                reused?                             documented.
                  Objectives To Become Dynamic                                                  KPI Question                                           Basic                                Standardized                                Rationalized                              Dynamic



Responsibilities of SAM stakeholders are defined in job descriptions                                                                                                           B) A representative with direct                                                     D) All infrastructure groups in
                                                                                                                                      A) SAM has only been implemented                                                   C) SAM procedures and inventories are
throughout the organization. Awareness of SAM exists throughout         Is SAM implemented throughout your organization in each                                                managerial responsibility for SAM has                                               the organization are centralized
                                                                                                                                      in centralized or primary groups in                                                managed throughout all infrastructure
the organization. SAM is a priority throughout the organization.        relevant group?                                                                                        been identified for each infrastructure                                             using the same procedures and
                                                                                                                                      the organization.                                                                  groups in the organization.
SAM is seen as a key strategic strength.                                                                                                                                       group within the organization.                                                      inventories.



Software Vendor, SAM Partner, and Organization strategically
partner together to meet common objectives of SAM and IT
                                                                                                                                      A) If a self assessment SAM                                                        C) A SAM self-improvement plan has
infrastructure.                                                                                                                                                                                                                                                    D) Continuous improvement
                                                                                                                                      improvement plan has been                B) A SAM self-improvement plan has        defined scope, schedule, assigned
SAM goals are part of the executive scorecard, which is reviewed        Does your organization have an approved SAM self-                                                                                                                                          SAM maturity processes are
                                                                                                                                      completed within the company, it         been defined with scope, schedule and     resources, and is based on continuing
and updated regularly. SAM is a strategic focus.                        improvement plan?                                                                                                                                                                          implemented to support a
                                                                                                                                      has not received executive               has an approved budget.                   the improvement established after the
Corporate SAM stakeholders are industry leaders; SAM stakeholders                                                                                                                                                                                                  flexible controlled environment.
                                                                                                                                      sponsorship and budget.                                                            previous self-improvement plan.
demonstrate thought leadership by presenting at SAM industry
conferences and providing guidance for improved training materials.

Software inventory is dynamically reconciled with all software in the
environment (on the network).                                           What % of physical PCs and servers are included in a                                                                                                                                       D)   The % is tracked and is
                                                                                                                                      A)     The % is unknown and/or is        B)   The % is tracked and is between 68 C)     The % is tracked and is between 96
                                                                        hardware inventory/CMDB? What % of PCs and servers are                                                                                                                                     greater than 99%. Exceptions
                                                                                                                                      likely less than 68%.                    and 95%.                                  and 98%.
Hardware inventory is dynamically reconciled with all hardware on       currently seen and inventoried by a software tracking tool?                                                                                                                                are continuously decreasing.
the network.

Dynamic Software configuration and change management can be
adjusted on a JIT model without delay.
Dynamic Discovery tools provide (daily) near real-time deployment
                                                                        How often do you reconcile software inventories with other    A) Inventory details are reconciled
details. SAM Discovery tool collects and reports on appropriate                                                                                                                                                                                                    D) Reconciliation is done
                                                                        sources to verify accuracy of assumed license metrics (for    with the original source rarely or ad-   B) Reconciliation is done annually.       C) Reconciliation is done quarterly.
licensing metrics. (For example: User, Concurrent User, Hyper                                                                                                                                                                                                      continuously.
                                                                        example user counts based on HR employee records.)?           hoc.
threaded CPU, core, etc.)


Hardware is tracked by RFID. The RFID can identify the appropriate


                                                                                                                                                                                                                                                                   D)   The % is tracked and is
SAM Entitlement system interfaces with vendor entitlement system        What % of procured software licenses are recorded in a        A)     The % is unknown and/or is        B)   The % is tracked and is between 68 C)     The % is tracked and is between 96
                                                                                                                                                                                                                                                                   greater than 98%. Exceptions
to track licenses used.                                                 license entitlement inventory?                                likely less than 68%.                    and 95%.                                  and 98%.
                                                                                                                                                                                                                                                                   are continuously decreasing.
                                                                                                                                         A) Deployment and entitlement                                                                                             D) Deployment and entitlement
                                                                        How often do you reconcile software deployments to                                                       B) Deployment and entitlement           C) Deployment and entitlement
                                                                                                                                         reconciliation is done rarely or ad-                                                                                      reconciliation is done
System reconciliation and ITAM reports are available on demand to       software entitlements?                                                                                   reconciliation is done annually.        reconciliation is done quarterly.
                                                                                                                                         hoc.                                                                                                                      continuously.
all stakeholders.



                                                                                                                                                                                                                                                                   D)   All local business units,
                                                                                                                                         A)      Operations management                                                   C)   Operations management functions      infrastructure groups, business
                                                                        How do the various Operations Management functions
All local business units, infrastructure groups, business functions,                                                                     functions (i.e. IT support, financial   B)   Operations management functions manage a complete and accurate               functions, legacy-acquired
                                                                        (contracts, financial fixed assets, service support, security,
legacy-acquired companies, and corporate headquarters follow the                                                                         fixed asset tracking, security, and     each manage inventories to track the    federated system for tracking assets,     companies, and corporate
                                                                        networking) use software and hardware inventories in their
same strategy, processes, and technology for SAM.                                                                                        network administration) do not          assets they control.                    which includes interfaces between asset   headquarters follow the same
                                                                        daily roles?
                                                                                                                                         follow an aligned strategy for SAM.                                             inventories.                              strategy, processes, and
                                                                                                                                                                                                                                                                   technology for SAM.

All purchases are made using a pre-defined asset catalogue.                                                                                                                                                                                                        D)   The % is tracked and is
                                                                        What % of total software purchases in your company are           A)     The % is unknown but is likely   B)   The % is tracked and is between 68 C)   The % is tracked and is between 96
Software charge-backs are paid for among business units based on                                                                                                                                                                                                   greater than 99%. Exceptions
                                                                        made through, or controlled by, centralized procurement?         less than 68%.                          and 95%.                                and 98%.
actual metered usage (similar to an electric bill).                                                                                                                                                                                                                are continuously decreasing.




                                                                        What % of total software deployed across PCs and servers                                                                                                                                   D)   The % is tracked and is
Software is dynamically available to users when needed in a JIT basis                                                                    A)     The % is unknown and/or is       B)   The % is tracked and is between 68 C)   The % is tracked and is between 96
                                                                        (all operating systems) is installed through centralized                                                                                                                                   greater than 99%. Exceptions
similar to software as a service.                                                                                                        likely less than 68%.                   and 95%.                                and 98%.
                                                                        sources or through a controlled distribution environment?                                                                                                                                  are continuously decreasing.




Software deployments have been optimized to minimize any
duplication of software.
                                                                                                                                                                                                                                                                   D)   The % is tracked and is
                                                                        What % of retired assets are tracked in a way to enable          A)     The % is unknown and/or is       B)   The % is tracked and is between 68 C)   The % is tracked and is between 96
Upon retirement of hardware, a comprehensive process is                                                                                                                                                                                                            greater than 99%. Exceptions
                                                                        software to be reused?                                           likely less than 68%.                   and 95%.                                and 98%.
automated to ensure that once flagged for disposal, installed                                                                                                                                                                                                      are continuously decreasing.
software is recorded and licenses are tracked and controlled
centrally.

				
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